United States v. Roger v. EvansUnited States v. Roger v. Evans
Roger V. Evans (“Evans”) appeals his conviction and life sentence upon a guilty plea for (1) threatening to use a weapon of mass destruction against federal government property in violation of
I. Background
In April 2004, Evans mailed a letter to the federal courthouse in Pensacola, Florida, addressed to the Clerk of the United States District Court. The letter, entitled “Affidavit in Support of Anthrax Scare,” referenced anthrax three times and contained a harmless powder that resembled anthrax. The receipt of Evans’ letter disrupted both the Clerk’s Office and the U.S. Marshals’ Office. Several employees were isolated for up to ten hours, including two Clerk’s Office employees who went to the hospital and had their blood drawn to confirm they were not exposed to anything dangerous. Evans, who was already serving a state sentence in excess of 100 years, had sent the anthrax hoax with the goal of being transferred to a federal prison.
A. Plea Hearing
In December 2004, Evans pled guilty to all counts. At the plea hearing, the district judge read Evans the indictment.
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Evans testified that he understood the three charges, had read his plea agreement, and had gone over the agreement with his attorney. The judge explained the possible penalties for the charges, including the enhancement.
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Evans indicated that he understood the sentencing implications and reserved his right to challenge the applicability of the enhancement. The judge questioned Evans about the factual basis of his plea. She asked him why he was pleading guilty and to describe what he had done. Evans testified, “I did it.” He later explained, “I wrote the letter and sent it to the courts.” Evans also admitted that he placed the powder in the envelope and that, although not his intention, he had
B. Sentencing
Despite the judge’s determination at the plea hearing, the court later asked the parties to brief whether there was a factual basis to support a conviction under
After the issues had been briefed, Evans’ attorney moved to withdraw. The court took up the motion at Evans’ sentencing hearing. At the beginning of the hearing, Evans’ attorney explained that he had received threatening letters from Evans and Evans had indicated an intent to commit further crimes. The government opposed counsel’s motion to withdraw, arguing that current counsel was in the best position to understand the sentencing arguments and delay would only increase Evans’ time in federal custody. Evans addressed the court and stated that he did not want his current counsel to represent him, did not want delay, and wanted to proceed with his sentencing without the help of an attorney.
The court explained to Evans that if he wished to waive his Sixth Amendment right to counsel the court had to ensure that he was informed of the consequences of that decision. Upon questioning, Evans indicated that he understood that (1) he had a right to counsel, appointed if necessary, at all stages; (2) his sentencing might involve law and procedural issues best handled by an attorney; and (3) he could face a potential life sentence and be required to serve his state sentence before his federal sentence. The court also inquired into Evans’ knowledge of the law. Evans characterized himself as “basically a paralegal” because he knew how to file motions to “get people back in courts” and how to do legal research into state law. He admitted that he had no formal legal education but testified that he was trained by other inmates and paralegals. The court reiterated that the sentencing hearing could be continued and new counsel appointed, but Evans responded,. “I wish not that. I wish to go ahead and get it over with now.” The court inquired into whether Evans was taking any medication at the time and whether his decision was completely voluntary. The court then allowed Evans to represent himself.
The court concluded that
II. Analysis
First, we examine whether there was a sufficient factual basis for Evans’ guilty plea as to the first and second counts of the indictment. Next, we ask whether the district court conducted a sufficient inquiry under
Faretta v. California,
A. Factual Basis for Counts One and Two
Evans alleges both a due process violation and a Rule 11 violation based on the district court’s acceptance of his guilty plea for threatening to use a weapon of mass destruction against federal government property (Count One) and mailing a threatening communication (Count Two).
See
1. Standard of Review
We review Evans’ claim that there was an insufficient factual basis for his guilty plea as to Counts One and Two for plain error because Evans did not raise his due process argument or object to a
To establish plain error, a defendant must show there is (1) error, (2) that is plain, and (3) that affects substantial rights. If all three conditions are met, we may exercise our discretion to recognize a forfeited error, but only if the error seriously affect[s] the fairness, integrity or public reputation of judicial proceedings. Under plain error review, the defendant bears the burden of persuasion with respect to prejudice or the effect on substantial rights. When neither the Supreme Court nor this Court has resolved an issue, and other circuits are split on it, there can be no plain error in regard to that issue.
Id.
at 1019 (internal quotations and citations omitted) (alteration in original). Furthermore, “a defendant who seeks reversal of his conviction after a guilty plea, on the ground that the district court committed plain error under
2. Due Process
Evans argues that the district court misinterpreted the requirements of
The dispute centers on whether the “threatens to use” language of
3.
Because we find that the district court did not plainly misinterpret the statutes at issue, Evans is unable to establish a reasonable probability that, but for the alleged error, he would not have entered his plea.
Accordingly, we affirm the district court’s acceptance of Evans’ guilty plea at to Counts One and Two because there was a sufficient factual basis to support his conviction. 7
B. Evans’ Self-Representation at Sentencing
Next, Evans asserts that his Sixth Amendment right to counsel was violated
1. Standard of Review
Whether Evans validly waived his right to counsel at his sentencing is a mixed question of law and fact, which we review
de novo. United States v. Cash,
2. Faretta Inquiry
A criminal defendant has a constitutional right to represent himself “when he knowingly, voluntarily, and intelligently elects to do so.”
Id.
For a waiver of the Sixth Amendment right to be valid, the defendant “must clearly and unequivocally assert [his] right of self-representation.”
Fitzpatrick v. Wainwright,
To determine whether Evans’ waiver was knowing and intelligent, we look to “the particular facts and circumstances of [his] case, including [his] background, experience, and conduct.”
Fitzpatrick,
C.
Lastly, Evans argues that the
1. Standard of Review
Whether a violation of
2. Serious Violent Felony Within the Meaning of
Notwithstanding any other provision of law, a person who is convicted in a court of the United States of a serious violent felony shall be sentenced to life imprisonment if ... the person has been convicted (and those convictions have become final) on separate prior occasions in a court of the United States or of a State of ... 2 or more serious violent felonies ....
§ 3669(c)(1)(A)®.
Evans does not dispute that he has two prior convictions which constitute serious violent felonies for purposes of
The statute explains that:
the term “serious violent felony” means—
(i) a Federal or State offense, by whatever designation and wherever committed, consisting of murder ...; manslaughter other than involuntary manslaughter ...; assault with intent to commit murder ...; assault with intent to commit rape; aggravated sexual abuse and sexual abuse ...; abusive sexual contact ...; kidnapping; aircraft piracy ...; robbery ...; carjacking ...; extortion; arson; firearms use; firearms possession [in connection with a crime of violence or a drug trafficking crime]; or attempt, conspiracy, or solicitation to commit any of the above offenses; and
(ii) any other offense punishable by a maximum term of imprisonment of 10 years or more that has as an element the use, attempted use, or threatened use of physical force against the person of another or that, by its nature, involves a substantial risk that physical force against the person of another may be used in the course of committing the offense ....
Evans was convicted under
The government concedes, and we agree, that
In making this determination, we consider the extent to which the charged conduct
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poses a risk that physical force against another person may be used in the course of committing the offense. The government presents two examples of physical force which may result as a consequence of threatening a federal building with anthrax: (1) arterial blood draws which medical personnel may perform on potentially exposed employees and (2) general physical force that law enforcement officers may employ in an effort “to evacuate and secure the property and/or catch the person who made the threat.” Appel-lee’s Br. at 52. These examples, however, do not account for the statutory requirement that the physical force against another person “be used
in the course of committing the offense.”
We find support for this approach in the Supreme Court’s analysis in
Leocal,
543
The
Leocal
Court emphasized that “[t]he ‘substantial risk’ in
We note, incidentally, that in 2004 (after Evans was indicted), Congress passed a statute entitled “False information and hoaxes,” which specifically criminalizes the conduct at issue in this case — sending an anthrax hoax letter.
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See
III. Conclusion
For the foregoing reasons, we affirm Evans’ conviction, but vacate his sentence as to Count One and remand for resen-tencing because the district court improperly applied the
AFFIRMED, IN PART; VACATED AND REMANDED, IN PART.
Notes
. The government admits that, while it could have, it did not seek a sentencing enhancement in connection with the second count, mailing a threatening communication in violation of § 876(c). Because the defendant was not notified of the possibility of such an enhancement at his plea hearing and the district court did not impose an enhanced sentence for that count, we do not discuss whether the conduct charged in the second count would qualify under
. The district court also imposed a $300 special monetary assessment and ordered Evans to pay $827.50 in restitution.
. The indictment charged Evans with:
(1) “intentionally and knowingly threaten[ing] to use a weapon or weapons of mass destruction, namely anthrax, against property that is owned, leased or used by the United States or by a department or agency of the United States, that is, United States District Court Clerk’s Office,”18 U.S.C. § 2332a(a)(3) ;
(2) “knowingly caus[ing] to be delivered by the United States Postal Service a written communication, addressed to the Clerk of the Court, U.S. District Court, ... Pensacola, FL ..., which contained a threat to injure the person of the addressee or another, specifically President George W. Bush, Florida Governor Jeb Bush, and the personnel within the United States District Court Clerk's Office, Pensacola, Florida,”18 U.S.C. § 876(c) ; and
(3) "knowingly and forcibly assaulting], resisting], opposing], impeding], intimidating], and interfering] with [a] Deputy United States Marshal ..., while she was engaged in or on account of the performance of her official duties,”18 U.S.C. § 111(a) .
. The government filed a
any ... offense punishable by a maximum term of imprisonment of 10 years or more that has as an element the use, attempted use, or threatened use of physical force against the person of another or that, by its nature, involves a substantial risk that physical force against the person of another may be used in the course of committing the offense ....
.
A person who, without lawful authority, uses, threatens, or attempts or conspires touse, a weapon of mass destruction ... against any property that is owned, leased or used by the United States or by any department or agency of the United States ... shall be imprisoned for any term of years or for life ....
.
Whoever knowingly so deposits or causes to be delivered [by the United States Postal Service] any communication with or without a name or designating mark subscribed thereto, addressed to any other person and containing any threat to kidnap any person or any threat to injure the person of the addressee or of another, shall be fined under this title or imprisoned not more than five years, or both. If such a communication is addressed to a United States judge, a Federal law enforcement officer, or [certain other federal officers or employees], the individual shall be fined under this title, imprisoned not more than 10 years, or both.
. To the extent that Evans argues that his conduct did not meet the elements of the charges, he waived this argument with his plea.
See United States v. Viscome,
. These factors include the defendant's (1) age, education, and mental/physical health; (2) prior contact with an attorney in preparation for the proceeding at issue; (3) knowledge of the nature of the charges and possible defenses and penalties; (4) knowledge of the rules of procedure, evidence, and courtroom decorum; (5) previous experience with criminal trials; and (6) access to appointed, standby counsel.
Fitzpatrick,
. If the government had charged Evans under
. See supra note 3 (first count).
. Notably,
. The career offender provision of the Sentencing Guidelines defines a “crime of violence,” in pertinent part, as "any offense ... that ... involves conduct that presents a serious potential risk of physical injury to another.” U.S.S.G. § 4B1.2(a)(2). Despite their similarities, § 16 and, by extension, § 3559, are not co-extensive with the guideline.
See Leocal,
Previously, we made broad generalizations such as "[tjhere is no meaningful distinction between the language of the career offender guideline ... and the language of § 3559 [and § 16(b)].”
United States v. Abraham,
. We note that § 3156(a)(4)(B) uses language identical to
. The statute reads, in pertinent part:
Whoever engages in any conduct with intent to convey false or misleading information under circumstances where such information may reasonably be believed and where such information indicates that an activity has taken, is taking, or will take place that would constitute a violation of [various U.S.Code sections, including those criminalizing the use of biological, chemical, or nuclear weapons,] shall be fined ... or imprisoned not more than 5 years, or both [if death or serious bodily injury does not result].
§ 1038(a)(1) (emphasis added).