Lead Opinion
Appellant contends that the trial court conducted an inadequate inquiry prior to accepting appellant’s pleas of guilty to second degree murder and another contemporaneous offense, and that the court subsequently abused its discretion when it declined to conclude that it would have been fair and just to permit appellant to withdraw his guilty plea. We disagree with appellant’s contentions, and affirm.
I.
On February 12, 1990, appellant Bruce D. Pierce pleaded guilty to murder in the second degree while armed and mayhem while armed for the November 1988 stabbing of Deanna Pannell, who died from her wounds, and her daughter Shameeka, whose hand was almost severed by the attack. Before appellant pleaded guilty, the trial court conducted an inquiry pursuant to Super. Ct. Crim. R. 11 and was satisfied that appellant understood the consequences of his plea and entered his plea voluntarily.
When appellant appeared before the same judge for sentencing on April 30, 1990, he handed counsel a written letter addressed to the court indicating that he wished to withdraw his plea. Appellant’s original counsel subsequently withdrew and, on March 4, 1991, appellant’s new (and present) counsel filed a written motion to withdraw appellant’s guilty plea under Super. Ct.Crim. R. 32(e).
II.
A defendant may successfully move tо withdraw a guilty plea under Rule 32(e) by establishing that either (1) there was a fatal defect in the Rule 11 proceeding when the guilty plea was taken; or (2) justice demands withdrawal under the circumstances of the case. Binion v. United States,
A. Adequacy of the Rule 11 Inquiry
Appellant maintains the trial court conducted an inadequate Rule 11 inquiry because the court did not know of appellant’s mental retardation or functional illiteracy, and did not fully address the influence of medication on appellant, and thus failed to determine adequately whether he knowingly, voluntarily, and intelligently waived his constitutional rights.
The importance of a Rule 11 inquiry is well recognized:
It is fundamental to due process that a defendant who waives constitutional rights in entering a plea of guilty must do so voluntarily, knowingly, and intelligently. ‘Overwhelming proof of a defendant’s guilt proffered by the government does not overshadow the fundamental right of a defendant to choose between proceeding to trial or, in the alternative, making a voluntary and intelligent waiver of that right and other rights pursuant to a plea agreement.’ The requirement that a guilty plea be knowing and intelligent is also implicit in Super. CtCrim. R. 11, and underlies its specific directives to the trial judge.
Eldridge v. United States,
If issues of competency have been raised on the record, “the trial court must conduct ‘a specialized hearing to determine the competence of a defendant who seeks to plead guilty....’” Hunter v. United States,
Thus, under Willis, before the trial court may determine whether the accused in fact understands the important procedural safeguards relinquished in рleading guilty, the court has an obligation to satisfy itself that the defendant has the mental capacity to achieve the necessary understanding. Willis, which involved a post-sentence mo*1090 tion to withdraw a plea, is no less applicable to a presentence plea.
Hunter, supra,
Thus, the questions we face in the instant case are (1) whether the Rule 11 inquiry by itself was adequate, and (2) whether the retrospective competency examination and the extensive Rule 32(e) hearings satisfy the Willis requirement of a careful inquiry or, as stated in Hunter, whether the court “sa-tisf[ied] itself [through the retrospective сompetency examination and the hearings] that the defendant ha[d] the mental capacity to achieve the necessary understanding” of “the important procedural safeguards relinquished in pleading guilty.”
The record reveals that the original trial judge conducted a standard Rule 11 inquiry, asking the appellant, among other things, whether he understood that he did not have to plead guilty and instead could proceed to trial. The judge also asked whether appellant was entering his guilty plea voluntarily, engaged in a dialogue with appellant when a question arose on voluntariness, and asked whether appellant was taking any medication that would affect his ability to understand the plea. Finally, the judge asked both counsel whether they believed any additional questions needed to be asked to satisfy Rule 11, and both responded “no.”
The government maintains that the trial court asked questions adequate to satisfy itself that the defendant had sufficient mental capacity to understand the pleading process and its consequences. See Luckey v. United States,
Appellant’s second counsel, however, raised the issue of appellant’s competency at the time of his plea in her written motion to withdraw the guilty plea, and the court ordered a retrospective competency examination. Therefore, we next consider whether the retrospective competency examination and the Rule 32(e) hearings satisfied the requirement of a special inquiry mandated by Willis and Hunter.
Appellant argues that the trial court erred in relying upon the retrospective competency examination performed by Drs. Bemthal and Patterson and in making its own retrospective competency determination based upon the record of the Rule 32(e) hearings. Hе asserts that the Supreme Court has found such retrospective competency hearings to be of dubious merit and for that proposition cites Drope v. Missouri,
Drope, however, is not controlling here. In that case there was a six year hiatus between the time of the proposed examination and the earlier time as to which a competency issue had arisen.
While retrospective determinations of competency are not always appropriate, their usefulness must be judged on a case by ease basis, and we see no error by the trial court either in considering the retrospective competency examination or in making its determination of competency through the Rule 32(e) hearings. See Masthers, supra, 176 U.S.App. D.C. at 250,
We are satisfied that in this case the trial court’s retrospective competency evaluation was entirely appropriate. The trial court speсifically noted that the best evidence of the effect of medication upon appellant at the time he entered his plea and shortly before was what persons in contact with appellant observed at that time (rather than appellant’s self-serving remarks made two years later). The court again focused on the time of the plea when it considered appellant’s mental state. The trial court conducted a lengthy hearing during which psychiatrists and psychologists testified as to his mental state. Several of these doctors had examined appellant before his plea аnd several had evaluated him afterwards. Moreover, the experts who conducted the retrospective competency examination relied on evidence pertaining to appellant’s mental state at periods both before and after the plea.
Appellant places heavy emphasis on his claim that he was mentally retarded, and accordingly we will address specifically the trial court’s treatment of that claim. Clearly, where it is alleged that an individual is mentally retarded, the trial court must consider that factor when determining whether an individual “has the mental capacity to achieve the necessary understanding” of a guilty plea. See Hunter, supra,
Here, the trial court had such expert guidance on the issue of appellant’s alleged mental retardation. While appellant presented expert testimony of one'witness that appellant scored a 66 on an IQ examination, thus classifying him as mentally retarded, another expert reported he did not believe appellant to be mentally retarded. Moreover, none of the other mental health experts categorized appellant as mentally retarded based on their observations of him. The court had before it New York school records from the time appellant was enrolled there indicating he was not mentally retarded. In fact, appellant scored almost twenty points higher on the IQ examination administered while he was a 12 year old student in New York than he did when tested by a defense expert during the Rule 32(e) hearings. The appellant’s expert witness also admitted on cross-examination that even if appellant was mentally retarded it was not possible to say that appellant did not understand the pleading process and his option of going to trial. In light of all the evidence and the expert guidance the court received and considered, we cannot say the trial court misspoke when it observed that even if appellant should be classified as mentally retarded, all of the evidence regarding his actual functioning in 1989 and 1990 supports a finding that he knowingly, intelligently, and voluntarily pleaded guilty.
In sum, the record supports the government’s argument that the trial court permissibly based its competency ruling on appellant’s lack of credibility, the lack of evidence that he experienced his alleged symptoms while visiting with any of the many psychiatrists or psychologists with whom he met prior to, at the time of, and after his plea, the lack of facts to support his belated claim of innocence, and the showing that he had effective and able legal counsel. We are satisfied that the record was entirely adequate to sustain the trial court’s ruling concerning appellant’s competency at the time of his guilty plea.
B. Withdrawal in the Interests of Justice
A defendant can withdraw a guilty plea, under the second prong of Rule 32(e), if defendant establishes “that justice demands withdrawal under the circumstances of the particular case.” Binion, supra,
Under the fair and just standard, the court is to consider a number of factors cumulatively; no single factor is controlling. Gooding, supra note 8,
1. Assertion of Legal Innocence
An assertion of legal innocence by the defendant is a prerequisite to the granting of a motion to withdraw a plea of
In its evaluation of appellant’s аssertion of innocence, the trial court noted that there appeared to be no reason for appellant’s delay in his assertion of innocence and thus it was not timely. Cf. Gooding, supra note 8,
In its evaluation of this factor, the trial court credited the testimony of the original defense counsel as to why appellant sought to withdraw his plea at a fairly late date. After appellant handed original counsel the note indicating he wanted to withdraw his plea, aрpellant told counsel that he had talked with fellow inmates who convinced appellant that “he owed it to himself to take it to trial.” See Springs, supra,
The court stated accurately that in ruling on the motion to withdraw it was not to evaluate the merits of any defense put forward by the appellant (who ultimately asserted that an individual named Patrick was the real murderer), but noted the strength of the government’s proffered еvidence which included victim Shameeka Pannell’s photographic and lineup identifications. We find nothing indicative of abuse of discretion in the trial court’s evaluation of the factor of assertion of legal innocence.
2. Length of Delay
In examining the length of delay between the entry of the guilty plea and the desire to withdraw it, the court should consider whether the government would be prejudiced by a withdrawal of the plea measured as of the time the defendant sought to withdraw it, not some time later. Springs, supra,
Here the trial court noted that appellant first desired to withdraw his plea eleven weeks after he entered his guilty plea. Thus this factor weighed against granting the motion to withdraw. Compare Springs, supra,
We note, however, that the trial court may have given inappropriate consideration to other dates in examining the delay factor. Springs announced that prejudice to the government is “measured as of the time the defendant sought- to withdraw [the plea], not some time later.”
3. Competency of Counsel
Another factor is whether or not the defendant enjoyed the full benefit of competent counsel at all relevant times. Springs, supra,
In sum, appellant was unable to demonstrate that there was a defect in the Rule 11 proceeding as it was handled by the judge who accepted the plea. His subsequent challenges to that proceeding based upon his mental competence and the quality of his legal representation were fully addressed and resolved by the trial court in the lengthy Rule 32(e) hearings. The court engaged in a thorough inquiry to ascertain whether appellant knowingly, intelligently, and voluntarily pleaded guilty. This inquiry included an appropriate retrospective competency determination in the course of which the trial court adequately considered whether appellant’s alleged mental retardation affected his ability to plead.’ Finally, appellant was unable to demonstrate that justice demanded permitting him to withdraw his guilty plea. We perceive no abuse of discretion by the trial court in denying relief under the ‘fair and just’ standard. See Johnson v. United States,
Affirmed.
Notes
. While case law often refers to the examination at issue here as a "retroactive” competency examination, it is better described as a "retrospective” cоmpetency examination.
. Super. Ct.Crim. R. 32(e) (1996) states: Withdrawal of Plea of Guilty. A motion to withdraw a plea of guilty or of nolo contendere may be made only before sentence is imposed or imposition of sentence is suspended; but to correct manifest injustice, the Court after sentence may set aside the judgment of conviction and permit the defendant to withdraw the plea.
.See Super. Ct.Crim. R. 11(c) (1996) (outlining matters court must determine defendant understands); (d) (ensuring that the plea is voluntary); and (f) (determining accuracy of plea).
.In Hunter, when the issue of appellant’s competency to plead was before the trial court, the judge denied appellant’s presentence "motion to withdraw his guilty plea without first requesting to see the psychological evaluation, and, depending on its contents, conducting a special inquiry into appellant’s competence.”
. Dr. Cambosos, a psychiatrist who saw appellant at least once a month during the fifteen months preceding his guilty plea and thereafter as well, testified at the Rule 32(e) hearings that someone who did not know that appellant was taking medication would have had no reason based upon appellant’s appearance or conduct at the time of the plea to think that he was medicated.
. In Drope the Supreme Court did not hold that a retrospective competency examination was of dubious merit, but determined that petitioner’s due
. We note that the motions judge specifically highlighted the court’s use of the retrospective competency examination prepared by the two doctors:
The court-ordered competency evaluation is useful because it brings mental health professionals’ judgment to bear on some of the same data available to the Court at this hearing, and its conclusion is not the basis for, but rather reinforces the Court’s own finding — based on a careful consideration of all the evidence — that neither mental illness nor limited intelligence provide a basis for allowing Mr. Pierce to withdraw his guilty plea.
. We have stated that "[wjhere the accused asserts, but fails to establish, a Rule 11 violation, the trial court should nonetheless consider the fair and just factors in order to determine whether that alternative standard demands that the withdrawal motion be granted.” Gooding v. United States,
Dissenting Opinion
dissenting:
In my opinion, under the more lenient “fair and just” standard, the trial court erred in denying Pierce’s pre-sentence motion to withdraw guilty plea. See Gooding v. United States,
In applying the “fair and just” standard using the factors outlined in Gooding, supra, to the facts of this case, in spite of its careful and thoughtful analysis, the trial court took into account an improper factor and did not accord fair consideration to other relevant factors. “An important factor in these fair and just withdrawal motions is whether the defendant has asserted his or her legal innocence.” Gooding,
The trial court considered the length of time between Pierce’s plea and his request to withdraw it and weighed the factor against him. In doing so, the court considered that although only eleven weeks intervened between the pleа and Pierce’s request to withdraw it, another eleven months elapsed between the time his successor counsel filed a formal motion, and another two years elapsed before the motion was heard and decided. Therefore, the court concluded that the delay for that entire period weighed against granting the motion. As the majority opinion observes, “[ujnder Springs the time that passed after [Pierce] expressed his desire to withdraw the plea cannot be considered in examining the prejudice to the government.” See Springs, supra,
. Pierce reported to the court at the time of the pleа that he was taking antidepressant medication, which the trial court determined in the post-plea proceeding to be a 75 mg. dose of Sinequan.
. The court also appears to have considered the timing of Pierce’s claim of innocence in reviewing both the assertion of innocence factor and the length of delay between entry of the guilty plea and the motion.
.For example, in considering separately the length of time between Pierce’s plea and his request to withdraw it, it would have been fair to consider that he is functionally illiterate, has tested retarded, was in lock-down, and frequently on medication for a mental condition.
