United States v. Thompson-Riviere

561 F.3d 345, 2009 U.S. App. LEXIS 6431, 2009 WL 783451
CourtCourt of Appeals for the Fourth Circuit
DecidedApril 1, 2009
Docket07-4793
StatusPublished
Cited by75 cases

This text of 561 F.3d 345 (United States v. Thompson-Riviere) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Thompson-Riviere, 561 F.3d 345, 2009 U.S. App. LEXIS 6431, 2009 WL 783451 (4th Cir. 2009).

Opinion

Vacated and remanded by published opinion. Judge SHEDD wrote the opinion, in which Judge NIEMEYER and Judge DUNCAN joined.

OPINION

SHEDD, Circuit Judge:

Ray Alexander Thompson-Riviere, who was born in the Panama Canal Zone, pled guilty to one count charging him with violating 8 U.S.C. § 1326(b)(4). That statute makes it a criminal offense for an alien who has previously been removed from the United States to reenter the country without the approval of the Attorney General. Before sentencing, Thompson-Riviere moved to withdraw his guilty plea, primarily contending that newly obtained DNA evidence indicates that he may be the biological son of a United States citizen and, if so, he is also a United States citizen— rather than an alien — by virtue of 8 U.S.C. § 1403(a). That statute creates a right of derivative United States citizenship for certain persons born in the Canal Zone. Finding that Thompson-Riviere failed to meet his burden of proof under § 1403(a), the district court denied the motion and eventually sentenced him to an 87-month term of imprisonment. Thompson-Riviere now appeals the denial of his plea withdrawal motion. For the reasons set forth below, we hold that the district court abused its discretion in denying the motion. Accordingly, we vacate the judgment and remand this case with instructions to the district court to allow him to withdraw his plea.

I

A guilty plea is “a grave and solemn act,” Brady v. United States, 397 U.S. 742, 748, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970), and “is an event of signal significance in a criminal proceeding,” Florida v. Nixon, 543 U.S. 175, 187, 125 S.Ct. 551, 160 L.Ed.2d 565 (2004). It “is more than a confession which admits that the accused did various acts; it is itself a conviction; nothing remains but to give judgment and determine punishment.” Boykin v. Alabama, 395 U.S. 238, 242, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969). Guilty pleas “are indispensable in the operation of the modern criminal justice system,” and the finality of such pleas is a matter of “particular importance.” United States v. Dominguez Benitez, 542 U.S. 74, 82-83, 124 S.Ct. 2333, 159 L.Ed.2d 157 (2004).

Consequently, a defendant awaiting sentencing does not have an absolute right to withdraw a guilty plea. United States v. Bowman, 348 F.3d 408, 413 (4th Cir.2003). Rather, Federal Rule of Criminal Procedure 11(d)(2)(B) authorizes the withdrawal of a guilty plea before sentencing only if “the defendant can show a fair and just reason for requesting the withdrawal.” Because of “the grim dynamics of plea bargaining, including the prevalence of *348 ‘buyer’s remorse’ among those who have pled,” United States v. Torres-Rosario, 447 F.3d 61, 66 (1st Cir.2006), a district court should not interpret Rule 11(d)(2)(B) “to allow a defendant to withdraw a guilty plea ‘simply on a lark’ after [it] conducts a thorough plea colloquy and has made the requisite findings,” United States v. Battle, 499 F.3d 315, 321 (4th Cir.2007), cert. denied, — U.S. -, 128 S.Ct. 1121, 169 L.Ed.2d 951 (2008). As we have explained:

The orderly procedure in our busy trial courts would be disrupted if a fair and just reason were found to lodge in all cases where the vagaries of a defendant were due only to a wish held by many if not all criminal defendants who do not relish the prospects of standing trial but also, in the end, decide to take an unreasonably long-shot gamble on beating by standing trial a fair, reasonable and just guilty plea.

United States v. DeFreitas, 865 F.2d 80, 83 (4th Cir.1989); see also Brady, 397 U.S. at 757, 90 S.Ct. 1463 (“A defendant is not entitled to withdraw his plea merely because he discovers long after the plea has been accepted that his calculus misapprehended the quality of the State’s case or the likely penalties attached to alternative courses of action.”).

“[T]he defendant bears the burden of demonstrating that withdrawal should be granted,” United States v. Dyess, 478 F.3d 224, 237 (4th Cir.), cert. denied, — U.S. -, 128 S.Ct. 707, 169 L.Ed.2d 556 (2007); in this regard, the defendant bears a “heavy burden of persuasion in showing that ... a fair and just reason exists,” United States v. Chavers, 515 F.3d 722, 724 (7th Cir.2008). “The decision to permit the defendant to withdraw a plea is discretionary, and our review is limited to the question of whether the district court abused its discretion.” United States v. Lambey, 974 F.2d 1389, 1393 (4th Cir.1992) (en banc). “A district court abuses its discretion when it acts arbitrarily or irrationally, fails to consider judicially recognized factors constraining its exercise of discretion, relies on erroneous factual or legal premises, or commits an error of law.” United States v. Delfino, 510 F.3d 468, 470 (4th Cir.2007), cert. denied, — U.S. -, 129 S.Ct. 41, 172 L.Ed.2d 20 (2008).

In light of the fact that “a properly conducted Rule 11 guilty plea colloquy leaves a defendant with a very limited basis upon which to have his plea withdrawn,” we have articulated a list of nonexclusive factors for a district court to consider in deciding a plea withdrawal motion. Bowman, 348 F.3d at 414. Those factors are: (1) whether the defendant has offered credible evidence that his plea was not knowing or not voluntary, (2) whether the defendant has credibly asserted legal innocence, (3) whether there has been a delay between entry of the plea and the filing of the motion, (4) whether the defendant has had close assistance of competent counsel, (5) whether withdrawal will prejudice the government, and (6) whether withdrawal will inconvenience the court and waste judicial resources. Id. The consideration of these factors is not “a rigidly mechanistic test, for the conspicuous fuzziness of [the] operative terms — ‘fair and just’ — precludes such an endeavor.” United States v. Sparks, 67 F.3d 1145, 1154 (4th Cir.1995). However, a district court typically should balance these factors, along with any other pertinent information, to reach its decision. See United States v. Faris, 388 F.3d 452, 461 (4th Cir.2004).

II

Evidence in the record indicates that Thompson-Riviere was born in October *349

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Bluebook (online)
561 F.3d 345, 2009 U.S. App. LEXIS 6431, 2009 WL 783451, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-thompson-riviere-ca4-2009.