Howard Horsley v. United States

583 F.2d 670, 1978 U.S. App. LEXIS 9325
CourtCourt of Appeals for the Third Circuit
DecidedAugust 28, 1978
Docket77-2297
StatusPublished
Cited by20 cases

This text of 583 F.2d 670 (Howard Horsley v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Howard Horsley v. United States, 583 F.2d 670, 1978 U.S. App. LEXIS 9325 (3d Cir. 1978).

Opinions

OPINION OF THE COURT

ALDISERT, Circuit Judge.

This appeal from the district court’s denial of Howard Horsley’s motion pursuant to 28 U.S.C. § 2255 presents the question whether the trial judge’s failure personally to advise an accused of the nature and elements of the offense with which he was charged and to which he pleaded guilty requires that plea to be vacated. Because the record reveals that the plea colloquy did not satisfy the requirements of Federal Rule of Criminal Procedure 11,1 resulting in prejudice to the appellant, we reverse the decision of the district court and remand the case with instructions that Horsley be permitted to plead anew.

I.

In July 1976 ten defendants, including appellant Horsley, were indicted and charged with conspiracy and substantive violations of the federal narcotics law. Hors-ley was named as a defendant in count one (conspiracy to distribute heroin in violation of 21 U.S.C. § 846) and count five (possession with intent to distribute heroin in violation of 21 U.S.C. § 841(a)(1)). After initially pleading not guilty before a magistrate, appellant changed his plea on November 8, 1976, to one of guilty to the first count. The trial judge questioned the defendant pursuant to Rule 11, and ultimately accepted the plea. Horsley subsequently received the maximum statutory sentence: 15 years imprisonment to be followed by a special parole term of three years, to run consecutively with any sentence being served by appellant at that time.

Acting at first pro se, and thereafter through retained counsel, appellant filed a § 2255 motion to vacate the sentence, along with a motion to withdraw the guilty plea. Both motions centered on the allegation that the trial judge failed to advise Horsley of the elements of the offense with which he was charged and that, as a result, the guilty plea was not knowingly and voluntarily entered.

II.

In accord with the Rule 11 mandate that the court inform defendant of, and determine that he understands, the nature of the charge, the court questioned the appellant as follows:

Q. And you have indicated to [the prosecuting attorney] that you received a copy of the indictment in this case and had an opportunity to go over it with your attorney?

A. Yes, sir.

Q. Do you fully understand the charges against you?

Q. Do you understand the indictment charges you with conspiracy with respect to heroin, and that is the count you are pleading to?

[672]*672A. Yes, sir.

Q. Have you told Mr. Bogdon all the facts in connection with this charge?
A. I have.
Q. And are you satisfied with Mr. Bogdon as your attorney?
A. Yes.

Appendix at 10B.

Our review of the correctness of this Rule 11 proceeding begins with McCarthy v. United States, 394 U.S. 459, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969). The Supreme Court there concluded that “a defendant is entitled to plead anew if a United States district court accepts his guilty plea without fully adhering to the procedure provided for in Rule 11.” Id. at 463-64, 89 S.Ct. at 1169. The Court specifically stated that the Rule requires a district judge to inquire personally into the defendant’s understanding of the charge. Id. at 467, 89 S.Ct. 1166.

This court has similarly insisted on strict compliance with Rule 11. In Woodward v. United States, 426 F.2d 959, 962-63 (3d Cir. 1970), we stated:

Routine questioning or a single response by the defendant that he understands the [nature of the] charge is insufficient. To satisfy itself that the defendant actually does comprehend the charges, the court must explain the meaning of the charge and what basic acts must be proved to establish guilt. . . . Because Rule 11 requires that the court address the defendant personally, questioning by the United States Attorney or representation of the defendant by counsel will not discharge the court’s duty to interrogate the defendant itself.

(Footnotes omitted and emphasis added). Accord, Paradiso v. United States, 482 F.2d 409 (3d Cir. 1973); United States v. Cantor, 469 F.2d 435 (3d Cir. 1972); United States v. Zampitella, 416 F.Supp. 604 (E.D.Pa. 1976).

In view of the clear prescription of these cases that the court personally inform the defendant of the nature of the charges and the acts which would render him guilty, we must hold that the district court’s reliance on appellant’s private reading of the indictment and discussions of it with his attorney constitutes error. The court correctly noted that “even reading the indictment to a defendant can satisfy this requirement.” Appendix at 5B. We do not quarrel with the court’s conclusion that additional explanation of the charge is discretionary and may take into account the totality of the circumstances. Id. However, prior decisions of this court preclude us from permitting the district court to abdicate to the appellant and his attorney responsibility for minimal compliance with Rule 11.

III.

While we conclude that the district court did not comply with the requirements of Rule 11, we must recognize that this appeal is a § 2255 collateral attack on the plea rather than a direct appeal from the judgment of conviction. The government urges us to adopt a “more relaxed” standard of review in the § 2255 context. Appellee’s Brief at 6. Its contention is that a litigant who did not appeal his conviction should be required, in the context of a later collateral attack, to demonstrate prejudice flowing from the asserted technical error. Id. at 7.

Indeed, Davis v. United States, 417 U.S. 333, 94 S.Ct. 2298, 41 L.Ed.2d 109 (1974), requires that a different standard be applied in the collateral proceeding than would control the direct appeal. Davis suggests that collateral relief is not available “in the absence of any indication that the defendant was prejudiced” or that the error of law was a “fundamental defect which inherently results in a complete miscarriage of justice.” Id. at 346, 95 S.Ct. at 2305. The cases on which we rely in deciding that the district court failed to satisfy Rule 11 requirements were decided before Davis; it is clear that Davis emphasizes the necessity of considering whether the defendant suffered prejudice.

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Bluebook (online)
583 F.2d 670, 1978 U.S. App. LEXIS 9325, Counsel Stack Legal Research, https://law.counselstack.com/opinion/howard-horsley-v-united-states-ca3-1978.