782 N.E.2d 146 | Ohio Ct. App. | 2002
Lead Opinion
{¶ 2} On November 7, 2002, with a court-appointed counsel and an interpreter, Yanez, who is not a citizen of the United States, entered a plea of guilty to two counts of aggravated vehicular assault, in violation of R.C.
{¶ 3} After he was sentenced, Yanez's family retained new counsel. Six days after the trial court entered Yanez's judgment of conviction, his newly retained counsel moved to vacate his guilty plea. At a hearing on his motion, Yanez contended that although he had made it known that he was not a citizen of the United States, the trial court, before accepting his guilty plea, did not personally inform him, as required by R.C.
The Immigration-Consequences Advisement of R.C.
{¶ 4} R.C.
{¶ 7} The immigration-consequences advisement required by R.C.
{¶ 8} There is no comparable federal statute. Absent statutory authority, federal courts uniformly hold that, by itself, the defendant's ignorance of the collateral consequences of a guilty plea, including deportation, does not render a guilty plea involuntary. See United Statesv. Santelises (C.A. 2, 1975),
Yanez's Motion to Vacate His Plea
{¶ 9} On December 5, 2001, Yanez moved to vacate his plea "pursuant to Crim.R. 32.1." The entire substance of his motion, however, was based upon R.C.
{¶ 10} At the hearing, the trial court requested that the prosecution obtain an opinion from its appellate division on whether the requirements of R.C.
Substantive Right to Be Informed of the Immigration Consequences
{¶ 11} The first question is whether the immigration-consequences advisement is a substantive right, and if so, whether the remedy found in R.C.
{¶ 12} Ordinarily, a motion to vacate a guilty plea is to be resolved under Crim.R. 32.1, which provides that "to correct manifest injustice[,] the court after sentence may set aside the judgment of conviction and permit the defendant to withdraw his or her plea." The defendant has the burden of proving "manifest injustice," and the resolution of the motion is addressed to the sound discretion of *515
the trial court. See State v. Smith (1977),
{¶ 13} Where the trial court fails to address the non-citizen defendant personally about the immigration consequences that could result from his guilty plea or to determine if he understands the advisement, R.C.
{¶ 14} Unlike a motion made pursuant to Crim.R. 32.1, abuse of discretion is not the standard of review. R.C.
{¶ 15} A procedural rule like Crim.R. 32.1, made pursuant to the Modern Courts Amendment, Section
{¶ 16} The need to provide the R.C.
{¶ 17} Because R.C.
What Level of Compliance Is Required?
{¶ 18} The record of the proceedings below reveals that the trial court did not personally address Yanez and give him the immigration-consequences advisement. Despite the trial court's failure to personally inform Yanez of the advisement, the record includes a written plea form, signed by Yanez and by his attorney, enumerating the Crim.R. 11(C) rights he acknowledged he was waiving by entering a guilty plea. The plea form also recited the immigration-consequences portion of the advisement found within the quotation marks in R.C.
{¶ 19} Although the trial court in its colloquy through the interpreter personally informed Yanez of his constitutional and other rights listed in Crim.R. 11(C), the extent of its remarks concerning Yanez's understanding of the immigration consequences of R.C.
{¶ 20} "THE COURT: And I want to ask him if the [plea] form was read him?
{¶ 21} "THE INTERPRETER: Yes.
{¶ 22} "THE COURT: And if he understood it?
{¶ 23} "THE INTERPRETER: Yes.
{¶ 24} "THE COURT: And he signed it of his own free will?
{¶ 25} "THE INTERPRETER: Yes. *517
{¶ 26} "THE COURT: Signing this of his own free will?
{¶ 27} "THE INTERPRETER: Yes."
{¶ 28} As the state argued at the hearing on Yanez's motion in the trial court, the trial court substantially complied with the statute when Yanez, through an interpreter, stated that he had read the plea form that contained a version of the immigration-consequences advisement. But Yanez contends that the General Assembly intended that the trial court must personally address the defendant when providing the statutory advisement. We agree.
{¶ 29} The principal goal of statutory interpretation is to give effect to the intent of the legislature. See Bailey v. RepublicEngineered Steels, Inc.,
{¶ 30} Crim.R. 11(C)(2) similarly requires a trial court to "first address the defendant personally" and to inform him of the constitutional and statutory rights he is waiving before accepting a plea of guilty or no contest. In order for a reviewing court to determine the propriety of a guilty plea, the record must show that the trial court personally addressed the defendant and meaningfully informed him that he was waiving certain constitutional rights: the privilege against compulsory self-incrimination, the right to a jury trial, the right to confront accusers, and the right of compulsory process of witnesses. SeeBoykin *518 v. Alabama (1969),
{¶ 31} When dealing, however, with the nonconstitutional advisements of Crim.R. 11(C)(2) — nature of the charge, maximum possible sentence, eligibility for probation or community control the trial court need only "substantially comply" with the rule. See State v.Ballard (1981),
{¶ 32} We hold that the statutory right to receive the immigration-consequences advisement is similar to the nonconstitutional advisements enumerated in Crim.R. 11(C)(2). Like those advisements a substantial-compliance standard of scrutiny determines whether the trial court gave each of the three warnings and ensured that the defendant knew what immigration consequences his plea might have. See, also, State v.Mason, at ¶ 45. The substantial compliance of the trial court must be affirmatively demonstrated on the record. See R.C.
{¶ 33} We do not agree with the rationale advanced by the Eighth Appellate District in State v. Quran at ¶ 23. The court rejected the state's substantial-compliance argument and found no compliance with R.C.
{¶ 34} Similarly, most other jurisdictions that have enacted a statute similar to R.C.
{¶ 35} We likewise hold that substantial compliance is the better rule to determine if the defendant knowingly entered his guilty plea, particularly in those cases where the defendant's claim comes after a lengthy lapse of time when witnesses or evidence are no longer available. See, e.g., State v. Mason at ¶ 2; see, also Commonwealthv. Rzepphiewski (2000),
Is an Advisement on the Written Plea Form Substantial Compliance?
{¶ 36} The record is clear that the trial court did not personally address Yanez, provide him the advisement, and ensure that he understood the prospect of deportation, exclusion, or denial of naturalization. The state, however, contended at trial that Yanez's signature on the plea form that contained the immigration consequences substantially complied with R.C.
{¶ 37} We note that the supreme court has held that the trial court's failure to inform the defendant of post-release control under R.C.
{¶ 38} We have held that a trial court's failure to advise the defendant of the maximum sentence — a Crim.R. 11(C)(2) nonconstitutional right — even though he signed a written plea of guilty that recited the penalties, was not substantial compliance with Crim.R. 11(C). See State v. Wilson (1978),
{¶ 39} Yanez's cryptic answers translated and relayed by the interpreter in response to the trial court's questions about the plea form did not furnish a fair understanding of the prospect of his deportation, exclusion, or denial of naturalization as the result of his guilty plea. Although Yanez responded "yes" to the court when asked if the plea form was read to him, the record does not reflect if the interpreter read the form to Yanez in open court or whether it was even read to him on the same day he entered his guilty plea. At all times while Yanez was the object of this ritual, his court-appointed counsel said nothing. Therefore, we hold that there was no substantial compliance with R.C.
{¶ 40} We are not suggesting that only the trial court has the power to read the advisement to a defendant who does not speak or read English. The statute is satisfied if the interpreter reads the advisement in open court under the court's supervision. The degree of a defendant's knowledge of English will determine the extent to which the trial court itself must go to meaningfully inform him of the consequences of his plea.
{¶ 41} There is also a role for defense counsel to play in this inquiry. The ABA Standards for Criminal Justice state that "[t]o the extent possible, defense counsel should determine and advise the defendant, sufficiently in advance of the entry of any plea, as to the possible collateral consequences that might ensue from entry of the contemplated plea." ABA Standards for Criminal Justice: Pleas of Guilty (1999), Section 14-3.2(f); see, also, I.N.S. v. St. Cyr,
{¶ 42} In federal courts under certain circumstances, it has been held that the collateral consequence of deportation, if agreed to by the defendant, may justify a more lenient sentence as a departure from the federal sentencing guidelines. See United States v. Arefin (C.A. 6, July 6, 2000), No. 99-3448, 2000 WL 977303, fn. 3. The strategy is the same in Ohio trial courts, as competent counsel may successfully use the prospect of the defendant's deportation as a bargaining chip with the prosecution for reduction of the offense charged in return for a negotiated guilty plea. When unaware of the immigration consequences of a plea, defense counsel puts the defendant at risk of an actual sentence — incarceration *521
and deportation — not "consistent with sentences imposed for similar crimes committed by similar offenders." R.C.
{¶ 43} The consequence of deportation is not minimal, but it is most probably inevitable for the defendant. Unless the defendant is aware of the risk of deportation, he cannot appreciate if it is in his best interest to waive his rights by entering a guilty plea. If vacation of a guilty plea is subject to the test of substantial compliance, the failure of counsel to inform his client of the consequences may well be critical to the defendant's understanding of his rights and the voluntariness of his guilty plea.
{¶ 44} Here, because the record does not establish that the trial court substantially complied with R.C.
{¶ 45} Therefore, the judgment of the trial court denying Yanez's motion to withdraw his guilty plea is reversed. See R.C.
Judgment reversed and cause remanded.
Sundermann, J., concurs.
Painter, P.J., concurs separately.
Concurrence Opinion
{¶ 46} The result is correct, and most of the analysis, but I believe that the trial court must strictly comply with R.C.
{¶ 47} To comply with the statute, the language should be read verbatim to the defendant by the court at the plea hearing. Then, the court should question the defendant to determine that the defendant understands the advisement. The best practice would also include having the language verbatim in the plea form. When an interpreter is involved, the court must read the statutory language, have the interpreter translate it to the defendant, and the question the defendant (through the interpreter) to determine that the defendant understands.
{¶ 48} The Ohio Supreme Court has stated, regarding another statute, "If we were to ignore this statute * * * clear and unambiguous statute would be safe *522
from a substantial compliance interpretation."2 Our colleagues in the Eighth Appellate District quoted that language when holding that the trial court must strictly comply with R.C.