No. 81-269
IN THE SUPREME COURT OF THE STATE OF MONTANA
1981
STATE OF MONTANA,
Plaintiff and Respondent,
VS .
GEORGE ALLEN,
Defendant and Appellant.
Appeal from: District Court of the Eleventh Judicial District,
In and for the County of Flathead
Honorable Robert Sykes, Judge presiding.
Counsel of Record:
For Appellant:
Sherlock and Nardi, Kalispell, Montana
Stephen J. Nardi argued and William E. Hileman argued,
Kalispell, Montana
For Respondent:
Won. Mike Greely , Attorney General, Helena, Montana
Ted 0 Lympus, County Attorney, argued, Kalispell, Montana
.
Mark Higgins argued, student practioner, Missoula, Montana
Submitted: December 7, 1981
~ecided:@~ '''
I m
Y # Clerk
Mr. Chief J u s t i c e Frank I . H a s w e l l d e l i v e r e d t h e Opinion of t h e
Court.
D e f e n d a n t a p p e a l s from a j u d g m e n t o f t h e D i s t r i c t C o u r t
c o n v i c t i n g him o f t h e crime of s e x u a l a s s a u l t f o l l o w i n g a p l e a of
g u i l t y , s e n t e n c i n g him to 20 y e a r s i m p r i s o n m e n t , and d e n y i n g h i s
m o t i o n t o s e t a s i d e t h e s e n t e n c e or t o allow him to w i t h d r a w h i s
p l e a of g u i l t y .
The u n d e r l y i n g i s s u e i n t h i s case is w h e t h e r t h e p r o s e -
c u t i n g a t t o r n e y v i o l a t e d a p l e a bargain agreement thereby
d e p r i v i n g d e f e n d a n t of due p r o c e s s of l a w .
On May 27 1 9 8 0 , a c o m p l a i n t was f i l e d i n t h e J u s t i c e
C o u r t o f F l a t h e a d C o u n t y , Montana, c h a r g i n g d e f e n d a n t G e o r g e
A l l e n w i t h t w o c o u n t s o f s e x u a l i n t e r c o u r s e w i t h o u t c o n s e n t and
one count of i n c e s t . D e f e n d a n t was a r r e s t e d , bound o v e r t o t h e
D i s t r i c t C o u r t on o n e c o u n t o f s e x u a l i n t e r c o u r s e w i t h o u t
c o n s e n t , a f e l o n y , and b a i l was s e t i n t h e amount o f $ 4 5 , 0 0 0 .
On J u l y 1 4 , a n i n f o r m a t i o n was f i l e d i n t h e D i s t r i c t C o u r t
o f F l a t h e a d County c h a r g i n g t h e d e f e n d a n t w i t h s e x u a l i n t e r c o u r s e
w i t h o u t c o n s e n t , a f e l o n y , i n v o l v i n g a r e g u l a r c o u r s e of c o n d u c t
w i t h h i s d a u g h t e r , a g e u n d e r 1 6 , commencing i n 1 9 7 7 and con-
t i n u i n g t o and i n c l u d i n g S e p t e m b e r , 1 9 7 9 . Defendant appeared
w i t h c o u n s e l a t t h e a r r a i g n m e n t on J u l y 1 5 , 1 9 8 0 , a t which t i m e
a n amended i n f o r m a t i o n was f i l e d c h a r g i n g d e f e n d a n t w i t h s e x u a l
a s s a u l t , a felony. D e f e n d a n t e n t e r e d a p l e a o f g u i l t y and was
r e l e a s e d on h i s own r e c o g n i z a n c e t o p e r m i t h i s a d m i s s i o n to t h e
V e t e r a n s H o s p i t a l i n S h e r i d a n , Wyoming, f o r d i a g n o s i s and t r e a t -
m e n t o f a n y p h y s i c a l or m e n t a l p r o b l e m , and t h e h e a r i n g i n a g g r a -
v a t i o n or m i t i g a t i o n o f p u n i s h m e n t w a s c o n t i n u e d p e n d i n g comple-
t i o n o f a t r e a t m e n t p r o g r a m and a r e p o r t from t h a t h o s p i t a l .
On November 3 , 1 9 8 0 , a s e n t e n c i n g h e a r i n g was h e l d i n
a g g r a v a t i o n or m i t i g a t i o n of p u n i s h m e n t . On t h e same d a t e
j u d g m e n t was e n t e r e d f i n d i n g t h e d e f e n d a n t g u i l t y o f s e x u a l
a s s a u l t , s e n t e n c i n g him to 20 y e a r s i m p r i s o n m e n t , d e s i g n a t i n g him
a n o n d a n g e r o u s o f f e n d e r f o r p a r o l e p u r p o s e s , c o m m i t t i n g him t o
t h e Montana S t a t e P r i s o n f o r a 45-day e v a l u a t i o n and r e p o r t , and
p r o v i d i n g f o r f u r t h e r c o n s i d e r a t i o n o f a n y p o s s i b l e s u s p e n s i o n of
s e n t e n c e and i n c a r c e r a t i o n p r i o r t o a n y p r o b a t i o n .
On J a n u a r y 7 , 1 9 8 1 , t h e d e f e n d a n t r e a p p e a r e d b e f o r e t h e
D i s t r i c t C o u r t w i t h c o u n s e l and a f u r t h e r s e n t e n c i n g h e a r i n g was
held. A t the conclusion thereof t h e District Court e n t e r e d an
o r d e r f i n d i n g t h a t t h e p r i o r s e n t e n c e was r e a s o n a b l e and f a i r and
l e f t it u n c h a n g e d .
On J a n u a r y 1 2 , d e f e n d a n t p e t i t i o n e d t h e D i s t r i c t C o u r t to
s e t a s i d e t h e s e n t e n c e or a l t e r n a t i v e l y t o be a l l o w e d to w i t h d r a w
h i s p l e a o f g u i l t y on t h e g r o u n d t h a t t h e p r o s e c u t i n g a t t o r n e y
f a i l e d t o f u l f i l l h i s p r o m i s e s made to t h e d e f e n d a n t i n a p l e a
b a r g a i n agreement d a t e d J u l y 2 , 1980, t h e r e b y denying d e f e n d a n t
due p r o c e s s of l a w . On A p r i l 1 0 , 1 9 8 1 , t h e D i s t r i c t C o u r t made
f i n d i n g s o f f a c t and c o n c l u s i o n s o f l a w and e n t e r e d a n o r d e r d e n y i n g
defendant's petition. This appeal followed.
The r e c o r d b e f o r e u s i n d i c a t e s t h a t d e f e n d a n t ' s c o u n s e l
s e n t t h e f o l l o w i n g l e t t e r d a t e d J u l y 2, 1 9 8 0 , to t h e p r o s e c u t i n g
a t t o r n e y p r i o r to t h e f i l i n g o f t h e amended i n f o r m a t i o n and e n t r y
o f d e f e n d a n t ' s p l e a of g u i l t y :
"Mr. Ted 0 . Lympus
County A t t o r n e y
P. 0. Box 1 5 1 6
K a l i s p e l l , Montana 5 9 9 0 1
"RE: George A l l e n
" D e a r Ted:
"As p e r o u r c o n v e r s a t i o n i n y o u r o f f i c e o n Monday I a m
w r i t i n g t h i s l e t t e r t o con£ i r m o u r a g r e e m e n t i n t h e
a b o v e - e n t i t l e d matter.
" I t is my u n d e r s t a n d i n g t h a t y o u r o f f i c e would be
w i l l i n g t o a c c e p t a p l e a t o one count of sexual
i n t e r c o u r s e w i t h o u t c o n s e n t from my c l i e n t and i n
r e t u r n would recommend to t h e c o u r t t h a t M r . A l l e n
r e c e i v e a s u s p e n d e d s e n t e n c e f o r a p e r i o d of t e n to
f i f t e e n y e a r s and t h a t s a i d s u s p e n s i o n be c o n d i t i o n a l
upon h i s a t t e n d i n g and c o m p l e t i n g a t r e a t m e n t p r o g r a m
a t t h e V e t e r a n s H o s p i t a l i n S h e r i d a n , Wyoming, f o r
w h a t e v e r time p e r i o d t h e y deem a p p r o p r i a t e and
necessary. I t is my u n d e r s t a n d i n g t h a t y o u r o f f i c e
w i l l n o t p r e s e n t t e s t i m o n y i n a g g r a v a t i o n of s e n t e n c e
n o r oppose a w i t h d r a w a l of t h e g u i l t y p l e a s h o u l d o u r
a g r e e m e n t n o t be f o l l o w e d b y t h e c o u r t .
" I f you have a n y a d d i t i o n s o r c o r r e c t i o n s p l e a s e
d o n ' t h e s i t a t e to c o n t a c t m e a t any t i m e .
"Sincerely,
"DALEY , SHERLOCK & NARD1
"By:
"SJN:bra
"bcc: W i l l i a m E. H i l e m a n , J r . , Esq."
The p r o s e c u t i n g a t t o r n e y a c k n o w l e d g e s he made no w r i t t e n r e s p o n s e
to t h i s letter. The d e f e n d a n t ' s a t t o r n e y a d v i s e d t h e D i s t r i c t
C o u r t a t t h e f i n a l h e a r i n g t h a t t h e a g r e e m e n t was o r a l l y amended
t o a l l o w d e f e n d a n t t o e n t e r a p l e a o f g u i l t y to " s e x u a l a s s a u l t "
and t h a t t h e r e c o m m e n d a t i o n was t o be t h a t h i s e n t i r e s e n t e n c e be
suspended. The p r o s e c u t i n g a t t o r n e y s t a t e d a t t h e t i m e t h a t he
d i d n l t know w h a t would be a good d i s p o s i t i o n a t t h a t t i m e and
t h a t t h e i n f o r m a t i o n was amended b e c a u s e t h e o r i g i n a l c h a r g e
r e q u i r e d a m a n d a t o r y two-year p r i s o n s e n t e n c e which d e p r i v e d
d e f e n d a n t o f t h e o p p o r t u n i t y to show t h e j u d g e t h a t he s h o u l d n o t
be incarcerated. The p r o s e c u t i n g a t t o r n e y f u r t h e r s t a t e d t h a t it
was h i s u n d e r s t a n d i n g t h a t b o t h a t t o r n e y s would recommend t h e
F o r t S h e r i d a n f a c i l i t y a s t h e i r e x p e c t a t i o n was t h a t t h e r e t h e y
c o u l d f i n d o u t what would be p r o p e r . He f u r t h e r s t a t e d t h a t t h e
" F o r t S h e r i d a n t h i n g " d i d n o t work o u t and t h e y were b a c k i n
court f o r the sentencing. H e s t a t e d t h a t he d i d n o t t h i n k t h e
S t a t e had p r e s e n t e d a g g r a v a t i o n t e s t i m o n y a t t h e s e n t e n c i n g
hearing.
The r e c o r d shows t h a t t h e D i s t r i c t C o u r t a d v i s e d t h e
d e f e n d a n t p r i o r to a c c e p t i n g h i s p l e a of g u i l t y t h a t it would n o t
b e bound b y a n y a g r e e m e n t b e t w e e n t h e c o u n t y a t t o r n e y , d e f e n s e
c o u n s e l or t h e d e f e n d a n t . The D i s t r i c t C o u r t i n d i c a t e d i t s s e n -
t e n c e w a s n o t d e p e n d e n t on a n y a g g r a v a t i n g o r m i t i g a t i n g c i r -
c u m s t a n c e s s u b m i t t e d a t t h a t t i m e and s t a t e d t h e r e a s o n s f o r i t s
sentence. On a p p e a l , d e f e n d a n t c o n t e n d s t h a t h e was i n d u c e d t o
e n t e r a p l e a o f g u i l t y w h e r e b y he was t o r e c e i v e a s u s p e n d e d s e n -
t e n c e b e c a u s e t h e p r o s e c u t o r a g r e e d to a s u s p e n d e d s e n t e n c e con-
d i t i o n a l on d e f e n d a n t ' s c o m p l e t i o n of a t r e a t m e n t program a t t h e
V e t e r a n s H o s p i t a l i n S h e r i d a n , Wyoming, and t h a t t h e p r o s e c u t o r
a g r e e d n o t t o p r e s e n t e v i d e n c e i n a g g r a v a t i o n of s e n t e n c e n o r
o p p o s e w i t h d r a w a l o f t h e g u i l t y p l e a i f t h e i r a g r e e m e n t was n o t
followed by t h e c o u r t . D e f e n d a n t claims he f u l f i l l e d t h e
a g r e e m e n t on h i s p a r t and t h e p r o s e c u t i o n v i o l a t e d t h i s
agreement. The S t a t e d i s p u t e s t h i s .
The d a y is l o n g p a s t f o r c r e d i b l e a r g u m e n t a g a i n s t p l e a
b a r g a i n i n g as a component o f t h e c r i m i n a l j u s t i c e s y s t e m i n t h i s
country. N o less a u t h o r i t y t h a n t h e U n i t e d S t a t e s Supreme C o u r t
so h e l d a t l e a s t 1 0 y e a r s a g o :
"The d i s p o s i t i o n o f c r i m i n a l c h a r g e s b y a g r e e -
m e n t b e t w e e n t h e p r o s e c u t o r and t h e a c c u s e d ,
sometimes l o o s e l y c a l l e d ' p l e a b a r g a i n i n g , i s
a n e s s e n t i a l component o f t h e a d m i n i s t r a t i o n o f
justice. P r o p e r l y a d m i n i s t e r e d , it is t o be
encouraged. I f e v e r y c r i m i n a l c h a r g e were s u b -
j e c t e d t o a f u l l s c a l e t r i a l , t h e S t a t e s and
t h e F e d e r a l Government would need to m u l t i p l y b y
many times t h e number o f j u d g e s and c o u r t
facilities." S a n t o b e l l o v. N e w York ( 1 9 7 1 ) , 4 0 4
U.S. 2 5 7 , 9 2 S.Ct. 4 9 5 , 30 L.Ed.2d 427. See also
B r a d y v . U n i t e d S t a t e s ( 1 9 7 0 ) , 3 9 7 U.S. 7 4 2 ,
9 0 S . C t . 1 4 6 3 , 2 5 L.Ed.2d 7 4 7 .
However, p l e a b a r g a i n a g r e e m e n t s p r e s u p p o s e f u n d a m e n t a l
f a i r n e s s i n s e c u r i n g s u c h a g r e e m e n t s b e t w e e n t h e a c c u s e d and t h e
prosecutor:
"This phase of t h e p r o c e s s of c r i m i n a l j u s t i c e ,
and t h e a d j u d i c a t i v e e l e m e n t i n h e r e n t i n
a c c e p t i n g a p l e a o f g u i l t y , m u s t be a t t e n d e d b y
s a f e g u a r d s t o i n s u r e t h e d e f e n d a n t w h a t is
r e a s o n a b l y due i n t h e circumstances. Those c i r -
c u m s t a n c e s w i l l v a r y , b u t a c o n s t a n t f a c t o r is
t h a t when a p l e a rests i n a n y s i g n i f i c a n t d e g r e e
on a promise o r agreement of t h e p r o s e c u t o r , s o
t h a t it c a n be s a i d t o be p a r t o f t h e i n d u c e m e n t
o r c o n s i d e r a t i o n , s u c h p r o m i s e m u s t be
fulfilled." S a n t o b e l l o v . New Y o r k , s u p r a .
I n accord: G a r d i p e e v. B l o d g e t t ( 1 9 8 1 ) , Mon t . -P.2d
P r o s e c u t e r s who e n g a g e i n p l e a b a r g a i n i n g m u s t meet s t r i c t
a n d m e t i c u l o u s s t a n d a r d s o f b o t h p r o m i s e and p e r f o r m a n c e as a
p l e a of g u i l t y r e s t i n g i n a n y s i g n i f i c a n t d e g r e e on a n
u n f u l f i l l e d p l e a b a r g a i n is i n v o l u n t a r y and s u b j e c t t o v a c a t i o n .
C o r r e a l e v . U n i t e d S t a t e s (1st C i r . 1 9 7 3 ) , 4 7 9 F.2d 9 4 4 .
P r o s e c u t o r i a l v i o l a t i o n s , e v e n i f made i n a d v e r t e n t l y or i n good
f a i t h t o o b t a i n a j u s t and m u t u a l l y d e s i r e d e n d , a r e u n a c c e p t -
able. Correale v. U n i t e d S t a t e s , s u p r a ; S a n t o b e l l o v. N e w York,
supra.
I n t h i s case b o t h p a r t i e s a c k n o w l e d g e t h e e x i s t e n c e o f a
p l e a b a r g a i n o f some k i n d . The p r o b l e m is t h a t t h e r e is a n u n r e -
s o l v e d f a c t u a l d i s p u t e c o n c e r n i n g b o t h t h e terms of t h e p l e a
b a r g a i n a g r e e m e n t and w h e t h e r t h e p r o s e c u t o r v i o l a t e d t h e
agreement. S p e c i f i c a l l y , were t h e terms o f t h e a g r e e m e n t s e t
f o r t h i n t h e ~ u l y l e t t e r o f d e f e n s e c o u n s e l to t h e p r o s e c u t o r
2
c o m p l e t e and a g r e e d t o b y t h e p r o s e c u t o r ? Was t h e a g r e e m e n t
o r a l l y amended by some f u r t h e r a g r e e m e n t b e t w e e n t h e p r o s e c u t o r
a n d d e f e n s e c o u n s e l a t o r n e a r t h e t i m e t h e amended i n f o r m a t i o n
was f i l e d ? What p r o m i s e was made b y t h e p r o s e c u t o r and w h a t d i d
t h e d e f e n d a n t u n d e r s t a n d t h e p r o m i s e to be when he e n t e r e d a p l e a
o f g u i l t y t o t h e amended c h a r g e ? Did a n y u n f u l f i l l e d p r o m i s e of
t h e p r o s e c u t o r i n d u c e t h e d e f e n d a n t t o e n t e r a g u i l t y p l e a or
o n l y a f f e c t t h e s e n t e n c e imposed? Did t h e p r o s e c u t o r v i o l a t e t h e
p l e a b a r g a i n by h i s c o n d u c t a t t h e s e n t e n c i n g h e a r i n g ?
T h e s e u n r e s o l v e d f a c t u a l i s s u e s r e s t upon t h e i n t e n t o f
t h e p a r t i e s and m u s t be r e s o l v e d b y t h e D i s t r i c t C o u r t i n a n e v i -
d e n t i a r y hearing f o r t h a t purpose. U n i t e d S t a t e s v. A r n e t t ( 9 t h
Cir. 1 9 7 9 ) , 628 F.2d 1162.
A c c o r d i n g l y , w e remand to t h e D i s t r i c t C o u r t o f F l a t h e a d
County f o r an e v i d e n t i a r y h e a r i n g i n conformity with t h i s o p i n i o n
w i t h d i r e c t i o n s to e n t e r f i n d i n g s o f f a c t , c o n c l u s i o n s o f law and
o r d e r and c e r t i f y t h e same t o t h i s C o u r t w i t h t r a n s c r i p t f o r
review. W e r e t a i n j u r i s d i c t i o n of t h i s appeal f o r t h a t purpose.
Chief ~ u s t i c e
We concur: