United States v. Howard Kenneth Smith

55 F.3d 157, 1995 U.S. App. LEXIS 12921, 1995 WL 320398
CourtCourt of Appeals for the Fourth Circuit
DecidedMay 26, 1995
Docket94-5651
StatusPublished
Cited by41 cases

This text of 55 F.3d 157 (United States v. Howard Kenneth Smith) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Howard Kenneth Smith, 55 F.3d 157, 1995 U.S. App. LEXIS 12921, 1995 WL 320398 (4th Cir. 1995).

Opinion

Reversed and remanded by published opinion. Senior Circuit Judge BUTZER wrote the opinion, in which Judge HALL and Judge MOTZ joined.

OPINION

BUTZNER, Senior Circuit Judge:

The sole issue in this appeal is the effect to be given to the government’s motion, made pursuant to Federal Rule of Criminal Proce-. dure 48(a), to dismiss an indictment. Howard K. Smith appeals a judgment convicting him of conspiring to distribute in excess' of five kilograms of cocaine in violation of 21 U.S.C. §§ 846, 841(a)(1). Initially Smith pleaded not guilty and was tried along with four codefendants. During the course of the trial, Smith pleaded guilty and testified' against the other four codefendants in accordance with his plea agreement. The jury acquitted the four codefendants. The United States Attorney moved to dismiss the indictment against Smith, who agreed to the motion. Smith subsequently moved to withdraw his guilty plea. The district court denied the government’s motion to dismiss the indictment and Smith’s motion to withdraw his guilty plea. Ruling that the government’s motion to dismiss the indictment was clearly contrary to manifest public interest, the court sentenced Smith to five years’ probation, community service, a fine of $5,000, and the statutory assessment of $50. Smith appealed and the government by brief and oral argument supports his appeal. We reverse and remand the case with directions to dismiss the indictment.

I

The standard for reviewing the district court’s denial of the motion to dismiss the indictment is abuse of discretion. The court’s discretion must be exercised in conformity with Rule 48(a) and the construction that the Supreme Court has placed on the rule. Because the discretion granted by Rule 48(a) involves the constitutional issue of the Separation of Powers Doctrine, a reviewing court must carefully scrutinize the district court’s action. In Newman v. United States, 382 F.2d 479, 480 (D.C.Cir.1967), Chief Justice Burger, then a circuit judge, wrote: “Few subjects are less adapted to judicial review than the exercise by the Executive of his discretion in deciding when and whether to institute criminal proceedings, or what precise charge shall be made, or whether to dismiss a proceeding once brought.”

At common law the prosecutor had absolute power to dismiss a prosecution before the jury was impaneled unless Congress otherwise provided. See Confiscation Cases, 74 U.S. (7 Wall.) 454, 457, 19 L.Ed. 196 (1868). The disposition of a prosecutor’s motion to dismiss an indictment is now governed by Rule 48(a). An early version of the rule retained the prosecutor’s absolute power but required a statement of the reasons for the motion. The Supreme Court substituted the phrase “by leave of court” for the requirement of a statement of reasons. See generally United States v. Cowan, 524 F.2d 504, 509-11 (5th Cir.1975). As revised, the rule provides: “The Attorney General or the United States attorney may by leave of court file a dismissal of an indictment, information or complaint and the prosecution shall thereupon terminate. Such a dismissal may not be filed during the trial without the consent of the defendant.”

The amount of discretion conferred by the “leave of court” phrase was addressed by Judge Alfred P. Murrah, then a member of the Tenth Circuit Court of Appeals, sitting by designation in the Fifth Circuit:

[I]t seems altogether proper to say that the phrase “by leave of court” in Rule 48(a) was intended to modify and condition the absolute power of the Executive, consistently with the Framer’s concept of Separation of Powers, by erecting a check on the abuse of Executive prerogatives. But this is not to say that the Rule was intended to confer on the Judiciary the power and authority to usurp or interfere with the good faith exercise of the Executive power to take care that the laws are faithfully executed. The Rule was not promul *159 gated to shift absolute power from the Executive to the Judicial Branch. Rather, it was intended as a power to check power. The Executive remains the absolute judge of whether a prosecution should be initiated and the first and presumptively the best judge of whether a pending prosecution should be terminated.' The exercise of its discretion with respect to the termination of pending prosecutions should not be judicially disturbed unless clearly contrary to manifest public interest. In this way, the essential function of each branch is synchronized to achieve a balance that serves both practical and constitutional values.

Cowan, 524 F.2d at 513. Applying these principles, the court of appeals reversed the district court’s denial of a prosecutor’s motion to dismiss an indictment that was predicated on the prosecutor’s need to secure the testimony of the defendant in another case.

In Rinaldi v. United States, 434 U.S. 22, 98 S.Ct. 81, 54 L.Ed.2d 207 (1977), the Court emphasized the prosecutor’s lack of bad faith when it reversed the denial of the government’s motion to dismiss an indictment brought against a prisoner who had been convicted and sentenced in violation of the Department of Justice’s Petite policy. The Court pointed out that the “overriding purposes” of this policy “is to protect the individual from any unfairness associated with needless prosecutions.” 434 U.S. at 31, 98 S.Ct. at 86.

Turning to the application of Rule 48(a), the Court explained that the salient issue is whether the decision to terminate the prosecution was tainted by bad faith. The Court concluded that the record did not disclose bad faith because the decision to terminate the prosecution, based as it was on the Petite policy, was motivated by considerations that were not “clearly contrary to manifest public interest.” 434 U.S. at 30, 98 S.Ct. at 86.

The Court also ventured the opinion that the “principal object of the ‘leave of court’ requirement [in Rule 48(a) ] is apparently to protect a defendant against prosecutorial harassment, e.g., charging, dismissing, and recharging, when the Government moves to dismiss an indictment over the defendant’s objection.” 434 U.S. at 29 n. 15, 98 S.Ct. at 85 n. 15. The Court’s reliance on the nature of the prosecutor’s faith — whether good or bad — as a measure for the disposition of a motion to dismiss an indictment is emphasized by its note that it did not consider whether it would be permissible to deny a government’s motion that was prompted by considerations clearly contrary to the public interest. The Court did not decide whether dismissal would be proper under these circumstances since even assuming that it would be, the result in Rinaldi would have been the same. 434 U.S. at 29 n. 15, 98 S.Ct. at 85 n. 15.

The disposition of a government’s motion to dismiss an indictment should be decided by determining whether the prosecutor acted in good faith at the time he. moved for dismissal.

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Cite This Page — Counsel Stack

Bluebook (online)
55 F.3d 157, 1995 U.S. App. LEXIS 12921, 1995 WL 320398, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-howard-kenneth-smith-ca4-1995.