Opinion ID: 195871
Heading Depth: 2
Heading Rank: 4

Heading: Consequences of Guilty Plea

Text: 25 The defendants also contend that the trial judge failed to inform them of the consequences of their guilty pleas. Specifically, they claim that the court failed to determine that they understood and waived their rights to remain silent, to a jury trial, and to confront witnesses against them. In addition, they contend that the court did not explain the possibility of departure from the guidelines or counsel the defendants about the possibility of a later prosecution for perjury based upon their statements at the Rule 11 hearing. We necessarily turn to an examination of the plea colloquy. 26 The trial court began by asking each defendant whether he had read and understood the petition questions, and whether he had consulted with his attorney regarding those questions and his answers. Each defendant answered in the affirmative. The court then asked the standard questions to determine whether the defendants were competent to plead and whether they were satisfied with their attorneys. The court asked each defendant whether he remembered reading and answering questions about his right to a jury trial and whether he understood that if he pleads guilty he will be found guilty without a trial. The defendants responded in the affirmative to all these questions. 27 Next, the court asked each of the defendants to give their story with respect to the charges against them, which each defendant did. Then the government gave a detailed summary of the evidence it would prove at trial and each defendant indicated his agreement with the government's recitation of the pertinent evidence. The court then informed each defendant of the maximum and minimum penalties provided by law for the charged offenses and received their assurances that they understood their potential sentences. Finally, the court asked each defendant whether, knowing the possible penalties, including the mandatory minimum of 120 months, they wanted to plead guilty. Each defendant answered in the affirmative. The court did not specifically ask the defendants whether they knew and understood their rights to remain silent and to confront witnesses against them, nor did it mention the possibility of departure or a perjury charge. 28 It is abundantly clear from the transcript of the hearing that the defendants understood the nature of the charges against them, understood their right to a jury trial, understood their potential sentences, agreed with the prosecutor's recitation of what the government would prove at trial, and, most importantly, acknowledged, with no perceptible hesitation, their guilt based on those allegations. Moreover, there was no need to discuss departure from the guidelines because all the parties agreed that there was a statutory minimum of 120 months. The narrow question for decision, therefore, is whether the failure of the trial court to specifically mention the right to remain silent, the right to confront witnesses, and the possibility of a perjury charge, standing alone, mandates that defendants be permitted to withdraw their guilty pleas. We conclude, based on the totality of the circumstances, that it does not. 29 The district court explained, and determined on the record that the defendants understood many of the consequences of their guilty pleas. This is, therefore, not a case of a total failure to address one of Rule 11's core concerns. See Allard, 926 F.2d at 1244-45 (citing McCarthy, 394 U.S. at 471-72, 89 S.Ct. at 1173-74. 5 The question, therefore, is whether the district court's failure to inform the defendants of all of the consequences of their pleas, as delineated by Rule 11, affected defendants' substantial rights. See Fed.R.Crim.P. 11(h). For the reasons explained below, we conclude that Rule 11's core concern that defendants understand the consequences of their plea was adequately addressed in this case and that the defendants' substantial rights were not violated. We therefore hold that the district court's failure to explicitly address all of Rule 11's requirements was harmless error. 30 The record of the plea hearing is replete with evidence that the defendants understood the charges against them, faced up to them, and chose voluntarily to plead guilty. It is clear also that the defendants understood that they had the right to persist in their innocence and go to trial, and that they had read and understood the petition questions, which explained that they had the right to remain silent and to confront witnesses against them. Moreover, the trial court meticulously explained, and ensured on the record that the defendants understood, the maximum and minimum statutory penalties and their sentencing guideline ranges. Each defendant stated on the record that he understood that his minimum sentence would be 120 months. 31 Finally, we are mindful of the traditional factors relevant to the review of a change of plea request. 6 First, defendants waited two months before deciding that they did not understand the consequences of their guilty pleas. Second, defendants have not asserted their legal innocence. Third, defendants have not argued, much less attempted to show, that the knowledge that they had the right to remain silent and to confront the witnesses against them at trial would have materially affected their decisions to plead guilty. 32 Defendants argue that our decision in Medina-Silverio requires reversal. In that case, however, we held only that: 33 Where a district court neither conducts a direct personal interrogation, nor advises the defendant of his rights, all substantially as required under Rule 11, there can be no sufficient basis for finding that the guilty plea was voluntary, intelligent or otherwise valid. 34 Medina-Silverio, 30 F.3d at 3. Thus, a trial court's reliance solely on answers provided by a defendant in a written document is insufficient for purposes of Rule 11. In this case, in addition to answers provided in a written document, however, the court personally and meticulously addressed each of the defendants with respect to the alleged facts underlying the charges against him, his right to a jury trial and the maximum and minimum sentences.