Lead Opinion
Opinion for the court filed by Circuit Judge D.H. GINSBURG.
Separate opinion for the court filed by Circuit Judge BUCKLEY.
Concurring opinion filed by Circuit Judge BUCKLEY.
Andre Horne appeals from the decision of the district court denying his presen-tence motion to withdraw his guilty plea because his lawyer substantially underestimated the sentence he would receive. We hold that the appellant was not deprived of effective assistance of counsel under the Sixth Amendment of the United States Constitution and that the district court did not abuse its discretion in denying his motion to withdraw his guilty plea. We therefore affirm the judgment оf the district court.
I. BACKGROUND
Horne was indicted on three counts in October 1989. He was charged with possession with intent to distribute more than five grams of crack cocaine, in violation of 21 U.S.C. §§ 841(a) and 841(b)(l)(B)(iii); possession of a firearm in connection with a drug trafficking offense, in violation of 18 U.S.C. § 924(c); and possession of a firearm by one previously convicted of a felony, in violation of 18 U.S.C. § 922(g).
Pursuant to an agreement with the prosecution, the appellant pled guilty to the first and third counts, and the second count would later be dismissed. Before accepting his plea, the district court, per Fed. R.Crim.P. 11, told Horne that he faced a maximum penalty of fifty years’ imprisonment and a $2,010,000 fine. The judge also warned him that the range of sentences he could receive under the Sentencing Guidelines could not be determined prior to the preparation of the presentence report and that the court could “impose a sentence that could be more severe or less severe than the sentence called for by the guidelines.” Horne twice affirmed that he had received no promise — other than the dismissal of the second count — to induce his guilty plea, and his counsel indicated that there had been “no specific sentence recommended at all by either side in this case.”
After a hearing the district court denied Horne’s motion to withdraw his guilty plea. Noting that Horne neither asserted his innocence nor offered any defense going to the merits of the charges to which he had pled guilty, and that he had been informed of the maximum possible penalty provided by law, as required by Rule 11, the court held that the appellant could not withdraw his guilty plea.
II. Analysis
Horne offers two grounds for reversal of the district court decision to deny his motion to withdraw his guilty plea: (l) that the mistaken advice of counsel constituted ineffective assistance of counsel under the Sixth Amendment, and (2) that the district court abused its discretion in denying his motion because the appellant’s misapprehension of the consequencе of the plea provides a “fair and just reason” for allowing him to withdraw it pursuant to Rule 32(d). We hold that because the appellant has failed to show that, but for counsel’s errors, he would have pleaded not guilty and insisted upon going to trial, see Hill v. Lockhart,
A. Ineffective Assistance of Counsel
In Hill v. Lockhart, supra, the Supreme Court applied to the guilty plea context the two-part test for determining ineffective assistance counsel that it had previously announced in Strickland v. Washington,
Because Horne fails tо satisfy the prejudice requirement, we do not need to address the question whether his plea was within the range of competence demanded of attorneys in criminal cases. See Strickland,
Nothing in the present record suggests that Horne had (or even now has) any intention of pleading not guilty and going to trial. Horne was clearly apprised of the statutory maximum penalty. He also “confirmed that nobody had ... induced him into pleading guilty” and “that no one had predicted, prophesied or promised him a particular sentence.” United States v. Smith,
Horne has offered nothing to suggest that he would have succeeded if he had gone to trial, and indeed “the ‘overwhelming’ evidence suggests that appellant’s decision to plead guilty was a rational choice.” Lopez-Nieves v. United States,
In a post-argument submission, Horne draws our attention to United States v. Day,
B. Abuse of Discretion
Rule 32(d) of the Federal Rules of Criminal Procedure provides that
If a motion for withdrawal of a plea of guilty ... is made before sentence is imposed, the court may permit withdrawal of the plea upon a showing by the*837 defendant of any fair and just reason. ...
Fed.R.Crim.P. 32(d) (emphases added). Under this rule, “permission to withdraw rests in the sound discretion of the trial court,” United States v. Davis,
A court in this circuit considers three factors when determining whether there is any fair and just reason for allowing a defendant to withdraw a guilty plea. See United States v. Mathis,
Second, the court considers such prejudice to the public’s legitimate interests as would arise if it were to grant the defendant’s belated request to go to trial. See United States v. Russell,
Finally, and “most importantly, the district court must consider whether there was some [constitutional or procedural] defect in the original plea.” Mathis,
Now Horne wants to withdraw his plea only because he has since realized that his sentence would indeed be—as the court had warned it might be—more severe than his counsel had predicted. It is neither unfair nor unjust, however, to hold the defendant to his solemn representation to the court, which he made after he was warned by the court of his maximum exposure and of the impossibility of determining the applicable sentencing range prior to the preparation of the presentence report. See Sweeney,
Although Rule 11 does not require the district court to indicate the sentencing
if the information given by the court at the Rule 11 hearing corrects or clarifies the earlier erroneous information given by the defendant’s attorney and the defendant admits to understanding the court’s advice, the criminal justice system must be able to rely on the subsequent dialogue between the court and the defendant.
United States v. Lambey,
Rule 11 now provides for the placing of plea agreements on the record, for full inquiry into voluntariness of the plea, for detailed advice to the defendant concerning his rights and the consequences of his plea and a determination that the defendant understands these matters, and for the determination of the accuracy of the plea.
Advisory Committee notes on the 1983 Amendment to Fed.R.Crim.P. 32, 18 U.S.C.App., p. 114 (1991). As a result, when a defendant is told during his Rule 11 hearing that he can not rely upon the sentencing estimate of his counsel and is then sentenced within the proper Guidelines range, it is difficult to see the unfairness or injustice of holding him to his bargаin— especially where, as here, he makes no colorable claim of innocence.
III. ConClusion
The appellant’s Sixth Amendment claim fails because he has failed to establish that, but for counsel’s error, he would have pleaded not guilty and insisted on going to trial. Moreover, the district court, which had complied with the requirements of the Rule 11, did not abuse its discretion in denying the appellant’s motion to withdraw his guilty plea based upon counsel’s underestimate of the likely sentence he would receivе. For the reasons stated above, the judgment of the district court is
Affirmed.
writing separately for the court:
We wish to make a recommendation concerning the taking of guilty pleas. Our reason for writing separately is to emphasize that our recommendation is just that— a suggestion that is without the force of law.
With the advent of the Guidelines promulgated by the United States Sentencing Commission, certain goals of the Rule 11 plea-taking procedures have become more difficult to achieve. That rule was designed to make sure that a guilty plеa is both voluntary and informed. Yet, while Rule 11 requires a court to advise the defendant of the “maximum possible penalty provided by law” for the offense or offenses of which he is charged, in many federal criminal cases today, this statutory maximum is irrelevant. The reality is that the sentencing court is confined to the range of penalties prescribed by the Guidelines except in rare instances in which an upward departure is permitted. See 18 U.S.C. § 3553 (1988); United States v. Molina,
Because the Guidelines have largely replaced the statutes as the determinants of the maximum penalty facing criminal defendants, we recommend that, wherever feasible, the district court make their pre-sentence reports available to defendants before taking their pleas. By doing so, sentencing judges (and reviewing courts) will have greater confidence that pleas are both willing and fully informed. And because a Guidelines policy statement requires district courts tо review presentence reports before accepting plea agreements, see United States Sentencing Commission, Guidelines Manual § 6Bl.l(c), p.s. (Nov. 1992), providing the defendant with a copy of the report should not, in most cases, materially delay the plea proceedings.
In making this recommendation, we are mindful of the strict resource constraints faced by the district court’s probation office and the severe time pressures confronting the district judges themselves. Hence, we do not suggest that defendants have a right to peruse their presentence report before pleading. Nor do we question that, in a given case, it may not be feasible to await the completion of a report or that there may be valid reasons for withholding the report until after the plea is accepted. We do no more than suggest the desirability of such a practice in the run of cases. Cf. United States v. Salva,
Concurrence Opinion
concurring:
I write, first, to underscore something that ought to be self-evident, but which experience suggests may not be. The standards we apply in our review of a district court’s exercise of its discretion under Rule 32(d) of the Federal Rules of Criminal Procedure are necessarily different from those that govern the district court’s exercise of that discretion. Among the reasons for this is that it is not our task to determine whether a defendant’s motion to withdraw a guilty pleа should have been denied; it is to determine whether the district court abused its discretion in denying it. Furthermore, while the district court will usually make its decision before sentencing, an appellate court will hear the case only after the criminal proceedings have run their course.
Thus, while we will be reluctant to overturn the denial of a withdrawal motion where the defendant has failed to assert his innocence, the district court need not give dispositive weight to such a failure. See, e.g., United States v. Joslin,
In sum, in this circuit, the standard governing a district court’s exercise of its discretion under Rule 32(d) remains “a lenient one,” and the district court’s “broad discretion to decide whether or not withdrawal is appropriate” remains undisturbed. See United States v. Abreu,
My second purpose in writing is to call attention to what I see as a fundamental tension in present-day pleading procedure. I have no doubt that our opinion decides this case properly under the Federal Rules of Criminal Procedure, the United States Sentencing Guidelines, and our circuit precedent; and given the overwhelming weight of the evidence against Andre Horne, there can be no doubt that justice has been done here. Yet I am left with a sense of unease that I suspect was shared by the district judge when he denied Hornе's motion to withdraw his plea. See Transcript of July 6, 1990, withdrawal hearing at 20 (disparity between predicted and actual sentencing range “so great, it gives me great pause.”) Horne’s decision to forego the exercise of a constitutional right was not as informed as it could have been, hence not as voluntary as it might have been. To those at work adapting the Rules and Guidelines to minimize such shortfalls, I offer some observations.
As a consequence of the binding nature of the Sentencing Guidelines, plea agreements today will be negotiated with an eye on the penalties to be found in the Guidelines rather than in the United States Code. With the significance of the Guidelines fixed in his mind as the “real world,” a defendant is apt to view a trial judge’s mandatory reference to the statutory maximum sentence for what it has become — a formality; and it should surprise no one that a defendant might dismiss it as such. In such a case, the Rule 11 proceeding will have failed to achieve a significant purpose.
In this case, as required by thе Rule, the district court advised Horne that he faced a statutory maximum sentence of fifty years in jail, almost twice the maximum permitted by the Guidelines as ultimately computed. Transcript of Feb. 20, 1990, plea hearing at 21. The court also advised him, in accordance with the Rule, that “there are guidelines and they may apply to your case”; and that “after we find out what the guidelines are in your case the Judge has the authority to impose a sentence that could be more severe or less severe thаn the sentence called for by the guidelines.” Id. at 14-15. While faithful to the Rule, these cautions suggest that the Guidelines are advisory only. Yet we must assume that a defendant will know that his sentence will be determined by them. As Justice Scalia noted in Mistretta v. United States,
The difficulties created by this tension between Rule 11 and the reаlities of sentencing are compounded by another, more fundamental tension, one implied by the very phrase, “plea bargaining.” As noted in our opinion, a guilty plea is a "solemn act” — an admission of guilt and acceptance of moral responsibility. A bargain, by contrast, is a pragmatic exchange based on an understanding of mutual advantage. A defendant’s understanding of the maximum penalties he will face if he enters a guilty plea may be of critical importance to the bargaining asрect of a plea agreement— that is, to the defendant’s decision to accept the Government’s offer rather than assume the risks of a trial. In light of the
The weighing of an assured penalty against the risks inherent in going to trial on a more serious charge may have little relevance to the moral aspects of a plea. Yet if, after his plea is accеpted, a defendant should find that the maximum penalty facing him is significantly larger than the one he would have willingly accepted as an alternative to going to trial, he may well be trapped by the formal implications of a guilty plea and the failure of the Rule 11 proceeding to provide him with a reliable understanding of its consequences. Rule 11, then, can contribute to the problems posed by sentencing surprises in two ways: by failing to inform defendants before they plead as to the penalties they realistically face; and by making it more difficult to withdraw a plea once it has been accepted.
If, as I believe, the new Guidelines regime has created a gap between what Rule 11 aspires to and what it now achieves, that gap will have to be bridged by the Advisory Committee on Criminal Rules and the Sentencing Commission, which has authority to set standards for the acceptance of plea bargains. See 28 U.S.C. § 994(a)(2)(E) (1988). These bodies are engaged in monitoring and revising our procedures to ensure their fairness. I hope they will find these observations of interest.
