Appellants Juan Carlos Arroyo-Reyes (“Arroyo”), Luis Garcia-Cruz (“Garcia”), Eli-gió Lopez-Ayala (“Lopez”), Jorge Perez-Gareia (“Perez”), Jackson Quintero-Figueroa (“Quintero”), and Juan Sanchez-Barreto (“Sanchez”) contend, among other things, that the district court erred in denying their requests to withdraw their guilty pleas. See Fed.R.Crim.P. 32(e). We remand the Sixth Amendment claim presented by Perez and affirm the district court judgments against the remaining appellants.
I
BACKGROUND
On March 9, 1994, a federal grand jury in Puerto Rico returned a five-count indictment charging appellants with, inter alia, conspiracy to distribute not less than fifty grams of cocaine base, five kilograms of cocaine, and one kilogram of heroin, in violation of 21 U.S.C. §§ 841(a)(1), 846 (1994), and with using or carrying firearms in connection with a drug offense, in violation of 18 U.S.C. § 924(c)(1) (1994). A superseding indictment alleged that appellants belonged to a twenty-six member gang that operated a “drug point” in Toa Baja, Puerto Rico, and used firearms to defend against rival gangs and *20 discourage honest citizens from informing the police.
Appellants initially pled not guilty to the charges. Just before trial, however, with the advice of counsel, appellants entered guilty pleas to the drug conspiracy and firearms counts and the government agreed to dismiss the remaining counts. After the district court accepted their guilty pleas, and before sentencing, see Appendix A, appellants sought to withdraw their pleas. See Fed. R.Crim.P. 32(e) (“If a motion to withdraw a plea of guilty ... is made before sentence is imposed, the court may permit the plea to be withdrawn if the defendant shows any fair and just reason.”). The district court denied their motions and imposed sentences consistent with their respective plea agreements.
II
DISCUSSION
A. The Perez Appeal
Perez claims that he was denied effective assistance of counsel at the hearing on his pro se motion to withdraw his guilty plea. See U.S. Const, amend. VI. The government responds that Perez (1) did not ask the court to appoint new counsel, and (2) has not shown that appointed counsel, José R. Aguayo, Esquire, labored under an actual conflict of interest within the meaning of United States v. Soldevila-Lopez, 17 F.3d 480 (1st Cir.1994).
1. Waiver
The Sixth Amendment right to effective assistance of counsel inheres at all “critical stages” of a criminal proceeding unless competently waived.
United States v. Mateo,
Thus, contrary to the government’s suggestion, nothing in the record remotely indicates that Perez knowingly and voluntarily waived his Sixth Amendment right to counsel at the plea withdrawal hearing.
Compare United States v. Saccoccia,
2. Conttict of Interest
The government contends that Perez must demonstrate “an actual conflict of interest adversely affect[ing] his lawyer’s performance.”
Soldevila-Lopez,
We noted in
Soldevila-Lopez
that “[c]ourts have recognized actual conflicts of interest between an attorney and his client when pursuit of a client’s interests would lead to evidence of an attorney’s malpractice.”
Soldevila-Lopez,
The government’s contention that Perez’ Sixth Amendment claim is indistinguishable from that in Soldevila-Lopez is untenable, since Perez plainly alleged facts amounting to malpractice, if found to be true. That is, the Perez motion to withdraw his guilty plea alleged that Aguayo had pressured him into pleading guilty at the earlier Rule 11 change-of-plea hearing in order to “hide [Aguayo’s] lack of preparation” for trial. Perez further alleged that Aguayo had not made even “minimum” efforts to “act as his counsel or defender” and was only interested in a fee, but see infra note 1, thus leaving no doubt that Perez wanted replacement counsel.
In
United States v. Ellison,
The Seventh Circuit held that defense counsel’s “representation” at the plea-withdrawal hearing did not meet the Sixth Amendment minima:
First, counsel was not able to pursue his client’s best interests free from the influence of his concern about possible self-incrimination .... [I]f the allegations in defendant’s motion were true, his actions would be tantamount to malpractice. Any contention by counsel that defendant’s allegations were not true would (and did) contradict his client. In testifying against his client, counsel acted as both counselor and witness for the prosecution. These roles are inherently inconsistent.
Id.
at 1107 (citation omitted);
see also Lopez v. Scully,
As we recognized in
Soldevila-Lopez,
The district court failed to determine, in the first instance, whether Perez had made “an intelligent and competent waiver” of his Sixth Amendment right to counsel before the court proceeded to hear the plea-withdrawal motion with Perez acting
pro se. See Mateo,
In many instances a trial court may have no reason to question whether counsel’s personal or professional interests might preclude “effective assistance” to the defendant. In such circumstances, fair and efficient criminal justice may depend in significant part upon the ethical obligation of defense counsel to inform the court whenever a conflict of interest arises in the course of the proceedings.
Guaraldi
Given the clarity and specificity of the malpractice allegations in the
pro se
plea-withdrawal motion filed by Perez, and Aguayo’s
sua sponte
attempt to terminate his representation at the outset of the plea-withdrawal hearing, the appropriate course for the district court was to resolve the factual dispute in keeping with the adversarial nature of the plea-withdrawal request. Moreover, absent a proper waiver of the Sixth Amendment right to counsel, and a knowing and voluntary election to proceed
pro se
on the Rule 32(e) motion,
see Ellison,
On remand, the district court shall appoint replacement counsel for Perez at a plea-withdrawal hearing reconvened for factfind-ing purposes to determine the merits of Perez’ allegations against Aguayo, so as to enable its ultimate determination whether the guilty plea itself was rendered involuntary by a violation of Perez’ Sixth Amendment right to counsel at all critical stages of the proceeding.
See Hill v. Lockhart,
B. The Plea Withdrawal Motions by the Remaining Defendants
We now turn to the claims advanced by the remaining defendants. Under the well-established framework for evaluating plea-withdrawal motions, the district court considers all the circumstances, with particular attention to four prominent factors:
(1) the plausibility of the reasons prompting the requested change of plea; (2) the timing of the defendant’s motion; (3) the existence or nonexistence of an assertion of innocence; and (4) whether, when viewed in the light of emergent circumstances, the defendant’s plea appropriately may be characterized as involuntary, in derogation of the requirements imposed by Fed. R.Crim.P. 11, or otherwise legally suspect.
United States v. Parrilla-Tirado,
1. Voluntariness
The most prominent single factor— whether these pleas were knowing, voluntary, and intelligent, within the meaning of Criminal Rule 11(d),
United States v. Cotal-Crespo,
Special Rule 11 requirements have been designed to minimize the significant risk that “involuntary” guilty pleas may be tendered in response to “package plea bargain” offers from the government.
See Martinez-Molina,
2. Timing
The delays in filing their Rule 32(e) motions likewise handicap appellants’ challenges.
See
Appendix A. Even a request filed prior to sentencing,
United States v. Isom,
3. Claims of Innocence
Their belated claims of innocence likewise fail to tilt the balance. The district judge is better positioned to determine whether claims of innocence are credible.
See Parrillar-Tirado,
Once again we emphasize: there is no absolute right to withdraw a guilty plea,
Austin,
C. The Arroyo Sentence
For the first time, Arroyo contends that the district court violated U.S.S.G. § 6Bl,l(c) by allowing him to
plead
guilty before it considered his presentence report (“PSR”).
5
As Arroyo concedes, however, the failure to raise this claim below mandates “plain error” review.
See
Fed.R.Crim.P. 52(b);
see also United States v. Olano,
The flaw in Arroyo’s position is that he offers no reason for equating acceptance of his
guilty plea
with the acceptance of a
plea agreement
under § 6Bl.l(c).
See United States v. Ewing,
Moreover, Arroyo has not squared his 'view of § 6Bl.l(c) with Fed.R.Crim.P. 32(b)(3),
*25
which prohibits submission of a PSR until the defendant has pleaded or been found guilty, unless the defendant consents in writing. The overarching purpose served by the PSR is to assist the district court at
sentencing. See
U.S.S.G. § 6A1.1 & Fed.R.Crim.P. 32(b)(1) (requiring completed PSR “before the sentence is imposed”). Nor are we persuaded that the district court erred.
But see Olano,
Finally, we reject the frivolous argument that the indictment barred Arroyo from stipulating to the base offense level specified in the plea bargain. Arroyo pled guilty to conspiring to distribute “not less” than fifty grams of cocaine base, five kilograms of cocaine, and one kilogram of heroin. By its plain language, the indictment set no upper limit on drug quantity.
See United States v. Lindia,
Ill
CONCLUSION
The case is remanded for further proceedings, consistent with this opinion,
see supra
pp. 22-23, on the merits of the
pro se
plea-withdrawal motion filed by Perez, as to which we express no opinion. Notwithstanding our confidence in the district judge who presided over these proceedings, whose conduct of the other plea-withdrawal proceedings was exemplary, we direct that the Perez matter be assigned to a different judge on remand.
Mateo,
SO ORDERED.
APPENDIX A
Appellant Guilty Plea Withdrawal Motion Reasons
Arroyo 9/07/94 12/27/94, supplemented on 1/09/95 and 2/13/95. Didn’t understand plea agreement; Rule 11 violations; claimed innocence.
Garcia 9/07/94 11/28/94 Attorney coercion; thought it was all or none package deal; limited education.
*26 Lopez 9/07/94 2/02/95 Mistakenly thought he had to plead guilty to both counts; innocent of firearms charge.
Quintero 9/07/94 11/08/94 Attorney and familial coercion; innocent of firearms charge.
Sanchez 9/08/94 12/09/94 Attorney coercion; 18 years of age; preoccupied with federal carjacking trial; innocent of drug charge.
Notes
. The record discloses cause for Aguayo’s concerns for his client (and for the district court’s concern as well) since upon conviction Perez would face a ninety-year minimum term of imprisonment, rather than the seventeen-year maximum term negotiated for him under the plea agreement.
. Were there any substance to Perez' allegations against Aguayo, a matter yet to be addressed by the district court, D.P.R. Loe. R. 211.4 would appear to have required that Aguayo observe Model Rule of Professional Conduct 1.7(b), prohibiting representation where personal or professional interests materially restrict counsel’s freedom of action in support of a client's interests. See also id. Rule 1.16(a)(1) (imposing duty to terminate representation). In all events, at the outset of the plea-withdrawal hearing, Aguayo promptly indicated that he intended to withdraw as counsel. The district court nonetheless proceeded with the hearing, took no action on Aguayo’s withdrawal suggestion and, for all intents and purposes, continued to treat Aguayo as Perez' counsel, without first determining the disputed facts underlying the Perez allegations against Aguayo. Thus, the linchpin to the ineffective assistance claim — whether Aguayo in fact labored under a conflict of interest — has yet to be subjected to factfinding.
.
See Ramos,
. Although our cases occasionally list an additional factor to be considered — whether the parties reached or breached a plea agreement,
Isom,
.Unless it finds a PSR unnecessary, see U.S.S.G. § 6A1.1 & Fed.R.Crim.P. 32(b)(1), the district court is expected to "defer its decision to accept or reject ... any plea agreement pursuant to Rules 11(e)(1)(A) and 11(e)(1)(C) until there has been an opportunity to consider the [PSR]...." U.S.S.G. § 6131.1(c) (emphasis added). Arroyo and the government reached a plea agreement under Criminal Rule 11(e)(1)(C), providing for a specific sentence.
. Although Arroyo offers no authority for the suggested interpretation of U.S.S.G. § 6Bl.l(c), our research indicates that some courts of appeals recommend, but do not require, that PSRs be made available to defendants prior to Rule 11 hearings when the applicable guideline range is unclear.
See, e.g., United States v. Horne,
