United States v. Wetterlin

Summary

The Seventh Circuit reviewed guilty pleas entered by Melvin C. Wetterlin to conspiracy and making false declarations before a grand jury. The court held that the district court failed to comply with Federal Rule of Criminal Procedure 11 by not adequately establishing Wetterlin's understanding of the conspiracy charge and the factual basis for that plea, requiring the Count I plea to be vacated and allowing him to plead anew. The court found sufficient Rule 11 compliance as to Count X and affirmed the conviction and sentence on that count.

Holdings

1. The district court failed to comply with Rule 11(c)(1) because it did not inform Wetterlin of the nature of the complex conspiracy charge or personally determine on the record that he understood it. The guilty plea to Count I therefore had to be vacated and Wetterlin had to be allowed to plead anew.
2. The district court failed to establish on the record a factual basis for the conspiracy plea. Rule 11 requires the judge to determine that a factual basis exists before accepting the plea, and any evidence relied on must be specifically articulated on the record.
3. The district court complied with Rule 11 as to Count X. The record showed that Wetterlin understood the nature of the false-declaration charge and admitted a sufficient factual basis by acknowledging that his answer to the complete grand-jury question was false and that he knew it was false.

Questions Presented

1. Whether the district court complied with Rule 11(c)(1) by personally informing Wetterlin of and determining that he understood the nature of the conspiracy charge in Count I.
2. Whether the record established a sufficient factual basis for the guilty plea to Count I under Rule 11(f) and the requirement that the factual basis appear on the plea record.
3. Whether the district court complied with Rule 11(c)(1) and Rule 11(f) in accepting the guilty plea to Count X, charging false declarations before a grand jury.

Disposition

reversed_and_remanded