UNITED STATES of America, Appellee, v. Diego FERNANDEZ-SANTOS, Defendant, Appellant.
Nos. 15-2456 & 15-2462
United States Court of Appeals, First Circuit.
May 1, 2017
THOMPSON, Circuit Judge.
Mainon Schwartz, Assistant United States Attorney, with whom Rosa Emilia Rodriguez-Velez, United States Attorney, Mariana E. Bauza Almonte, Assistant United States Attorney, Chief, Appellate Division, and Thomas F. Klumper, Assistant United States Attorney, Senior Appellate Counsel, were on brief, for appellee.
Before HOWARD, Chief Judge, DYK* and THOMPSON, Circuit Judges.
THOMPSON, Circuit Judge.
Defendant-appellant Diego Fernandez-Santos (“Fernandez“) pled guilty to three charges stemming from his possession of guns and drugs while on supervised release. He later moved to change his plea to not guilty, but the district court denied the motion and sentenced him to seventy-six
FACTUAL BACKGROUND AND PROCEDURAL HISTORY1
Back in 2011, Fernandez was convicted of possessing cocaine with intent to distribute. He was sentenced to time served and placed on supervised release. Fernandez failed to comply with the terms of that supervised release, so law enforcement officers obtained a warrant for his arrest. Early in the morning of February 13, 2014, the officers approached his home to make the arrest, knocked on the door, and identified themselves. They got no response but heard movement inside, so they attempted to enter by force. But this took a little time, and as they were trying to get through the front door, someone ran out the back door carrying a red bag. Officers gave chase. The runner turned out to be Fernandez‘s twelve-year-old nephew, and the red bag contained drug paraphernalia, cocaine residue, zip-top bags with a fruit insignia (commonly used by drug dealers to brand their product), 9mm ammunition, and two firearm magazines.
Meanwhile, other officers got in the house and quickly apprehended a wet-handed Fernandez, who was darting out of the bathroom and also trying to flee out the back door. Officers searched the house and found more drug paraphernalia, including cutting agents (used to increase the quantity of saleable drugs), torn “eight-ball” wrappings on top of the washing machine next to the bathroom (later found to contain trace amounts of cocaine), digital scales, and more fruit-branded zip-top bags. When asked if there was anything in the house that might harm an officer, Fernandez said there was a gun hidden behind the washing machine, so the officers immediately recovered it.
On March 27, 2014, a grand jury indicted Fernandez on three charges: (1) possession with intent to distribute a detectable amount of cocaine, in violation of
Fernandez‘s trial began on June 9, 2014. A jury got selected, the government and Fernandez‘s counsel made their opening statements, the court gave preliminary jury instructions about the three charges and their elements, and the government presented some of its evidence. The next day Fernandez put a halt to the trial and changed his plea to guilty to all three charges.
At his change-of-plea colloquy, Fernandez stated that he had received a copy of the indictment and had discussed it with his counsel. Fernandez further stated that he was satisfied with his counsel‘s representation, understood the charges against him, committed the crimes charged, and was pleading guilty knowingly, voluntarily, and intelligently. The government recounted some of the evidence against Fernan-
Shortly after pleading guilty, Fernandez was transferred from Puerto Rico to a prison in Georgia. Fernandez claims he lost touch with his lawyer after the transfer. On September 10, 2014, three months after Fernandez pled guilty to the charges, his attorney filed a motion to withdraw from the case. The district court opted to grant the motion in part—it appointed a new attorney to work with the original one. Then, on November 3, 2014, Fernandez‘s original attorney sought the same relief and made a second motion to withdraw. This time, the district court granted it in full. That left Fernandez‘s new attorney as his sole defense counsel.
The ins and outs of the rest of the proceedings are important to understanding Fernandez‘s legal arguments on appeal, so we outline them now and save the details for later. First, working with his new attorney, on January 11, 2015, seven months after he pled guilty, Fernandez moved to withdraw his guilty plea. After hearing from both sides, the court denied this motion, concluding that: Fernandez pled guilty voluntarily, knowingly, and intelligently; Fernandez‘s claim of actual innocence was meager; and Fernandez‘s motion was not timely. Following this denial, on November 4, 2015, the district court sentenced Fernandez to sixteen months to be served concurrently on Counts One and Three, and sixty months to be served consecutively for Count Two—a total of seventy-six months for the three charges. But that was not all. Remember that officers caught Fernandez when they came to arrest him for violating the conditions of his supervised release imposed for his 2011 conviction. One of those conditions: “the defendant shall not commit another crime.” So, after Fernandez pled guilty to the other crimes, the court found Fernandez had violated the conditions of his supervised release. For the violation, the court sentenced Fernandez to an additional twenty-four months, to be served consecutively to his seventy-six month sentence, bringing Fernandez‘s total sentence to 100 months.
Fernandez appeals, challenging the district court‘s denial of his motion to withdraw his guilty plea and the consecutive nature of his violation sentence.
DISCUSSION
A. Motion to Withdraw the Guilty Plea
Fernandez first argues that the district court erred by denying Fernandez‘s motion to withdraw his guilty plea. Of course, the government says the district court did no such thing. That “a defendant has no absolute right to withdraw a guilty plea” is a well-established maxim. United States v. Caramadre, 807 F.3d 359, 366 (1st Cir. 2015), cert. denied, U.S.,
- “whether the original guilty plea was knowing, intelligent, and voluntary,”
- “the timing of the request,” and
- “whether the defendant is now colorably asserting legal innocence.”
Id. (citation omitted). If these factors weigh in favor of allowing the defendant to withdraw his guilty plea, courts also consider any prejudice the government would face as a result. Id. We review a district
1. Knowing, Intelligent, and Voluntary Plea
On to Fernandez‘s first argument, that his guilty plea was not made knowingly, intelligently, and voluntarily. He gives us two reasons why, claiming: (1) he did not understand the charges against him, and (2) his original lawyer gave him ineffective assistance. As we explain, neither argument helps him here.
i. Understanding of the Charges
Fernandez claims he did not understand the charges against him because the court explained the charges in “very general terms” and inadequately explained the mens rea the government would have to prove at trial.2 So, his plea was not knowing, intelligent, and voluntary. The government says the explanation of the charges was adequate. We agree.
Here, the district court certainly did at least this much. At the change-of-plea hearing, the district court confirmed that Fernandez was competent to plead guilty (a finding he does not challenge on appeal) and wanted to plead guilty to the charges. The district court went on to describe the charges against Fernandez, including a statement of the mens rea the government would have to prove on each charge. Fernandez affirmed that he understood each charge. The district court also confirmed that Fernandez had received the indictment and discussed it and his decision to plead guilty with his attorney. The government summarized the proof it would have presented on each charge if the trial had continued; Fernandez said he agreed with the government‘s version of what he heard and “that [is] what [he] did.” And as the government points out, Fernandez was also present during jury selection and the first two days of his trial, where he heard the preliminary jury instructions explaining the charges against him, including the mens rea the government would have to prove in order to convict. The charges against Fernandez were uncomplicated, and the court re-
ii. Ineffective Assistance of Counsel
Alternately, Fernandez attempts to convince us that he did not knowingly, intelligently, and voluntarily plead guilty via his claim that his lawyer “failed to represent him adequately and misguided him.” Pertinently, he alleges that his lawyer (1) pressured him into pleading guilty after convincing two defense witnesses not to testify, (2) may have failed to ask the government to produce test results showing that one of the seized pieces of evidence tested negative for cocaine, and (3) had a conflict of interest (though he gives no details about that alleged conflict). As a result, Fernandez claims he was “wrongly induced” by his defense attorney into pleading guilty. The government argues, and so we find, that Fernandez‘s claims cannot be pursued here on appeal.
In the plea-withdrawal context, a defendant arguing that he received ineffective assistance must show that his attorney‘s performance fell below an objective level of reasonableness and that, but for this deficient performance, there is a reasonable probability he would not have pled guilty. Caramadre, 807 F.3d at 371. If an appellant‘s claim “is confined to matters found in the record and can be determined without the need for additional fact finding,” we may consider it on direct appeal. United States v. Austin, 948 F.2d 783, 785 (1st Cir. 1991). Otherwise, “[f]airness to the parties and judicial economy both warrant that, absent extraordinary circumstances, an appellate court will not consider an ineffective assistance claim where no endeavor was first made to determine the claim at the district level.” United States v. Isom, 85 F.3d 831, 837 (1st Cir. 1996) (quoting Austin, 948 F.2d at 785).
The district court did not “determine the claim” below, id., suggesting instead that the claim should be addressed in a collateral proceeding under
2. Timing
Seven months elapsed between Fernandez‘s guilty plea and his motion to withdraw it. Fernandez claims the delay was not his fault—he lost contact with his first lawyer when he was moved from a prison in Puerto Rico to one in Georgia—so the district court abused its discretion by holding this delay against him in the plea-withdrawal calculus. The government points out that the transfer to Georgia only accounts for part of the delay, so Fernandez‘s motion to withdraw his guilty plea was still untimely. We think the government has the better argument.
The timing of a motion to withdraw a guilty plea is important, as we have said before, because it is “highly probative of motive.” United States v. Doyle, 981 F.2d 591, 595 (1st Cir. 1992). “While an immedi-
In considering Fernandez‘s motion to withdraw, the district court considered Fernandez‘s argument that he lost touch with his lawyer, but concluded this factor weighed against him nonetheless: after he was appointed substitute counsel, Fernandez still waited over two months to file his motion to withdraw. On appeal, Fernandez gives no explanation for the additional delay. The district court‘s conclusion on this factor was not an abuse of discretion. See Isom, 85 F.3d at 839 (two-month delay made withdraw untimely).
3. Legal Innocence
Finally, Fernandez says he is legally innocent of the charges and puts forward a couple of arguments to support his claim. First, because police found only trace amounts of cocaine in his home (.025 grams), Fernandez contends that this small quantity is insufficient to show he possessed cocaine with an intent to distribute.6 Second, because he is innocent of the distribution charge, it follows that he is innocent of possessing a gun in furtherance of that distribution charge—and to boot, he didn‘t even own the gun.7
A serious claim of innocence supports the conclusion that it would be fair and just to allow a defendant to withdraw a guilty plea. A “mere protestation of legal innocence cannot in and of itself be issue-determinative, for ‘[t]here are few if any criminal cases where the defendant cannot devise some theory or story which, if believed by a jury, would result in his acquittal.‘” United States v. Kobrosky, 711 F.2d 449, 455 (1st Cir. 1983) (citation omitted). “Merely voicing a claim of innocence has no weight in the plea-withdrawal calculus; to be given weight, the claim must be credible.” United States v. Gates, 709 F.3d 58, 69 (1st Cir. 2013). A defendant must put forward “factual contentions” that create a “legally cognizable defense” to the charges, [otherwise] “he has not effectively denied his culpability,” and the district court may deny the motion to withdraw. Ramos, 810 F.2d at 312 (citation omitted). The government argues the district court was right to find that Fernandez‘s innocence claims do not amount to a legally cognizable defense to the charges, so they did not amount to a fair and just reason to withdraw his guilty plea, either. We think so, too.
i. Possession with Intent to Distribute
First, contrary to Fernandez‘s protestations, the fact that only trace amounts of cocaine were found at Fernandez‘s residence does not show that he is legally innocent of the possession-with-intent-to-distribute charge. We have explained that the amount of drugs is only one factor relevant to determining whether a defendant had an intent to distribute. United States v. Cortes-Caban, 691 F.3d 1, 35-36 (1st Cir. 2012). Other relevant factors include “the purity of the drugs at issue, [] the quantity of cash on a defendant, [] the manner in which the drugs were packaged, [] the presence of drug paraphernalia, [] the lack of any evidence showing a defendant used or consumed the type of drug seized, [and] the presence of firearms.” Id. at 36. Here, the district court found that Fernandez had an intent to distribute drugs because of the presence of drug paraphernalia, including eight-ball wrappings, small zip-top bags bearing drug trafficking insignia, cutting agents, and digital scales; and the presence of a gun and ammunition. The district court also noted that a jury could infer from the
Fernandez‘s arguments on appeal focus exclusively on the amount of drugs found in his home, but he has no rejoinder to the district court‘s overall assessment of the distribution charge. Not only was Fernandez‘s claim of innocence “not credible,” but it also “contradicted the change-of-plea colloquy in which he acknowledged that he committed the charged offenses.” Gates, 709 F.3d at 69. The court did not abuse its discretion in rejecting Fernandez‘s quantity-based defense.
ii. The Gun Possession Charge
That leaves Fernandez‘s second innocence argument: he is legally innocent of possessing a firearm in furtherance of a drug trafficking crime, he says, because he did not own the gun. But ownership is not an element of the charge of possessing a gun in furtherance of a drug trafficking crime.
4. Conclusion
In the end, none of the relevant plea-withdrawal factors weigh in Fernandez‘s favor. The
B. Sentencing
We turn now to Fernandez‘s second claim on appeal, that the district court erred by imposing a consecutive sentence for violating his term of supervised release. Remember, at the time Fernandez committed the three crimes we discussed above, he was on supervised release for a previous drug crime. After he pled guilty, Fernandez, like we said, was sentenced to sixteen months, to run concurrently, for Counts One and Three (possessing cocaine with intent to distribute, and being a felon in possession of a firearm). He also got five years, to run consecutively to the sixteen-month term, for Count Two (possessing a firearm in furtherance of a drug trafficking offense under
Fernandez argues that his sentence is procedurally unreasonable and should be vacated. The district court had the discretion to run the sentences concurrently, he claims, but it erred because it believed it was required to run his twenty-four-month revocation sentence consecutively. And the court‘s error was prejudicial because his sentence “became [twenty-four] months longer” as a result of this mistaken belief. The government argues that the district court did not err because it knew it had the discretion to run the sentences concurrently, it just chose not to. Even if the district court erred, the government stresses that Fernandez cannot show that his sentence was any longer as a result.
Fernandez did not raise these arguments below, so we review them for plain error.8 Favorably to Fernandez, even if we assume—without deciding—that the district court committed an error that was clear or obvious in imposing a consecutive revocation sentence, Fernandez cannot succeed.9 See United States v. Duarte, 246 F.3d 56, 61 (1st Cir. 2001) (bypassing first two prongs of plain-error review under similar circumstances). That is so because we find that Fernandez has not shown that the error—if any—had any impact on his substantial rights. Resultantly, he cannot pass the plain-error test.
On the third prong of plain-error review, Fernandez bears the burden of showing a “reasonable probability that the district court would impose a different” and “more favorable” sentence but for the error. United States v. Serrano-Beauvaix, 400 F.3d 50, 55 (1st Cir. 2005). Fernandez posits that his overall sentence was twen-
The record gives us no reason to believe that things would have been different for Fernandez but for the alleged error. Indeed, the district court recognized that the Guidelines-recommended revocation sentence for Fernandez is twelve to eighteen months. (And Fernandez concedes that the court‘s calculation was correct.) Nevertheless, the judge chose to sentence Fernandez to the statutory maximum of two years. See
Fernandez has not shown that the district court‘s error, if any occurred, “affected [his] substantial rights.” Marchena-Silvestre, 802 F.3d at 200. So, he has not shown plain error. We affirm his sentence.
CONCLUSION
For all the reasons discussed above, we affirm the district court‘s ruling and Fernandez‘s sentence, without prejudice to Fernandez‘s right to raise his ineffective-assistance-of-counsel claim in a collateral proceeding.
The District Court stated at sentencing that it was considering the
[T]he defendant is 28 years of age, has one child, has a 10th grade education, he abandoned school in the 11th grade. He was unemployed at the time of arrest, prior to that he was occasional[ly] employed doing odd jobs. The defendant is in good physical health. However, he submitted to mental health treatment as a child. He had learning disabilities and hyperactivity. He also received mental health treatment for anxiety as an adult under State custody.
The District Court did not refer individually to every mitigating factor Nieves now identifies. But the District Court did take the
IV.
The sentence is affirmed.
