Illinois Official Reports
Appellate Court
People v. Holloway, 2014 IL App (1st) 131117
Appellate Court THE PEOPLE OF THE STATE OF ILLINOIS, Plaintiff-Appellee, v.
Caption RASHIEM HOLLOWAY, Defendant-Appellant.
District & No. First District, Fifth Division
Docket No. 1-13-1117
Filed December 29, 2014
Rehearing denied January 26, 2015
Modified opinion filed January 30, 2015
Decision Under Appeal from the Circuit Court of Cook County, No.
Review 12-CR-19528(02); the Hon. Michael Brown, Judge, presiding.
Judgment Reversed and remanded.
Counsel on Michael J. Pelletier, Alan D. Goldberg, and Cassidey Davis Keilman,
Appeal all of State Appellate Defender’s Office, of Chicago, for appellant.
Anita M. Alvarez, State’s Attorney, of Chicago (Alan J. Spellberg, Jon
Walters, John E. Nowak, and Christopher R. Sullivan, Assistant State’s
Attorneys, of counsel), for the People.
Panel JUSTICE McBRIDE delivered the judgment of the court, with
opinion.
Presiding Justice Palmer and Justice Reyes concurred in the judgment
and opinion.
OPINION
¶1 Defendant Rashiem Holloway pled guilty to one count of unlawful use of a weapon by a
felon (UUWF) and received a sentence of seven years in the Illinois Department of
Corrections. Defendant filed a motion to withdraw his guilty plea, but the trial court denied his
motion.
¶2 Defendant appeals, arguing that: (1) his UUWF conviction should be reversed because the
alleged predicate offense, aggravated unlawful use of a weapon, was found to be
unconstitutional and void ab initio by the Illinois Supreme Court in People v. Aguilar, 2013 IL
112116; (2) defendant was never fully informed of the terms of his negotiated plea agreement
in open court in violation of Supreme Court Rule 402(b) (Ill. S. Ct. R. 402(b) (eff. July 1,
2012)); (3) trial counsel’s failure to amend the motion to withdraw the guilty plea when the
report of proceedings showed a clear Rule 402(b) violation constituted noncompliance with
Supreme Court Rule 604(d) (Ill. S. Ct. R. 604(d) (eff. Jan. 1, 2013)); and (4) defendant’s fines
and fees should be reduced to reflect credit for the days he spent in presentence custody.
¶3 In October 2012, defendant was charged by indictment with one count of unlawful use of a
weapon by a felon (720 ILCS 5/24-1.1 (West 2010)) and three counts of aggravated unlawful
use of a weapon (720 ILCS 5/24-1.6 (West 2010)).
¶4 On December 11, 2012, both defendant and his codefendant, Epigmenio Garcia, appeared
before the trial court for a status hearing. At that time, defense counsel requested a conference
pursuant to Supreme Court Rule 402 (Ill. S. Ct. R. 402 (eff. July 1, 2012)). The trial judge
explained to defendant that a Rule 402 conference was between the attorneys and the judge,
and the judge would “learn things that I wouldn’t know unless there was a trial.” The judge
further explained that after the conference, an offer in exchange for a guilty plea will be made
to defendant and he could accept or reject the offer.
¶5 The judge then asked if defendant wished to have a conference. Defendant responded that
he wanted “to ask for a continuance.” The judge stated that he could not hear defendant and
asked defendant if he did not want a conference. Defendant then answered, “Yeah, I will take
the conference.” The case was then passed for the Rule 402 conference.
¶6 When the case was recalled, defense counsel stated:
“I explained to [defendant] the offer from the 402 conference, which is on Count 1 of
the charges before the Court. I believe at this time [defendant] wishes to change his
plea from not guilty to guilty and accept the Court’s offer of Cook County boot camp.
There’s a necessary condition that [defendant] swear under oath to the facts given
to him–read to him by the State’s Attorney and he may also have to answer some
questions as well.”
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¶7 Defendant then indicated that he understood and wished to plead guilty. The State then
nol-prossed the remaining charges. The trial court advised defendant that he had a right to
continue to plead not guilty and he was pleading guilty to a Class 2 felony, which was
punishable by up to 7 years in prison, which under certain circumstances, could be extended to
14 years, a fine up to $25,000, and a 2-year period of mandatory supervised release (MSR).
The trial court admonished defendant that by pleading guilty he was giving up his rights to a
bench trial or a jury trial, to confront witnesses against him or call his own witnesses, and
present his own defense, and the right to a presentence investigation report. After these
admonitions, the trial court asked defendant if he still wished to plead guilty, and defendant
responded that he did. Defendant also signed waivers for a jury trial and for a presentence
investigation. The trial court also asked defendant if anyone threatened him or promised him
anything in exchange for a plea of guilty; defendant answered no.
¶8 The parties stipulated that a sufficient factual basis existed for the plea of guilty based on
the information the trial court received in the Rule 402 conference. The State then called
defendant to testify. The State asked defendant if at approximately 1 p.m. on September 24,
2012, he was riding in a vehicle as part of a funeral procession, defendant responded in the
affirmative and stated that he was sitting in the front passenger seat. He stated that the person
driving was his “friend’s uncle–cousin, something like that.” Defendant was asked if the driver
gave him a gun, and defendant responded, “He didn’t pass me a gun. I had the gun in my own
possession and I told him to drive, told him to drive off when the officer had tried to pull us
over.” The prosecutor asked three more times if the driver gave defendant the gun, and
defendant repeatedly denied that he was given the gun. Immediately thereafter, the court found
defendant understood the nature of the charges against him, the possible penalties, and that he
knowingly and voluntarily waived those rights. The trial court found there was a sufficient
basis for defendant’s guilty plea. The court then said there will be a finding of guilty and
entered judgment on the finding of guilty.
¶9 The court then asked the State’s position on sentencing. The State answered that it did not
feel that defendant testified truthfully as part of the plea agreement. The State requested “a
sentence not offered by the Court and not Cook County boot camp, but a sentence to the
Illinois Department of Corrections.” Defense counsel responded that during the Rule 402
conference, the State indicated that defendant had made a statement after his arrest indicating
that his codefendant Garcia had thrown the gun in his lap and defendant took the gun and ran.
Defense counsel maintained that defendant substantially complied with the requirement to
swear to the facts because he admitted he was in the car with Garcia and that defendant had
possession of a weapon.
¶ 10 The trial court then stated:
“The Court’s offer to [defendant] was that if he testified consistent with the
information here provided to the Court at the 402 conference, the offer would be Cook
County boot camp. If [defendant] chooses not to testify consistent with the information
given to the Court at the 402 conference, the Court’s offer would be seven years in the
Illinois Department of Corrections.
I find based on what I have heard right now that [defendant] did not testify
consistent with the information brought out at the 402 conference because [defendant]
did not testify that Mr. Garcia handed him the gun. And as I indicated to you, [defense
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counsel,] Mr. Holloway had the option and apparently he [chose] the option not to
testify according to the proffer given to the Court at the 402 conference.”
¶ 11 The court then asked defendant if he had anything he wished to say before being sentenced.
Defendant said, “No. I had the gun. I had the gun. He never knew about the weapon.”
Defendant also denied telling the police officers that Garcia passed him the weapon. The trial
court then sentenced defendant to a term of 7 years in the Illinois Department of Corrections,
fines and fees totaling $450, and 78 days’ credit for time served.
¶ 12 On December 17, 2012, defense counsel filed a motion to withdraw defendant’s guilty
plea. At the February 13, 2013 hearing, defense counsel told the trial court that defendant
called and left him a voicemail the day after the guilty plea hearing, stating that defendant
wanted to go back to court and swear to the facts as alleged by the State. Defense counsel
further stated that defendant “was under some duress from the co-defendant” at the time and he
felt he was being threatened and could not agree with what the State was asking. However,
defense counsel had not filed his Supreme Court Rule 604(d) (Ill. S. Ct. R. 604(d) (eff. Feb. 6,
2013)) certificate yet because he had not had the opportunity to talk with defendant prior to the
hearing. The case was then continued to a later date.
¶ 13 On March 15, 2013, defense counsel filed his Rule 604(d) certificate and an affidavit from
defendant. In his affidavit, defendant stated that on December 11, 2012, prior to his hearing, he
was placed near Garcia when they were brought to court from jail. When Garcia came closer to
defendant, he said “with aggression to the defendant, ‘Don’t cop out.’ ” Defendant said that he
“felt threatened with harm by Garcia’s remark,” and that was why he wanted a continuance
rather than a Rule 402 conference. Defense counsel detailed defendant’s assertions to the trial
court and requested the opportunity for defendant to “swear to the facts as the State would
allege” in exchange for a new sentence to Cook County boot camp. The State responded that
defendant had “buyer’s remorse” and that there was no basis to withdraw defendant’s plea
after defendant testified under oath that he had the gun the whole time. Defendant apologized
for “making a mockery” of the trial court and stated that he did not cooperate in answering the
State’s questions because he felt threatened.
¶ 14 The trial court denied the defendant’s motion to withdraw his guilty plea.
“I find that the affidavit lays out chronologically the events as they occurred. That
Mr. Garcia was only present in court with [defendant] initially before there was a 402
conference. The statement–and apparently the statement was made outside of the
presence of the Court, don’t cop out, on the face of it appears to [be] advice not to plead
guilty because cop out means plead guilty, I guess in the parlance.
There hadn’t been a 402 conference. There hadn’t been the options put to
[defendant] at the time Mr. Garcia said that. Mr. Garcia and [defendant], for that
matter, did not know the results of the 402 conference. I did accept [defendant’s] guilty
plea. I found it was free and voluntary and I think that finding still holds. You had an
opportunity to make your choice and you made a choice.
Now the reasons why you made the choice is the reasons [sic] why you made the
choice; but based on what you said here, I don’t believe that changes the free and
voluntary nature of the choice you made. As a result, the motion to withdraw the guilty
plea is denied.”
¶ 15 This appeal followed.
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¶ 16 Since we find it dispositive of this appeal, we first consider whether the trial court erred by
not stating the terms of the plea agreement on the record in open court. Defendant argues that
the terms of the negotiated plea agreement were never stated in open court and no evidence
exists on the record that defendant was fully informed of all the requirements of his plea
agreement. Defendant asks this court to reverse the denial of his motion to withdraw his guilty
plea and remand for further proceedings. The State responds that defendant has forfeited this
issue by not raising it in his motion to withdraw his guilty plea, but in the alternative, any error
was harmless.
¶ 17 Defendant admits that he failed to raise this issue in his motion in the trial court but asks
this court to review the issue under the plain error doctrine.
¶ 18 “Generally, under Illinois Supreme Court Rule 604(d), any issue not raised by the
defendant in his motion to withdraw the plea of guilty shall be deemed waived upon appeal.”
People v. Davis, 145 Ill. 2d 240, 250 (1991). “However, if a lower court fails to give the
defendant the admonishments required by Rule 402 it is possible that this action can amount to
plain error, an exception to the waiver rule, as outlined under Illinois Supreme Court Rule 615
[citation].” Id.
¶ 19 Supreme Court Rule 615(a) states that “[a]ny error, defect, irregularity, or variance which
does not affect substantial rights shall be disregarded. Plain errors or defects affecting
substantial rights may be noticed although they were not brought to the attention of the trial
court.” Ill. S. Ct. R. 615(a). The plain error rule “allows a reviewing court to consider
unpreserved error when (1) a clear or obvious error occurred and the evidence is so closely
balanced that the error alone threatened to tip the scales of justice against the defendant,
regardless of the seriousness of the error, or (2) a clear or obvious error occurred and that error
is so serious that it affected the fairness of the defendant’s trial and challenged the integrity of
the judicial process, regardless of the closeness of the evidence.” People v. Piatkowski, 225 Ill.
2d 551, 565 (2007) (citing People v. Herron, 215 Ill. 2d 167, 186-87 (2005)). However, the
plain error rule “is not ‘a general saving clause preserving for review all errors affecting
substantial rights whether or not they have been brought to the attention of the trial court.’ ”
Herron, 215 Ill. 2d at 177 (quoting People v. Precup, 73 Ill. 2d 7, 16 (1978)). Rather, the
supreme court has held that the plain error rule is a narrow and limited exception to the general
rules of forfeiture. Herron, 215 Ill. 2d at 177. “The first step of plain-error review is to
determine whether any error occurred.” People v. Lewis, 234 Ill. 2d 32, 43 (2009).
¶ 20 Further, the supreme court has held that the application of the forfeiture rule is “less rigid
where the basis for the objection is the trial judge’s conduct.” People v. Kliner, 185 Ill. 2d 81,
161 (1998); see also People v. Sprinkle, 27 Ill. 2d 398, 401 (1963) (“a less rigid application of
the rule requiring timely and proper objection and preservation of rulings thereon should
prevail where the basis for the objection is the conduct of the trial judge than is otherwise
required”).
¶ 21 Supreme Court Rule 402(b) provides:
“The court shall not accept a plea of guilty without first determining that the plea is
voluntary. If the tendered plea is the result of a plea agreement, the agreement shall be
stated in open court. The court, by questioning the defendant personally in open court,
shall confirm the terms of the plea agreement, or that there is no agreement, and shall
determine whether any force or threats or any promises, apart from a plea agreement,
were used to obtain the plea.” Ill. S. Ct. R. 402(b) (eff. July 1, 2012).
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¶ 22 A trial court’s decision on a defendant’s motion to withdraw his guilty plea is a matter
within its discretion and will not be disturbed on appeal absent an abuse of that discretion.
People v. Manning, 227 Ill. 2d 403, 412 (2008). “A defendant does not have an absolute right
to withdraw his guilty plea, but he should be allowed to withdraw his plea if doing so would
correct a manifest injustice under the facts involved.” People v. Sharifpour, 402 Ill. App. 3d
100, 111 (2010); see also Davis, 145 Ill. 2d at 250 (“Whether reversal is required depends on
whether real justice has been denied or whether defendant has been prejudiced by the
inadequate admonishment.”). “Substantial, not literal, compliance with Rule 402 is all that is
required.” Sharifpour, 402 Ill. App. 3d at 114.
¶ 23 After reading the entire record, we have gleaned that the terms of the plea agreement
pursuant to the Rule 402 conference were that if defendant swore to facts alleged by the State
consistent with his postarrest comments, then he would receive Cook County boot camp. If
defendant did not respond under oath consistent with his prior statements, then he would
receive a sentence of seven years in prison. However, it is significant to note that these terms
were never explained to defendant by the trial judge before the court accepted defendant’s
guilty plea.
¶ 24 Further, it is clear that contrary to the specific requirements of Supreme Court Rule 402, all
of the terms of the plea agreement were not stated in open court, nor did the trial court confirm
the terms of the plea agreement by questioning defendant. Instead, defense counsel indicated
that he informed defendant of the terms of the plea agreement and defendant accepted the trial
court’s offer of boot camp with a condition that defendant swear under oath to facts given to
him by the State. The record also shows that defendant was never advised by the court that he
would be subject to a seven-year prison term if he did not swear to the facts alleged by the
State. The record also fails to show that prior to entering the plea, defendant was aware of the
facts to which he was required to swear. Only after the trial court accepted the plea and entered
a finding of guilty were the full terms explained to defendant by the trial judge and that his
failure to comply would result in the imposition of a more severe sentence. Even defense
counsel’s description of the agreement does not comport with the terms disclosed after the
plea. Despite defense counsel’s argument that defendant substantially complied with the terms
of the plea agreement, the trial court found that defendant did not comply and imposed a
seven-year sentence. Therefore, we conclude that prior to accepting the plea of guilty and
finding of guilty, it became incumbent upon the trial judge to explain to defendant that his
testimony was contrary to what was described in the Rule 402 conference. And that, as a result,
if defendant persisted in his plea of guilty, then he would be subject to seven years in the
Illinois Department of Corrections instead of the promised Cook County boot camp program.
¶ 25 The committee comments to Rule 402 explain the reasoning behind the requirement to
explain the terms of a plea agreement in open court.
“[T]he Supreme Court of the United States has *** held that it is a violation of due
process to accept a guilty plea in State criminal proceedings without an affirmative
showing, placed on the record, that the defendant voluntarily and understandingly
entered his plea of guilty. (Boykin v. Alabama, 395 U.S. 238 [(1969)].) *** [I]ncreased
attention has *** been given to the long-standing practice of pleading guilty as a
consequence of a prior agreement between the prosecution and defense concerning the
disposition of the case; it is generally conceded that ‘plea discussions’ and ‘plea
agreements’ are often appropriate, but that such procedures should not be concealed
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behind an in-court ceremony at which the defendant sometimes seems to think that he
is expected to state falsely that no promises were made to him. (See American Bar
Association Project on Minimum Standards for Criminal Justice, Standards Relating to
Pleas of Guilty (Approved Draft 1968); Enker, Perspectives on Plea Bargaining, in
The President’s Commission on Law Enforcement and Administration of Justice, Task
Force Report (1967): The Courts.) Two major objectives of *** Rule 402 are: (1) to
insure compliance with the Boykin requirements; and (2) to give visibility to the
plea-agreement process and thus provide the reviewing court with a record containing
an accurate and complete account of all relevant circumstances surrounding the guilty
plea.” Ill. S. Ct. R. 402, Committee Comments (adopted May 20, 1997).
¶ 26 In regard to subparagraph (b), the committee comments specifically addressed the
requirement to state the plea agreement in open court because “[i]t is important to give
visibility to the plea-agreement process in this way, as otherwise the defendant may feel
required to state falsely that no promises were made and the plea may later be subject to
collateral attack.” Ill. S. Ct. R. 402, Committee Comments (adopted May 20, 1997).
¶ 27 The supreme court in People v. Dudley, 58 Ill. 2d 57, 60 (1974), discussed the Rule 402(b)
requirement to state the plea agreement in open court.
“[T]he requirement prevents misunderstandings as to the terms of an agreement. It is an
efficient means of reducing what is typically an oral understanding to a matter of
record. It also insures that the agreement will be visible for examination. This tends to
insure that such plea agreements as may be entered into will be equitable and fair,
considering both the interest of the defendant and the public interest in effective law
enforcement. Announcing the agreement in open court will deter or at least expose any
prosecutive timidity, overreaching or other impropriety, as well as deter future
unfounded claims by a defendant that an agreement entered into was not honored.” Id.
¶ 28 Further, as the supreme court in Davis observed:
“ ‘Where it appears that the plea of guilty was entered on a misapprehension of the
facts or of the law, or in consequence of misrepresentations by counsel or the State’s
Attorney or someone else in authority, or the case is one where there is doubt of the
guilt of the accused, or where the accused has a defense worthy of consideration by a
jury, or where the ends of justice will be better served by submitting the case to a jury,
the court should permit the withdrawal of the plea of guilty and allow the accused to
plead not guilty.’ ” Davis, 145 Ill. 2d at 244 (quoting People v. Morreale, 412 Ill. 528,
531-32 (1952)).
¶ 29 In this case, the record lacks a complete description of the terms of the plea agreement
before defendant entered a guilty plea and the trial court entered a finding of guilty. The trial
court’s failure to comply with Rule 402(b) demonstrates a clear misapprehension of the facts
and the terms of the plea agreement. From this record it is impossible to discern whether
defendant fully understood the consequences of his guilty plea, which is of particular concern
given the disparity in the sentence contingent on defendant’s testimony. As already pointed out
above, the trial court should have set forth the details in open court to ensure that defendant
knew he would be subject to a seven-year term in prison if he did not swear to specific facts
alleged by the State. We also point out that after the guilty plea was accepted, the prosecutor
requested “a sentence not offered by the Court and not Cook County boot camp, but a sentence
to the Illinois Department of Corrections,” which suggests that the seven-year sentence was
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not part of the plea agreement. We conclude defendant has been prejudiced as a result of the
trial court’s failure to comply with the rule. Thus, in this case, the failure to comply with Rule
402(b) amounts to plain error because the record does not establish that defendant entered his
guilty plea with a complete understanding and knowledge of the ramifications of his guilty
plea and the sentence to be imposed. We find that the proper recourse in the interest of justice
is to grant defendant’s motion and allow him to withdraw his guilty plea. Accordingly, we
reverse the trial court’s denial of the motion to withdraw the guilty plea, vacate defendant’s
conviction and sentence, and remand to the trial court. The parties can proceed anew in the trial
court.
¶ 30 Since we have vacated defendant’s guilty plea and remanded for further proceedings, we
need not reach the remaining issues raised on appeal. We point out that the record on appeal
regarding defendant’s challenge to his prior conviction under People v. Aguilar, 2013 IL
112116, only sets forth the indictment and the mittimus. No other information about this prior
case is provided. We also note that the indictment includes at least one charge that remains
viable after Aguilar, possession of a firearm without a valid firearm owner’s identification
card.
¶ 31 In a petition for rehearing, defendant asks that we take judicial notice of the fact that he was
only convicted of a charge under section 24-1.6(a)(1), (a)(3)(A) (720 ILCS 5/24-1.6(a)(1),
(a)(3)(A) (West 2010)), the subsection at issue in Aguilar, and that the remaining counts were
nol-prossed. Taking judicial notice of those facts, we find that the question of whether any of
the nol-prossed counts can support the underlying conviction in this case is a question to be
resolved in the trial court.
¶ 32 Based on the foregoing reasons, we reverse the decision of the circuit court of Cook
County, vacate defendant’s conviction and sentence, and remand for further proceedings
consistent with this decision.
¶ 33 Reversed and remanded.
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