United States v. ByrumUnited States v. Byrum
Following his arrest for sexual exploitation of a minor, Jimmy Raymond Byrum decided to plead guilty in exchange for a favorable sentencing arrangement. The district court accordingly conducted a plea hearing pursuant to
Byrum argued the court did not unconditionally accept his plea at the
We agree that the district court accepted Byrum’s guilty plea as required by
I. Background
A federal grand jury indicted Byrum on eight counts of sexual exploitation of a minor, violations of
Although he initially pleaded not guilty to the charges, Byrum eventually entered into a plea agreement with the government. The parties agreed Byrum would plead guilty to one count of sexual exploitation of a minor in violation of
Byrum subsequently appeared in district court to plead guilty pursuant to the plea agreement. After the district court advised Byrum of his rights and ascertained his plea was knowing and voluntary, the court stated it would “provisionally” accept Byrum’s guilty plea conditioned on its subsequent review of Byrum’s presentence report (PSR) to ensure the plea agreement did not undermine the goals of the sentencing guidelines.
The probation office then prepared the PSR. Based on the PSR’s calculations pursuant to the Guidelines, Byrum faced an
Three days later, Byrum’s counsel moved for a continuance because “[Byrum] wants to see about hiring private counsel.” R., Vol. I, Doc. 40. The district court denied this motion, finding Byrum had entered a guilty plea, admitted his guilt under oath, and that should the court accept the plea agreement, there was nothing left for private counsel to do in the case.
Despite this ruling, Byrum, through a personal letter to the court, requested a sixty-day continuance to find new counsel. At the scheduled sentencing hearing, the district court noted it had received By-rum’s letter, and after a brief colloquy with Byrum, the court denied his request but nevertheless granted a continuance for several days. The court informed Byrum that if he intended to retain private counsel and file a motion to withdraw his guilty plea, he must do so prior to the rescheduled sentencing hearing.
When the hearing reconvened, the district court noted that it had received another letter from Byrum. In this letter, Byrum informed the court he wanted to withdraw his guilty plea and claimed he was innocent. Contending his appointed counsel refused to file a motion to withdraw the guilty plea, Byrum also requested the court dismiss his appointed counsel, and either permit him to retain private counsel or appoint a replacement. The district court denied both of Byrum’s requests, noting that a motion for withdrawal of a guilty plea would be foreclosed by Tenth Circuit precedent and therefore would be “pointless” at this stage of the proceedings. The court then imposed the 180-month prison sentence as negotiated in the plea agreement.
Byrum brings this timely appeal.
II. Analysis
Byrum raises four claims of error on appeal. He contends (1) the district court had not unequivocally accepted his guilty plea and therefore erred in failing to permit him to withdraw his plea as a matter of right; (2) even if the district court did accept his plea, the court abused its discretion in not granting his motion to withdraw his plea; (3) the district court erred by denying his request for additional time to obtain new counsel; and (4) that cumulative error by the court mandates a reversal. 2
A. Acceptance of Guilty Plea
Byrum first contends the district court erred when it refused to permit him to withdraw his guilty plea as a matter of right. In particular, Byrum claims the district court’s “provisional” acceptance of his guilty plea was not an acceptance as contemplated by
As an initial matter, the parties disagree as to the proper standard of re
Whatever the standard of review, By-rum has not demonstrated legal error.
1.
Under
Prior to the court accepting a defendant’s guilty plea, the defendant is permitted to withdraw his plea “for any reason or no reason.”
This appeal turns on what constitutes a district court’s acceptance of a guilty plea under
The first line of analysis views the district court’s
provisional
or
conditional
acceptance of a guilty plea as sufficient to implicate the
The Fourth Circuit affirmed, concluding the district court had accepted the defendant’s guilty plea.
Id.
at 321. The court noted that although “
While it admitted that a more unambiguous statement of acceptance by the district court would have been preferable, the Battle court held that the interests of finality weigh in favor of its approach:
Permitting a defendant to withdraw a guilty plea for any reason or no reason in these circumstances would undermine the importance of the plea colloquy. The rules should not be interpreted to allow a defendant to withdraw a guilty plea “simply on a lark” after the district court conducts a thorough plea colloquy and has made the requisite findings. During the colloquy, the defendant admits, in open court, that he is guilty and describes the circumstances of his guilt. It makes little sense to permit an unconditional withdrawal of a guilty plea after the colloquy has been conducted, especially when the district court has informed the defendant of the consequences of pleading guilty and the defendant had no reason to believe he could withdraw the plea at a later date for any reason.
In contrast, some courts hold that when a district court
defers
acceptance of a guilty plea, the
I am deferring my decision on acceptance or rejection of your plea of guilty and your Plea Agreement until after I’ve had an opportunity to study the Presentence Report. If your plea of guilty and your Plea Agreement are then accepted, I will so advise you.
The Seventh Circuit reversed. It emphasized that the district court had
deferred
its decision on the guilty plea itself.
Id.
at 497. Consequently, the plea was never accepted and there was nothing for the defendant to withdraw.
Id.
In such a circumstance, the defendant could change his plea as a matter of right.
Id.
Accord
While factually distinguishable, the cases illustrate important points. In both
Battle
and
Jones,
the district court had
conditionally
accepted the defendant’s guilty plea and
only
deferred accepting the terms of the underlying plea agreements, whereas in
Shaker
and
Head,
the district court had
deferred
accepting the guilty plea itself.
Despite these subtle distinctions, what matters ultimately is the language of the trial court and the context in which it is used. While we prefer linguistic precision, the record must be sufficiently clear to indicate the court is accepting the defendant’s guilt while withholding final acceptance of the plea package pending review of the pre-sentence report and sentencing recommendation.
We agree with
Battle
that permitting a defendant to withdraw his guilty plea as a matter of right after a district court makes the requisite findings and conditionally accepts the plea would undermine the importance of the
Notably,
We believe that this distinction is preserved by permitting a district court to accept a plea conditioned on a subsequent examination of the presentenee report. Once a district court, in conducting a
In sum, we conclude where a district court conducts a
2. Application to Byrum
Applying this legal framework, the question remains whether the district court here accepted Byrum’s guilty plea as required by
The district court properly conducted the necessary
[Court]: Are you pleading guilty voluntarily and of your own free will?
[Byrum]: Yes, Your Honor.
[Court]: Has anyone threatened or
coerced you to get your guilty plea today?
[Byrum]: No, Your Honor.
[Court]: It appears that the plea agreement in this case is a simple exchange of promises in return for your plea to Count 5 of the indictment. The government will agree to dismiss the remaining counts at time of sentencing. This agreement is entered on the basis of a recommended sentence of 15 years and both you and the government are waiving your right of appeal if that sentence is imposed. That right of appeal is an important right. What that means, if I should make an error of law in this case at sentencing or otherwise, you are waiving or giving up your right to take that error to a higher court and ask that it be corrected. You’re also giving up your right to file a habeas corpus petition in the future and ask that I correctany error. Do you understand that and is it your intent to waive that right? [Byrum]: Yes, Your Honor.
[Court]: With regard to the recommended sentence, do you understand and appreciate that I can refuse to accept that agreement after I’ve read the presentence report?
[Byrum]: Yes, Your Honor.
[Court]: And you understand that if that happens, you will again be standing before me on a plea of not guilty, it will simply vitiate this whole proceeding? Do you understand that?
[Byrum]: Yes, Your Honor.
R., Yol. II at 10-14 (emphasis added).
Then the court elicited the factual basis constituting Byrum’s criminal conduct and guilt.
[Court]: I will remind you that you are under oath and subject to the penalties of perjury and I’ll direct ... [the prosecutor] to ask questions necessary to establish a factual basis to the charge. [Prosecutor]: Yes, Your Honor. As to Count 5 of the indictment, in June of 2007, did you use a minor to engage in conduct lasciviously displaying her genitalia?
[Byrum]: Yes.
[Prosecutor]: Did you know that the girl was under 18 years of age?
[Byrum]: Yes.
[Prosecutor]: Was your purpose to produce a picture of the minor engaging in conduct lasciviously displaying her genitalia?
[Byrum]: Yes.
[Prosecutor]: And do you admit that the camera used to make the picture was manufactured outside the state of Oklahoma?
[Byrum]: Yes.
Id. at 14-15.
Finally, the district court explained it would accept Byrum’s guilty plea, conditioned only on the court’s subsequent review of the PSR to ensure the parties’ agreement did not deviate from the sentencing goals. The court stated:
I find, based on your clear and responsive answers to my questions and those of counsel, that you are competent to enter this plea. That you do so voluntarily and knowingly, that is with full understanding of the rights that you are giving up. I am not going to accept' the plea until I review the presentence report and am satisfied, as I mentioned earlier, that the plea agreement in this case does not undermine the goals of the sentencing guidelines. I will accept it provisionally subject to that review.
Id. at 15-16 (emphasis added).
As is evident, the court conducted a thorough colloquy and
provisionally accepted
Byrum’s plea. While the court’s language could have been more precise, the bottom line is plain — the district court accepted Byrum’s guilty plea as contemplated by
Byrum’s effort to parse the district court’s explanation is ultimately unpersuasive. The district court, after ascertaining Byrum knowingly and voluntarily pleaded guilty and placing the circumstances underlying Byrum’s criminal conduct on the record, was concerned that the parties’ agreed-upon sentence may frustrate the sentencing guidelines’ goals.
B. Byrum Failed to Establish a “Fair and Just Reason” to Withdraw His Plea
Having found the court accepted the guilty plea, the remaining question is whether Byrum presented a “fair and just reason” to withdraw his plea as required by
We review the district court’s denial of motion to withdraw a guilty plea for an abuse of discretion.
Sandoval,
(1) whether the defendant has asserted his innocence;
(2) whether withdrawal would prejudice the government;
(3) whether the defendant delayed in filing his motion, and if so, the reason for the delay;
(4) whether withdrawal would substantially inconvenience the court;
(5) whether close assistance of counsel was available to the defendant;
(6) whether the plea was knowing and voluntary; and
(7) whether the withdrawal would waste judicial resources.
United States v. Yazzie,
(8) Here, the district court determined that Byrum’s motion, filed after it had performed a thorough
First, although Byrum asserted his innocence in his letter immediately preceding the August 29 sentencing hearing, he did not raise any doubts as to his knowing and voluntary admission of guilt at the earlier plea colloquy. Even on appeal he does not disclaim his admissions of guilt at the plea colloquy. While an assertion of innocence may, in some cases, satisfy the first
Yazzie
factor, the “mere assertion of a legal defense is insufficient; the defendant must present a credible claim of legal innocence.”
United States v. Hamilton,
Second, despite Byrum’s attempt to fashion a conflict with his court-appointed counsel, his own testimony at the plea colloquy belies this assertion. Byrum claims that his appointed counsel misrepresented the merits of his case and later refused to file a motion to withdraw his guilty plea. But both in his letter to the district court and now on appeal, Byrum fails to identify any meritorious defense he would have raised but for his attorney’s alleged “misrepresentations.”
Rather, we are faced with a record where Byrum expressed satisfaction with his counsel’s services:
[Court]: Have you told [your appointed counsel] all that you think he needs to know to counsel and assist you in this case?
[Byrum]: As far as I know, Your Honor. [Court]: Are you satisfied with his services?
[Byrum]: Yes, Your Honor.
R., Vol. II at 7. The district court even noted that if it were to rank Byrum’s counsel, his counsel is “certainly one of the top of the effective and competent and persuasive counsel on behalf of defendants.” R., Vol. Ill at 4;
see United States v. Siedlik,
Finally, we disagree with Byrum’s contention that the district court abused its discretion by failing to specifically address the remaining
Yazzie
factors or hold a hearing on the issue. We have previously held that a court need not address the prejudice to the government, the timing of the defendant’s motion, the inconvenience to the court, or the waste of judicial resources factors “unless the defendant establishes a fair and just reason for withdrawing his guilty plea” in the first instance.
Hamilton,
In sum, the district court did not err in accepting Byrum’s guilty plea and then refusing to let him withdraw it.
C. Request for New Counsel and Cumulative Error
Finally, Byrum claims the district court erred in denying his request for additional time to obtain new counsel and that the accumulation of errors in his case warrants a reversal. We disagree.
We review the district court’s denial of a motion for substitute counsel for abuse of discretion.
United States v. Porter,
After the district court inquired into the purported reasons for seeking substitute counsel, Byrum — attempting to fashion a conflict with his attorney — replied that his attorney refused to file a motion to withdraw his guilty plea. But as the district court properly noted, such a motion would have been pointless since the court had already accepted Byrum’s guilty plea and nothing supported withdrawal. Assuming the district court accepted the plea agreement’s 180-month sentence, as it ultimately did, there was nothing left for substitute counsel to do. Byrum has never demonstrated any evidence of a “total lack of communications” between him and his attorney.
Rather, Byrum’s last minute motion appears to have been nothing more than a delay tactic. But even so, the court granted a short continuance so the motion could be fully developed. After further review, the court denied the request. We are satisfied the district court properly “balance[d] the need for efficient administration of the criminal justice system against ... [Byrum’s] right to counsel.”
United States v. Beers,
Finally, because we find the district court did not err, there can be no accumulation of errors.
III. Conclusion
For the foregoing reasons, we AFFIRM the district court’s judgment and sentence.
Notes
. Byrum's sentence under the plea agreement, while well below the guidelines range, reflected the statutory 15-year minimum sentence under
. The government contends Byrum has entirely waived his right to appeal by virtue of the plea agreement. To the extent Byrum challenges the district court's denial of his attempt to withdraw his guilty plea under
. Though
Hyde
predates the 2002 amendments to