Opinion ID: 533823
Heading Depth: 1
Heading Rank: 4

Heading: augustine ramirez

Text: 62 Defendant Ramirez was arrested at his home in Rockford, Illinois, on June 19, 1987, and charged with conspiring to possess with intent to distribute and to distribute cocaine and 1,000 kilograms or more of marijuana in violation of 21 U.S.C. § 846 (Count One). Ramirez appeared in court with counsel on June 24, 1987, and entered a plea of not guilty. On December 2, 1987, Ramirez appeared in court with his attorney, stating that he wished to withdraw his original plea of not guilty and to enter a plea of guilty. 63 At the change of plea hearing, after defense counsel informed the court that Ramirez was reasonably conversant in English, 19 the government recited the charge against Ramirez and presented an extensive factual basis to support Ramirez's guilty plea. The factual basis consisted primarily of a government informant's conversations with the defendant and other co-conspirators indicted in Count One concerning various aspects of the drug trafficking operation. Specifically, the government alleged that on December 27, 1986, Ramirez recruited the informant to import narcotics from Mexico to Rockford, Illinois, and to distribute the proceeds from the sales of the drugs to the other members of the operation. On February 14, 1987, the informant recorded a conversation with Eva Ramirez, 20 who stated that the defendant would be taking care of business at this end while she and her husband Raul, the defendant's brother, were in El Paso, Texas. This fact was later confirmed in a conversation between the informant and Javier Preciado. 21 Preciado further stated that the defendant was selling marijuana at prices ranging from $650 to $800 per pound. Preciado, in a subsequent conversation, told the informant that Ramirez was helping him unload narcotics in Rockford and knew how to test them for quality. 64 The government also presented evidence of the seizure of $116,000 in cash from Tomas Perez at O'Hare Airport in Chicago. Perez, who was leaving for Mexico at the time of the seizure, informed law enforcement officials that approximately $30,000 of the cash belonged to Augustine Ramirez and that he (Perez) was transporting the money to Ramirez's relatives in Mexico. On May 14, 1987, the informant recorded a conversation with Perez, who stated that he could provide the informant with cocaine and marijuana for resale, but that she might have to obtain the drugs from Ramirez. 65 On June 13, 1987, the informant recorded a conversation with Ramirez in which she asked Ramirez for cocaine because Perez, her usual supplier, was in Mexico. Ramirez replied that it would cost $1,500 an ounce unless the informant agreed to purchase two ounces a week, in which case the price would be less. Ramirez stated, however, that he did not keep drugs at his residence and suggested that she contact Preciado. Ramirez also suggested that the informant could earn a profit by functioning as a courier between the suppliers and distributors of cocaine. The government also noted that after arresting Ramirez and searching his house, DEA agents confiscated more than $37,000 in cash, approximately 240 pounds of marijuana, two handguns, and a triple-beam scale. 66 Following the government's presentation of facts, the trial judge asked Ramirez whether the government's factual allegations were correct. Ramirez replied, Well, some of them are, some of them I don't [agree with]. 67 The judge then stated, I want to go over the matters to which you understand you're pleading and ask you some specific questions concerning what your understanding is as to what you're pleading to at the present time. The court reiterated the conspiracy charge as it appeared in the indictment, asking Ramirez if he had read the indictment and discussed the conspiracy charge with his attorney. Ramirez responded in the affirmative. The court then asked the defendant to describe his connection with this conspiracy. 68 Ramirez responded, Well the connection with the conspiracy was ... I only did it with my brother and this other guy. Most of the other guys I didn't even know them, you know. The only thing I did is ... I helped a little bit my brother. The defendant proceeded to explain that he had assisted his brother, as well as an individual named Bertha Villareal and another individual, in unloading and weighing three 240-pound shipments of marijuana, and that one of the shipments had been stored at his home. Ramirez admitted that he knew the shipments were marijuana and stated that each shipment had a street value of approximately $100,000. Further, Ramirez stated that on one occasion he had sold approximately 25 pounds of marijuana for $500 per pound. 69 Following the defendant's statements regarding his involvement in the conspiracy, the court again asked him if he had any dispute with the evidence the government presented as the factual basis for his plea of guilty to the conspiracy charge. Ramirez stated that he had never recruited the informant to transport narcotics and cash, that he had neither possessed nor sold cocaine, that he was not serious when he told the informant he could supply her with cocaine, that no portion of the money seized from Perez at O'Hare belonged to him, and that he had never agreed to take over the business while his brother was in El Paso. 70 The government stated that the evidence contradicted Ramirez's denials, but that, in any case, Ramirez's description of his role and activities in the operation provided a sufficient factual basis for his plea of guilty to the conspiracy charge. The court agreed, but as a precautionary measure, again questioned the defendant regarding his role in the conspiracy. In response to the court's questions Ramirez confirmed that he had participated in three 240-pound shipments of marijuana, being paid $500 per shipment, and that one of the shipments had been stored in his house. Ramirez also confirmed that he had sold a portion from one of the shipments, profiting $700 on the sale. The court stated that considering all of Ramirez's admissions, there was a sufficient factual basis for his plea of guilty. The court then proceeded to inform him of the rights he was waiving by pleading guilty, specifically stating that the maximum penalty for his offense was life imprisonment and a $4,000,000 fine. The defendant stated that he understood all of his rights, as well as the maximum penalty, and further stated that he was, in fact, guilty of the conspiracy charge. The court thereafter accepted Ramirez's plea of guilty, stating that the defendant is competent to enter his plea, that the plea is knowledgeable, voluntary, and has a basis in fact. The court then ordered the preparation of a presentence report. 71 Ramirez's sentencing hearing was held on February 26, 1988. In its factual statement in the presentence report, the government essentially restated the evidence presented as the factual basis for Ramirez's guilty plea at the defendant's change of plea hearing. In his statement in the presentence report, Ramirez insisted that his involvement in the conspiracy had been limited to assisting his brother with the three shipments of marijuana during 1986 and 1987. At the outset of the hearing, defense counsel informed the court that he had gone over the report with the defendant and that they were not contesting any of the facts presented in the report. The trial judge then addressed Ramirez, who confirmed that he had read the report, had gone over it with his attorney, and understood the factual allegations therein. The judge asked the defendant whether he wished to make any changes in the report. Ramirez responded, Well, the ones I already told [my attorney]. 72 Defense counsel replied that there was, in fact, a reference in the report to the $37,000 found in Ramirez's possession at the time of his arrest and stated that the money belonged to the defendant's brother Raul. The judge stated that the objection was noted for the record, but that the reference would be left in the report as stated. The judge further stated that he intended to address the dispute in his Rule 32(c)(3)(D) findings. 73 After listening to the parties' sentencing arguments, the trial court sentenced the defendant to a period of twelve years' imprisonment. In passing sentence, the court stated that in its opinion the defendant was heavily involved in this case, referring to the 250 pounds of marijuana, more than $37,000 in cash, and two nine-millimeter automatic pistols found in his possession at the time of his arrest. The judge rejected the defendant's explanation that the pistols had been obtained for self-protection after his home had been burglarized, and stated, I think he had them because he was a drug dealer, and he had them for his protection of his ill-gotten gains and the marijuana and cocaine that he was dealing with. Approximately one month later, on April 4, 1988, the district court filed a written determination, pursuant to Fed.R.Crim.P. 32(c)(3)(D), stating that Ramirez had challenged the presentence report's reference to the $37,000 seized at the time of his arrest and that this matter had not been relied upon in determining Ramirez's sentence. 74 On appeal, Ramirez challenges his conviction and sentence on the conspiracy charge, contending that: (1) the district court failed to comply with Fed R.Crim.P. 11 in accepting his plea of guilty; and (2) his sentence should be vacated because (a) he was deprived of his sixth amendment right to effective assistance of counsel at his sentencing hearing, (b) the district court violated Fed.R.Crim.P. 32(c)(3)(D) by failing to state prior to or contemporaneous with sentencing that it would not consider the $37,000 found in Ramirez's home at the time of arrest in determining his sentence, and (c) the district court sentenced him under the wrong law.
75 Ramirez, in the context of a pro se brief, initially argues that his plea of guilty to the conspiracy charge is invalid because the district court failed to comply with Fed.R.Crim.P. 11 in accepting the plea. Specifically, Ramirez contends that his plea was not entered voluntarily and intelligently because the court failed to adhere to the admonition requirements set forth in Rule 11(c)(1). 22 Ramirez further argues that the district court violated Rule 11(f) in accepting his guilty plea because there was an inadequate factual basis for the plea. 23 76 Rule 11(c)(1) sets forth procedures designed to assist the district judge in making the constitutionally required determination that a defendant's guilty plea is truly voluntary. [ ] McCarthy v. United States, 394 U.S. 459, 465, 89 S.Ct. 1166, 1170, 22 L.Ed.2d 418 (1969) (footnote omitted). Toward this end, Rule 11(c)(1) expressly directs the district judge to inquire whether a defendant who pleads guilty understands the nature of the charge against him and whether he is aware of the consequences of his plea. Id. As a rule, failure to comply with Rule 11(c)(1) constitutes reversible error in this circuit. United States v. Peden, 872 F.2d 1303, 1306 (7th Cir.1989). However, literal compliance is not required. In reviewing plea proceedings for compliance with Rule 11 we should not give  'Rule 11 such a crabbed interpretation that ceremony [is] exalted over substance.'  United States v. Ray, 828 F.2d 399, 404 (7th Cir.1987), cert. denied, 485 U.S. 64, 108 S.Ct. 1233, 99 L.Ed.2d 432 (1988) (citation omitted). Rather, the issue is whether, looking at the total circumstances surrounding the plea, the defendant was informed of his or her rights. United States v. Frazier, 705 F.2d 903, 907 (7th Cir.1983) (per curiam). 77 Despite the district judge's detailed questioning of Ramirez at the change of plea hearing, as well as his explicit finding that Ramirez's decision to plead guilty was knowingly, intelligently and voluntarily made, Ramirez nevertheless contends that the district judge violated Rule 11(c)(1) by failing to inform him of the nature of the conspiracy charge, the mandatory minimum sentence accompanying a conspiracy conviction under 21 U.S.C. § 846, and the possibility that he would be deported to Mexico upon the completion of his prison term. At the outset, we reject Ramirez's contention that the district court's failure to inform him of the possibility of deportation constitutes a violation of Rule 11. In United States v. Suter, 755 F.2d 523, 525 (7th Cir.), cert. denied, 471 U.S. 1103, 105 S.Ct. 2331, 85 L.Ed.2d 848 (1985), we stated that Rule 11 entitles a defendant to be informed of the direct, not all the collateral, consequences of his plea. It is well settled that the possibility of deportation is a collateral consequence of a guilty plea. 24 See United States v. Romero-Vilca, 850 F.2d 177, 179 (3d Cir.1988); Downs-Morgan v. United States, 765 F.2d 1534, 1538 (11th Cir.1985); United States v. Russell, 686 F.2d 35, 39 (D.C.Cir.1982); Nunez-Cordero v. United States, 533 F.2d 723, 726 (1st Cir.1976); Fruchtman v. Kenton, 531 F.2d 946, 948-49 (9th Cir.), cert. denied, 429 U.S. 895, 97 S.Ct. 256, 50 L.Ed.2d 178 (1976); Michel v. United States, 507 F.2d 461, 464-65 (2d Cir.1974). See also United States v. George, 869 F.2d 333, 337 (7th Cir.1989). Thus, the district court was not required to discuss the possibility of deportation with the defendant and did not violate Rule 11(c)(1) in this regard. 78 Similarly unavailing is Ramirez's assertion that the court violated Rule 11 by failing to inform him that a mandatory minimum sentence of ten years' imprisonment accompanied a conviction for conspiracy under 21 U.S.C. § 846. At the time Ramirez was sentenced, section 846 provided: 79 Any person who ... conspires to commit any offense in this subchapter is punishable by imprisonment or fine or both which may not exceed the maximum punishment prescribed for the offense, the commission of which was the object of the ... conspiracy. 80 (Emphasis added). 25 Apparently the defendant is under the belief that his conspiracy conviction carried a ten-year minimum sentence because 21 U.S.C. § 841(b)(1)(A)(iv) provides for a ten-year minimum penalty to individuals convicted of possessing with intent to distribute 1,000 kilograms or more of marijuana, which, according to the indictment, was the object of the conspiracy. This belief is somewhat puzzling in light of the fact that the government informed the defendant, as well as the court, that such was not the case in a pleading to correct prior representations by the United States Attorney that section 846 did, in fact, carry a minimum sentence of ten years. 81 In any event, the statutory provision above makes no reference to a mandatory minimum penalty; rather, it provides only that a sentence imposed under that section may not exceed the maximum penalty accompanying the substantive offense charged as the object of the conspiracy. Where a conspiracy statute fails to make reference to special penalty provisions such as mandatory minimum periods of incarceration, the special penalties may not be imposed for convictions under the conspiracy statute. See Bifulco v. United States, 447 U.S. 381, 100 S.Ct. 2247, 65 L.Ed.2d 205 (1980) (holding that special parole term accompanying a conviction for an offense charged as the object of the conspiracy is not imposable for violation of section 846). 26 Thus, no mandatory minimum penalty accompanied Ramirez's conspiracy conviction because the version of section 846 under which he was convicted makes no provision for the imposition of a minimum penalty. United States v. Campbell, 704 F.Supp. 661, 663-65 (E.D.Va.1989). Consequently, we hold that Ramirez's claim that the trial judge violated Rule 11 in failing to inform him of the mandatory minimum sentence under that section is without merit. 82 Ramirez's final allegation of error under Rule 11(c)(1) is that the district court failed to explain the nature of the conspiracy charge contained in Count One of the indictment. It is well settled that Rule 11(c)(1) requires that the district court, before accepting a guilty plea, inform the defendant of the nature of the charge and determine whether the defendant understands the charge. United States v. Cusenza, 749 F.2d 473, 474 (7th Cir.1984). The purpose of this requirement is to assure that a defendant, wishing to plead guilty, is not misled regarding the nature of the offense with which he stands charged. 1 C. Wright, Federal Practice and Procedure § 173, at 587 (2d ed. 1982). This court has recognized that [t]he colloquy necessary to satisfy Rule 11 'will vary from case to case depending on the complexity of the charges and the personal characteristics of the defendant including age, education, intelligence, alacrity of his responses, and whether he is represented by counsel.'  United States v. Darling, 766 F.2d 1095, 1098 (7th Cir.1985) (citations omitted). Thus, in reviewing the particular plea procedure employed by a trial court we have adopted a flexible and practical approach focusing on whether, under the totality of the circumstances, the purpose of Rule 11(c)(1) has been served. United States v. Gray, 611 F.2d 194, 199 (7th Cir.1979), cert. denied, 446 U.S. 911, 100 S.Ct. 1840, 64 L.Ed.2d 264 (1980). 83 In the present case the district court explicitly informed the defendant that he was charged with conspiring with various individuals to possess with intent to distribute cocaine and marijuana. The court went on to state that as part of the conspiracy, the defendants would and did travel between Rockford, the State of Texas, and the Republic of Mexico for the purpose of acquiring cocaine and marijuana for transportation to and distribution in Rockford. After reciting the conspiracy charge as it appeared in the indictment, the trial judge asked Ramirez if he had read the indictment and if he had discussed the conspiracy charge with his attorney; Ramirez responded that he had. Further, based on its questioning of Ramirez, the trial court explicitly found that Ramirez understood the nature of the charges against him. This alone has been held to be sufficient compliance with Rule 11(c)(1). See United States v. Thompson, 680 F.2d 1145, 1154-55 (7th Cir.), cert. denied, 459 U.S. 1089, 103 S.Ct. 573, 74 L.Ed.2d 934 (1982). Indeed, the court's statements informed Ramirez that he was charged with acting in concert with other individuals to possess and distribute narcotics in the Rockford area. This is the essence of conspiracy. See United States v. Koenig, 856 F.2d 843, 854 (7th Cir.1988) (A conspiracy is commonly defined as 'a combination or confederation of two or more persons formed for the purpose of committing, by their joint efforts, a criminal act.'  (quoting United States v. DeCorte, 851 F.2d 948, 953 (7th Cir.1988)). 84 Furthermore, we are convinced from the colloquy between the court and Ramirez concerning his role in the conspiracy that he fully understood the nature of the charge against him. As an initial matter, we note that Ramirez was twenty-nine years old, had lived in the United States for approximately thirteen years, and had a good command of the English language. On two separate occasions during the guilty plea proceeding, Ramirez admitted that in 1986 and 1987 he had been paid to assist his brother Raul and at least two other individuals in unloading, weighing and storing three 240-pound shipments of marijuana. Ramirez stated that after receiving a shipment, he then waited for his brother to decide what he wanted to do with the marijuana. He also admitted that he sold 25 pounds from one of these shipments for a price of $500 per pound, making an overall profit of $700 from the sale. Thus, Ramirez's own description of his role within the operation reflects that a confederation of individuals acted in concert to distribute narcotics, that Ramirez intentionally participated in this confederation and that he committed overt acts in furtherance of the confederation's conspiratorial scheme. Ramirez thus admitted to all of the elements necessary to establish guilt under 21 U.S.C. § 846, see United States v. Mealy, 851 F.2d 890, 896 (7th Cir.1988), which is sufficient to establish his understanding of the nature of the charge. See Cusenza, 749 F.2d at 476. The fact that Ramirez denied portions of the government's factual basis does not detract from our conclusion that he understood the nature of the conspiracy charge. Indeed, his denials reflect that he was aware of what he had done and was clarifying what he had not done. Ray, 828 F.2d at 413 (emphasis in original). The defendant specifically stated that he fully understood the facts which he was admitting. Moreover, he admitted three different times that he had participated in the conspiracy charged. We are therefore satisfied that Ramirez understood the nature of the charge against him. Accordingly, we hold that the district court fully complied with Rule 11(c)(1) in accepting Ramirez's plea of guilty and affirm the court's conclusion that Ramirez's decision to enter the plea was made freely, voluntarily and with full knowledge of the charge against him as well as the rights he was relinquishing. 85 Ramirez also contends that the district court erred in accepting his guilty plea to the conspiracy charge because there was an inadequate factual basis for the plea. Rule 11(f) requires that the trial court, prior to accepting an accused's plea of guilty, determine that a factual basis exists to support the plea. The court can make this determination from anything that appears on the record. Ray, 828 F.2d at 405-06. Thus, a trial court can satisfy itself that a factual basis exists from, among others, the government's presentation of evidence, the information contained in the presentence report, and the statements of the defendant in response to questions posed by the court. Although the government presented overwhelming evidence to support Ramirez's plea during its recitation of the factual basis, we need look no further than the colloquy between the court and the defendant regarding Ramirez's role in the conspiracy. As often occurs, parts of the colloquy simultaneously satisfy both the 'nature of the charge' and the 'factual basis' requirements of Rule 11. United States v. Lovett, 844 F.2d 487, 490 (7th Cir.1988). The defendant admitted that he acted in concert with his brother Raul and at least two other individuals in loading, storing, weighing, and distributing marijuana during 1986 and 1987. Thus, we agree with the trial court that the defendant's knowingly presented admissions were sufficient to establish an adequate factual basis for the defendant's guilty plea. Accordingly, we hold that Rule 11(f) has been satisfied in this case.
86 Ramirez next contends that we should vacate his sentence on the conspiracy charge and remand to the district court for resentencing. In support of this claim, Ramirez argues that his attorney's performance at the sentencing hearing amounted to constitutionally ineffective assistance of counsel. Further, he contends that the district court violated Fed.R.Crim.P. 32(c)(3)(D) in failing to determine until five weeks after sentencing that facts disputed by the defendant at the sentencing hearing had not been considered in formulating Ramirez's term of imprisonment. Finally, Ramirez argues that he should have been sentenced under the 1982 law and not the 1986 law. With regard to the third argument, Ramirez is apparently contending that he should not have been sentenced under the Anti-Drug Abuse Act of 1986, Pub.L. No. 99-570, 100 Stat. 3207 (1986), in which Congress increased the penalties for violations of the federal narcotics laws. We hold this argument to be without merit because Ramirez admitted to acting in furtherance of the charged conspiracy as late as June 18, 1987. Because the Anti-Drug Abuse Act was signed into law on October 27, 1986, well before Ramirez's participation in the conspiracy ceased, the trial court properly sentenced him according to the provisions of the 1986 Act. Further, we need not consider Ramirez's ineffective assistance of counsel claim 27 because we agree with his contention that the trial court violated Rule 32(c)(3)(D), and thus, remand to the district court for resentencing on that basis. 28 87 At the sentencing hearing defense counsel informed the court that Ramirez challenged the presentence report's characterization of the approximately $37,000 in cash found in the defendant's possession at the time of his arrest as assets attributable to Ramirez. According to the defendant, the money belonged to his brother Raul. The trial court noted the objection, but stated that the reference would be left in the report as stated, and that he would address the matter in his Rule 32(c)(3)(D) findings. Not until five weeks later did the court file its Rule 32(c)(3)(D) determination that this matter had not been relied on in sentencing the defendant, a technical violation of the rule. See Kramer, supra, 798 F.2d at 195. The government argues, as it did in Montoya's case, that resentencing is not required because the purposes of Rule 32(c)(3)(D) have been served despite the district court's failure to make its nonreliance determination in a timely fashion. 88 As noted above, one of the purposes of Rule 32(c)(3)(D) is to protect a defendant's right to be sentenced on the basis of accurate information. See Eschweiler, supra, 782 F.2d at 1385. Ramirez argues that despite the district court's determination of nonreliance, the district court did, in fact, rely on the $37,000 found in the defendant's possession in passing sentence. In support of this argument, Ramirez refers us to the following statement of the court at the sentencing hearing: 89 Augustine was heavily involved in this case. I would point out that at the time of his capture in this case, ... he had in his possession 250 pounds of marijuana, more than $37,000 in cash, and two nine-millimeter pistols. 90 In its brief, the government completely ignores the district court's reference to the $37,000. When questioned on the court's reference to the $37,000 at oral argument, the government stated only that possession and ownership are separate legal concepts, and thus, the court's reference to the defendant's possession of the money in no way demonstrates that the court was attributing ownership to Ramirez. As we stated at oral argument, this explanation calls for hairsplitting. The trial judge explicitly referred to the $37,000 in concluding at sentencing that the defendant was heavily involved in this case. Because of the court's somewhat ambiguous statement at sentencing referred to above, we refuse to speculate as to what the court meant by this reference. In our opinion, the defendant has made a sufficient showing that the court's ex post facto nonreliance determination regarding the money is not clear enough in its present form for us to hold that it is in compliance with the dictates of Rule 32(c)(3)(D). 91 Accordingly, we remand Ramirez's case to the district court for resentencing and, specifically, for a more definite finding as to Ramirez's ownership interest--whether it was mere possession or actual ownership--in the $37,000 and the effect of this interest on the sentence the court imposes.