Opinion ID: 2994153
Heading Depth: 2
Heading Rank: 1

Heading: Nature of the Charge

Text: Rule 11 states that before accepting a plea of guilty or nolo contendere, the court must address the defendant personally in open court and inform the defendant of, and determine that the defendant understands . . . the nature of the charge to which the plea is offered. Fed. R. Crim. P. 11(c)(1). Although Rule 11’s language demands that the trial judge personally inform the defendant of the nature of the charge to which he is pleading guilty, this court does not require literal compliance with the Rule. See United States v. LeDonne, 21 F.3d 1418, 1423-24 (7th Cir. 1994); United States v. Musa, 946 F.2d 1297, 1302 (7th Cir. 1991). Instead, when determining whether a defendant understands the nature of the crime to which he is admitting guilt, we have approved practices in which prosecutors identify the elements of the charged offense followed with an inquiry by the court confirming the defendant’s understanding of the crime. See LeDonne, 21 F.3d at 1424. Similarly, we have recognized the validity of having prosecutors recount the specific facts which satisfy the elements of the charged offense followed by an admission of those facts by the defendant under questioning by the trial judge. Id. Unless the defendant fully comprehends the elements of the crime to which he is confessing, his plea cannot be said to have been knowingly and voluntarily entered. LeDonne, 21 F.3d at 1423 (citing Musa, 946 F.2d at 1303). To determine whether the defendant fully understands the nature of the charge to which he is admitting guilt, we have adopted a totality of the circumstances approach. Under this test, we consider (1) the complexity of the charge; (2) the defendant’s level of intelligence, age, and education; (3) whether the defendant was represented by counsel; (4) the judge’s inquiry during the plea hearing and the defendant’s statements; and (5) the evidence proffered by the government. LeDonne, 21 F.3d at 1423; Musa, 946 F.2d at 1304. In this case, the district court engaged in the following colloquy to verify whether Fernandez understood the nature of the drug conspiracy charge to which he was pleading guilty: THE COURT: Okay. Now you are here in court with your lawyer and I want to talk now about some of the rights that you have and a little bit about what this case is about. Have you read the indictment in this case? THE INTERPRETER: Yes, I have. THE COURT: Did you read it yourself, or did you have someone read it to you? THE INTERPRETER: My attorney read it to me. THE COURT: And your attorney speaks Spanish does he? THE INTERPRETER: Yes. THE COURT: Did you understand what he said to you when he read it to you? THE INTERPRETER: Yes. THE COURT: And did you--did he answer any questions that you had about the indictment? THE INTERPRETER: Yes. THE COURT: So do you understand then what you are charged with here in the court today? THE INTERPRETER: Yes, sir. THE COURT: Are there any questions at all about anything in this indictment you have? THE INTERPRETER: No. While this discussion is somewhat helpful in evaluating whether Fernandez understood the conspiracy charge, it does not end our inquiry. We have repeatedly held that simply asking a defendant if he has read and discussed the indictment with his attorney is insufficient to determine if he truly understands the nature of the charge against him. See LeDonne, 21 F.3d at 1424; United States v. Ray, 828 F.2d 399, 410 (7th Cir. 1987); United States v. Darling, 766 F.2d 1095, 1098 (7th Cir. 1985). Perhaps recognizing that questioning Fernandez about whether he read and understood the indictment was not enough, the district court also asked the AUSA to provide a factual basis for the plea, which she did. During that factual proffer, the AUSA described the specific acts committed by several individuals to transport the 453 kilograms of marijuana from southern Texas to its intended destinations in Kentucky and Illinois. The AUSA described the planned distribution of the contraband and named the individuals who worked for Fernandez. Finally, the prosecutor gave the factual basis for the government’s contention that Fernandez was a leader of the conspiracy and its assertion that Fernandez should be held accountable for amounts of marijuana in excess of that charged in the indictment. At the conclusion of the government’s factual proffer, the district court and Fernandez had the following exchange: THE COURT: Well, now, with the exception of the last part about the relevant offense conduct being 3,000 kilograms, and the bit about you’re [sic] being a leader or manager, the other statement that she made about that you did in connection with the drug transaction and your part in the drug transaction, factually, did you, in fact, do the things that she says you did? THE INTERPRETER: Not all of the acts, partially. THE COURT: What acts didn’t you do? THE INTERPRETER: Yes, your Honor, I did. THE COURT: He did those things? THE INTERPRETER: Yes. THE COURT: Okay. That’s what you’re pleading guilty to. Do you understand that? THE INTERPRETER: Yes, your Honor. Following this colloquy, the court accepted the guilty plea and adjudged Fernandez guilty of the offense charged in the indictment. Although this is a close case, we cannot conclude that Fernandez was fully aware of the nature of the crime to which he pleaded guilty. Applying the five factors identified in LeDonne, 21 F.3d at 1423, it is not at all clear from this record that Fernandez’ guilty plea was knowing and voluntary. Rather, under our totality of the circumstances approach, we find this guilty plea enveloped in confusion and misunderstanding. Additionally, it appears from the record that the district court fell short of fulfilling its obligations under Rule 11. The charge against Fernandez was conspiracy to distribute marijuana. While a drug conspiracy charge may seem simple or commonplace to well- educated prosecutors, defense attorneys, and judges who deal with them on a daily basis, the charge of ’conspiracy’ is not a self-explanatory legal term or so simple in meaning that it can be expected or assumed that a lay person understands it. United States v. Wetterlin, 583 F.2d 346, 350 (7th Cir. 1978). Fernandez is a native of Mexico, has only a fifth grade education, and understands very little English. Aside from one charge for driving under the influence of alcohol, Fernandez had never before been charged with a crime. These facts strongly suggest that, like most lay people, Fernandez would not understand the term conspiracy without some further explanation. Based on the complexity of the charge and Fernandez’ lack of education or familiarity with the criminal justice system, the first two factors articulated in LeDonne favor a finding that Fernandez did not fully understand the nature of the conspiracy charge to which he was admitting guilt. See United States v. Longoria, 113 F.3d 975, 977 (9th Cir. 1997) (guilty plea cannot be truly voluntary unless the defendant possesses an understanding of the law in relation to the facts) (citations omitted). Turning to the third factor, although Fernandez was represented by attorney Stobbs at his change of plea hearing, Stobbs provided representation that left much to be desired. Mainly, Stobbs had a very serious conflict of interest that he failed to disclose to Fernandez. Notwithstanding his knowledge of this conflict, Stobbs represented Fernandez from indictment to guilty plea and may well have given Fernandez advice that convinced him to plead guilty. Although the record does not disclose whether Fernandez’ guilty plea benefitted Stobbs’ other client, any conflict of interest during the vital period in which a defendant is deciding whether to plead guilty is a serious transgression. The upshot of these facts is that while Fernandez did have counsel to advise him, we cannot say with any degree of certainty that his counsel’s assistance was more helpful than harmful. The fourth factor, the depth and clarity of the discussion between the trial judge and the defendant concerning the nature of the charge, illustrates that Fernandez experienced substantial confusion over the crime to which he was admitting guilt. For example, when the district court asked Fernandez if he had done the things set forth in the AUSA’s factual proffer, Fernandez responded, Not all of the acts, partially. When asked which acts he didn’t commit, Fernandez changed his answer and replied, Yes, your Honor, I did. In response to this new and drastically different answer, the district judge bypassed Fernandez altogether and questioned the interpreter directly by asking, He did those things? To which the interpreter answered yes. The confusion over precisely what acts Fernandez admitted continued at the hearing on his motion to withdraw the guilty plea. During that hearing, the trial court asked Fernandez if he had understood everything that Stobbs had told him at the change of plea hearing and Fernandez responded, Not everything. I thought I was pleading guilty partially. In short, Fernandez’ accounts of what acts he admitted and those he denied were very murky. Based on this record, it is impossible to ascertain precisely what acts Fernandez admits and which he denies. Fernandez twice told the district court that he was only partially guilty. However, without further investigatory questions to flush out the details of Fernandez’ participation in the conspiracy, the district court accepted the guilty plea. Because we cannot glean a clear understanding of Fernandez’ participation in the crime charged, it is impossible to determine whether Fernandez himself understood the nature of the crime to which he was pleading guilty. The final factor in our totality of the circumstances approach requires us to analyze the government’s proffered evidence. We find the government’s factual proffer detailed and, normally, it would probably be sufficient to secure Fernandez’ guilty plea. The facts show, however, that this was anything but an ordinary change of plea hearing. Fernandez’ attorney had a serious conflict of interest; there was no written and signed plea agreement with the government; and the language barrier between Fernandez and the district judge caused substantial confusion during the hearing--so much confusion that the district court resorted to questioning the interpreter rather than Fernandez. Neither the district court nor the AUSA ever explained the nature of the crime of conspiracy to Fernandez. Additionally, Fernandez changed his responses to whether he had, in fact, committed the acts that the AUSA related in the factual proffer. And, no one bothered to clarify the ambiguity with detailed follow-up questions to determine whether Fernandez understood that he had committed acts that rendered him guilty of conspiracy to distribute marijuana. While there was nothing wrong with the AUSA’s factual proffer on its face, the surrounding chaos at this change of plea hearing significantly negated any confidence in Fernandez’ understanding of and admission to those facts. Because a defendant’s clear understanding of the nature of the charge to which he is pleading guilty relates to the very heart of the protections afforded by the Constitution and Rule 11, we cannot conclude that the error in this case was harmless. Instead, our review of this record leads us to believe that allowing Fernandez’ guilty plea in this case to stand would deprive him of substantial constitutional rights.