United States v. Vonn

535 U.S. 55, 122 S. Ct. 1043, 152 L. Ed. 2d 90, 2002 U.S. LEXIS 1377
CourtSupreme Court of the United States
DecidedMarch 4, 2002
Docket00-973
StatusPublished
Cited by2,060 cases

This text of 535 U.S. 55 (United States v. Vonn) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Vonn, 535 U.S. 55, 122 S. Ct. 1043, 152 L. Ed. 2d 90, 2002 U.S. LEXIS 1377 (2002).

Opinions

Justice Souter

The Government avoids reversal of a criminal conviction by showing that trial error, albeit raised by a timely objection, affected no substantial right of the defendant and was thus harmless. Fed. Rule Crim. Proc. 52(a). A defendant who failed to object to trial error may nonetheless obtain reversal of a conviction by carrying the converse burden, showing among other things that plain error did affect his substantial rights. Fed. Rule Crim. Proc. 52(b).

Rule 11(h) of the Federal Rules of Criminal Procedure is a separate harmless-error rule applying only to errors committed under Rule 11, the rule meant to ensure that a guilty plea is knowing and voluntary, by laying out the steps a trial judge must take before accepting such a plea. Like Rule 52(a), it provides that a failure to comply with Rule 11 that “does not affect substantial rights shall be disregarded.” Rule 11(h) does not include a plain-error provision comparable to Rule 52(b).

The first question here is whether a defendant who lets Rule 11 error pass without objection in the trial court must carry the burdens of Rule 52(b) or whether even the silent defendant can put the Government to the burden of proving the Rule 11 error harmless.1 The second question is [59]*59whether a court reviewing Rule 11 error under either standard is limited to examining the record of the colloquy between court and defendant when the guilty plea was entered, or may look to the entire record begun at the defendant’s first appearance in the matter leading to his eventual plea.

We hold that a silent defendant has the burden to satisfy the plain-error rule and that a reviewing court may consult the whole record when considering the effect of any error on substantial rights.

I

On February 28, 1997, respondent Alphonso Vonn was charged with armed bank robbery, under 18 U. S. C. §§ 2113(a) and (d), and using and carrying a firearm during and in relation to a crime of violence, under 18 U. S. C. § 924(c). Vonn appeared that day before a Magistrate Judge, who advised him of his constitutional rights, including “the right to retain and to be represented by an attorney of [his] own choosing at each and every sta[g]e of the proceedings.” App. 15. Vonn said that he had heard and understood his rights, and the judge appointed counsel to represent him.

On March 17,1997, three days after being indicted, Vonn, along with his appointed counsel, appeared in court for his arraignment. Again, the Magistrate Judge told Vonn about his rights, including the right to counsel at all stages of the proceedings. Vonn’s counsel gave the court a form entitled “Statement of Defendant’s Constitutional Rights,” on which [60]*60Vonn said he understood his rights, including the right to counsel. His counsel signed a separate statement that he was satisfied that Vonn had read and understood the statement of his rights. The Clerk of Court then asked Vonn whether he had heard and understood the court’s explanation of his rights, and whether he had read and signed the statement, and Vonn said yes to each question.

On May 12,1997, Vonn came before the court and indicated that he would plead guilty to armed bank robbery but would go to trial on the firearm charge. The court then addressed him and, up to a point, followed Rule 11(c)(3) of the Federal Rules of Criminal Procedure. The judge advised Vonn of the constitutional rights he would relinquish by pleading guilty, but skipped the required advice that if Vonn were tried he would have “the right to the assistance of counsel.”

Several months later, the stakes went up when the grand jury returned a superseding indictment, charging Vonn under an additional count of conspiracy to commit bank robbery. Although he first pleaded not guilty to this charge as well as the firearm count, at a hearing on September 3,1997, Vonn said he intended to change both pleas to guilty. Again, the court advised Vonn of rights waived by guilty pleas, but failed to mention the right to counsel if he went to trial. This time, the prosecutor tried to draw the court’s attention to its error, saying that she did not “remember hearing the Court inform the defendant of his right to assistance of counsel.” Id., at 61. The court, however, may have mistaken the remark as going to Rule 11(c)(2), and answered simply that Vonn was represented by counsel.2

Eight months later, Vonn moved to withdraw his guilty plea on the firearm charge. He did not, however, cite Rule 11 error but instead based his request on his own mistake [61]*61about facts relevant to the charge. The court denied this motion, and on June 22,1998, sentenced Vonn to 97 months in prison.

On appeal, Vonn sought to set aside not only the firearm conviction but the other two as well, for the first time making an issue of the District Judge’s failure to advise him of his right to counsel at trial, as required by the Rule. The Court of Appeals agreed there had been error, and held that Vonn’s failure to object before the District Court to its Rule 11 omission was of no import, since Rule 11(h) “supersedes the normal waiver rule,” and subjects all Rule 11 violations to harmless-error review, 224 F. 3d 1152, 1155 (CA9 2000) (citing United States v. Odedo, 154 F. 3d 937 (CA9 1998)). The consequence was to put the Government to the burden of showing no effect on substantial rights.3 The court declined to “go beyond the plea proceeding in considering whether the defendant was aware of his rights,” and did not accept the record of Vonn’s plea colloquies as evidence that Vonn was aware of his continuing right to counsel at trial. 224 F. 3d, at 1155. It held the Government had failed to shoulder its burden to show the error harmless and vacated Vonn’s convictions.

We granted certiorari, 531U. S. 1189 (2001), to resolve conflicts among the Circuits on the legitimacy of (1) placing the burden of plain error on a defendant appealing on the basis of Rule 11 error raised for the first time on appeal,4 and (2) looking beyond the plea colloquy to other parts of the [62]*62official record to see whether a defendant’s substantial rights were affected by a deviation from Rule ll.5 We think the Court of Appeals was mistaken on each issue, and vacate and remand.

II

Rule 11 of the Federal Rules of Criminal Procedure requires a judge to address a defendant about to enter a plea of guilty, to ensure that he understands the law of his crime in relation to the facts of his case, , as well as his rights as a criminal defendant. The Rule has evolved over the course of 30 years from general scheme to detailed plan, which now includes a provision for dealing with a slip-up by the judge in applying the Rule itself.

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Cite This Page — Counsel Stack

Bluebook (online)
535 U.S. 55, 122 S. Ct. 1043, 152 L. Ed. 2d 90, 2002 U.S. LEXIS 1377, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-vonn-scotus-2002.