UNITED STATES OF AMERICA, Plаintiff-Appellee, v. JULIO VALDEZ, Defendant-Appellant.
No. 02-3043
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT
April 2, 2004
2004 FED App. 0094P (6th Cir.) | 04a0094p.06
RECOMMENDED FOR FULL-TEXT PUBLICATION Pursuant to Sixth Circuit Rule 206. Argued: January 27, 2004. Appeal from the United States District Court for the Northern District of Ohio at Toledo. No. 00-00756—David A. Katz, District Judge.
COUNSEL
ARGUED: Matthew M. Robinson, Cincinnati, Ohio, for Appellant. Jeffrey P. Singdahlsen, UNITED STATES DEPARTMENT OF JUSTICE, CRIMINAL DIVISION, Washington, D.C., for Appellee. ON BRIEF: Matthew M. Robinson, Cincinnati, Ohio, for Appellant. Louis M. Fischer,
OPINION
CLAY, Circuit Judge. After pleading guilty prior to trial in the United States District Court for the Northern District of Ohio to one count of conspiring to possess cocaine with the intent to distribute in violation of
I
On September 5, 2000, a grand jury sitting in the Northern District of Ohio returned a multi-count indictment against numerous Defendants, including Defendant Julio Valdez. The grand jury charged Valdez with conspiracy to distribute and possess with intent to distribute cocaine, cocaine base and marijuana in violation of
In August 2001, Valdez agreed via a written plea agreement to plead guilty to the conspiracy count (Count 1), in exchange for the government‘s agreement to drop Counts 15 and 16 and not to oppose a three-point reduction in the applicable sentencing guideline offense level for Valdez‘s acceptance of responsibility. The agreement stated, in part:
By signing this agreement, the defendant admits 1) that the conspiracy in Count 1 of the indictment existed, and that he knowingly and voluntarily joined the conspiracy, and that the purpose of the conspiracy in Count One was to knowingly and intentionally distribute, and possess with intent to distribute, cocaine.
* * *
The government and the defendant agree and stipulate to the following statement of facts and applicable sentencing guideline factors:
- That the defendant conspired to possess with intent to distribute at least 50 but less than 150 kilograms of cocaine (Base Offense Level 36).
(J.A. 102, ¶¶ 3, 7.) The agreement further noted that Valdez had read the plea agreement, that he had an opportunity to discuss it with his attorney, that he fully understood the agreement and that he was signing the agreement voluntarily.
On August 30, 2001, the district court conducted Valdez‘s plea proceedings pursuant to
The court again asked Valdez whether he had read the plea agreement and gone over it with his attorney, to which Valdez responded affirmatively. The court then had the following exchange with Valdez:
THE COURT: In paragraph No. 7 [of the plea agreement], it reads: The government and the defendant agree and stipulate to the following statement of facts and applicable guideline sentencing factors:
One, that the defendant conspired to possess with intent to distribute at least 50 but less than 150 kilograms of cocaine[,] base offense level 36. Do you understand that? DEFENDANT VALDEZ: Yes, I do.
THE COURT: And do you agree and stipulate to that paragraph?
DEFENDANT VALDEZ: Yes, I do.
(Tr. at 17.) The court then told Valdez that it could not determine his sentencing guideline range with certainty, but that it expected to impose a sentence between 135 and 181 months, depending upon Valdez‘s criminal history. The court accepted the plea agreement and confirmed that Valdez had not been threatened or induced to plead guilty and had agreed to plead guilty after consultation with his attorney and family.
After accepting the plea agreement, the court asked the prоsecutor to articulate the factual underpinning for Valdez‘s plea. The prosecutor stated, in relevant part:
With regard to Julio Valdez, the evidence will show that he ... joined the conspiracy in question and he was ... given and sold to him amounts of cocaine as set forth in the factual stipulation, 50 to 150 kilograms and that he received this cocaine from Mr. David Gonzalez and from other couriers who transported it to him in Adrian and Ohio and in Marion, Ohio. Mr. Valdez then resold the cocaine that he received in Adrian, Michigan, and in Marion, Ohio, and also hаd a set of or a group of persons that he sold to including Doug Ackerman and other persons named and unnamed in the indictment in question.
And the evidence would further show that ... defendant[] knowingly and voluntarily joined the conspiracy knowing full well its objects and its purpose.
On November 13, 2001, Valdez filed a motion to vacate his plea, claiming that he did not fully understand the crime to which he had pleaded guilty. In a handwritten affidavit, Valdez explained that he did not appreciate the distinction between “grams” of cocaine and the “kilograms” of cocaine referenced in his plea agreement and at the plea proceedings. On December 10, 2001, the court denied Valdez‘s motion to vacate his plea, reasoning that Valdez had not offered an explanation for the 75 days that had elapsed between Valdez‘s plea and his motion to withdraw. The court further noted that the circumstances surrounding the plea did not weigh in favor of a withdrawal because, inter alia, Valdez had stated at the plea hearing that he reads and writes English, that he had read and understood the indictment and that he had discussed the indictment with his attorney. Last, the court noted the “distinct possibility of substantial prejudice to the Government” if a withdrawal were allowed because “the recollections of witnesses may not be as fresh now” and because “substantial time and money would nеed to be spent in preparation for and execution of a trial.”
Valdez‘s sentencing hearing took place on December 21, 2001. Valdez repeated his claim that he did not understand that he had pleaded guilty to possessing with intent to distribute kilogram (as opposed to gram) amounts of cocaine. The court rejected this argument, having already rejected his motion to withdraw his plea. The court then went over Valdez‘s presentence report which had indicated a base offense level of 36 and a criminal history category of 6, which put him in the guideline range of 235 to 293 months. The court reduced Valdez‘s criminal history category to 4 after accepting Valdez‘s argument that most of his criminal history
II
A. Valdez‘s Guilty Plea Was Knowing and Voluntary.
This Court may hear a direct appeal to a plea proceeding conducted pursuant to
“In a simple case the district court may need only to read the indictment and allow the defendant to ask questions about the charge.” Syal, 963 F.2d at 904-05 (citing Van Buren, 804 F.2d at 892). “When the case is more complex, further explanation may be required. In any case the district court must be satisfied, after discussion with the defendant in open court, that the defеndant understands the elements of the offense.” Id. at 905 (citing Van Buren, 804 F.2d at 891). At a minimum, the defendant must understand the “critical” or “essential” elements of the offense to which he or she pleads guilty. See Bousley v. United States, 523 U.S. 614, 618-19 (1998) (observing that defendant‘s plea would be “constitutionally invalid” if “neither he, nor his counsel, nor the court correctly understood the essential elements of the crime with which he was charged“) (emphasis added); Henderson, 426 U.S. at 647 n.18 (“There is no need in this case to decide whether notice of the true nature, or substance, of a charge always requires a description of every element of the offense; we assume it does not. Nevertheless, intent is such a critical element of the offense of second-degree murder that notice of that element is required.“) (emphasis added).
Valdez pleaded guilty to violating
The facts of this case unquestionably show that the trial court ensured Valdez understood the drug quantity to which he pleaded guilty because the amount of drugs had been raised no less than four times before the trial court accepted Valdez‘s plea. In Van Buren, supra, this Court noted:
Where the crime is easily understood, several courts have held that a reading of the indictment, or even a summary of the charges in the indictment and an admission by the defendant, is sufficient to establish a factual basis under Rule 11.
804 F.2d at 892 (citations omitted).2 Valdez‘s crime was “easily understood.” This Court is not аware of any authority,
Since Valdez‘s crime was not complex, his guilty plea complied with
This Court previously has applied Van Buren tо similar facts as those presented by Valdez and declined to find a reversible Rule 11 violation. See Leachman, 309 F.3d at 384-86 (rejecting request to vacate plea of guilty to violations of
Further, the Supreme Court has observed that as long as a defendant is provided a copy of his indictment prior to pleading guilty (as Valdez was), there is a “presumption that the defendant was informed of the nature of the charge against him.” Bousley, 523 U.S. at 618 (citing Henderson, 426 U.S. at 650 (White, J., concurring)). Relying on the Bousley presumption, the Eighth Circuit Court of Appeals rejected a Rule 11 challenge identical to Valdez‘s—the district court‘s alleged failure to inform the defendant that the gоvernment would be required to prove the quantity of the controlled substances beyond a reasonable doubt. United States v. Perez, 270 F.3d 737, 739 (8th Cir. 2001). That court was persuaded by the facts that (a) the trial court had advised the defendant of the quantity of controlled substances alleged in the indictment and the sentencing range based on those quantities and (b) the defendant pleaded guilty to those amounts stated in the indictment. Id. at 740. Similarly, in
Arguably, the Eighth Circuit‘s Perez is inapposite because it involved a plain error standard of review, whereas here the less rigorous harmless error standard applies due to Valdez‘s attempt to withdraw his guilty plea prior to sentencing. Two panels of the Ninth Circuit Court of Appeals recently reached opposite results on facts similar to Perez primarily because of the different standards of review applicable in those cases. Compare United States v. Villalobos, 333 F.3d 1070, 1074 (9th Cir. 2003) (applying harmless error standard because defendant challenged drug quantity at sentencing hearing; vacating plea of guilty to violations of
B. The District Court Did Not Abuse Its Discretion in Denying Valdez Permission to Withdraw His Guilty Plea.
The permission to withdraw a guilty plea prior to sentencing is a matter within the broad discretion of the district court. United States v. Goldberg, 862 F.2d 101, 103 (6th Cir. 1988). Accordingly, this Court reviews a district court‘s refusal to permit a defendant to withdraw his or her guilty plea for an abuse of discretion. Id. at 104.
A defendant may withdraw a guilty plea after the district court accepts a plea, but before sentencing, if the defendant can show “a fair and just reason for requesting the withdrawal.”
The district court denied Valdez‘s motion to withdraw his plea, reasoning that (1) Valdez had not offered an explanation for the 75 days that had elapsed between his plea and his motion to withdraw, (2) the circumstances surrounding the plea suggested that Valdez had understood the indictment, which he had discussed with his attorney, and (3) the government might be prejudiced by the stale recollections of witnesses and the need to expend time and money trying the case.
This Court disagrees with the district court‘s third stated reason, because there appeared to be no factual basis for the court to find that a few months’ delay created by Valdez‘s guilty plea and subsequent withdrawal would have prejudiced the government. The government always has to spend time and money trying a case, so this “prejudice” is irrelevant on these facts. There also was no finding in the record that key witnesses were no longer available or that the few months’ delay had hindered their ability to remember key events.
Nevertheless, the Court agrees with the first two reasons stated by the district court. First, Valdez‘s unjustified 75-day delay, alone, supported the court‘s denial of a motion to withdraw. See United States v. Durham, 178 F.3d 796, 798-99 (6th Cir. 1999) (“The strongest factor supporting the district court‘s denial of Durham‘s motion is the length of time between Durham‘s plea and the filing of his motion to withdraw. Durham waited approximately seventy-seven days to file his motion after entering his guilty plea.“); Baez, 87 F.3d at 808 (“The strongest factors supporting the district court‘s ruling are the sixty-seven day delay between the motion and the plea, and Baez‘s failure to justify this extensive delay.“).
C. Valdez‘s Claim of Ineffective Assistance of Counsel Is Not Ripe for Judicial Review.
Valdez argues that he was denied effective assistance of counsel because his trial attorney failed to make clear that Valdez was pleading guilty to kilogram drug amounts rather than grams. In theory, claims of ineffective assistance of counsel can be raised on direct review. Massaro v. United States, 538 U.S. 500, 123 S.Ct. 1690, 1696 (2003). Typically, direct review is appropriate where “trial counsel‘s ineffectiveness is so apparent from the record that appellate counsel will consider it advisable to raise the issue on direct appeal.” Id. Here, Valdez‘s trial counsel‘s alleged ineffeсtiveness is not apparent from the record. There is little evidence in the record regarding what advice, if any, Valdez‘s trial counsel provided with regard to drug quantity, only Valdez‘s assertion that he did not understand the distinction between grams and kilograms. Such facts are more appropriately developed at the district court level. See United States v. Barrow, 118 F.3d 482, 494 (6th Cir. 1997) (“‘The
III
For all the foregoing reasons, the Court AFFIRMS Valdez‘s conviction and sentence.
