WILSON, District Judge:
The issues in these consolidated appeals arise from Rodney Anton Williamson's 2007 conviction for conspiracy to distribute cocaine. At Williamson's trial, the government introduced, without objection, an incriminating tape-recording made by a government informant after Williamson had been indicted. A jury found Williamson guilty, the court sentenced him to life in prison, and he appealed. On appeal, we agreed with the government's argument that the admission of Williamson's post-indictment, pre-arrest recording did not violate Williamson's Sixth Amendment right to counsel. After Williamson petitioned for certiorari, the government changed positions and conceded in the Supreme Court that Williamson's Sixth Amendment right to counsel attached upon the return of his indictment and that the admission of the surreptitious, post-indictment, pre-arrest recording violated that
On December 18, 2006, a grand jury returned a one-count sealed indictment against Williamson and several others charging a conspiracy to distribute five kilograms or more of a mixture and substance containing a detectable amount of cocaine, in violation of 21 U.S.C. §§ 841 and 846. A warrant for Williamson's arrest issued the following day. Within weeks, one of Williamson's associates, Edison Alberty, surmised that he was the target of an investigation and contacted federal authorities to offer his cooperation. Soon after, federal agents fit Alberty with an audio recording device and had him meet with Williamson at a Greensboro, North Carolina, restaurant for lunch. According to Alberty, officers gave him no instructions other than to "put the body wire on and go have ... lunch as planned." Second Supplemental J.A. 33. During that January 29, 2007, lunch meeting, Williamson and Alberty discussed Williamson's drug organization, made tentative plans for an upcoming drug transaction, and expressed their concerns regarding an associate's recent arrest. At the conclusion of the meeting, law enforcement agents attempted to arrest Williamson, but he hurriedly left the restaurant's parking lot and sped away. It was not until June 5, 2007, that agents succeeded in arresting him.
At Williamson's trial, the government called eight witnesses — three law enforcement officials, two codefendants, and three other alleged coconspirators
On appeal, Williamson argued that he had a Sixth Amendment right to counsel when the recording was made (because he had already been indicted) and that its admission at trial was therefore plain error. In an unpublished, per curiam decision, we agreed with the government's position that it was not plain error and distinguished Massiah v. United States, 377 U.S. 201, 84 S.Ct. 1199, 12 L.Ed.2d 246 (1964)
In its brief in the Supreme Court, the government veered from the argument it made in this court and conceded that Williamson's Sixth Amendment right to counsel had attached upon the return of the sealed indictment and that it was plain error to admit the recording. The government maintained, however, that Williamson would "be unable to establish that the Sixth Amendment error prejudiced him or seriously affected the fairness, integrity, or public reputation of judicial proceedings," requirements for noticing plain error. Brief for United States at 7, Williamson v. United States of America, ___ U.S. ___, 130 S.Ct. 3461, 177 L.Ed.2d 1052 (2010) (No. 09-8915). The Supreme Court then vacated and remanded "for further consideration in light of the position asserted by the Acting Solicitor General in his brief." Williamson v. United States of America, ___ U.S. ___, 130 S.Ct. 3461, 177 L.Ed.2d 1052 (2010).
Though the parties, on remand in this court, agreed that the admission of the recording violated Williamson's Sixth Amendment right to counsel, they disagreed about whether it satisfied the test for noticing plain error. We did not then resolve that disagreement because we determined that this case also potentially implicated Fifth Amendment issues in that "it involves a lengthy recitation of Appellant's own words, elicited after Appellant had been indicted, by a confidential informant who was cooperating with the Government." United States v. Williamson, 447 Fed.Appx. 446, 450 (4th Cir.2011). We held the Sixth Amendment question in abeyance and instructed the district court to determine whether Williamson's recorded statement was the product of compulsion or coercion and, in doing so, to consider "(1) the degree of police involvement in eliciting Appellant's statement; (2) Alberty's knowledge of the impending criminal prosecutions and his relationship to Appellant; (3) the nature of Alberty's questions and demeanor; and (4) the character of Appellant's statements and responses." Id. at 451.
The district court appointed Williamson counsel and held a hearing on the Fifth Amendment issue. The government called
As Williamson's direct appeal made its way up and down the appellate ladder, Williamson filed in the district court a motion for a new trial, pursuant to Federal Rule of Criminal Procedure 33, claiming to have discovered new evidence that merited entirely new proceedings.
We begin with the most enduring issue concerning Williamson's judgment of conviction. Williamson claims, and the government now agrees, that the admission of the recorded statement, made as it was after the grand jury returned a sealed indictment against Williamson, violated his right to counsel. Williamson did not object to the admission of the recording at trial, so our review is for plain error. Because Williamson has failed to meet the stringent requirements to justify reversal for plain error, we affirm on the issue.
Under Federal Rule of Criminal Procedure 52(b) and the plain-error analysis explained by the Supreme Court in United States v. Olano, 507 U.S. 725, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993), an appellate court may correct a forfeited error when: "(1) there is an error; (2) the error is plain; (3) the error affects substantial rights; and (4) the court determines, after examining the particulars of the case, that the error `seriously affect[s] the fairness, integrity, or public reputation of judicial proceedings.'" United States v. Wilkinson, 137 F.3d 214, 223 (4th Cir. 1998) (quoting Olano, 507 U.S. at 732, 113 S.Ct. 1770). "Meeting all four prongs is difficult, `as it should be.'" Puckett v. United States, 556 U.S. 129, 135, 129 S.Ct. 1423, 173 L.Ed.2d 266 (2009) (quoting United States v. Dominguez Benitez, 542 U.S. 74,
"[A]n error is plain when the law at the time is settled." United States v. Godwin, 272 F.3d 659, 679 (4th Cir.2001). To show that a plain error affected his substantial rights, the accused must demonstrate that "the error actually affected the outcome of the proceedings." Id. at 679-80. As a practical matter, this means that the accused "must establish `that the jury actually convicted' [him] based upon the trial error." Id. at 680 (quoting United States v. Hastings, 134 F.3d 235, 240 (4th Cir.1998)). "It is the defendant rather than the Government who bears the burden of persuasion with respect to prejudice." Olano, 507 U.S. at 734, 113 S.Ct. 1770. "Where the evidence is overwhelming and a perfect trial would reach the same result, a substantial right is not affected." Godwin, 272 F.3d at 680 (citing United States v. Moore, 11 F.3d 475, 482 (4th Cir.1993)).
Even if the accused establishes the first three prongs, he must also demonstrate the error's serious effect on the fairness, integrity, or public reputation of judicial proceedings. "The fourth prong is meant to be applied on a case-specific and fact-intensive basis." Puckett, 556 U.S. at 142, 129 S.Ct. 1423. A "per se approach to plain-error review is flawed." Id. Even so, "[i]n cases applying this fourth criterion, [the Supreme Court has] suggested that, in most circumstances, an error that does not affect the jury's verdict does not significantly impugn the `fairness,' `integrity,' or `public reputation' of the judicial process." United States v. Marcus, ___ U.S. ___, 130 S.Ct. 2159, 2166, 176 L.Ed.2d 1012 (2010).
The government has conceded that it was plain error to admit the recordings at trial. We find no basis, however, for concluding that this plain error affected Williamson's substantial rights because he has not shown that the error affected the outcome of his trial. Williamson has not established "`that the jury actually convicted' [him] based upon the trial error." Godwin, 272 F.3d at 680 (quoting Hastings, 134 F.3d at 240). The government presented extensive evidence of Williamson's guilt, independent of the taped recording. One witness, Christopher Swaney, testified to his own extensive dealings with Williamson, which involved ever-increasing quantities of cocaine. Another witness, Glenson Isaac, testified that he sold Williamson ten kilograms of cocaine on one occasion in 2004, and multiple kilograms of cocaine on several other occasions. Michael Sealy testified that he accompanied Williamson to New York to pick up five kilograms of cocaine. Drug Enforcement Administration agent James Cryan corroborated Sealy's testimony with his own contemporaneous surveillance of Williamson. Cryan testified that he watched Williamson, Sealy, and a confidential informant obtain a black duffel bag from the occupant of a white van; take the duffel bag to Sealy's apartment; and leave the apartment to meet with another vehicle at a McDonald's. Shortly thereafter, officers searched the vehicle and Sealy's apartment, where they found eleven kilograms and six-and-a-half kilograms of cocaine, respectively. The search of Sealy's apartment also netted approximately $20,000 in currency. The trial transcripts are overflowing with similar evidence. While the taped conversation was surely damaging, Williamson has not shown that its absence would alter the outcome of his trial. "Where the evidence is overwhelming and a perfect trial would reach the same result, a substantial right is not affected." Id. (citing Moore, 11 F.3d at
Even if we were to find that the error to which Williamson did not object affected Williamson's substantial rights, we could not also say that the error seriously affected the fairness, integrity, or public reputation of judicial proceedings. Here, the defendant had not been arrested and continued his drug business unabated past the return of the indictment, the government produced at trial overwhelming evidence of his guilt separate and apart from his recorded conversation, and there is nothing that remotely suggests that the government recognized that it was passing any contextually clear Sixth Amendment markers. Under the circumstances, we have no hesitancy in concluding that the error did not seriously affect the fairness, integrity, or public reputation of judicial proceedings. In fact, were this court to seize upon the admission of the recording (which Williamson himself asked the district court to play in its entirety) as an opportunity to reverse Williamson's conviction despite the overwhelming evidence against him, it would do far more to damage the public's perception of judicial proceedings than leaving the conviction in place. See Johnson v. United States, 520 U.S. 461, 470, 117 S.Ct. 1544, 137 L.Ed.2d 718 (1997) ("On this record there is no basis for concluding that the error seriously affect[ed] the fairness, integrity or public reputation of judicial proceedings. Indeed, it would be the reversal of a conviction such as this which would have that effect.") (internal quotation marks omitted). Satisfying all four prongs of the plain-error test is difficult, Puckett, 556 U.S. at 135, 129 S.Ct. 1423, and Williamson has not done so here.
Williamson also claims that the recorded statements were the product of compulsion or coercion such that their admission violated the Fifth Amendment. Reviewing the district court's factual findings for clear error and its legal determinations de novo, we find no Fifth Amendment violation, and we affirm.
The Fifth Amendment guarantees that "[n]o person ... shall be compelled in any criminal case to be a witness against himself." U.S. Const. amend. V. That provision requires that a person's statements, under whatever circumstances they might be made, be "voluntary" to be admissible at trial. See United States v. Braxton, 112 F.3d 777, 780 (4th Cir.1997) (en banc). Voluntariness depends on whether the defendant's statements were "the product of an essentially free and unconstrained choice by [their] maker" or if, instead, "his will [was] overborne and his capacity for self-determination critically impaired." Culombe v. Connecticut, 367 U.S. 568, 602, 81 S.Ct. 1860, 6 L.Ed.2d 1037 (1961); see also Braxton, 112 F.3d at 780. In making this determination, courts
In this case, the district court answered these questions by hearing testimony from two witnesses familiar with the lunch meeting and finding the following facts:
Williamson, 2011 WL 5836258, at *1-2 (footnotes and citations omitted).
The district court found, and we agree, that these circumstances offer no hint of coercion. Williamson spoke voluntarily to
The question of voluntariness is simply whether Williamson's statements were the product of a free and unconstrained choice on his part, or if, instead, his will was overborne and his capacity for self-determination was somehow critically impaired. Practically speaking, this could rarely be the case when the defendant is willingly speaking with a friendly acquaintance over lunch, without the slightest hint that the defendant was intimidated by the atmosphere or his lunch companion. The question is also largely a factual determination, and the evidence here fully supports the district court's decision. As such, we find no Fifth Amendment violation.
Rule 33 of the Federal Rules of Criminal Procedure permits a defendant to file a motion for a new trial based on newly discovered evidence within three years after the verdict or finding of guilty. Fed.R.Crim.P. 33(b)(1).
Our conclusion that such motions are, for all intents and purposes, collateral attacks finds support in the caselaw in varying contexts and the Federal Rules of Appellate Procedure. In Johnson v. United States, for example, the Sixth Circuit confronted the question of whether "a timely motion seeking a new trial under [Rule 33] serves to render a judgment of conviction as not final for purposes of the running of the one-year statute of limitations under 28 U.S.C. § 2255." 246 F.3d at 657. The Johnson court found that it did not because it concluded that a Rule 33 motion filed after the short post-judgment period for seeking appellate review (specified by Federal Rule of Appellate Procedure 4(b)) was a collateral challenge and distinct from the direct appeal. In Trenkler v. United States, the First Circuit considered the same question and reached a similar conclusion: "a Rule 33 motion for a new trial is not part of the `direct appeal' from a judgment of conviction unless incorporated into that appeal by virtue of Rule 4(b)." 268 F.3d at 22. Likewise, the Eleventh Circuit has held that a new-trial motion filed while a direct appeal is pending is not part of the direct appeal, but a collateral challenge to conviction. See Barnes v. United States, 437 F.3d 1074, 1079 (11th Cir.2006).
In each of these cases, the court considered the nature of a direct appeal, the interplay of the Federal Rules of Appellate Procedure, and a Rule 33 new-trial motion based on newly discovered evidence. As the Trenkler court explained:
Trenkler, 268 F.3d at 21.
If a motion is not part of the direct appeal, then the motion is "collateral" in the usual sense of that word. See Black's Law Dictionary 298 (9th ed.2009) (defining "collateral attack" as "[a]n attack on a judgment in a proceeding other than
Williamson relies on Kitchen v. United States to support his argument that Rule 33 newly discovered evidence motions made while an appeal is pending are always critical stages triggering the Sixth Amendment right to counsel. In Kitchen, the Court of Appeals for the Seventh Circuit held that a defendant had a right to counsel for a Rule 33 motion filed while his direct appeal was pending, essentially because the direct appeal was pending:
Kitchen, 227 F.3d at 1018 (citations omitted). The Kitchen court rejected as "wide of the mark" the government's efforts "to label a pre-appeal motion for a new trial as a `collateral attack.'" Id. at 1019. Kitchen is, indeed, countervailing authority to our decision here. However, we have viewed Rule 33 motions filed during the pendency of an appeal as collateral in other contexts, see Prescott, 221 F.3d at 687, and we continue to hold that view here for the reasons we have stated. Accordingly, we find no violation of Williamson's Sixth Amendment right to counsel.
For the reasons stated, the judgment of conviction and the denial of the motion for
AFFIRMED
Williamson filed his new-trial motion on July 23, 2010, two days after the Supreme Court remanded his appeal to this court, and approximately one year before this court's August 3, 2011, remand to the district court on the Fifth Amendment issue. Little more than one month after we remanded the action, the district court denied Williamson's new-trial motion. And two months after denying that motion, the district court entered its opinion on the Fifth Amendment issue, pursuant to our instructions.