United States v. Dominguez Benitez
Encyclopedia
In United States v. Dominguez Benitez, , the Supreme Court of the United States
ruled that, in a criminal proceeding in federal court, a defendant who does not alert the district court to a possible violation of Rule 11 of the Federal Rules of Criminal Procedure
must show on appeal that the violation affirmatively affected his rights in order to obtain reversal of his conviction by guilty plea. Rule 11, which pertains to criminal prosecutions in United States federal courts only, governs the offering of plea bargain
s to criminal defendants and the procedures district courts must employ to ensure that the defendant knows of and properly waives his trial-related constitutional rights.
In Benitez, the trial court violated Rule 11 when it took the defendant's plea by failing to warn him that the plea could not be withdrawn if the court did not accept the prosecution's sentencing recommendations. The United States Court of Appeals for the Ninth Circuit
reversed the conviction, considering that the non-English speaking defendant did not understand his rights under those circumstances.
The Supreme Court unanimously reversed, ruling the Court of Appeals had applied the wrong test by not requiring the defendant to show how the error actually prejudiced the proceedings. The Court of Appeals had consequently failed to consider the entire record regarding what the defendant understood. An eight-justice majority of the Supreme Court, in an opinion by Justice David Souter
, held that a defendant attempting to reverse his conviction due to a Rule 11 violation must show a reasonable probability that, but for the trial court's error, he would not have entered the plea. Justice Antonin Scalia
concurred in the judgment but disagreed with the majority's standard.
to an informant secretly working with law enforcement. Benitez was arrested while making the sale, confessed, and gave information on his supplier and fellow drug dealers. Benitez was then indicted by a federal grand jury
under the Comprehensive Drug Abuse Prevention and Control Act of 1970
for conspiracy to possess more than 500 grams (17.6 oz) of a methamphetamine mixture, and for possession of 1391 grams (49.1 oz) of a methamphetamine mixture, both with intent to distribute. Under the statutory sentencing ranges, Benitez faced anywhere from ten years to life in prison, and his court-appointed counsel
began discussing a plea bargain
while he faced trial before the United States District Court for the Central District of California
.
, sent several letters to the District Court, in which he expressed dissatisfaction with his attorney and the plea agreement he was being encouraged to sign. During a hearing, however, Benitez expressed that he did not want to go to trial but just wanted a better deal, and the court declined to make any change. Benitez and the federal prosecutor
subsequently agreed that he would plead guilty to the conspiracy charge in exchange for the possession charge being dropped, and that the prosecutor would stipulate to a "safety valve
" that would allow him to avoid the statutory ten year minimum sentence, provided he could meet the statutory conditions. Benitez was warned in discussion with the prosecutor and in the written plea agreement that the agreement was not binding on the District Court, and that Benitez would not be able to withdraw his guilty plea if the court rejected the prosecutor's recommendations.
However, at the hearing the next day when Benitez entered his guilty plea, District Court judge Alicemarie H. Stotler failed to deliver the warning required by Federal Rule of Criminal Procedure 11(c)(3)(B) that he would not be able to withdraw his plea. Benitez' earlier criminal convictions under a different name were subsequently discovered, which rendered him ineligible for the "safety valve." He was then sentenced to the statutory minimum of ten years in prison over his objection that he was never told what the conditions of the "safety valve" sentence reduction were.
, arguing that the District Court's failure to comply with all of the required Rule 11 warnings was ground for reversal. A three-judge panel of the court consisting of Circuit Judges James R. Browning, Stephen Reinhardt
, and Richard C. Tallman voted 2-1 to reverse his conviction and sentence. The court's opinion was written by Judge Browning, and the dissent by Judge Tallman.
Because Benitez did not object to the District Court's failure prior to his conviction, the error was not preserved for appeal and so was reviewed under the plain error standard of Fed. R. Crim. P. 52(b), pursuant to the Supreme Court's ruling in United States v. Vonn, 535 U.S. 55 (2002). The Court of Appeals applied a two part test to determine whether plain error had been committed. First, the defendant had to establish that the court's error was not "merely minor or technical." The court considered this satisfied by the inherently serious nature of a Rule 11 violation alone, because the rule was intended to ensure that a defendant's plea was made intelligently and knowingly. Second, the defendant had to establish that he did not understand the rights at issue when he entered his guilty plea. The court found that this second element was satisfied because Benitez' language barrier had prevented him from gaining a full understanding of his rights from only the written plea agreement and other comments made by the court.
Judge Tallman's dissent argued that Vonn required the court to view the proceedings as a whole in determining whether the Rule 11 violation constituted plain error. He believed that although the record showed that the Rule 11 "magic words" may not have been spoken, Benitez' counsel and the District Court had fully discussed the plea agreement with him, and that he had expressed understanding of all the relevant issues.
David Souter
wrote the majority opinion, which seven Justices joined. Justice Antonin Scalia
wrote a separate opinion concurring in the judgment.
The Court stated that even for preserved errors, only those that structurally "undermine the fairness of a criminal proceeding as a whole" require reversal without a consideration of the effect the error had on the proceeding. The omission of a Rule 11 warning alone does not fall into this category. Furthermore, the Rule 52 phrase "error that affects substantial rights," which is used in Rule 52, "has previously been taken to mean error with a prejudicial effect on the outcome of a judicial proceeding." The Court concluded by holding that "a defendant who seeks reversal of his conviction after a guilty plea, on the ground that the district court committed plain error under Rule 11, must show a reasonable probability that, but for the error, he would not have entered the plea." The Court explained that a reasonable probability is one that is "sufficient to undermine confidence in the outcome" of the proceeding.
In the Court's view—essentially the same as Judge Tallman's—the Court of Appeals' standard failed because it did not consider record evidence that tended to show that any misunderstanding was inconsequential, or what the relative significance of the factors involved in Benitez' plea decision were regardless of the Rule 11 error. The Court acknowledged that the standard it imposed would be very rarely met, but that it was still easier than if the defendant had to prove the claim by a preponderance of the evidence.
Though the Supreme Court did not explicitly decide whether Benitez met the proper standard, its opinion nonetheless proceeded with an unfavorable analysis of his case. The Court believed that his statements in the record showed that he may have been confused about the substantive law of the safety valve provision, but not that there was a "causal link" between his confusion and the Rule 11 violation. The strength of the government's case was also a factor, and the Court did not think that the proper Rule 11 warning would have changed his "assessment of his strategic position." This was especially true because the written plea agreement included the warning that it would be irrevocable, and it had been read to him in Spanish. The Court accordingly reversed the Court of Appeals, and remanded the case.
, and by a preponderance of the evidence—and that the latter should apply to the claim at issue.
Supreme Court of the United States
The Supreme Court of the United States is the highest court in the United States. It has ultimate appellate jurisdiction over all state and federal courts, and original jurisdiction over a small range of cases...
ruled that, in a criminal proceeding in federal court, a defendant who does not alert the district court to a possible violation of Rule 11 of the Federal Rules of Criminal Procedure
Federal Rules of Criminal Procedure
The Federal Rules of Criminal Procedure are the procedural rules that govern how federal criminal prosecutions are conducted in United States district courts, the general trial courts of the U.S. government. As such, they are the companion to the Federal Rules of Civil Procedure...
must show on appeal that the violation affirmatively affected his rights in order to obtain reversal of his conviction by guilty plea. Rule 11, which pertains to criminal prosecutions in United States federal courts only, governs the offering of plea bargain
Plea bargain
A plea bargain is an agreement in a criminal case whereby the prosecutor offers the defendant the opportunity to plead guilty, usually to a lesser charge or to the original criminal charge with a recommendation of a lighter than the maximum sentence.A plea bargain allows criminal defendants to...
s to criminal defendants and the procedures district courts must employ to ensure that the defendant knows of and properly waives his trial-related constitutional rights.
In Benitez, the trial court violated Rule 11 when it took the defendant's plea by failing to warn him that the plea could not be withdrawn if the court did not accept the prosecution's sentencing recommendations. The United States Court of Appeals for the Ninth Circuit
United States Court of Appeals for the Ninth Circuit
The United States Court of Appeals for the Ninth Circuit is a U.S. federal court with appellate jurisdiction over the district courts in the following districts:* District of Alaska* District of Arizona...
reversed the conviction, considering that the non-English speaking defendant did not understand his rights under those circumstances.
The Supreme Court unanimously reversed, ruling the Court of Appeals had applied the wrong test by not requiring the defendant to show how the error actually prejudiced the proceedings. The Court of Appeals had consequently failed to consider the entire record regarding what the defendant understood. An eight-justice majority of the Supreme Court, in an opinion by Justice David Souter
David Souter
David Hackett Souter is a former Associate Justice of the Supreme Court of the United States. He served from 1990 until his retirement on June 29, 2009. Appointed by President George H. W. Bush to fill the seat vacated by William J...
, held that a defendant attempting to reverse his conviction due to a Rule 11 violation must show a reasonable probability that, but for the trial court's error, he would not have entered the plea. Justice Antonin Scalia
Antonin Scalia
Antonin Gregory Scalia is an American jurist who serves as an Associate Justice of the Supreme Court of the United States. As the longest-serving justice on the Court, Scalia is the Senior Associate Justice...
concurred in the judgment but disagreed with the majority's standard.
Arrest and indictment
Carlos Dominguez Benitez arranged to sell several pounds of methamphetamineMethamphetamine
Methamphetamine is a psychostimulant of the phenethylamine and amphetamine class of psychoactive drugs...
to an informant secretly working with law enforcement. Benitez was arrested while making the sale, confessed, and gave information on his supplier and fellow drug dealers. Benitez was then indicted by a federal grand jury
Grand jury
A grand jury is a type of jury that determines whether a criminal indictment will issue. Currently, only the United States retains grand juries, although some other common law jurisdictions formerly employed them, and most other jurisdictions employ some other type of preliminary hearing...
under the Comprehensive Drug Abuse Prevention and Control Act of 1970
Comprehensive Drug Abuse Prevention and Control Act of 1970
The Comprehensive Drug Abuse Prevention and Control Act of 1970, Pub. L. No. 91-513, 84 Stat. 1236 , is a United States federal law that, with subsequent modifications, requires the pharmaceutical industry to maintain physical security and strict record keeping for certain types of drugs...
for conspiracy to possess more than 500 grams (17.6 oz) of a methamphetamine mixture, and for possession of 1391 grams (49.1 oz) of a methamphetamine mixture, both with intent to distribute. Under the statutory sentencing ranges, Benitez faced anywhere from ten years to life in prison, and his court-appointed counsel
Public defender
The term public defender is primarily used to refer to a criminal defense lawyer appointed to represent people charged with a crime but who cannot afford to hire an attorney in the United States and Brazil. The term is also applied to some ombudsman offices, for example in Jamaica, and is one way...
began discussing a plea bargain
Plea bargain
A plea bargain is an agreement in a criminal case whereby the prosecutor offers the defendant the opportunity to plead guilty, usually to a lesser charge or to the original criminal charge with a recommendation of a lighter than the maximum sentence.A plea bargain allows criminal defendants to...
while he faced trial before the United States District Court for the Central District of California
United States District Court for the Central District of California
The United States District Court for the Central District of California serves over 18 million people in southern and central California, making it the largest federal judicial district by population...
.
Plea agreement and District Court sentencing
Benitez, who could only speak and write in SpanishSpanish language
Spanish , also known as Castilian , is a Romance language in the Ibero-Romance group that evolved from several languages and dialects in central-northern Iberia around the 9th century and gradually spread with the expansion of the Kingdom of Castile into central and southern Iberia during the...
, sent several letters to the District Court, in which he expressed dissatisfaction with his attorney and the plea agreement he was being encouraged to sign. During a hearing, however, Benitez expressed that he did not want to go to trial but just wanted a better deal, and the court declined to make any change. Benitez and the federal prosecutor
United States Attorney
United States Attorneys represent the United States federal government in United States district court and United States court of appeals. There are 93 U.S. Attorneys stationed throughout the United States, Puerto Rico, the U.S. Virgin Islands, Guam, and the Northern Mariana Islands...
subsequently agreed that he would plead guilty to the conspiracy charge in exchange for the possession charge being dropped, and that the prosecutor would stipulate to a "safety valve
Safety valve (law)
The safety valve is a provision in the Sentencing Reform Act and the United States Federal Sentencing Guidelines that authorizes a sentence below the statutory minimum for certain nonviolent, non-managerial drug offenders with little or no criminal history....
" that would allow him to avoid the statutory ten year minimum sentence, provided he could meet the statutory conditions. Benitez was warned in discussion with the prosecutor and in the written plea agreement that the agreement was not binding on the District Court, and that Benitez would not be able to withdraw his guilty plea if the court rejected the prosecutor's recommendations.
However, at the hearing the next day when Benitez entered his guilty plea, District Court judge Alicemarie H. Stotler failed to deliver the warning required by Federal Rule of Criminal Procedure 11(c)(3)(B) that he would not be able to withdraw his plea. Benitez' earlier criminal convictions under a different name were subsequently discovered, which rendered him ineligible for the "safety valve." He was then sentenced to the statutory minimum of ten years in prison over his objection that he was never told what the conditions of the "safety valve" sentence reduction were.
Ninth Circuit Court of Appeals decision
Benitez appealed his conviction and sentencing to the United States Court of Appeals for the Ninth CircuitUnited States Court of Appeals for the Ninth Circuit
The United States Court of Appeals for the Ninth Circuit is a U.S. federal court with appellate jurisdiction over the district courts in the following districts:* District of Alaska* District of Arizona...
, arguing that the District Court's failure to comply with all of the required Rule 11 warnings was ground for reversal. A three-judge panel of the court consisting of Circuit Judges James R. Browning, Stephen Reinhardt
Stephen Reinhardt
Stephen Roy Reinhardt is a circuit judge on the United States Court of Appeals for the Ninth Circuit, with chambers in Los Angeles, California. He was appointed in 1980 by President Jimmy Carter.-Education and practice:...
, and Richard C. Tallman voted 2-1 to reverse his conviction and sentence. The court's opinion was written by Judge Browning, and the dissent by Judge Tallman.
Because Benitez did not object to the District Court's failure prior to his conviction, the error was not preserved for appeal and so was reviewed under the plain error standard of Fed. R. Crim. P. 52(b), pursuant to the Supreme Court's ruling in United States v. Vonn, 535 U.S. 55 (2002). The Court of Appeals applied a two part test to determine whether plain error had been committed. First, the defendant had to establish that the court's error was not "merely minor or technical." The court considered this satisfied by the inherently serious nature of a Rule 11 violation alone, because the rule was intended to ensure that a defendant's plea was made intelligently and knowingly. Second, the defendant had to establish that he did not understand the rights at issue when he entered his guilty plea. The court found that this second element was satisfied because Benitez' language barrier had prevented him from gaining a full understanding of his rights from only the written plea agreement and other comments made by the court.
Judge Tallman's dissent argued that Vonn required the court to view the proceedings as a whole in determining whether the Rule 11 violation constituted plain error. He believed that although the record showed that the Rule 11 "magic words" may not have been spoken, Benitez' counsel and the District Court had fully discussed the plea agreement with him, and that he had expressed understanding of all the relevant issues.
The court's decision
The Supreme Court granted review on the narrow issue of on what basis a court's failure to comply with Rule 11 constitutes reversible error, and unanimously reversed. JusticeAssociate Justice of the Supreme Court of the United States
Associate Justices of the Supreme Court of the United States are the members of the Supreme Court of the United States other than the Chief Justice of the United States...
David Souter
David Souter
David Hackett Souter is a former Associate Justice of the Supreme Court of the United States. He served from 1990 until his retirement on June 29, 2009. Appointed by President George H. W. Bush to fill the seat vacated by William J...
wrote the majority opinion, which seven Justices joined. Justice Antonin Scalia
Antonin Scalia
Antonin Gregory Scalia is an American jurist who serves as an Associate Justice of the Supreme Court of the United States. As the longest-serving justice on the Court, Scalia is the Senior Associate Justice...
wrote a separate opinion concurring in the judgment.
The Court stated that even for preserved errors, only those that structurally "undermine the fairness of a criminal proceeding as a whole" require reversal without a consideration of the effect the error had on the proceeding. The omission of a Rule 11 warning alone does not fall into this category. Furthermore, the Rule 52 phrase "error that affects substantial rights," which is used in Rule 52, "has previously been taken to mean error with a prejudicial effect on the outcome of a judicial proceeding." The Court concluded by holding that "a defendant who seeks reversal of his conviction after a guilty plea, on the ground that the district court committed plain error under Rule 11, must show a reasonable probability that, but for the error, he would not have entered the plea." The Court explained that a reasonable probability is one that is "sufficient to undermine confidence in the outcome" of the proceeding.
In the Court's view—essentially the same as Judge Tallman's—the Court of Appeals' standard failed because it did not consider record evidence that tended to show that any misunderstanding was inconsequential, or what the relative significance of the factors involved in Benitez' plea decision were regardless of the Rule 11 error. The Court acknowledged that the standard it imposed would be very rarely met, but that it was still easier than if the defendant had to prove the claim by a preponderance of the evidence.
Though the Supreme Court did not explicitly decide whether Benitez met the proper standard, its opinion nonetheless proceeded with an unfavorable analysis of his case. The Court believed that his statements in the record showed that he may have been confused about the substantive law of the safety valve provision, but not that there was a "causal link" between his confusion and the Rule 11 violation. The strength of the government's case was also a factor, and the Court did not think that the proper Rule 11 warning would have changed his "assessment of his strategic position." This was especially true because the written plea agreement included the warning that it would be irrevocable, and it had been read to him in Spanish. The Court accordingly reversed the Court of Appeals, and remanded the case.
Scalia's concurrence
In a short separate opinion, Justice Scalia expressed agreement with much of the Court's analysis, but disagreed with the standard of probability the Court required the defendant to meet. Scalia listed four different standards that the Court had adopted in different contexts to prove what would have happened in a trial absent error, and stated that these "ineffable gradations of probability" confused judicial reasoning more than aided it. He wrote that a court could only achieve the precision of two standards—beyond a reasonable doubtBeyond a Reasonable Doubt
Beyond a Reasonable Doubt is a 1956 film directed by Fritz Lang and written by Douglas Morrow. The film, considered film noir, was the last American film directed by Lang.-Plot:...
, and by a preponderance of the evidence—and that the latter should apply to the claim at issue.
Subsequent developments
Upon remand from the Supreme Court, the Court of Appeals affirmed Benitez' conviction and sentencing in a per curiam, summary opinion.See also
External links
- The factual background of the case is taken entirely from section I of the Court's opinion.
- Full text of the Supreme Court's decision.
- [ Supreme Court case docket].
- Summary of case from OYEZ
- Case joint appendix—includes details of proceedings and transcripts of hearings.