United States v. Jones

2 F. App'x 870
Court of Appeals for the Ninth Circuit·Decided January 26, 2001·No. No. 99-50168·Published·Cited by 1 cases

Opinion

MEMORANDUM**

In this appeal, we conclude that Judge Ideman conducted an inadequate guilty plea colloquy with Appellant Henry Jones, and that under the law of this Circuit, the court’s discrete error was not harmless. Therefore, we reverse Jones’s conviction and remand the case to the district court with instructions to allow him to re-plead.

Because the parties are familiar with the facts of this case, we recount them here only as necessary to explain our decision.

A. Standard of Review

Whether the district court complied with Federal Rule of Criminal Procedure 11 (“Rule 11”) is reviewed de novo. United States v. Smith, 60 F.3d 595, 597 n. 1 (9th Cir.1995). The failure to comply with Rule 11 is reversible unless it constitutes harmless error. FED. R. CRIM. P. 11(h) (“Any variance from the procedures required by this rule which does not affect substantial rights shall be disregarded.”); United States v. Odedo, 154 F.3d 937, 940 (9th Cir.1998) (“[W]e hold that the Rule [872]*87211(h) ‘harmless error’ standard applies to all Rule 11 errors, regardless of whether they were ever raised before the district court.”).1

B. Analysis

1. The District Court Properly Ensured that Jones Understood the “Nature of the Charges” to Which He Was Pleading Guilty.

Rule 11(c)(1) requires the district judge to “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). The record of the plea proceeding demonstrates that the judge adhered to Rule 11(c)(1).

First, the judge asked the prosecutor to “advise Mr. Jones ... what the government would have to do if the case went to trial.” The prosecutor complied by describing the elements of the armed bank robbery statute. The judge then immediately asked, “Do you understand that, Jones?” to which Jones responded, “Yes.”

Soon thereafter, the judge instructed the prosecutor to explain “what the case against [the defendant] would be if this case went to trial,” and advised Jones to “listen to what [the prosecutor] says and if you agree, then, you tell me that.” The prosecutor explained in detail the factual circumstances of the armed bank robbery. The judge then asked Jones whether that factual statement was correct, to which Jones again responded, “Yes.”

We recently approved of a similar procedure in an analogous case. United States v. Timbana, 222 F.3d 688, 703 (9th Cir. 2000). Rejecting . the defendant’s argument that the court was required to have the defendant “explain in his own words what he had done,” we found no error where the district judge instructed the prosecutor to list the elements of the offense and to recite the evidence the government was prepared to present to a trier of fact. Id.

This case is clearly distinguishable from United States v. Smith, 60 F.3d 595, 597 (9th Cir.1995), and United States v. Bruce, 976 F.2d 552, 559 (9th Cir.1992). Unlike in Smith, the district judge did more than simply inform Jones of the factual predicate of the offense; and, unlike in Bruce, the district judge provided more than a “brief, vague explanation of the information.” Rather, through the prosecutor, the judge informed Jones of the elements of armed bank robbery and of the facts the government was prepared to introduce if the case went to trial. In this manner, the judge properly ensured that Jones “ ‘possessed] an understanding of the law in relation to the facts.’ ” Smith, 60 F.3d at 597 (quoting McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969)).

2. The District Judge Erred By Failing to Explain that Jones Would Not Be Allowed to Withdraw His Plea if the Court Departed from the Recommendation of the Plea Agreement, But the Error Was Harmless.

Rule 11(e)(2) states that “[i]f the [plea] agreement is of the type [B variety], [873] the court shall advise the defendant that if the court does not accept the recommendation or request the defendant nevertheless has no right to withdraw the plea.” FED. R. CRIM. P. 11(e)(2). It is undisputed that Jones’s plea agreement was a “type B” agreement.2 It is likewise undisputed that Judge Ideman failed to advise Jones that if the court departed from the recommendations in the plea agreement, he would not be allowed to withdraw his plea. This failure was a violation of Rule 11(e)(2).

The government argues, however, that the court’s error was harmless, and thus does not require reversal. We agree.

This case is governed by United States v. Chan, 97 F.3d 1582 (9th Cir.1996). In Chan, the district court “adopted the PSR’s findings and recommendations, to which Chan made no objection ...[,] accepted the terms of the of the plea agreement!!,] and ... imposed the very sentence Chan had bargained for and that had been recommended by the government and suggested in the PSR.” Id. at 1584. We held “that when a district court adopts the government’s sentencing recommendation and imposes the recommended sentence on the defendant, a failure on the part of the sentencing court to recite Rule ll(e)(2)’s prescribed warning is an error with no adverse effect on the defendant’s substantial rights.” Id.

Here, the plea agreement between Jones and the government expressly included a provision that stated, “[b]oth parties reserve the right to argue that additional adjustments and departures may be appropriate.” In the Presentence Report, the government exercised its right to argue for additional enhancements. Specifically, the government sought a six-point enhancement for Jones’s use of a gun during the robbery and also a two-point enhancement for Jones’s co-defendant injuring a teller during the robbery. In his sentencing memorandum, Jones did not object to either additional enhancement; rather, he only requested a downward departure based on a claim of duress.

As in Chan, the district court adopted the PSR’s findings and recommendations, to which Jones made no objection, accepted the terms of the plea agreement, and imposed the sentence recommended by the government and suggested in the PSR. See id. Therefore, as in Chan, the error was harmless. See id.

3. The District Judge Erred By Failing to Apprise Jones of His Right to Be Represented By Counsel at Trial, and the Error Was Not Harmless.

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