United States v. Hartman

74 F. App'x 159
CourtCourt of Appeals for the Third Circuit
DecidedAugust 11, 2003
DocketNo. 02-4458
StatusPublished

This text of 74 F. App'x 159 (United States v. Hartman) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Hartman, 74 F. App'x 159 (3d Cir. 2003).

Opinion

OPINION OF THE COURT

PER CURIAM.

A Grand Jury in the Middle District of Pennsylvania handed down a thirty-seven count second Superceding Indictment on March 26, 2002, charging Steven Hartman with mail fraud, wire fraud, obstruction of justice and making false statements.1 These charges arose out of a fraudulent scheme in which Hartman auctioned off merchandise over the internet and then failed to ship the goods to the highest bidder after receiving payment through the mail. On June 4, 2002, Hartman entered a plea of guilty to Count One of the Indictment charging mail fraud.2 On November 20, 2002, Hartman was sentenced to serve a period of incarceration of eight months to be followed by two years of supervised release. No fine was imposed but Hartman was directed to make restitution to his victims in the total amount of $4,845.55.

Hartman now raises an objection to the District Court’s guilty plea colloquy. He contends that the colloquy was inadequate under Rule 11(c)(1) of the Federal Rules of Criminal Procedure because the District Court failed to advise him of the elements of the crime of mail fraud. Hartman argues that because the District Court failed to discuss the elements of the crime with him and because the guilty plea agreement did not include a recitation of the elements, the judgment of the District Court must be vacated and the case remanded for further proceedings.

Hartman never called this alleged error to the attention of the District Court. We, therefore, review the record for plain error only. United States v. Knobloch, 131 F.3d 366, 370 (3d Cir.1997). Moreover, as we observed in Knobloch, “... in order for an appellate court to find plain error, it must first find (1) an error (2) that is plain and (3) that affects substantial rights. Even if all three of these prerequisites are met, an appellate court may correct an error to which no objection is made ‘only if (4) the error “seriously affect[s] the fairness, integrity, or public reputation of judicial proceedings.” ’ ” Id. at 370 (quoting Johnson v. United States, 520 U.S. 461, 467, 117 S.Ct. 1544, 1549, 137 L.Ed.2d 718 (1987) (quoting United States v. Olano, 507 U.S. 725, 732, 113 S.Ct. 1770, 1776, 123 L.Ed.2d 508 (1993) (internal quotation marks omitted))).

Federal Rule of Criminal Procedure 11(c)(1) provides, in pertinent part, as follows:

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 [161]*161nature of the charge to which the plea is offered....

Hartman argues that it is clear from the record that error was committed because the record reflects that he was never advised of the elements of the crime. He argues that the error is plain and obvious as revealed by the record and that the error affected his substantial rights because one of the core objectives of Rule 11 is to ensure that a defendant understands the nature of the charge to which he is pleading guilty. Finally, Hartman argues that the fairness, integrity and public reputation of the judicial proceeding was seriously affected because a guilty plea was accepted without the assurance that it was voluntarily and intelligently entered.

The government concedes that the colloquy does not include a specific description of each element of the crime. The government contends, however, that it is not necessary for the District Court to list seriatim the elements of the offense. Rather, all that is required is that the defendant understand the nature of the charge to which he is pleading guilty and the District Court’s colloquy in this case satisfies that requirement. The government also argues that even if one were to conclude that the District Court committed error and that the error was plain, Hartman’s substantial rights were not affected because he has failed to show that he was prejudiced by the error.

The essential elements of the crime of mail fraud are (1) the existence of a scheme to defraud; (2) the participation by the defendant in the particular scheme with the specific intent to defraud; and (3) the use of the United States mails in furtherance of the fraudulent scheme. The specific intent element may be found from a material misstatement of fact made with reckless disregard of the truth. See United States v. Hannigan, 27 F.3d 890, 892 (3d Cir.1994); 18 U.S.C. § 1341.

At the guilty plea hearing, the following exchange occurred between the Court, the Defendant and the Assistant United States Attorney concerning this crime:

THE COURT: At this point, I am going to ask Mr. Carlson to outline the government’s evidence against you in this count. I would like you to listen carefully to what he says because I will then ask you whether you did engage in the conduct as he has described it.
MR. CARLSON: Yes, Your Honor. If this case had gone to trial, the government’s evidence would have shown that in the late summer and fall of 2000, Mr. Hartman was offering goods over the Internet at an auction site that was open on the Internet for persons like Mr. Hartman who wanted to buy or sell property.
Specifically, Mr. Hartman was offering automobile parts, electronic equipment such as Palm Pilots and baseball memorabilia to individuals on the auction cite. A number of the items that Mr. Hartman was offering for sale he did not possess. But nonetheless, he was offering for sale.
When individuals bid on the items, Mr. Hartman would instruct them to mail payment to him with a promise to ship goods to them. In fact, Mr. Hartman was not able to acquire the goods he had offered on the site and was not able to make shipments to a number of customers.
When customers would complain, Mr. Hartman would send them electronic mail messages indicating that he was endeavoring to get shipments to them, but ultimately never made any such shipments.
Mr. Hartman received the payments from his various customers through the [162]*162U.S. mails. As the scheme progressed, Your Honor, Mr. Hartman found himself in a situation where a number of customers were asking for refunds or were posting complaints about his auction.
In response to those complaints that were posted on his auction, Mr. Hartman using a variety of e-mail names posted positive endorsements of his auctions in order to try to buy some additional time in which to either acquire goods or make customer refunds.
This pattern continued up through the early part of 2001. At that time, Mr. Hartman had been confronted by a local Police Officer and had told the local Police Officer he was making refunds.

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Related

United States v. Olano
507 U.S. 725 (Supreme Court, 1993)
Johnson v. United States
520 U.S. 461 (Supreme Court, 1997)
United States v. Eugene Hannigan
27 F.3d 890 (Third Circuit, 1994)
United States v. Paul Knobloch
131 F.3d 366 (Third Circuit, 1997)
Ronell Williams v. Lindenwood University
288 F.3d 349 (Eighth Circuit, 2002)

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Bluebook (online)
74 F. App'x 159, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-hartman-ca3-2003.