FI LED U. S . COURT OF AP PE ALS E L E V E N T H C IR C U IT M ar c h 8, 2006 T HOM AS K. KAHN CL E RK [ DO NO T P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 05- 13031 N on -A rgum entC al endar

________________________ D. C. Do c k e tNo . 0 4 - 8 0 1 3 7 - CR - KLR U N I T E D S T A T E S O F A M E R I C A , P la in tif f- A p p e lle e , v ersu s D I E G O A L B E R T O R U B I O - L E D E Z M A , D e fe n d a n t- A p p e lla n t.

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt forthe S outhe r n D i s tr i c tof F l or i da

_________________________ ( M ar c h 8, 2006) B efo re T JO F L A T , C A R N E S an d K R A V IT C H , C i rcu i tJu d g es. P E R C U R I A M: D i ego A l bert o R ub i o-L edez m a app ea l s hi s c on vi cti on and sent ence for r e-2

ent er i ng the U ni t ed S t at es i l l egal l y a ft erhavi ng been depo rt ed, i n v i ol ati on of 8 U . S. C. § 1 3 2 6 ( a ) a n d ( b ) ( 2 ) . Fo rth e r e a s o n s th a tfo l l o w , w e a f f i r m. I . B a c kgr ound R ub i o-L edez m a, an al i en w ho had p re vi ou sl y bee n d eport ed fr om the U ni t ed S t a t e s , w a s i ndi c t e d forunl a w f ul l y r e - e nt e r i ng the U ni t e d S t a t e s w i thoutthe A tto r n e y G e n e r a l o rth e S e c r e ta r y o f H o m e la n d S e c u r ity h a v in g c o n s e n te d to h is r e a ppl y i ng fora dm i s s i on, i n vi ol a t i on of 8 U . S . C . § 1326( a ) a nd ( b) ( 2) . W i th the as si st ance of re t ai ned cou nsel , R ub i o-L edez m a a gree d t o ent era gui l ty pl ea . A tthe change-of-pl eahear i ng , the courtconfi rm ed thatR ub i o-L edez m a had b e e n g iv e n th e o p p o r tu n ity to s p e a k w ith c o u n s e l a n d th a t h e w a s s a tis f ie d w ith c o u n s e l’s r e p r e s e n ta tio n . T h e c o u r t th e n in fo r m e d R u b io - L e d e z m a , in te ra lia , th a t, yo u h av e a ri g h tt o p l ead n o tg u i l ty t o an y ch arg es p en d i n g ag ai n st y o u , a n d to p e r s is t in th a t p le a . T h a t y o u w o u ld th e n h a v e th e r ig h t to atr i a l by j ur y , a tw hi c h t i m e y ou’ d ha ve the r i ghtt o the a s s i s t a nc e of coun se l for y ou r def

ense , the ri gh tt o see and h ear a l l w i t ness es a ga i ns ty ou a nd ha ve the m c r os s - e xa m i ne d i n y ourde fe ns e , the r i ght o n y o u ro w n p a r t to r e f

u s e to te s tif

y u n le s s y o u v o lu n ta r ily e le c te d to d o s o in y o u ro w n d e fe n s e , . . . . T he go vernm entm ade the fol l ow i ng fa ctual proffe r: R ub i o-L edez m a w as a c i t i ze n of M exi co w ho ent er ed the U ni t ed S t at es throu gh T exas i n 1 99 7. In 19 99 , he w as conv i ct ed of vari ou s drug o ff ense s a nd , af

t era t er m of i m pri sonm ent , he w as r e m ove d f

r om the U ni t e d S t a t e s . I n 2004, he w a s found i n F l or i daa nd a rr e s t e d; he3

di d n othave perm i ss i on t o re- ent erthe U ni t ed S t at es . R ub i o-L edez m a a cc ept ed the gove r nm e nt ’ s fa c t s a nd e nt e r e d hi s gui l ty pl e a , w hi c h the c our ta c c e pt e d. T he prob ati on offi ce r pre pare d a pre- se nt ence i nv es t i gat i on re po rt(“ P S I” ), a s s i g n i n g ab a s e o f

fe n s e l e v e l o f

8 p u r s u a n tt o U . S. S. G . § 2 L1 . 2 . Ru b i o - Le d e z ma r e c e i ve d a16- l e ve l e nha nc e m e ntunde r§ 2L 1. 2( b) ( 1) ( A ) be c a us e of hi s pr i or conv i cti on for afe l on y drug tra ff i cki ng offe nse for w hi ch the se nt ence i m po se d exce eded 13 m on ths. T he prob ati on offi ce r then recom m ended a three -l evel r e duc t i on fora c c e pt a nc e of r e s pons i bi l i ty , r e s ul t i ng i n a n a dj us t e d of fe ns e l e ve l of 21. T he pr oba t i on of

f i c e rnot e d R ubi o- L e de z m a ’ s 1999 c onvi c t i ons fortr a f f i c ki ng i n cocai ne and p osse ss i on of m ar i j uana and ass i gn ed hi m a c ri m i nal hi st ory cat eg o ry o f IV , m ak i n g th e ap p l i cab l e g u i d el i n es ran g e 5 7 t o 7 1 m o n th s’ im p r is o n m e n t. R u b io - L e d e z m af

ile d n o o bje c tio n s to th e P S I , b u t in d ic a te d th a t h e w o u ld s e e k ad o w n w a r d d e p a r tu r e . A t s e n te n c in g , h e a g a in fa ile d to o bje c t to th e P S I . T he courtul t i m at el y r ej ec t ed R ub i o-L edez m a’ s r equestfor dow nw ar d d epar ture, concl ud i ng thatthe fa ct s of the ca se di d n otw arra ntsuch departure. T he court d e te r m in e d th a t as e n te n c e w ith in th e a d v is o r y g u id e lin e s r a n g e w a s s u f f ic ie n t to m e e tthe fa c t or s out l i ne d i n 18 U . S . C . § 3553( a ) , t o de m ons tr a t e the s e r i ous ne s s of the offens e a nd t o p rovi de a j ustand reas on abl e pun i shm ent . T he courtfurther4

st at ed thati tw as “ i m po rt antt o send a m es sa ge abou ti l l egal re -e ntry . ” T he court the n s e nt e nc e d R ubi o- L e de z m at o 57 m onths ’ i m pr i s onm e nt , as e nt e nc e a tthe bo tt om of the appl i cabl e gui del i nes r ange. T h ereafter, ret ai n ed co u n sel m o v ed t o w i th d raw , ci t i n g a co n fl i cto f i n t erest thathad d evel op ed du e t o R ub i o-L edez m a’ s bel i ef thatcoun se l had b ee n i ne f fe c t i ve . T he c our tgr a nt e d the m ot i on, found R ubi o- L e de z m ai ndi ge nt , a nd a p p o in te d n e w c o u n s e l. I I . D i s c us s i on R ul e 11 E rr or R ub i o-L edez m a f

i rs tar gu es thatthe di stri ctcourtfa i l ed t o sati sf y the core concerns of Ru l e 11 d uri ng hi s pl eacol l oq uy by fa i l i ng t o i nstructhi m thathe had the ri gh tt o h ave c ou nsel appo i nt ed t o repre se nthi m . R ub i o-L edez m a e xp l ai ns that he had ret ai ned cou nsel du ri ng the pl eahear i ng , bu tthatcoun se l w as expensi ve, and h e f el tconstra i ned b y hi s f

i nanci al si tuat i on t o avo i d the costof tri al i nve s t i ga t i on a nd pr e pa r a t i on. H e a r gue s tha t , a s ar e s ul t , he di d notunde r s t a nd the di re ctconsequences of hi s gui l t y pl ea . W he n ade fe nda ntfa i l s t o a s s e r taR ul e 11 vi ol a t i on i n the di s tr i c tc our t , he m us ts how pl a i n e rr oron di r e c ta ppe a l t o be e nt i t l e d t o r e l i e f . U ni t e d S t a t e s v. V on n, 53 5 U . S . 55 , 57 -63 (20 02 ). “ P l ai n err or occurs w here (1) there i s a n err or;5

( 2 ) th a t is p la in o ro b v io u s ; ( 3 ) a f fe c tin g th e d e fe n d a n t’s s u b s ta n tia l r ig h ts in th a t it w as p rej u d i ci al an d n o th arm l ess; an d (4 ) th atseri o u sl y affects th e fai rn ess, in te g r ity , o rp u b lic r e p u ta tio n o f th e ju d ic ia l p r o c e e d in g s .” U n ite d S ta te s v . H a ll, 3 1 4 F .3 d 5 6 5 , 5 6 6 ( 1 1 th C ir . 2 0 0 2 ) . “[ A ] d e fe n d a n t w h o s e e k s r e v e r s a l o f h is c o n v ic tio n a f

te rag u ilty p le a , o n th e g r o u n d th a t th e d is tr ic t c o u r t c o m m itte d p la in e rr orunde rR ul e 11, m us ts how ar e a s ona bl e pr oba bi l i ty tha t , butforthe e rr or , he w o u l d n o th a v e e n t e r e d th e p l e a . ” U n i t e d St a t e s v . D o mi n g u e z Be n i t e z , 5 4 2 U . S. 74 , 82 -83 (20 04 ).

“ W hen a di stri ctcourtac ce pt s agu i l ty pl ea , i tm ustensure thatthe three core c onc e r ns of

R ul e 11 . . . ha ve be e n m e t : ( 1) the gui l ty pl e am us tbe f r e e f r om c oe r c i on; ( 2) the de fe nda ntm us tunde r s t a nd the na tur e of the c ha r ge s ; a nd ( 3) the defe nd antm ustkn ow and u nd er st and t he consequences of hi s gui l ty pl ea . ” U ni t ed S t a t e s v. L e

j a r de - R a da , 319 F . 3d 1288, 1289 ( 11th C i r . 2003) ( i nt e r na l quot a t i on m a r k s o m itte d ) . G e n e r a lly , th is c o u r t w ill u p h o ld ap le ac o llo q u y th a t te c h n ic a lly vi ol at es R ul e 11 so l on g as i tadequat el y a dd re ss es the three core concerns ou t l i ned a b o v e . S e e , e .g ., U n ite d S ta te s v . J o n e s , 1 4 3 F .3 d 1 4 1 7 , 1 4 2 0 ( 1 1 th C ir . 1 9 9 8 ) . M oreover, i n the R ul e 11 con t extw e “ m ay consul tthe w ho l e r ec ord w hen c ons i de r i ng the e f

fe c tof a ny e rr oron s ubs t a nt i a l r i ght s , ” M onr oe , 353 F . 3d a t135- 49, a nd w e a r e pe r m i tt e d t o gi ve as tr ong pr e s um pt i on of tr uth t o s t a t e m e nt s m a de6

by the de fe nda ntdur i ng the pl e ac ol l oquy . U ni t e d S t a t e s v. M e dl oc k, 12 F . 3d 185, 18 7 (11 th C i r. 19 94 ). R ul e 11 r e qui r e s tha tthe di s tr i c tc our ti nfor m the de fe nda nttha the ha s “ the r i ghtt o be r e pr e s e nt e d by c ouns e l –a nd i f ne c e s s a r y ha ve the c our ta ppoi nt c o u n s e l

– a ttr i a l a n d a te v e r y o th e rs t a g e o f th e p r o c e e d i n g . ” Fe d . R. Cr i m. P. 1 1 ( b ) ( 1 ) ( D ) . H e r e , th e c o u r t fa ile d to in s tr u c t R u b io - L e d e z m ar e g a r d in g th is parti cul arri gh t . H ow ever , al tho ug h the courtm ay have t ec hn i ca l l y fai l ed t o m ee t the r e qui r e m e nt s of

R ul e 11, the r e c or d a s aw hol e r e ve a l s tha tthe e rr ordi d not a f fe c t R u b io - L e d e z m a ’s s u b s ta n tia l r ig h ts . F i r s t , the c our ti nfor m e d hi m tha the ha d the r i ghtt o c ouns e l , a l though the c o u r t d id n o t s ta te th a t h e h a d th e r ig h t to h a v e c o u n s e l a p p o in te d fo rh im . T h is w as no ta “ t ot al fa i l ure” t o m ee tthe core r equi re m ent s of R ul e 11, ho w ever . C f. U ni t e d S t a t e s v. H e r na nde z - F r a i r e , 208 F . 3d 945, 950 ( 11th C i r . 2000) . S e c ond, R ub i o-L edez m a w as re pres ent ed by coun se l du ri ng the col l oq uy, and h e i nd i ca t ed tha the w a s s a t i s f

i e d w i th c ouns e l . M or e ove r , “ [ i ] ti s fa i rt o bur de n the de fe nda nt w ith h is la w y e r ’s o b lig a tio n to d o w h a t is r e a s o n a b ly n e c e s s a r y to r e n d e rth e g u ilty p le ae f fe c tu a l a n d to r e f

r a in f r o m tr if lin g w ith th e c o u r t. I t th e r e fo r e m a k e s s e n s e to r e q u i r e c o u n s e l t o c a l l aRu l e 1 1 fa i l i n g t o th e c o u r t ’ s a tt e n t i o n . ” V o n n , 5 3 5 U . S. a t73 n. 10. H e r e , de fe ns e c ouns e l di d notobj e c tt o the c our t ’ s fa i l ur e t o m e nt i on7

R u b io - L e d e z m a ’s r ig h t to a p p o in te d c o u n s e l. F in a lly , R u b io - L e d e z m ah a s n o t m e t h is b u r d e n o f s h o w in g th a t h e w o u ld notha ve pl e a de d gui l t y butforthe e rr or . H e fa i l e d t o e xpr e s s c onf us i on ove rthe pl e adur i ng the c ol l oquy ; nordi d he e xhi bi ta ny i nt e r e s ti n pr oc e e di ng t o tr i a l or r e m or s e a boutpl e a di ng gui l t y dur i ng s e nt e nc i ng. N e ve r the l e s s , he a r gue s tha the pl ea ded g ui l t y onl y bec ause he w as concerned re gardi ng the costof go i ng t o tri al and t hathe w ou l d h ave procee ded t o tri al w i th app oi nt ed coun se l had h e bee n a w a r e of tha topt i on. T hi s a r gum e nti s i ns uf f i c i e ntt o m e e thi s bur de n. In D om i ng uez B eni t ez , w e not ed that [ w ]h e n th e r e c o r d m a d e fo rag u ilty p le aa n d s e n te n c in g r e v e a ls [ s tr o n g e v id e n c e o f

g u ilt] . . . o n e c a n fa ir ly a s k ad e fe n d a n t s e e k in g to w i thdr a w hi s pl e aw ha the m i ghte ve rha ve thoughthe c oul d ga i n by g o i n g t o tri al . T h e p o i n to f th e q u est i o n i s n o tt o seco n d -g u ess a de fe nda nt ’ s a c tua l de c i s i on; i f i ti s r e a s ona bl y pr oba bl e he w oul d ha ve gone t o tr i a l a bs e ntthe e rr or , i ti s no m a tt e rtha tthe c hoi c e m a y ha ve been fool i sh. T he po i nt , ra ther, i s t o enq ui re w hether the om i tt ed w a r ni ng w oul d ha ve m a de the di f fe r e nc e r e qui r e d by the s t a nda r d of r e a s o n a b le p r o b a b ility . . . 5 4 2 U .S . a t 8 5 . H e r e , th e e v id e n c e a g a in s t R u b io - L e d e z m aw a s s tr o n g , a n d it is unc l e a rw ha tbe ne f

i the c oul d pos s i bl y ha ve r e c e i ve d by w i thdr a w i ng hi s pl e aa nd p r o c e e d in g to tr ia l. T h e r e fo r e , in lig h t o f th e e v id e n c e a g a in s t R u b io - L e d e z m a , h is r e pr e s e nt a t i on by c ouns e l , a nd hi s s t a t e m e nt s m a de dur i ng the pl e ac ol l oquy , the d is tr ic t c o u r t’s R u le 1 1 e rr o rd id n o t a f fe c t R u b io - L e d e z m a ’s s u b s ta n tia l r ig h ts .8

A c c o r d i n g l y , w e a f

f i r m. S e nt e nc e E nha nc e m e nt R ubi o- L e de z m ane xta r gue s tha t , pur s ua ntt o U ni t e d S t a t e s v. B ooke r , 543 U . S . 220 ( 2005) , the c our tw a s notpe r m i tt e d t o e nha nc e hi s s e nt e nc e ba s e d on pri or conv i cti on s thatw er e notchar ged i n the i nd i ctm entor prov ed t o a j ury beyond a r ea sonabl e dou bt . R ub i o-L edez m a c on ce des, ho w ever , thatthi s c ou rthas rej ect ed th i s arg u m en t s i n p ri o r cases. S ee, e. g . , U n i t ed S t at es v . O rd u n o -M i rel es, 405 F . 3d 960, 962- 63 ( 11th C i r . 2005) ( “ [ B ] e c a us e the pr i or - c onvi c t i on e xc e pt i on r e m a i ns undi s turbe d a f

t e rB ooke r , adi s tr i c tc our tdoe s note rrby r e l y i ng on pr i or c onvi c t i ons t o e nha nc e ade fe nda nt ' s s e nt e nc e . ” ) ; U ni t e d S t a t e s v. C a m a c hoI b a r q u e n , 4 0 4 F .3 d 1 2 8 3 , 1 2 9 0 ( 1 1 th C ir . 2 0 0 5 ) . Wh e n ad e fe n d a n tfa i l s t o o bj e c tt o a n e rr o rb e fo r e th e d i s tr i c tc o u r t , we r e v ie w fo rp la in e rr o r . U n ite d S ta te s v . R o d r ig u e z , 3 9 8 F .3 d 1 2 9 1 , 1 2 9 8 ( 1 1 th C i r. ), ce rt . deni ed, 12 5 S . C t . 29 35 (200 5). B ec ause enhancem entbase d o n a pri or conv i cti on do es no tconst i tut e a const i tut i on al B oo ker e rr or, w e a ff i rm R ub i o-L edez m a’ s s ent ence . F o rth e fo r e g o i n g r e a s o n s , th e j u d g m e n to f th e d i s tr i c tc o u r ti s AF F I R ME D.