Opinion ID: 359553
Heading Depth: 2
Heading Rank: 2

Heading: The Factual Basis for Count I.

Text: 8 Even though we have already determined that it is necessary to vacate the guilty plea as to Count I because of the failure to comply with Rule 11(c)(1), we will also address the issue of whether the record reveals a factual basis for accepting the guilty plea on the conspiracy charge. 8 9 In the present case, after the defendant had been given the Rule 11 advice, the court moved to establish the factual basis for the plea. The district judge asked the government to state the overt acts the defendant was charged with and then added, in order to shorten this . . . point out those parts of the indictment under Count I specifically involving this defendant. The record of the conduct about which the defendant was questioned is notable for what it fails to include or elicit from the defendant. There is no mention of or reference to the critical paragraphs in the indictment which identify the conspiracy scheme and object and spell out the means and manner by which the objects were to have been accomplished. There is no mention of his participation at the important Palmer House meeting, where the plan to hide two million dollars was discussed, and the fund created for bribing public officials; nor of his knowledge of the execution of the fraudulent performance bond; nor that he knew of the mailing of fraudulent service and rental contracts to transfer funds to Switzerland. At no point in the hearing does the government either summarize the evidence showing the conspiracy plan and agreement and the defendant concede his involvement, or does the defendant admit to conduct which would establish the critical elements of a conspiracy, i. e., what role did this particular defendant play in the overall venture, when did he play that role, did he know the purpose and did he share in the specific criminal venture of his alleged co-conspirators. Seiller v. United States, 544 F.2d 554 (2nd Cir. 1975). We find that the critical elements of the conspiracy charged were not admitted by the defendant and not established on the record at the January 31 plea hearing, when the court accepted the guilty plea on Count I. 10 The government, however, also argues that if the factual basis cannot be found on the record at the time of acceptance of the plea, this does not make a plea invalid, since, according to Rule 11(f), the critical point at which this determination must be made is before the court enters judgment which in this case did not occur until June 29, 1977. Thus, according to the government, the district judge was entitled to consider the evidence he had heard at the post-plea trial of this defendant's alleged co-conspirators to establish the factual basis for Mr. Wetterlin's plea. We reject completely the government argument insofar as it urges that this court may look to the transcript of that trial to determine if the district court was correct in finding a factual basis for the plea here. To allow such a maneuver would make meaningless Rule 11(g), which requires that a verbatim record of the Proceedings at which the defendant enters a plea shall be made, and . . . (this) record shall include . . . the inquiry into the accuracy of a guilty plea, (emphasis added) and the mandate of the Supreme Court in Santobello v. New York, 404 U.S. 257, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971), that the judge (shall) develop On the record the factual basis for the plea. General references by the district judge to the fact that he heard evidence at another trial which related to this charge and this defendant, but without specifying precisely what evidence he had in mind, is not sufficient for this court to consider that entire trial as being part of this record. 11 The Advisory Committee comments and various cases interpreting this aspect of the rule indicate that it is permissible for the district judge to consider and look to more than the defendant's responses to the court's questions to determine whether there is a factual basis for the plea. 9 However, the rule requires that whatever the judge considers in making this determination must appear On the record, and what is on the record in the instant case, regardless of whether the June 27, 1977, hearing is also considered, is insufficient to establish the factual basis for the plea. In addition we interpret the rule to require that a district judge shall not Accept a guilty plea until he has determined that there is a factual basis for the plea. This court only recently had occasion to note in discussing the purpose for the factual basis requirement that the judge must determine 'that the conduct defendant admits constitutes the offense . . . to which (he) has pleaded guilty', a requirement designed to 'protect a defendant who is in the position of pleading voluntarily with an understanding of the nature of the charge but without realizing that his conduct does not actually fall within that charge.'  Carreon v. United States, 578 F.2d 176, 178 (7th Cir. 1978). We fail to see how such a critical determination can be left until after the acceptance of the guilty plea. The escape-hatch phrase in Rule 11(f) clearly would permit the court even though it ha(d) originally accepted a guilty plea, to set the plea aside if it determine(d) prior to sentencing that there was no factual basis for the plea. 8 Moore's Federal Practice, P 11.02(2) at 11-33. We also believe that in a situation where after the district judge has determined there is a factual basis and has accepted the plea but has not entered judgment there is an attack made by the defendant on the plea, the judge should be able to look to other evidence 10 to resolve the problem. However, if the district judge finds it necessary to look to evidence other than the defendants' statements to establish the factual basis for the plea in any situation, these additional facts or evidence must be specifically articulated on the record. That was not done in this case. 12 Accordingly, we find that the judge also failed to establish on the record the factual basis for the conspiracy plea and thus the noncompliance with Rule 11(f) provides an independent basis for vacating the plea on Count I. We wish to make clear that we have no doubt that the district judge intended to fully comply with the requirements of Rule 11 and only accepted the plea because he felt there had been full compliance and that the plea was voluntary. The district judge may himself have had knowledge of facts or circumstances which persuaded him that the defendant understood the charges and that there was a factual basis for plea. Thus it is not without regret that this court finds it necessary to vacate the plea on Count I; however, the rule is explicit in its requirement that compliance be shown On the record. Because we find that the record does not show that there was compliance with Rule 11(c)(1) and (f), we are required by McCarthy to vacate the guilty plea and to allow the defendant to plead again.