UNITED STATES of America, Plaintiff-Appellee, v. Alfredo TORRES-ROMERO, also known as Jose Lopez-Vergara, Defendant-Appellant.
No. 07-1421
United States Court of Appeals, Tenth Circuit
Aug. 19, 2008
538 F.3d 1155
III. CONCLUSION
For the foregoing reasons, we AFFIRM the judgment of the district court.
Vicki Mandell-King, Assistant Federal Public Defender (Raymond P. Moore, Federal Public Defender, with her on the briefs), Denver, CO, for Defendant-Appellant.
John M. Hutchins, Assistant United States Attorney (Troy Eid, United States Attorney, and Brenda Taylor, Assistant United States Attorney, with him on the brief), Denver, CO, for Plaintiff-Appellee.
Before MURPHY, HARTZ, and GORSUCH, Circuit Judges.
MURPHY, Circuit Judge.
I. Introduction
Alfredo Torres-Romero appeals the district court‘s application of a sixteen-level enhancement, pursuant to
II. Background
Torres-Romero pleaded guilty to illegally reentering the United States following a prior deportation, in violation of
Alfredo Romero-Torres did unlawfully, feloniously, and knowingly manufacture, dispense, sell, and distribute, with or without remuneration, and possess a Schedule III controlled substance, to wit: Lysergic Acid....
The words “manufacture” and “dispense” were scored, as depicted above. The judgment, however, included the words “manufacturing” and “dispensing.” The judgment stated Torres-Romero had pleaded guilty to “Count Three: Unlawful Distribution, Manufacturing, Dispensing, Sale & Possession of Controlled Substance.” The government was unable to produce a Colorado plea agreement.
Torres-Romero argued, based on the information and the judgment, it was impossible to discern whether he had been convicted of simple possession or a drug trafficking offense. The district court, confining its review to the information and judgment, overruled Torres-Romero‘s objection. The court stated because Torres-Romero had been charged and convicted in the conjunctive, a “fair reading of both Count 3 of the Information and the concomitant judgment of conviction convinces me that he was convicted of a drug-trafficking offense within the meaning of guideline Section 2L1.2(b)(1)(A).” R. Vol. III at 12. The court applied the
III. Analysis
“We review de novo a district court‘s determination that a prior offense is a crime that can trigger a sentence enhancement under
The parties agree that the Colorado statute,
Torres-Romero argues that the government failed to meet its burden. He asserts neither the information nor the judgment prove that he was convicted of a drug trafficking offense. First, he contends that the use of the conjunctive in the judicial documents is meaningless, as it overlooks the fact that such documents are routinely written in the conjunctive, but do not require the government to prove every method of violating the statute. See United States v. Powell, 226 F.3d 1181, 1192 n. 4 (10th Cir. 2000) (explaining “it is hornbook law that a crime denounced in the statute disjunctively may be alleged in an indictment in the conjunctive, and thereafter proven in the disjunctive.” (quotation omitted)). Second, Torres-Romero points to the alternations in the information, striking the terms “manufacture” and “dispense.” Although he was not charged with these two methods of violating the
The language in the judgment, using the terms “manufacturing” and “dispensing,” does suggest that the judgment was parroting the title of the statute to which Torres-Romero pleaded guilty. This, however, is not the end of our analysis. The Supreme Court, in United States v. Broce, 488 U.S. 563, 569 (1989), explained “[a] plea of guilty and the ensuing conviction comprehend all of the factual and legal elements necessary to sustain a binding, final judgment of guilt and a lawful sentence.” This court has therefore concluded that “a defendant who makes a counseled and voluntary guilty plea admits both the acts described in the indictment and the legal consequences of those acts.” United States v. Allen, 24 F.3d 1180, 1183 (10th Cir. 1994); see also United States v. Brown, 164 F.3d 518, 521 (10th Cir. 1998) (explaining an “unconditional plea admit[s] all material allegations already contained in the [] indictment“). The effect of a guilty plea in Colorado is no different.2 See Hahn v. People, 126 Colo. 451, 251 P.2d 316, 318 (1952) (holding the effect of the guilty plea is to “plead[] guilty to every fact averred in the[] information“); see also People v. Zuniga, 80 P.3d 965, 970 (Colo. Ct. App. 2003) (explaining guilty plea admits all material facts alleged in the information); People v. Flagg, 18 P.3d 792, 794 (Colo. Ct. App. 2000) (same).3
In United States v. Hill, 53 F.3d 1151 (10th Cir. 1995) (en banc), this court addressed an argument analogous to Torres-Romero‘s in the context of the Armed Career Criminal Act (“ACCA“). The defendant was charged with violating
unlawfully, wrongfully, wilfully, feloniously and burglariously in the night time, [broke] and enter[ed] into a certain building ... owned by and in possession of STANDARD MOTOR SUPPLY in which building personal property of value was kept and contained, by breaking open the outer skylight of the said building, and entering the said building without the consent of said owner, with the wilful and felonious intent to steal said property.
Id. The judgment merely stated the defendant was convicted of “second degree burglary.” Id. The defendant argued that his guilty plea was an admission that he committed second degree burglary under Oklahoma law and not that he committed the specific acts in the information. Id. Sitting en banc, this court resolved that the “burglary information included all of the elements of a Taylor burglary because it alleged that Defendant unlawfully entered into a building with the intent to commit a crime.” Id. at 1155. “By pleading guilty, Defendant admitted that he did the discrete acts described in the indictment.” Id. (quotation and alteration omitted).
Torres-Romero‘s argument fails for the same reasons. He too “admitted all the well-pleaded facts in the indictment by pleading guilty.” Hill, 53 F.3d at 1155. Although his admissions did not include “manufacture” or “dispense,” as these were crossed out, they did include all other material facts in the indictment. By entering an unconditional guilty plea, Torres-Romero admitted he “did unlawfully, feloniously, and knowingly sell, and distribute, with or without remuneration, and possess a ... controlled substance,” as set out in the information. Selling and distributing a controlled substance clearly fall within the Guidelines’ definition of a drug trafficking offense.
IV. Conclusion
For the foregoing reasons, we affirm the district court.
HARTZ, Circuit Judge, dissenting:
I respectfully dissent. In my view, additional evidence, such as an admission in a plea agreement or during a plea colloquy in the Colorado proceedings, would be necessary to establish that Mr. Torres-Romero‘s Colorado conviction was for a drug-trafficking offense. I am unwilling to assume that when a defendant in Colorado state court pleads guilty to an information (or indictment) that conjunctively charges several means of committing the same statutory offense, the defendant necessarily admits having committed the offense by each of those alternative means. As I understand Colorado law, a guilty plea to an information establishes no more than would a jury‘s guilty verdict after trial on
The information filed against Mr. Torres-Romero charged a violation of
The majority opinion asserts, however, that Mr. Torres-Romero‘s guilty plea admitted that he not only possessed a controlled substance, but also sold and distributed a controlled substance, as charged in the information. I disagree.
To begin with, the authority relied upon by the majority opinion is not on point. I will first discuss the federal cases. The quoted statement from United States v. Broce, 488 U.S. 563, 569 (1989)—“[a] plea of guilty and the ensuing conviction comprehend all of the factual and legal elements necessary to sustain a binding, final judgment of guilt and a lawful sentence“—is perfectly consistent with the view that Mr. Torres-Romero‘s plea may have admitted only possession of a controlled substance, because such an admission would have been a sufficient factual basis “to sustain a binding, final judgment of guilt and a lawful sentence.” And the actual holding in Broce is of no help to the majority opinion. The Supreme Court held that a defendant who had pleaded guilty to two conspiracy charges could not collaterally attack the convictions by trying to prove that the two conspiracies were actually the same conspiracy and that therefore the convictions violated the Double Jeopardy Clause. See
In United States v. Allen, 24 F.3d 1180 (10th Cir. 1994), we stated: “[A] defendant who makes a counseled and voluntary guilty plea admits both the acts described in the indictment and the legal consequences of those acts.” Id. at 1183 (footnote omitted). Again, however, the issue in that case was nothing like the one here. Our holding, following Broce, was simply that the defendant‘s guilty plea forfeited his claim, raised for the first time on appeal, that the statute under which he was charged was unconstitutionally vague. See id. at 1182-93. Another cited case, United States v. Brown, 164 F.3d 518, 521 (10th Cir. 1998), is also inapposite; our holding was only that the defendant‘s guilty plea necessarily admitted the jurisdictional element of the indictment—namely, that the offense occurred in Utah. Unlike the situation in this case, in which the question is whether the defendant admitted to more means of committing the offense than necessary to sustain the charge, the plea in Brown would not have been valid without admission of the jurisdictional element.
United States v. Hill, 53 F.3d 1151 (10th Cir. 1995) (en banc), is more relevant but still readily distinguishable. The question in Hill was whether the defendant‘s prior Oklahoma conviction of burglary was for generic burglary, as required for a sentencing enhancement under the Armed Career Criminal Act. Generic burglary is “unlawful or unprivileged entry into, or remaining in, a building or structure, with intent to commit a crime.” Taylor v. United States, 495 U.S. 575, 599 (1990). The Oklahoma burglary statute encompassed entry into buildings and structures but also entry into automobiles, vending machines, etc. The information to which the defendant had pleaded, however, alleged that he had entered a building owned and possessed by a specific company. We held that the plea admitted entry into a building, so the Oklahoma offense was generic burglary. To be sure, the defendant need not have entered that particular building to have committed the offense. But he must have entered something. And if the Oklahoma court required a factual basis for the defendant‘s plea, it is eminently proper to presume that the thing he admitted entering was the building set forth in the information. Certainly, if the defendant had been convicted by a jury on that information, we would conclude that the jury had found that he had entered a building. See Shepard v. United States, 544 U.S. 13, 20 (2005) (generic burglary can be established by charging document on which defendant was convicted by jury). But that is very different from presuming that if a defendant pleads guilty to an indictment charging, say, manufacturing and distributing drugs, then he must have admitted both manufacturing and distributing. Either act—manufacturing or distributing—would suffice to sustain the charge. The defendant would have to admit to one, but not both. If a defendant were convicted by a jury under that indictment, we all agree that we could not conclude that the jury had found that he had manufactured drugs, because the verdict could have been sustained by a finding that he had distributed them. See United States v. Gonzales, 484 F.3d 712, 715 (5th Cir. 2007). Hill, in agreement with the Supreme Court‘s later opinion in Shepard, permits a court to look to the charging document to flesh out the charge beyond the bare requirements of the statute; but it does not go so far as the majority opinion would have it. In short, Hill is consistent with my view because it treats a guilty plea as establishing the same facts as would a jury verdict on the same charge. In this case, however, the majori
Moreover, whatever the above cases say about federal or Oklahoma practice, I know of no fundamental principle that requires a jurisdiction (in this case, Colorado) to hold that when a defendant pleads guilty to an information or indictment charging the violation of a statute by several alternative means alleged in the conjunctive, the defendant admits to committing the offense by all the alternative means set forth. If that were the case, then a judge could not properly accept a guilty plea to such a charge unless the defendant admitted committing the offense by all such means. But would a judge in every jurisdiction really be required (by what doctrine?) to reject a guilty plea to, say, a charge of “manufacturing and distributing cocaine” if the defendant admitted to distributing but denied manufacturing?
I think the proper approach is that of the Fifth Circuit‘s recent decision in United States v. Morales-Martinez, 496 F.3d 356 (2007), which looked to the law of the jurisdiction where the guilty plea in question had been taken. As in our case, (1) the defendant had pleaded guilty to unlawfully reentering the United States, in violation of
Following the Fifth Circuit‘s approach, this court should determine what Colorado law says about what Mr. Torres-Romero admitted by pleading guilty. The majority opinion cites two Colorado Court of Appeals’ opinions to support its view. But neither People v. Zuniga, 80 P.3d 965 (Colo. Ct. App. 2003), nor People v. Flagg, 18 P.3d 792 (Colo. Ct. App. 2000), involved our situation: Zuniga held merely that the defendant‘s guilty plea waived his claim on appeal “that the property was not stolen or that he did not retain it through the date alleged in the information.” 80 P.3d at 970. And Flagg held that a guilty plea admits involvement in a crime up to the last date stated in the charge. See 18 P.3d at 794-95. Indeed, in my view the language from Flagg quoted by the majority opinion (and endorsed by the Colorado Supreme Court in Juhl v. People, 172 P.3d 896, 900 (2007)) is more supportive of my position than the majority‘s. Flagg said,
The majority opinion also claims support from Hahn v. People, 126 Colo. 451, 251 P.2d 316 (1952). In that case the defendant pleaded guilty to a habitual-criminal information alleging prior felonies that would increase his sentence on a charge on which he had been convicted by a jury. He then moved to vacate his sentence on the ground that the prior felonies did not constitute felonies under Colorado law. The court held that the motion was barred by his guilty plea. It wrote,
Holding as we do that the plea of defendant to the habitual criminal counts was in effect a plea of guilty, it follows that defendant pleaded guilty to every fact averred in these counts of the information, and there is neither law, reason, or necessity requiring proof of the things admitted by such plea.
Id. at 318. In the context of that case, the statement was quite uncontroversial. But the majority opinion would extrapolate to a new context the language that a guilty plea “plead[s] guilty to every fact averred in ... the information” and infer that a plea necessarily is an admission of each alternative means of committing the offense that is set forth conjunctively in the information. I disagree. We should not treat language in an opinion as a verbal formula into which we enter the data from any possible case that could fit the language and then recite the answer. Judging is not such a mechanical task. Language in our opinions must be read in context. We can be certain that the Hahn court did not have in mind the situation presented on this appeal. General language that works almost all the time may not be applicable in circumstances that were not envisaged when the language was written. One example may suffice to prove the point. Perhaps the most frequently stated proposition of law in our opinions is that “we review the district court‘s grant of summary judgment de novo, applying the same standard used by the district court.” Johnson v. Riddle, 443 F.3d 723, 724 (10th Cir. 2006). That statement is correct in most circumstances, and virtually every reader finds it completely acceptable; but it is wrong in one important context: If the district court applied the incorrect standard, we are not bound to apply the “same standard.” When the district court has so erred, “we ... apply the summary judgment standard that should have been applied by the district court.” Id. at 725 n. 1 (internal quotation marks omitted) (emphasis added). With that example in mind, I would not read into Hahn nearly as much as does the majority opinion.
Contrary to the majority opinion, I would interpret Colorado law to be that Mr. Torres-Romero‘s guilty plea admitted only that he had committed the statutory offense in at least one (not necessarily all) of the alternative ways set forth conjunctively in the information. After all, the current formulation of the general rule in Colorado is that “[a] plea of guilty has the same effect as if defendant had been tried before a jury and had been found guilty on evidence covering all the material facts.” Flagg, 18 P.3d at 794. In other words, what is factually admitted by a guilty plea is the same as what is established by a jury verdict on the same charge. Because a jury verdict establishes only that the defendant committed the offense by one (not necessarily all) of the means stated con-
In addition,
SPECIALTY BEVERAGES, L.L.C., Plaintiff-Appellant-Cross-Appellee, v. PABST BREWING COMPANY, Defendant-Appellee-Cross-Appellant.
Nos. 06-6243, 06-6250
United States Court of Appeals, Tenth Circuit
Aug. 19, 2008
