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75UDetMercyLRev741美国底特律法官辩诉交易拒绝
75UDetMercyLRev741美国底特律法官辩诉交易拒绝
Citations:
I. INTRODUCTION
A. People v. Grove
On March 1, 1991, defendant Grove was arrested by the Michi-
gan State Police regarding allegations of criminal sexual conduct in-
volving his daughter. In Delta County, Grove was charged with two
counts of first-degree criminal sexual conduct (CSC I),2 felonies i.,th
maximum sentences of life or any term of years, and one count of
second-degree criminal sexual conduct (CSC II),' a felony with a
maximum sentence of fifteen years imprisonment.4 Defendant's then
fifteen-year-old daughter was under the age of thirteen at the time of
the conduct for which defendant was charged.'
1. People v. Grove, 566 N.W.2d 547, 549-50 (Mich. 1997) (consolidated with
People v. Austin).
2. MICH. CoMp. LAWS ANN. § 750.520b(1) (a) (West 1991).
3. MICH. CoMP. LAWs ANN. § 750.520c(1) (a) (West 1991).
4. Grove, 566 N.W.2d at 549-50.
5. Id. at 550. It was indicated that:
The victim testified at trial that she had been sexually assaulted by her fa-
ther from the time she was five or six until she was thirteen. The first inci-
dents she remembered occurred in her bedroom. Defendant would come
in at night and start "feeling up" her body. He told his daughter this was "a
secret" and not to tell anyone. He would digitally penetrate her vagina for
ten to fifteen minutes. These incidents became "common," occurring in
defendant's bedroom and the living room, so that the victim "justmore or
less thought it was normal or something." He also "put [her] mouth
around his penis" on several occasions. Leaving his pants on, he would
undo his zipper and "push on the back of [her] head and push [her] down
there." She did not tell anyone at first because she feared her father after
watching him beat her brother. (Defendant is six feet, three inches tall and
weighed 240 pounds when he was arrested). When she was accused of ly-
ing about the incidents, she initially recanted her story. However, charges
were brought when she later agreed to testify. The victim's testimony was
substantially consistent with the facts she related to the Michigan State Po-
lice when she made her original complaint.
Id. at 550 n.6.
742 UNIVERSITY OFDETROIT MERCY LAWREVIEW [Vol. 75:741
originally charged." 8 Lastly, the judge restated his belief that his rul-
ing was "a valid exercise of the Court's discretion." 9
On December 10 through December 12, 1992, defendant was
tried before ajury on the original charges of two counts of CSC I and2
one count of CSC II.20 He was convicted of one count of CSC ]1.1
Judge Shipman sentenced the defendant to forty months to fifteen
years imprisonment.n The court of appeals reversed defendant's
conviction and remanded with the following instructions:
On remand, we instruct the trial court to permit defendant
to plead guilty of [CSC IV] in exchange for the terms of the
parties' previous plea agreement. If the trial court elects to
reject the recommended sentence, then it must state the
sentence it finds appropriate and give defendant the oppor-
tunity to affirm or withdraw his guilty plea.u
The court of appeals based its decision on People v. Killebrew2 4 and
"the interplay between MCR 6.301 (B)2 and MCR 6.302(C) (3).26
The court stated, "[i]n short, neither Killebrew nor MCR 6.302(C) (3)
gives a trial court the discretion to reject a guilty plea underlying a
plea agreement that includes a prosecutorial sentence recommenda-
tion.
The Michigan Supreme Court reversed the court of appeals and
reinstated the trial court's conviction.u The court indicated that the
court of appeals had correctly stated the issue as "whether a trial
court is able to exercise its discretion to refuse to accept a guilty plea
underlying a plea agreement that includes a prosecutorial sentence
recommendation."2 Yet, the court held:
[U]nder Killebrew and MCR 6.302(C) (3) (a), the decision
whether to accept or reject a bargained plea, on the basis of
whether acceptance of the proffered plea presents an undue
18. Id.
19. Id. Judge Goebel did not preclude the parties from submitting the plea
agreement to Judge Shipman upon his return; however, the prosecutor did not do
so. Id.
20. Id. See supranotes 2 & 3.
21. Grove, 566 N.W.2d at 551. See supra note 3.
22. Grove, 566 N.W.2d at 551.
23. People v. Grove, 528 N.W.2d 796, 799 (Mich. Ct. App. 1995). See supra note
8.
24. 330 N.W.2d 834 (Mich. 1982).
25. MICH. Cr. R. 6.301(B). This rule provides that "[a] defendant may enter a
plea of nolo contendere only with the consent of the court." Id.
26. Grove, 528 N.W.2d at 797. MICH.Cr. R. 6.302(C) (3); for text, see infra note
137.
27. Grove, 528 N.W.2d at 798-99.
28. Grove, 566 N.W.2d at 551, 558.
29. Id. at 553 (quoting Grove, 528 N.W.2d at 797).
744 UN!VERSITY OFDETROIT MERCY LA WREVIEW [Vol. 75:741
B. People v. Austin
On January 31, 1991, the Boyne City Police Department arrested
defendant Austin regarding allegations of criminal sexual conduct
involving two victims. 31 In Charlevoix County, Austin was charged
under separate warrants with two counts of CSC .32 On February 20,
1991, a third warrant was issued for a different incident charging de-
fendant with one count of CSC IV.s3 Defendant admitted grabbing
one of the victims named within the February 20, 1991 warrant!"
On March 11, 1991, the parties went before Judge Pajtas for a
scheduling conference.5 The parties discussed the length of the trial
and set the trial date forJune 25, 1991, and also agreed that May 13,
1991, was the cutoff date for any motions, or for acceptance of any
plea bargains. 6 On June 24, 1991, the day before trial, the parties
appeared before the court and informed the court that a plea
agreement had been reached."' In exchange for the prosecutor
agreeing to drop the original charges and agreeing not to pursue a
habitual offender charge or second offense charges,3 the defendant
would plead guilty of two counts of GSC IW 9 for the 1988 incidents
and one count of CSC IV for the 1990 incident" ° The trial judge re-
fused to accept the plea because it was presented after the plea cutoff
date.4 ' The judge indicated that the parties had two-and-a-half
months from the date of the arraignment to plea bargain the case,
which was a reasonable amount of time, and that he had heard no
persuasive reason as to why he should make an exception to the cut-
off date. 2 The judge indicated that he recognized his discretion to
make such an exception, but that he was "not persuaded by the rea-
sons set forth that it would be a proper exercise of discretion."43
On the 1988 incidents, a jury convicted defendant on the origi-
nal charges." On July 22, 1991, defendant pled guilty to being an
habitual offender, second offense, and was sentenced to two concur-
rent life terms of incarceration. 45 At this same hearing, defendant
pled guilty to the CSG IV charge from the 1990 incident and was sen-
tenced to an additional one to two years incarceration. 6
Defendant appealed on the basis that the trial court lacked the
authority to reject the plea agreement.4 The court of appeals re-
jected this argument by holding "that a trial court, in its discretion,
may reject a plea that fails to comply with any applicable court
rules.A The decision was based upon MGR 6.301 (A) ,'4 MCR
6.001 (D),0 and MCR 2.401 (B) (1) (b).5 1 The court of appeals indi-
cated that "[r]eading these rules together, it is clear that the trial
HI. BACKGROUND
Plea bargaining has become a bureaucratic reality that is han-
dled daily within the legal system. "[T]he Supreme Court of the
United States sanctioned its use, recognizing the pervasiveness of the
practice and the advantages of the procedure for both the defendant
and the state. " 56 In People v. Killebrew, the Michigan Supreme Court
indicated that "[b]y all estimates, the practice of plea bargaining is
even more pervasive today."57 The court indicated that one commen-
tator noted: "The criminal justice system now disposes of virtually all
cases of serious crime through plea bargaining. Depending on the
jurisdiction, as many as ninety-nine percent of all felony convictions
are by plea. This nontrial procedure has become the ordinary dis-
positive procedure of American Law." Further, "[g]iven the preva-
lence of its use, it is not surprising that the Supreme Court of the
United States has labeled plea bargaining as 'an essential component
of the administration ofjustice.'"
The Michigan Supreme Court indicated that "[o]f course,
merely because the practice is deeply entrenched does not prove its
value. " 8° However, it mentioned that the Supreme Court of the
United States "has enumerated the benefits of the procedure" as fol-
lows:
Disposition of charges after plea discussions is not only an
essential part of the process but a highly desirable one for
A. Types of PleaBargaining
In general, plea bargaining is the process by which a person who
is charged with a crime agrees to plead guilty to a lesser offense in
exchange for a lighter sentence, a reduction of charges, or other
benefits. In particular, "[c]harge bargaining, a species of plea bar-
gaining, has... been specifically approved by the Supreme Court of
the United States61... and its practice is well established in Michi-
gan."" Charge bargaining takes place when the prosecutor reduces
the level or eliminates counts against the defendant in exchange for
a guilty plea to the reduced charges.6 For example, reduction of a
felony charge to a misdemeanor is a common practice. This helps
the defendant avoid a record conviction to a charge that carries a so-
cial stigma. 67 According to Killebrew, because "generally, the defen-
dant has little interest in the titie of his crime, the prosecuting attor-
ney's bargaining power is his ability to circumscribe the judge's
61. Id. (quoting Santobello, 404 U.S. at 261); see also Brady, 397 U.S. at 752.
62. Killebrew, 330 N.W.2d at 837.
63. Bordenkircher v. Hayes, 434 U.S. 357 (1978).
64. Killebrew, 330 N.W.2d at 837-38 (citing Genesee Prosecutor v. Genesee Cir-
cuitJudge, 194 N.W.2d 693 (Mich. 1972)).
65. John F. Padgett, Plea Bargaining and Prohibition in the Federal Courts, 1908-
1934, 24 L. & Soc'YREv. 413, 416 (1990). According to Killebrew, "[tihe prosecuting
attorney may agree with the defendant to bring reduced charges or to dismiss cer-
tain charges or cases altogether." Killebrew, 330 N.W.2d at 838. In addition, "the
prosecutor may file a supplemental information charging the defendant as an habit-
ual offender." Id. Bordenkircher,434 U.S. 357 (1978), "[held] that due process is not
violated when a prosecutor carries out a threat made during plea negotiations to
charge a defendant with more serious offenses if he does not plead guilty to the of-
fense originally charged." Id. at 359 n.2.
66. LAWRENCE BAUM, AiE~ascAN COURTS 188 (1994).
67. ROBERT A. CARP & RONALD STIDHAM, JUDICIAL PROCESS IN AMERICA 166 (2nd
ed. 1993).
748 UNIERTSITY OFDETROITMBERCYLAWREVIEW [Vol. 75:741
B. People v. Killebrew
As mentioned above, the Michigan Supreme Court began its de-
cision in People v. Killebrew by discussing the validity of plea bargain-
7
ing, as well as the recognized forms of such bargaining in Michigan.
The decision also discussed the judicial role in "sentence bargain-
ing."76 The court declared that "[t] he trial judge's role in the plea-
bargaining procedure shall remain that of a detached and neutral
judicial official." 7
In order to assist lower courts in maintaining this "detached and
neutral" function, the court outlined the procedures that were to be
IIl. ANALYSIS
The issue before the Michigan Supreme Court in People v. Grove
and People v. AustiW3 was whether the trial judge had the authority to
reject the guilty plea underlying a plea agreement. Grove considered
whether the authority existed to reject an underlying guilty plea
based upon concerns of fairness and justice, resulting from the sen-
tencing variations between the original and bargained charges of a
sentence recommendation. Austin considered the authority of a
judge to reject an untimely plea because it was presented after the
plea cutoff date established within the scheduling order.
A. Majority Opinion
1. People v. Grove
In Grove, the plea rejection arose in the interests of justice be-
cause of the judge's concern that the plea would not be fair and be-
cause of sentencing discrepancies between the original charges and
those of the plea or sentence recommendation. The Michigan Su-
preme Court majority relied upon People v. Killebrew and MCR
6.302(C) (3) for its decision."
As discussed above, a major theme throughout the Killebrew deci-
sion was the judge's role in the plea bargaining process. 6 This had to
do with concerns about avoiding a coercive atmosphere and retain-
ing public confidence in the judicial system. 8 In Killebrew, the Michi-
gan Supreme Court held that "[t]he trial judge's role in the plea
bargaining procedure shall remain that of a detached and neutral
judicial official."88 Under past interpretation of Killebrew, it appeared
that the judge had the authority to reject the recommendation and
impose what he thought to be an appropriate sentence under the
charge provided in the plea agreement."9 The charge provided in de-
fendant Grove's plea agreement was for CSC IV, which is a misde-
meanor with a maximum sentence of two years imprisonment and a
$500 fine. 0 However, this also meant that the judge did not have the
authority to reject the underlying plea unless a specific sentence dis-
position was at issue. 9' Hence, the court of appeals interpreted Kille-
brew as denying a trial court the discretion to reject a guilty plea un-
derlying a plea agreement that includes a prosecutorial sentence
recommendation.
However, in Grove, the supreme court rejected the court of ap-
peals' conclusion by stating that "[n]othing in Killebrew suggests a
limitation on the trial court's option to reject a plea agreement in
which the agreement did not provide for a specific sentence disposi-
tion." 93 The court indicated that "neither the case nor the court rule
was intended to emasculate the judge's sentencing authority in favor
of the parties' right to enter into a plea bargain."" The court indi-
95. Id. (citing United States v. Pimental, 932 F.2d 1029, 1033 (2d Cir. 1991)).
96. Id.
97. Id.
98. In both Grove and Austin, Michigan Attorney General Frank J. Kelley repre-
sented the prosecution on appeal. Id. at 554 n.20.
99. Grove, 566 N.W.2d at 554; see supra note 137.
100. Grove, 566 N.W.2d at 554.
101. Id. (quoting MICH. CT. L 6.302(C) (3)).
102. I&
752 UNIVRSTY OFDETRO1TMERCYLAWR mvIW [Vol. 75:741
103. Id. at 556 (referring to MICH. COMP. LAws § 767.29 (1979)). See infra note
104.
104. MicH. CoMP. LAwS ANN. § 767.29 (West 1991). This statute provides:
Sec. 29. A prosecuting attorney shall not enter a nolle prosequi upon an
indictment, or discontinue or abandon the indictment, without stating on
the record the reasons for the discontinuance or abandonment and with-
out the leave of the court having jurisdiction to try the offense charged, en-
tered in its minutes. If a defendant is charged with a major controlled sub-
stance offense, in addition to the requirements of this section, the
requirements of section 7415 of the public health code, Act No. 368 of the
Public Acts of 1978, being section 333.7415 of the Michigan Compiled
Laws, shall apply upon the prosecuting attorney's motion to dismiss the
charge.
§ 767.29.
105. Grove, 566 N.W.2d at 558 (referring to People v. Killebrew, 330 N.W.2d 834
(Mich. 1982)).
106. Id.
107. Id.
108. Id. at 560.
109. MicH. CT. R. 6.301(A). The rule provides:
(A) Possible Pleas. Subject to the rules in this subchapter, a defendant may
plead not guilty, guilty, nolo contendere, guilty but mentally ill, or not
guilty by reason of insanity. If the defendant refuses to plead or stands
mute, or the court, pursuant to the rules, refuses to accept the defendant's
plea, the court must enter a not guilty plea on the record. A plea of not
guilty places in issue every material allegation in the information and per-
mits the defendant to raise any defense not otherwise waived.
Id.
110. MICH. Cr. R. 6.001(D). The rule provides:
1998] CASEN0TE
(D) Civil Rules Applicable. The provisions of the rules of civil procedure
apply to cases governed by this chapter, except (1) as otherwise provided
by rule or statute, (2) when it dearly appears that they apply to civil actions
only, or (3) when a statute or court rule provides a like or different proce-
dure. Depositions and other discovery proceedings under subchapter 2.300
may not be taken for the purposes of discovery in cases governed by this
chapter. The provisions of MCR 2.501(C) regarding the length of notice of
trial assignment do not apply in cases governed by this chapter.
Id.
111. MICH. Cr. R. 2.401 (B) (1) (b). This rule provides:
(B) Early Scheduling Conference and Order. (1) Early Scheduling Confer-
ence. The court may direct that an early scheduling conference be held.
In addition to those considerations enumerated in subrule (C) (1), during
this conference the court should: (b) determine the complexity of a par-
ticular case and enter a scheduling order setting time limitations for the
processing of the case and establishing dates when future actions should
begin or be completed in the case.
Id.
112. Grove, 566 N.W.2d at 558.
113. Id. at 560.
114. Id.
115. Id. at 561.
116. Id.
117. United States v. Ellis, 547 F.2d 863 (5th Cir. 1977).
118. Id. at 868.
754 UNIVERSI7Y OFDETROITMERCYLAWREVIEW [Vol. 75:741
B. Dissenting Opinion
1. People v. Grove
In Grove, the dissent disagreed with the majority's holding that
MCR 6.302(C) (3) and Killebrew allows the trial court the discretion to
reject the defendant's guilty plea. 20 The dissent indicated that the
issue should be "whether a trial judge has the authority to block a de-
fendant's plea to a reduced charge absent a determination that the
prosecution has abused its discretion.',12' The opinion indicated that
the case "[d]oes not concern the authority of the trial judge to reject
a plea because of disagreement with the prosecutor's sentence rec-
ommendation."'2 The dissent would have found that the trial judge
acted as a "superprosecutor" when he refused to accept the defen-
dant's underlying guilty plea and sentence recommendation despite
objections from all the parties involved.'2 Also, the judge "invaded
the province of the prosecutor, essentially dismissing the people's
new information and placing the original charges back on the trial
docket." 24 According to the dissent, the judge's actions actually vio-
lated the plea taking procedures adopted by the court rules and pro-
nounced in Killebrew and its progeny.'2 Therefore, the judge's
"[r]efusal violated the Michigan Court Rules and 1the 26
defendant's
constitutional rights, and was an abuse of discretion."
The dissenting opinion analyzed MCR 6.302 (C) (3), its commen-
tary, and Killebrew in careful detail and concluded that "the judge
failed to follow that rule and instead trumped the prosecution's
charging power." 27 It stated that "[w]hile the court rule indicates
that a trial court's consent is required with respect to the sentence, it
does not confer authority on the court to interfere with the prosecu-
tor's charging power." 2 8 The dissent also discussed well established
129. Id. at 566-68 (Kelly, J., dissenting) (citing Genesee Prosecutor v. Genesee
CircuitJudge [hereinafter Genesee Prosecutorfl], 215 N.W.2d 145 (Mich. 1974); Peo-
ple ex. rel. Leonard v. Papp [hereinafter Genesee Prosecutor1], 194 N.W.2d 693 (Mich.
1972); People v. Williams, 465 N.W.2d 376 (Mich. Ct. App. 1990); People v. Monroe,
339 N.W.2d 260 (Mich. Ct. App. 1983)).
130. Genesee ProsecutorI, 194 N.W.2d at 699.
131. Genesee ProsecutorI, 215 N.W.2d at 147.
132. Grove, 566 N.W.2d at 567 (Kelly, J., dissenting) (citing People v. Williams,
465 N.W.2d 376 (Mich. Ct. App. 1990); People v. Monroe, 339 N.W.2d 260 (Mich.
Ct. App. 1983)).
133. Id (citing Genesee Prosecutorl, 215 N.W.2d 145 (Mich. 1974); GeneseeProsecu-
tor , 194 N.W.2d 693 (Mich. 1972)). It should be noted that the majority declined
to address whether there was a violation of the prosecutor's charging power by stat-
ing that the defendant did not have standing to appeal on those grounds. Id. at 567
n.12.
134. Id.
135. Id. at 567-68 (Kelly, J., dissenting) (citing Genesee Prosecutor I, 215 N.W.2d
145 (Mich. 1974); Genesee ProsecutorI, 194 N.W.2d 693 (Mich. 1972)).
756 UNIVE RSI7Y OFDETROIT MERCYLAWREVIEW [Vol. 75:741
2. People v. Austin
In Austin, the dissent disagreed with the majority's holding that
the trial judge had the discretion to reject the guilty plea because it
was presented over a month after the plea cutoff date and one day
before trial.136 The dissent discussed the various provisions of the
court rules3 7 and declared that " [t] here is no authority in the current
IV. CONCLUSION
6
The practical implications of People v. Grove and People v. Austin' '
on the plea bargaining process could be enormous. Grove provided
the trial judge with authority to reject a guilty plea underlying a plea
agreement through the court's sentencing authority because of con-
cerns that allowance of the guilty plea would be unfair and not in the
interests of justice. The concern about the interests of justice is due
to sentencing discrepancies between the original charges and those
HOLLYL. NICKERSON