UNITED STATES of America, Plaintiff-Appellee, v. Juan SANCHEZ-CERVANTES, aka Hugo Quirox, Quiroc, Quiroz, Quiroz Trejo, and Quiroz Tapia, Defendant-Appellant.
No. 98-35897
United States Court of Appeals, Ninth Circuit
March 1, 2002
Argued and Submitted Nov. 5, 2001. As Amended March 15, 2002.
282 F.3d 664
William S. Labahn, Law Offices of William S. Labahn, P.C., Eugene, OR, for the defendant-appellant.
Before: HUG, T.G. NELSON, and GOULD, Circuit Judges.
T.G. NELSON, Circuit Judge.
Juan Sanchez-Cervantes appeals from the district court‘s denial of his initial petition for relief pursuant to
I.
On March 18, 1993, Juan Sanchez-Cervantes was indicted on one count of possession with intent to distribute methamphetamine, one count of possession with intent to distribute cocaine, one count of conspiracy to distribute controlled sub-
The jury convicted Sanchez-Cervantes on all counts, but made no findings as to drug quantities. After determining, based on the presentence drug report, that Sanchez-Cervantes was responsible for 280.6 grams of methamphetamine, 1,387.3 grams of cocaine, and 176 grams of marijuana, the judge sentenced Sanchez Cervantes to 235 months’ imprisonment and a five-year term of supervised release.
Sanchez-Cervantes appealed his conviction and sentence, which we affirmed on April 26, 1996. He then filed a pro se
While the case was pending in the district court, the Supreme Court decided Apprendi. Sanchez-Cervantes sought to amend his petition, arguing that his sentence violated the ruling in Apprendi because the court did not submit the drug quantity determination to the jury to be found beyond a reasonable doubt. The district court allowed Sanchez-Cervantes to amend his petition in light of Apprendi.
On November 21, 2000, the district court held an evidentiary hearing on the ineffective assistance of counsel claim. After the hearing, the district court denied Sanchez-Cervantes’ petition as to both the ineffective assistance of counsel claim and the Apprendi claim. The court ruled that Sanchez-Cervantes made a knowing and voluntary decision to testify and that his counsel‘s advice was based on a strategic decision that was not objectively unreasonable. The court also held that Apprendi cannot be applied retroactively to cases on initial collateral review. Sanchez-Cervantes filed this appeal. We review a district court‘s decision to deny a
II.
At the time of Sanchez-Cervantes’ trial and sentencing, all of the circuits in the country allowed a judge to determine the drug quantity for which the defendant was responsible by a preponderance of the evidence. After Sanchez-Cervantes filed his
In Teague v. Lane,5 the Supreme Court held that new constitutional rules of criminal procedure that had not been announced at the time the defendant‘s conviction became final cannot be applied retroactively on collateral review unless they fit within one of two narrow exceptions.6 These exceptions exist if a new rule (1) “places certain kinds of primary private individual conduct beyond the power of the criminal law-making authority to proscribe,” or (2) “requires the observance of those procedures that ... are implicit in the concept of ordered liberty.”7 Thus, in order to apply the rule of Apprendi retroactively, we must determine that Apprendi is a new rule of criminal procedure that fits into one of Teague‘s exceptions.
Before we apply the Teague analysis, we must address Sanchez-Cervantes’ argument that Teague does not apply in this case because Teague involved a state prisoner‘s
In Jones v. Smith,12 we applied the Teague retroactivity analysis to the rule established in Apprendi.13 In Jones, an element of the crime was omitted from the state court information, but the jury instructions were proper as to all the elements.14 In analyzing whether Apprendi was retroactive, we held that Apprendi was a new rule of criminal procedure, thus satisfying the first step of the analysis.15 We went on to hold that the Apprendi rule, “at least as applied to the omission of certain necessary elements from the state court information,” did not fit into either Teague exception.16 Thus, we declined to apply Apprendi retroactively. Because Jones limited its analysis and holding regarding the Teague exceptions to the facts of that case, it guides but does not control our decision here. We must now examine whether Apprendi, by requiring the jury to make drug quantity findings beyond a reasonable doubt, fits within one of Teague‘s exceptions. We hold that it does not.
[4] Pursuant to Teague‘s first exception, the first category of rules that will be applied retroactively include those placing “certain kinds of primary, private individual conduct beyond the power of the criminal law-making authority to proscribe.”17 Apprendi neither decriminalized drug possession or drug conspiracies nor placed such conduct beyond the scope of the state‘s authority to proscribe. Thus, the first exception does not apply here. The other circuits that have addressed this exception in the context of the drug statutes agree.18 The matter rests on whether requiring the jury to make drug quantity determinations beyond a reasonable doubt falls within Teague‘s second exception.
The second exception in Teague allows courts to apply certain “watershed rules of criminal procedure” retroactively.19 These rules must be applied retroactively if a failure to adopt them will result in an impermissibly large risk that the innocent
We do not believe that requiring the jury to make drug quantity determinations beyond a reasonable doubt will greatly affect the accuracy of convictions. Nor is this rule a bedrock procedural element. Our view is consistent with the three circuits that have already ruled on this specific issue.24 In the cases facing those courts, as with the case before us, the existence of a drug violation was established beyond a reasonable doubt. The alleged Apprendi error only concerns an enhancement of the defendant‘s sentence based on a drug quantity finding by the judge. Therefore, the accuracy of the underlying conviction is not at issue. Moreover, most sentences will not be affected by Apprendi because they fall within the statutory maximum of twenty years allowed for convictions based on any measurable amount of drugs. If the jury convicted the defendant of a drug violation, even with no finding of a particular drug quantity, a sentence of twenty years or less would not violate Apprendi.25 Therefore, the rule established in Apprendi would apply only in a limited number of cases and is not the “sweeping rule” necessary to fall within Teague‘s second exception.26 Finally, the judge could still make a drug quantity finding and set the sentence without violating Apprendi as long
Our decisions that subjected Apprendi claims to harmless error analysis or plain error review lend additional support to our determination that Apprendi is not a bedrock procedural rule.28 In these cases, we did not consider Apprendi errors to be structural. A structural error is one that necessarily renders a trial fundamentally unfair and therefore invalidates the conviction.29 We only review for plain error or assess whether an error is harmless when the error is not structural; in those circumstances, the court must determine whether any substantial rights were prejudiced by the error.30 By applying harmless error analysis or plain error review to Apprendi claims, we have necessarily held that Apprendi errors do not render a trial fundamentally unfair.31 Therefore, it would seem illogical to hold that such an error is a watershed rule that “implicate[s] the fundamental fairness of the trial.”32 In addition, the Supreme Court noted in Tyler v. Cain that not all structural-error rules fit into Teague‘s second exception.33 This implies that Teague‘s second exception is even narrower than the category of structural-error rules. From these holdings, it follows that the new Apprendi rule is not so fundamental as to fit within Teague‘s second exception.
Sanchez-Cervantes argues that Apprendi must be retroactive because the cases upon which it relies had previously been given retroactive effect by the Supreme Court. The reasoning in Apprendi stems primarily from In re Winship,35 where the Supreme Court held that a defendant cannot be convicted of a crime unless there is proof beyond a reasonable doubt of every element of the offense.36 The Supreme Court later held that the rule established in Winship must be given retroactive effect.37 Then, in Mullaney v. Wilbur,38 the
Sanchez-Cervantes’ argument is flawed because not every extension of Winship is necessarily a watershed rule of criminal procedure. The rules announced in Winship and Mullaney were given retroactive effect because they were to “overcome an aspect of the criminal trial that substantially impairs its truth-finding function and so raises serious questions about the accuracy of guilty verdicts[.]”41 The application of Apprendi only affects the enhancement of a defendant‘s sentence once he or she has already been convicted beyond a reasonable doubt. Therefore, it does not rise to the level of importance of Winship or Mullaney. Allowing the judge to determine the quantity of drugs for sentencing purposes does not impair the jury‘s ability to find the truth regarding whether the defendant possessed, distributed, or conspired to distribute some amount of drugs.42
Finally, our holding in Jones v. Smith43 that Apprendi did not fit into Teague‘s second exception lends itself to a similar holding in this case.44 Although the facts and circumstances for applying Apprendi differ between the cases, we should not apply Teague on a piecemeal basis. A new rule should be retroactive as to all cases or as to none to avoid inconsistencies and unnecessary litigation. The decision that Apprendi is not a watershed rule should not vary with each unique fact scenario but should hold constant because we are assessing whether the new rule is fundamental, not whether its application is fundamental in varying situations.45 For all of the reasons stated above, we hold that Apprendi does not apply retroactively to cases on initial collateral review.
III.
We now turn to Sanchez-Cervantes’ claim of ineffective assistance of counsel. In assessing claims of ineffective assistance of counsel, we must follow the guidelines set forth in Strickland v. Washington.46 To establish that his counsel rendered ineffective assistance, the defendant must show that counsel‘s performance was deficient, and that the deficiency prejudiced the defendant.47 To be deficient, counsel‘s actions must be objectively unreasonable. Courts indulge in a strong presumption that conduct “falls within the wide range of reasonable pro-
Sanchez-Cervantes claims that his counsel‘s performance was deficient because he advised Sanchez-Cervantes to testify at trial and admit to illegally reentering the United States and conducting small-time drug deals. By putting Sanchez-Cervantes on the stand, his counsel also exposed Sanchez-Cervantes to cross-examination, which risked revealing past drug convictions and destroying his credibility. Sanchez-Cervantes argues that advising him to testify was a “desperation move” that relieved the Government of its burden of proof.
Sanchez-Cervantes cannot prevail on this claim because his counsel‘s performance was not deficient and did not result in any prejudice to Sanchez-Cervantes. As the district court noted, Sanchez-Cervantes voluntarily accepted his counsel‘s advice to testify. Sanchez-Cervantes admitted at the evidentiary hearing that he freely agreed to testify after his counsel explained the risks to him. Testimony from the evidentiary hearing also established that the advice was part of counsel‘s strategy to try to avoid a conviction for conspiracy. The Government had substantial evidence linking Sanchez-Cervantes to many drug deals as well as concrete evidence that Sanchez-Cervantes had illegally reentered the country. Counsel stated that he believed he could not win an acquittal on all the charges but that he could produce reasonable doubt on the conspiracy charge if Sanchez-Cervantes testified. He acknowledged that putting his client on the stand would open the door for admitting the prior convictions. He explained that the convictions would come in as evidence anyway, so putting Sanchez-Cervantes on the stand would not disadvantage him.
Advising Sanchez-Cervantes to testify was not objectively unreasonable in these circumstances. His counsel had a valid reason for doing so and proceeded to examine Sanchez-Cervantes with that objective in mind. Sanchez-Cervantes’ testimony was consistent with his being a small-time, solo drug dealer who was not connected to the other defendants. It is not the role of the courts to second-guess an attorney‘s tactical decisions. Accordingly, we find that Sanchez-Cervantes’ attorney‘s conduct was not deficient.
Although we need not determine prejudice after finding that counsel‘s performance was not deficient, we conclude that Sanchez-Cervantes’ ineffectiveness claim would also fail the second prong of the Strickland test. Regardless of whether Sanchez-Cervantes testified, the Government produced ample evidence to convict him. The Government established that a large amount of cocaine was seized from a barn behind Sanchez Cervantes’ house and several witnesses testified that they had purchased illegal drugs from Sanchez-Cervantes. While the fact that all the other defendants were convicted without testifying does not prove that such evidence would have convicted Sanchez-Cervantes, it makes a strong case that his testimony did not affect the outcome of the proceeding. Sanchez-Cervantes cannot establish that, but for the advice to testify, there is a reasonable probability that the result of the trial would have been different. Thus, there was no ineffective assistance of counsel.
CONCLUSION
We hold that Apprendi does not apply retroactively to cases on initial collateral review, and therefore, Sanchez-Cervantes’ Apprendi claim is barred. His ineffective assistance of counsel claim fails because his counsel‘s performance was not deficient and did not prejudice Sanchez-Cervantes. Therefore, we affirm the district court‘s denial of Sanchez-Cervantes’
AFFIRMED.
HUG, Circuit Judge, concurring.
I concur in the opinion because I believe it is compelled by our en banc decision in United States v. Buckland, 277 F.3d 1173 (9th Cir. 2002) (en banc). However, were it not for the majority opinion in Buckland, I would see the case differently. Sanchez-Cervantes was indicted only for violating
T.G. NELSON
UNITED STATES CIRCUIT JUDGE
