United States v. Davis

Procedural entryThis page is a short order in United States v. Davis. Read the opinion of the Court — 59 F. App'x 176
Court of Appeals for the Ninth Circuit·Decided November 2, 2005·No. 04-50030·Published

Opinion

FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT

UNITED STATES OF AMERICA,  No. 04-50030 Plaintiff-Appellee, D.C. No. v.  CR-00-1132-MMM CLIFFORD A. DAVIS, M.D., ORDER AND Defendant-Appellant. AMENDED  OPINION

Appeal from the United States District Court for the Central District of California Margaret M. Morrow, District Judge, Presiding

Argued and Submitted March 7, 2005—Pasadena, California

Filed June 9, 2005 Amended November 2, 2005

Before: Susan P. Graber and Consuelo M. Callahan, Circuit Judges, and Charles R. Breyer,* District Judge.

Opinion by District Judge Breyer; Partial Dissent by Judge Callahan

*Honorable Charles R. Breyer, United States District Judge for the Northern District of California, sitting by designation.

15001 15004 UNITED STATES v. DAVIS

COUNSEL

Randy S. Kravis, Studio City, California, for the defendant- appellant.

Ronald L. Cheng, Assistant United States Attorney, Los Angeles, California, for the plaintiff-appellee.

ORDER

The opinion filed on June 9, 2005, slip op. 6753, and appearing at 410 F.3d 1122 (9th Cir. 2005), is replaced by the amended opinion and dissent filed concurrently with this order.

Petitions for rehearing or for rehearing en banc may be filed.

OPINION

BREYER, District Judge:

We must decide whether a district court has discretion to permit a defendant to withdraw his guilty plea prior to sen- tencing when the district court finds that defense counsel UNITED STATES v. DAVIS 15005 “grossly mischaracterized” the defendant’s possible sentence, but also finds that the mischaracterization did not actually prejudice the defendant as is required to invalidate a plea post-sentence. We answer “yes.” Because the district court did not believe it had such discretion, we vacate and remand for reconsideration of defendant’s motion to withdraw his plea.

FACTUAL AND PROCEDURAL BACKGROUND

A grand jury indicted defendant, a physician, for conspir- acy to distribute Dilaudid, a Schedule II controlled substance, and for twelve separate distribution counts. After several con- tinuances, trial was scheduled for October 23, 2001. Just before trial, defendant, then aged 72, pleaded guilty pursuant to a plea agreement to a second superseding information charging defendant with two counts of violating 21 U.S.C. § 843(b), using a telephone to facilitate a conspiracy to dis- tribute illegal narcotics by means of false and fraudulent drug prescriptions. The plea agreement unambiguously stated that defendant’s potential maximum sentence was eight years. During the extensive Rule 11 plea colloquy, the government, at the district court’s request, again stated that the defendant faced a maximum sentence of eight years, and further empha- sized that the government might seek an offense level which would place defendant’s guideline range well in excess of the eight-year statutory maximum.

In February 2002, the United States Probation Office issued a Presentence Report (“PSR”) in which it recommended that the court sentence defendant to the statutory maximum of eight years’ imprisonment. Although defendant had stipulated to illegally issuing only 16 prescriptions for Dilaudid, the PSR calculated defendant’s offense level based on defendant having illegally issued additional prescriptions. Defendant subsequently filed a motion for new counsel (defendant’s retained counsel had become appointed counsel around the time of defendant’s plea). 15006 UNITED STATES v. DAVIS The district court held a hearing on defendant’s request. During the in camera portion of the hearing, defendant explained that he wanted new counsel because, among other reasons, he wanted to withdraw his plea, but his attorney was not supportive of the idea. Defendant’s counsel stated on the record that defendant’s decision to plead guilty was very diffi- cult, and that defendant was uncertain as to what to do up to the very last minute. After additional inquiry, the district court determined that defendant could continue to communicate with his counsel and therefore denied the request for substi- tute counsel.

Defendant nonetheless came up with the funds to hire new counsel, and before he was sentenced, filed a motion to with- draw his guilty plea. Defendant argued that his former counsel had pressured him into entering the plea, and that his counsel had rendered ineffective assistance by advising defendant that he would receive probation if he pleaded guilty.

The district court held an evidentiary hearing on defen- dant’s motion. Defendant and defendant’s son testified in sup- port of the motion to withdraw. Defendant’s son testified that the weekend before defendant pleaded guilty, defendant told him that he might have to plead guilty in order to avoid jail time. The government called defendant’s former attorney as a witness. The former attorney denied having promised that defendant would receive probation if he pleaded guilty, but he admitted that he advised defendant that his potential sentenc- ing range was probation to eight years.

The district court subsequently issued a 27-page written order denying defendant’s motion to withdraw his plea. After acknowledging that the court could permit defendant to with- draw his plea if he shows a “fair and just reason” for doing so, the district court applied the two-part test for invalidating a guilty plea based on ineffective assistance of counsel. See Hill v. Lockhart, 474 U.S. 52, 59 (1985). The court rejected defendant’s assertion that his former attorney had absolutely UNITED STATES v. DAVIS 15007 promised that he would receive probation, but nonetheless found that counsel had rendered constitutionally deficient per- formance when advising defendant on the entry of the guilty plea:

Because there was little, if any, likelihood that defendant might receive a probationary sentence in this case, and because mention of such a possibility significantly skewed the sentencing range [counsel] presented, . . . [counsel] grossly mischaracterized the likely outcome of the case and rendered deficient performance in advising defendant regarding the entry of a guilty plea.

The court next concluded, however, that defendant had not demonstrated actual prejudice; that is, he had not proved that but for his counsel’s deficient performance he would not have pleaded guilty. The court based this conclusion on the Rule 11 plea colloquy and, in particular, on the fact that defendant was told, and stated that he understood, that he could be sentenced to eight years in prison. For this reason the district court denied defendant’s motion to withdraw his plea.

At the subsequent sentencing hearing, the court adopted the PSR’s findings. The court also found that defendant was likely to die within the next five years because of a heart con- dition, but declined to depart downward; instead, the court sentenced defendant to the statutory maximum of eight years.

Defendant appeals the district court’s denial of his motion to withdraw his plea. He also argues that in the light of the United States Supreme Court’s decision in United States v. Booker, 543 U.S. ___, 125 S. Ct. 738 (2005), his case should be remanded to the district court for resentencing.

JURISDICTION AND STANDARD OF REVIEW

We have jurisdiction to review a district court’s denial of a Rule 11 motion to withdraw a guilty plea pursuant to 28 15008 UNITED STATES v. DAVIS U.S.C. § 1291. United States v. Nostratis, 321 F.3d 1206

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