Opinion ID: 26608
Heading Depth: 1
Heading Rank: 2

Heading: Voluntariness of Daniel's Plea

Text: 18 Daniel argues that his guilty plea was involuntary because it was induced by Leitner's unfulfilled promise that Judge Hatten would be the sentencing judge. In his affidavit, Daniel states: Had I known when I waived my rights and entered a plea to Judge Hatten he was not going to assess punishment and that Judge Bacon was going to get involved in my case at sentencing, I would have pled guilty to a jury. Daniel does not claim the existence of a plea agreement concerning the identity of the sentencing judge. Nor does he claim that he had the right to be sentenced by the judge of his choice or argue any other ground for involuntariness. The record reflects that in all other respects Daniel completely understood the consequences of his guilty plea. 19 Because a guilty plea involves the waiver of constitutional rights it must be voluntary, knowing and intelligent. Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 1468-69, 25 L.Ed.2d 747 (1970). In Brady the Supreme Court stated: 20 The standard as to the voluntariness of guilty pleas must be essentially that defined by Judge Tuttle of the Court of Appeals for the Fifth Circuit: 21 `[A] plea of guilty entered by one fully aware of the direct consequences, including the actual value of any commitments made to him by the court, prosecutor, or his own counsel, must stand unless induced by threats (or promises to discontinue improper harassment), misrepresentation (including unfulfilled or unfulfillable promises), or perhaps by promises that are by their nature improper as having no proper relationship to the prosecutor's business (e.g. bribes).' Id. at 1472 (inside quotation marks omitted). 8 22 See also United States v. Amaya, 111 F.3d 386, 389 (5th Cir.1997) (quoting a portion of the above Brady passage); McKenzie v. Wainwright, 632 F.2d 649, 651 (5th Cir.1980) (citing and paraphrasing the above Brady passage; affirming denial of claim the plea was involuntary). 23 Where a defendant can show that the court, the prosecutor or defense counsel induced his guilty plea by clearly and unequivocally guaranteeing a lesser sentence or some other specific leniency, the guilty plea is not voluntary unless the defendant receives that which he was promised. See Amaya, 111 F.3d at 388-89 (holding that the district court's legally unfulfillable promise to impose sentence as though the government had moved for a downward departure rendered the defendant's guilty plea involuntary); Davis v. Butler, 825 F.2d 892, 894-95 (5th Cir.1987) (remanding for evidentiary hearing to determine if defense counsel guaranteed that if the defendant pleaded guilty he would be pardoned in three years). The defendant must generally establish that an actual promise or guarantee was made by showing: (1) the exact terms of the alleged guarantee; (2) exactly when, where and by whom the guarantee was made; and (3) the identity of any eyewitnesses to the guarantee. DeVille v. Whitley, 21 F.3d 654, 658 (5th Cir.1994). Here, it is undisputed that Leitner told Daniel that if he pleaded guilty to Judge Hatten he would be sentenced by Judge Hatten. 24 A guilty plea is not rendered involuntary by the defendant's mere subjective understanding that he would receive a lesser sentence. In other words, if the defendant's expectation of a lesser sentence did not result from a promise or guarantee by the court, the prosecutor or defense counsel, the guilty plea stands. See Spinelli v. Collins, 992 F.2d 559, 561-62 (5th Cir.1993) (defendant's mistaken belief that he would be eligible for parole after five years did not render his guilty plea involuntary because his misunderstanding did not result from promise by court, prosecutor or defense counsel). 25 Likewise, a guilty plea is not rendered involuntary because the defendant's misunderstanding was based on defense counsel's inaccurate prediction that a lesser sentence would be imposed. See Harmason v. Smith, 888 F.2d 1527, 1532 (5th Cir.1989) (defense counsel's statement that the defendant would probably receive less than a fifteen year sentence did not render the guilty plea involuntary because a prediction, prognosis, or statement of probabilities... does not constitute an `actual promise'.); United States v. Stumpf, 827 F.2d 1027, 1030 (5th Cir.1987) (a defendant's reliance on his attorney's erroneous prediction of leniency is not sufficient to render a guilty plea involuntary.); Self v. Blackburn, 751 F.2d 789, 793 (5th Cir.1985) (defense counsel's statement that parole would be probable after 10 ½ years did not render the guilty plea involuntary because it was a mere prediction, not a guarantee); Johnson v. Massey, 516 F.2d 1001, 1002 (5th Cir.1975) (Petitioner's allegation of a breached bargain is premised on the alleged statement to him by his own attorney that the sentencing judge generally gave sentences of about 20 years in second degree murder cases and that petitioner, as a first offender, might expect such a sentence. However, a good faith but erroneous prediction of a sentence by a defendant's counsel does not render the guilty plea involuntary.). 26 The district court found that, although Leitner did assure Daniel that if he pleaded guilty to Judge Hatten he would be sentenced by Judge Hatten, Daniel's case was like those in which counsel predicts that a proposed course of action will probably result in a lesser sentence. We agree with the district court that the substance of Leitner's statement requires its treatment as a prediction, prognosis, or statement of probabilities, not a clear and unequivocal guarantee of a lesser sentence. Harmason, 888 F.2d at 1532. 27 First, we think that the only reasonable lay person's understanding of Leitner's assurance that Judge Hatten would impose sentence is as a prediction, not an unqualified guarantee. Indeed, there are many obvious circumstances that any reasonable lay person would recognize as ones resulting in Judge Hatten not presiding at sentencing. 9 Daniel knew there would be a delay of several weeks between entry of his guilty plea and sentencing. In that time, Judge Hatten could have died, become ill or disabled (temporarily or longer term) or retired and moved to Palm Beach County, Florida, or the like. 10 28 Second, even if we construe Leitner's statement as guaranteeing that Judge Hatten would be the sentencing judge, its substantively predictive, probabilistic character precludes relief. Leitner did not guarantee any of the substantive benefits that this Court has indicated could form the basis for a Brady involuntariness claim, such as: (1) a downward departure at sentencing; 11 (2) a lesser sentence; 12 or (3) parole, commutation or pardon after a certain period of incarceration. 13 Leitner promised nothing more than what he predicted would be a better roll of the sentencing dice. There was no guarantee that Judge Hatten would have sentenced Daniel less harshly than Judge Bacon. Any value of Leitner's promise was wholly dependent on the probability that Judge Hatten would impose a less severe sentence than Judge Bacon would. The statement you will probably be sentenced by Judge Hatten, and he will probably sentence you less harshly than would Judge Bacon is not in this respect materially different from you will definitely be sentenced by Judge Hatten, and Judge Hatten will probably sentence you less harshly than would Judge Bacon. In neither case has a light or lighter (or particular) sentence been promised. 29 Leitner's assurance that Judge Hatten would be the sentencing judge simply lacked the requisite certainty as to actual sentencing benefit to render Daniel's plea involuntary under Brady. Daniel concedes, as he must, that he has no right to be sentenced by the judge of his choice and that Judge Bacon had jurisdiction to sentence him. Leitner's assurance merely gave rise to the hope of leniency. We are not aware of any case vacating a guilty plea because the defendant was promised sentencing by a judge his lawyer predicted would be lenient. At the sentencing hearing before Judge Bacon, Daniel testified that he was aware that he could be sentenced to life in prison. Daniel's guilty plea was knowing and voluntary. 30 This Court has interpreted the AEDPA, 28 U.S.C. § 2254(d), as only allowing the Supreme Court to announce new rules for purposes of federal habeas. Williams v. Cain, 229 F.3d 468, 474 (5th Cir.2000). The State's rejection of Daniel's involuntariness claim was not contrary to or an unreasonable application of that federal law which has been clearly established by the Supreme Court. We affirm the district court's grant of summary judgment for the State as to Daniel's involuntariness claim.