Lead Opinion
Flоrie Gaston appeals from a judgment of conviction entered upon her plea of guilty to charges of possession with intent to distribute cocaine in violation of D.C. Code § 33-541(a) (1981). Appellant contends that the trial court erred (1) in failing to comply with the requirements of Super. CtCrim.R. 11 before accepting her plea, and (2) in refusing to grant her a hearing on her motion made pursuant to D.C. Code § 23-110 (1981). We find, in the circumstances here, that the failure of the trial court to apprise appellant of the maximum sentence provided by law and the applicability of the mandatory minimum sentence, before accepting her plea, is an omission which compels reversal and remand. We also find that the trial court erred in summarily denying appellant’s motion to withdraw her guilty plea based on ineffective assistance of counsel and an inadequate Rule 11 inquiry. Were a remand not mandated by our treatment of the issues on direct appeal,
I
In a four-count indictment appellant was charged with three counts of unlawful possession with intent to distribute phencycli-dine (PCP), cocaine, and marijuana and one count of unlawful possessiоn of valium. D.C. Code § 33-541(a)(l) & (d). On May 16, 1984, before Judge Ryan, appellant entered a plea of guilty to unlawful possession of cocaine with intent to distribute.
At the sentencing hearing, appellant’s counsel strongly argued that Ms. Gatson should be sentenced under the narcotic addict exception, stressing appellant’s age, her poor health, and her extensive reliance
Ms. Gaston noted an appeal from the judgment, and also filed a motion to withdraw her plea and vacate sentence pursuant to Super.Ct.Crim.R. 32(e) and D.C. Code § 23-110. Upon appellant’s request, her direct appeal was held in abeyance until the trial court ruled on her collateral attack upon her guilty plea. Some eighteen months later, Judge Hannon denied, without benefit of a hearing, appellant’s motion collaterally attacking her plea. After appellant noted her appeal from the denial of her motion to withdraw her plea, the two appeals were consolidated.
II
Superior Court Criminal Rule No. 11 requires the trial court to apprise the defendant of the maximum sentence provided by law and any mandatory minimum sentence before accepting a plea. Specifically, Rule 11(c)(1) states:
ADVICE TO DEFENDANT. Before accepting a plea of guilty or nolo conten-dere, the Court must address the defendаnt personally in open court and inform him of, and determine that he understands, the following:
(1) The nature of the charge to which the plea is offered, the mandatory minimum penalty provided by the law, if any, and the maximum possible penalty provided by tke law ... (emphasis added).
The trial court here did not comply with Rule. 11(c)(1). It completely failed to apprise Ms. Gaston of the fact that she would be subject to the mandatory minimum and did not inform her of the maximum sentence provided by law. In fact, there was no discussion of her potential sentence whatsoever.
Brady v. United States, 391 U.S. 742,
The significance of understanding the consequence of entering a plea has likewise been stressed by this court. In Hicks v. United States,
In contrast, the appeal before us is a direct appeal. The Supreme Court has found on direct appeal that “prejudice inheres in a failure to comрly with Rule 11,” McCarthy v. United States, supra,
In fact, it is the context in which the failure to advise appellant of the mandatory minimum and maximum sentence occurred which compels reversal. The
The fact that the government agreed to relinquish its right to dispute the evidence that Ms. Gaston was eligible for the addict exception makes the government party to promoting what appears to be an erroneous assumption on the part of appellant’s trial counsel that appellаnt would most certainly be eligible for the addict exception to the mandatory minimum sentencing provision. The government thus did its part to “inculcate belief and reliance” on the notion that appellant would be eligible for the addict exception. See United States v. Hammerman,
As this court recently observed: “By pleading guilty, an accused surrenders a whole panopoly of constitutional rights. Because the consequences are so grave, Rule 11 lays down stringent procedural requirements regulating the entry of guilty pleas.... ” Gooding v. United States,
*898 [CJhance remarks about a court’s giving some credit for a plea of guilty or about the importance to a court of a defendant’s first offender status may have been misconstrued by appellant to be an assurance that he would not be sentenced to prison. This case presents precisely a situation in which a defendant in pleading guilty may well have mistakenly relied — for whatever reason: confusion, language barrier, stress — on a promise which a proper allocution could have uncovered. It is for this reason that it is impоrtant for the court to flush out any discussions that have occurred regarding the possible sentence a defendant may receive and to dispel any belief a defendant may have that any promise or promise-like representation made to him by anybody is binding on the court.
Id. at 579. The essence of appellant’s claim of ineffective assistance of counsel was that she would not have entered the plea but for her counsel’s assurances that she would qualify under the addict exception to the mandatory minimum. We cannot surmise otherwise but that appellant’s decision to plead guilty was infеcted by counsel’s erroneous assumption, and that her decision to plead was materially misinformed. While it is true that the standard for withdrawal of guilty pleas filed subsequent to sentencing is more strict than those filed before sentence has been imposed, we find appellant’s claim meets the “manifest injustice” standard of Rule 32(e).
Ill
Appellant’s principal contention on appeal from her collateral attack is that the denial of her motion to withdraw her guilty plea filed pursuant to D.C. Code § 23-110, without a hearing, was error. We agree.
Under D.C. Code § 23-110 (1981), a prisoner may move to vacate sentence at any time upon the grounds, inter alia, that his or her sentence was imposed in viоlation of the United States Constitution or is “otherwise subject to collateral attack.” The trial court must hold a hearing “[ujnless the motion and files and records conclusively show that the prisoner is entitled to no relief” (emphasis added).
[0]nly when the motion, files, or other records contain data which belie a prisoner’s claim, and such contradiction is not susceptible of reasonable explanation, does § 28-110 permit a court to deny a motion summarily. As a rule, therefore, in denying a § 23-110 motion without a hearing, the court should be able to say “that under no circumstances could the petitioner establish facts warranting relief.” Fontaine v. United States,411 U.S. 213 , 215,93 S.Ct. 1461 , 1463,36 L.Ed.2d 169 (1973).
Id. at 983-84 (emphasis added). Only three categories of claims do not merit hearings. “[P]alpably incredible” (though not merely “improbable”) claims are one category of claims which may be summarily handled. Machibroda v. United States,
In her § 23-110 motion, appellant contended that she was misinformed by her trial counsel concerning the availability of the addict exception in her case, specifically, that she “was informed by her trial counsel that she would not be subject to the mandatory minimum requirements of D.C. Code § 33-141 [sic] because of her addiction to cocaine.” Appellant further alleged that the reason she entered her plea of guilty to one count of possession with intent to distribute cocaine was that counsel advised her that the addict exception would be available to her. Appellant thus contends that her counsel was ineffective because, by misleading her as to the consequence of her plea, counsel deprived her of an accurate basis upon which to make a knowing and intelligent decision.
Appellant clearly alleged that her counsel had assured her that she would qualify as an addict under the addict exception to the Uniform Controlled Substance Act. Moreover, there is compelling evidence in the record supporting appellant's claims. As discussed supra, the government, in plea bargaining negotiations, specifically promised Ms. Gaston that it would not contest any evidence that she was eligible under the addict exception to the Uniform Controlled Substances Act (and thus, would not be deemed automatically subject to the mandatory minimum sentencing provisions of the Act). Thus, appellant entered a plea of guilty in partial exchange for which the government agreed to relinquish the right to dispute any evidence presented by appellant in support of her claim of eligibility under the narcotic addict exception.
Events at the sentencing hearing further support appellant’s claim that her counsel had assured her that she would not be subject to the mandatory minimum sentence of twenty months to five years incarceration. As discussed in Part II, supra, appellant’s counsel strongly argued that Ms. Gaston should be sentenced under the addict exception. It is true that this court did not conclusively hold that cocaine addicts are ineligible under the addict excep
We note also that the “deal” which appellant received for pleading guilty indicates that the government was well awarе that appellant’s counsel believed the narcotic addict exception would apply to Ms. Gaston. The fact that one of the “benefits” Ms. Gaston received for pleading guilty was that the government would relinquish the right to contest evidence that Ms. Gaston qualified for the addict exception suggests that the government knew that appellant’s counsel was operating under a misconception. Moreover, the government not only did nothing to correct his misapprehension, but it actually contributed to his erroneous assumption by agreeing to “give up” the right to contest the evidence that appellant was qualified under the addict exception. The concise, assured final statement the government made stating that cocaine was not a narcotic and that there was therefore no way in which Ms. Gaston could qualify under the narcotic addict exception belies ignorance of the fact that counsel’s argument was most certainly a losing one.
In the instant case, the trial judge summarily denied the appellant’s motion almost eighteen months after it had been filed, without a hearing. The order denying appellant’s motion was cursory. It would appear that the trial court ruled on Ms. Gaston’s mоtion solely on the basis of submissions to him by counsel, the government, and appellant’s former attorney. Judge Hannon was not the original sentencing judge in Ms. Gaston’s case;
There is a presumption that a trial court presented with a § 23-110 motion should conduct a heаring. “Because § 23-110 is virtually a remedy of last resort, any question whether a hearing is
The government argues that appellant’s motion falls within the third category of claims under § 23-110 deemed undeserving of hearings, those claims that, “even if true, would not merit relief.” As stated in Part II, swpra, we do not agree. We further note that § 23-110 provides that “[ujnless the motion and files and records of the case conclusively show that the prisoner is entitled to no relief, the court shall cause notice thereof to be served upon the prosecuting attorney, [and] grant a prompt hearing thereon ...” (emphasis added). Appellant had to wait eighteen months to be advised that the trial judge concluded that her motion to withdraw her plea did not have sufficient merit even to rate a hearing. This type of delay violates the spirit of Rule 11. Such delay not only hampered appellant’s efforts to reach relief in this court; it may have even mooted her claims.
Reversed and remanded.
Notes
. For purposes of jurisdiction (see Lorimer v. United States,
. Appellant also contends on direct appeal that she was ineffectively represented by her counsel. As we reverse and remand on the grounds discussed infra, we do not reach this issue.
. The government had agreed to dismiss the remaining counts of the indictment.
. The reference is to the narcotic addict exception to the mandatory minimum sentencing requirement of the Uniform Controllеd Substances Act.
. Appellant also contends that the court violated Rule 11 by not informing her of the elements of possession with intent to distribute cocaine, stating that such inquiry would have revealed that appellant only used the drugs for her personal use. While the judge should have detailed the elements of the offense, here, the name of the charge incorporated its elements. Moreover, the government’s detailed proffer of the evidence supporting the charge and appellant’s ac-knowledgement that she had committed the offense were adequate to ensure the appellant understood the "nature of the charge.”
. The failure to make a Rule 11(c) inquiry in this situation is not the kind of Rule 11 violation that the Advisory Committee on Rules considered might constitute harmless error when it proposed the 1983 amendments adding subdivision (h). The Notes of the Advisory Committee illustrate a harmless error violation of Rule 11(c) by referring to the unpublished decision of the Court of Appeals for the Fourth Circuit in United States v. Peters,
. It is true that the case (in which this court definitively stated that a cocaine addict could not invoke the narcotics addict exception to the mandatory minimum sentencing provision of the Uniform Controlled Substance Act) was not issued until 1986, see Backman v. United States,
While it is possible that counsel considered the question of whether a cocaine addict is a narcotic addict an open one, the fact is that the Act specifically excludes cocaine and marijuana in its definition of "narcotic.” Moreover, counsel for appellant did not appear to argue as if attempting to persuade the trial court of cocaine’s similarity to a narcotic. Rather, counsel’s argument focused on the element of addiction.
. The fact that appellant could not know until after sentencing that her counsel had misled her as to the applicability of the addict exception is another factor which militates in appellant’s favor; it seems ludicrous to ask appellant to have filed a motion to withdraw her plеa of guilty prior to the court’s imposition of sentencing when, before that time, she had no reason to believe that plea had been entered based on erroneous information.
. We conclude further that the government did not abide by the promise it made in the plea bargain with appellant. The government agreed not to contest any evidence that Ms. Gaston was eligible for the addict exception to the Uniform Controlled Substances Act. Presumably, the government would argue that, in simply stating that Ms. Gaston was addicted to cocaine and that the addict exception applied only to narcotic addicts, it was not technically disputing the evidence, but rather presenting a legal argument. However, this court has held that in determining whether a plea bargain has been satisfied, the government and ”[t]he court will construe any ambiguity against the government.” White v. United States,
.D.C.Code § 23-110(a)-(c) provides:
(a) A prisoner in custody under sentence of the Superior Court claiming the right to be released upon the ground that (1) the sentence was imposed in violation of the Constitution of the United States or thе laws of the District of Columbia, (2) the court was without jurisdiction to impose the sentence, (3) the sentence was in excess of the maximum authorized by law, (4) the sentence is otherwise subject to collateral attack, may move the court to vacate, set aside, or correct the sentence.
(b) A motion for such relief may be made at any time.
*899 (c) Unless the motion and files and records of the case conclusively show that the prisoner is entitled to no relief, the court shall cause notice thereof to be served upon the prosecuting authority, grant a prompt hearing thereon, determine the issues, and make findings of fact and conclusions of law with respect thereto. If the court finds that (1) the judgment was rendered without jurisdiction, (2) the sentence imposed was not authorized by law or is otherwise open to collateral attack, (3) there has been such a denial or infringement of the constitutional rights of the prisoner as to render the judgment vulnerable to collateral attack, the court shall vacate and set the judgment aside and shall discharge the prisoner, resentence him, grant a new trial, or correct the sentence, as may appear appropriate.
. Judge Ryan sentenced Ms. Gaston on July 9, 1984. Pending motions cases befоre Judge Ryan were subsequently assigned to Judge Han-non. While the date of assignment does not appear in the record before us, we may infer, from a status report filed therein, that appellant’s motion was before the second judge in November 1985.
Concurrence Opinion
concurring and dissenting:
I agree that appellant should have been granted a hearing on her motion to vacate her sentence filed pursuant to D.C. Code § 23-110. The evidence adduced at that hearing would afford the basis for determining whether her guilty plea may be withdrawn.
I do not agree with Part II of the court’s opinion, as I would first await the outcome of the hearing to assess the circumstances surrounding the plea proceedings.
