United States v. Nevarez-Barela
695 F. App'x 411
| 10th Cir. | 2017Background
- Defendant Richard Anthony Nevarez-Barela pleaded guilty to conspiracy to transport illegal aliens (8 U.S.C. § 1324(a)(1)(A)(v)(I)) pursuant to a plea agreement that included an appellate-waiver clause.
- He was sentenced within the advisory Guidelines to six months imprisonment plus up to six months in a halfway house.
- Despite the appeal waiver, Nevarez-Barela filed an appeal challenging aspects of his sentence and the waiver's validity.
- The government moved to enforce the appeal waiver under Tenth Circuit precedent (Hahn framework).
- The panel evaluated whether the waiver applies, whether it was knowing and voluntary, and whether enforcing it would cause a miscarriage of justice.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether the appeal falls within the waiver's scope | N/A — defendant appealed despite waiver | Government: appeal falls within the waiver scope | Waiver covers this appeal; enforceable |
| Whether waiver was knowing and voluntary | Argues sentencing court failed to state rationale for sentence | Government: plea colloquy and plea agreement show waiver was knowing/voluntary | Waiver was knowing and voluntary (no record-based defect shown) |
| Whether enforcing waiver would be a miscarriage of justice | Claims sentencing hearing error and unconscionability because gov’t lacks similar bar; alleges ineffective assistance in negotiation (not on record) | Government: miscarriage of justice limited to four specific situations; none shown | No miscarriage of justice; waiver enforced |
| Whether ineffective-assistance claim can be raised on direct appeal to invalidate waiver | Asserts counsel was ineffective in negotiating the waiver (not apparent on record) | Government: such claims generally must be raised in collateral proceedings (e.g., §2255) | Ineffective-assistance claim not appropriate on direct appeal; must be raised collateral |
Key Cases Cited
- United States v. Hahn, 359 F.3d 1315 (10th Cir. 2004) (en banc) (framework for evaluating appeal waivers)
- United States v. Ibarra-Coronel, 517 F.3d 1218 (10th Cir. 2008) (appeal-waiver enforceability is reviewed as a question of law)
- United States v. Anderson, 374 F.3d 955 (10th Cir. 2004) (burden on defendant to show waiver causes miscarriage of justice)
- United States v. Polly, 630 F.3d 992 (10th Cir. 2011) (identifies four circumstances constituting a miscarriage of justice)
- United States v. Porter, 405 F.3d 1136 (10th Cir. 2005) (ineffective-assistance claims challenging waiver generally belong in collateral proceedings)
- United States v. Elliott, 264 F.3d 1171 (10th Cir. 2001) (describing mutual benefits of plea agreement waivers)