Академический Документы
Профессиональный Документы
Культура Документы
No. 97-1051
Appellee,
v.
JOS
A. MARRERO-RIVERA,
Defendant, Appellant.
____________________
____________________
Before
____________________
A. Quiles-Espinosa, Sen
_____________
_______________________
____________________
September 8, 1997
____________________
____________________
Rivera
("Marrero") contends
Appellant Jos
that the
district
A. Marrero
court erred
in
denying his motion to withdraw his guilty plea, see Fed. R. Crim.
___
was
held criminally
responsible at
sentencing.
We
affirm the
I
I
BACKGROUND
BACKGROUND
__________
Appellant
"cafeter a,"
After
Marrero,
employed
one
owner
Jes s
confidential informant,
and
operator
Flette
Hidalgo
of
("Flette").1
Flette agreed
to supply
small
them with
and a
ten
kilograms of
cocaine, then
beeper stating
later
box
transmitted a
message to
Marrero's
Flette
containing one
kilogram of
cocaine.
Shortly
thereafter,
Marrero
charge
initially entered a
of conspiring
with
Flette to
possess,
to the
with intent
to
____________________
first asserted
at the
841(a)(1), 846.
Aguayo,
to plead guilty.
Later,
on
July 19, 1996, confronted with a 5:00 p.m. deadline for informing
the
government
consulting
whether
he would
change
his
plea, and
after
plead guilty.3
A.
A.
On July
22, 1996,
Rule 11 hearing.
Marrero pled
guilty pursuant
See Fed. R.
___
Crim. P. 11.
to a
a comprehensive
The court
inquired,
edged
that he
tation, that he
was satisfied
with
He further acknowl-
Attorney Aguayo's
represen-
with him by
3Even
remained
Aguayo went to a
a potential
defense
witness
decided
whether
an hour
he
would
4Count
1 alleged that
"did unlawfully,
___ __________
States,
attempting
__________
to
__
wit:
___
to possess
__ _______
amounts, that
narcotic
drug
to commit offenses
__ ______ ________
willfully,
__________
with intent to
____ ______ __
knowingly
_________
and
___
against the
unlawfully
__________
distribute multi-kilogram
__________
kilograms of cocaine, a
_________ __ _______
substance,
and
that
____
is,
__
schedule II
conspiracy
__________
to
__
in violation of
the court.
The
ly agreed
__ ______
Flette to
______ __
court that he
of cocaine.
__ _______
He
assured the
discussing
the
the meeting
between Flette
and the
____________________
846."
___
(Emphasis added.)
5The
Rule 11
colloquy regarding
the
indictment proceeded
essentially as follows:
[Court]:
"Now, in
Paragraph
1 of
the plea
indictment, charging a
violation
of
Title
841(a)(1).
21,
U.S.
Code, Section
846
and
Is that so?"
Count
One
charges
you
with
[sic]
distribute
kilograms
to
possess
with
multi-kilograms,
of
cocaine
conspiracy
to violate
Title 21.
Is that so?"
intent
to
is,
10
that
.
that
is,
Section 841(a)(1)
a
of
the
undercover DEA
agents."
The prosecutor
stated that
"[a]
Further,
the prosecutor
described how
Flette
had entered
the
Marrero cafeteria and left with the box of cocaine, and how, when
that
Flette
would
Flette.
Finally, the
establish that
jet
prosecutor represented
Marrero
had
"willingly and
of cocaine."
version of the
The district
relevant events as
court accepted
described by the
the guilty
plea after
prosecutor.
determining
B.
B.
presentence-investigation interview,
and some three months after the Rule 11 hearing, Marrero moved to
withdraw the
that it
sense
was:
Fed. R. Crim. P.
(1) involuntary, in
that he
32(e), claiming
had succumbed
to a
Aguayo's
advice
outweighed
that
the risks of
the
benefits
of
the
conviction at trial;
plea
agreement
____________________
6The
forwarded to
That
the defendant,
the beeper of
to a beeper service
Jose Marrero-
gently"
made,
assumptions,
because he
as it
been
including that he
Flette,
even though he
____ ______ __
what was
____ ___
in the box;
__ ___ ___
delegated
had
premised on
was guilty of
several
conspiracy simply
had no
___ __
incorrect
his employee,
contemporaneous knowledge
_______________ _________
made, in that
as to
__ __
he had
he had agreed
and
Facts, or
the box
he had
no demonstration that
held in
his hands
Version of the
11 hearing,
contained cocaine;
that
and (5),
court
neither
asked,
nor
determined,
whether
Marrero
had
At
the ensuing
testified that he
but did
Rule
32(e)
hearing, Attorney
plea agreement to
Aguayo
Marrero,
court, as
charges"
government
to whether Aguayo
and
"the
had
to
issue
prove
about
his
knowing
the
to accept a plea
it."
Marrero
responded by
in
the
the
he had
to be a basis in
introducing notes,
requirement
participation
"explained . . .
of the
used by
fact for
Aguayo
during
their
admission as
business
change-of-plea
follows:
and left
conference,
"What
I did
package
describing
. . .
for Jesus
Marrero's
A person came
Flette.
The
to my
package
contained cocaine."
for
the guilty
Version of
plea,
citing
the Facts,
the true
the
of cocaine.
and which
from Flette to
purport of the
Government's
had agreed
construed this to
not only
particular
court
in
6.
The
thereby acknowledged
beeper message,
but admitted
Further,
the
adequate to
understood
court
considered
support a
its
earlier
reliable determination
Rule
11
inquiry
that Marrero
had
expressly
had
conspiring
to
agreed
that he
sell ten
was
kilograms
criminally
of
responsible for
cocaine.
Finally,
the
Rule
11 hearing
transcript,
11 hearing.
which
finding
that
at the Rule
II
II
DISCUSSION
DISCUSSION
__________
A.
A.
warranted
1.
1.
Legal Framework
Legal Framework
_______________
States v. Pellerito,
______
_________
There is no absolute
prior to sentencing.
862 (1991).
See United
___ ______
______
just reason."
See
___
United States v.
_____________
Cotal-Crispo, 47 F.3d 1,
____________
Fed. R.
the
the defendant.
The burden of
United States
_____________
v. Isom, 85
____
v. Parrilla-Tirado,
_______________
The
district court
must
consider several
factors in
defendant,
the most
being
voluntary,
significant
whether
the
plea
was
of Rule
11.
Cotal-Crispo, 47
____________
F.3d at 3;
Other relevant
had reached,
Allard, 926
______
considerations,
United States v.
_____________
or breached, a
the
plea agreement.
the parties
Isom, 85
____
F.3d at
carries
ations,
the
demonstrable
district
court
prejudice
to
must
the
weigh
government
in
the
balance
were the
any
defendant
Isom, 85 F.3d at
____
835; Pellerito,
_________
difficult
to the
set
aside for
anything less
than
"clear error."
See,
___
e.g.,
____
retraction,
the
trial
particularistic, factbound
judge
plea,
Rule 11
and heard
at
make
assessment
conducted the
must
idiocratic,
an assessment
which is
inquiries, accepted
first
an
hand the
the original
reasons
guilty
bearing upon
its
withdrawal.").
plausible
reviewed
in
its
appeals
may
not
account of the
in light
entirety,
reverse
convinced
that had
it been
trier
fact, it
would
of
evidence differently.
permissible
factfinder's
views
of the
of
the
it
evirecord
court
even
of
though
sitting as
the
have weighed
the
Where
there are
two
the
evidence,
the
them cannot
be
choice between
clearly erroneous.
Cir. 1990)
(citing Anderson v.
________
considerable
deference to
made
district court,
by the
demonstrable abuse of
the
Moreover, we accord
firsthand assessment
which
discretion.
must be
470 U.S.
ultimately
affirmed absent
Barreto, 93 F.3d 17, 23 (1st Cir. 1996), cert. denied, 117 S. Ct.
_______
_____ ______
2.
2.
We
concerns
first
were met.
inquire
Rule
whether
11
certain
was "intended
"core"
to
Rule
ensure that
11
Cotal______
the
Rule 11
need to resort
hearing should
factors relevant
v. Medina-Silverio, 30 F.3d 1, 2
_______________
"produce a
to that determination
11(c).
Accordingly,
complete record
so as 'to
of the
eliminate any
in this highly
subjective area.'"
Allard, 926
______
McCarthy,
________
that
a guilty
plea be set
Silverio,
________
30 F.3d
aside.
63 F.3d 57,
at 3.
See Isom,
___ ____
85 F.3d
at 835;
Medina_______
Otherwise, we
consider whether
any
"substantial
rights."
United States v.
_____________
1995)
(Rule 11(h)
"harmless
technical violations"),
error"
cert. denied,
_____ ______
rule
excuses
116 S.
"minor
Ct. 1343
and
(1996);
____________________
7We
have identified
voluntariness
the charge; and
plea.
three "core"
Rule
11 concerns:
(1)
of the guilty
10
United States v.
______________
Raineri, 42
_______
(harmless
analysis
error
influenced decisionmaker or
F.3d
usually
36, 41-42
looks
to
(1st Cir.
1994)
whether
error
are not
515
failure
to address a
circumstances
In determining
core Rule 11
concern, we
to determining]
what was
communicated by
what should
____ ______
reasonably have
__________ ____
rather than
the form
of the
the trial
been understood
____ __________
by the
__ ___
communication."
court, and
defendant,
_________
Cotal-Crispo,
____________
47
(a)
(a)
Voluntary Plea
Voluntary Plea
______________
Marrero
maintains
that
Aguayo
pressured
him
into
accepting
the plea
before
vivid
the
last minute,
even though
the deadline
picture:
usual,"
agreement at
for changing
his plea.
"definitely anxious
waiting at
a local
bar,
. .
with his
Marrero
paints a
more anxious
attorney, to
than
learn
attorney's
the
importunings to accept
government.8
Furthermore,
as
he did
at
tendered by
the Rule
32(e)
____________________
8During
waiting at the
Marrero did.
recall whether
11
anything to
hearing,
Marrero
prospective
the
contends
that
Aguayo's
description
of
the
prospects for
Notwithstanding
success at
trial
was unduly
Marrero's resourceful
pessimistic.10
challenge,
there was
no
At
appropriately
the
Rule
inquired
11
whether
hearing,
the
Marrero was
district
acting
court
freely and
whether
anyone had
reassured
freely
the district
and that
no
court under
one had
oath that
attempted to
responses
were reasonably
"[i]t
the policy
is
assurances."
States v.
______
(statements
of
the law
Martinez-Molina,
_______________
the
to
hold
22 F.3d at
64 F.3d
hearing
he was
Marrero
pleading
coerce him.
Aguayo
credited by
Parrilla-Tirado,
_______________
at plea
pleading guilty.
litigants to
719,
"carry
district court,
733 (1st
strong
as
their
United
______
Cir.
1995)
presumption
of
drink, however,
there is
no suggestion in
the record
that the
9For example,
Marrero points
to
Aguayo's suggestion
that
there was
a "drug
program" pursuant to
which Marrero
might be
be eligible
for "good-time" credits, and that he could spend the final 10% of
his prison stay in a half-way house.
Aguayo's failure to
possible
rea
___
conspiracy), and
for
for
to
advise him of
requisite mens
____
mention either
the
given.
12
Moreover,
Marrero's
belated
representation
that
he
the Rule
11 colloquy
virtually
displacing
cannot be credited,
the
"clear
F.2d
75,
80 (1st
Cir. 1984)
error"
on its
__ ___
face, without
____
standard
of
review
(even where
appellant represents
11 hearing,
contrary
counsel
those statements
will be
presumed true
unless the
departing from
Similarly,
there
is
no
affirmative
evidence
that
persuaded
him that
interests,
945 F.2d
strong urging'
plea
See Miles
___ _____
1995), cert.
_____
Chrans,
______
guilty plea
the resultant
"involuntary."
Cir.
would
S. Ct.
(7th
by counsel does
best serve
not
v. Dorsey, 61
______
denied, 116
______
926, 933
would
have
been
F.3d 1459,
743 (1996);
Cir. 1991)
Marrero's
rendered
1470 (10th
Williams v.
________
("'Advice
not invalidate a
even
guilty plea.")
denied, 429 U.S. 489 (1976)), cert. denied, 502 U.S. 1208 (1992).
______
_____ ______
Nor can the mere fact that Marrero and counsel may have
plea involuntary.
981
(1st Cir.
1997) ("This
court
has not
F.3d. 975,
allowed defendants,
absent coercion or
agreements on the
13
basis that
have
belatedly
discovered
determining
whether
defendants,
with the
merit
of their
to
new
arrive at
assistance of
defenses with
defense.").
plea
benefits or
Rather,
in
agreement, criminal
counsel,
the strength of
must compare
the
the government's
plea
agreement
or following
trial.
Were
it otherwise,
belatedly-realized mistakes
in their
pre-plea assessments
deemed
more, to
warrant plea
sufficient, without
and
were
withdrawals,
rendered] meaningless."
by the
defendant's appraisal
of
likelihood
of
securing
leniency
frequently present
the
judgments may be
light
of
improvident,
although
sensible at
the time. .
not
entitled
to
later
they
events
were
. . A
withdraw his
accepted
that his
made that
seem
perfectly
defendant is
plea
merely
calculus
misappre-
penalties
attached
to
alternative
courses of action.
rendered
involuntary
confronting
found himself
Marrero.
by
The
is common
exceptional enough
the
anxieties
and
unenviable position in
among criminal
to evince
pressures
which Marrero
defendants, and
an overbearing of
14
time
his will
hardly
or to
have
precluded a rational
assessment of the
available options.
of
possible
to
weighing
of
61
death penalty
as
preclude
F.3d
at 1470 ("Although
rational
deadlines, mental
anguish, depression,
such
factors
considered
establish that
878
F.2d
experiences
question for
individually or
at
1541
for
("Criminal
nearly all
aggregate
. . .
do not
involuntary."); Pellerito,
_________
prosecutions
concerned
plea withdrawal is
in
are
. .
whether the
stressful
The
relevant
decision to
(b)
(b)
was
he
informed
about,
conspiracy charge
prove he
knew, at
contained
ten
the
mens
____
rea
___
in relation to
requirement
the time,
that the
kilograms to
related
be
the
to be able to
left for
Flette
a one-kilogram sample
of the
delivered to
box he
for
the
buyers.
In
a closely
no adequate
having
knowingly
held the
box
for
Flette
and that
the
box
There
was no
"clear
error"
in
the
district
court
15
finding
that
conspiracy
Marrero
understood
the
nature
hearing.
of
the
cocaine
Marrero acknowledged
under
oath
that
understood
he
had
read,
the indictment.
discussed
He endorsed the
with
counsel,
factual summary of
referred
to
the
requisite
conspiracy offense.11
mens
____
rea
___
for
and
Both
conviction
of
the
informed of
Nor are we
undone by
the nuances of
what he
conspiracy law.
while a
layman
But
to have been
be found culpable as
a conspirator,
to the point in
time by
__
to
wit, before
any,
the defendant's
terminated.
raises
In
conspiratorial involvement,
truth then,
been acquired;
________
the
contention Marrero
if
now
"intelligent" is
____________________
11The
indictment,
see supra
___ _____
note
4,
was
replete
with
language
intent.
See
___
summary of
also
____
supra note
_____
the facts,
5.
with Flette to
Moreover,the
prosecutor's
4-5, stated
that Flette's
knowingly
of cocaine,
12The
adult
become a commercial
who completed
airline pilot.
is an
high school
on to
and went
At the time of
his arrest,
Rule 11 proceedings.
The
understood the
16
intricacies
universal
of conspiracy
understanding
law, but
that
one
on
the commonsense,
cannot
be
held
near-
criminally
lawful enterprise.
______
charge, carrying a
that he
At bottom, therefore,
error is the
hearing
as clear
11 and
with Flette to
object of their
contained cocaine.
tion upon
which the
Marrero and
cocaine.
1311
(1st Cir.)
(although
defendant
could find
to supply ten
that
kilograms of
never
saw
or
possessed
cocaine, and
there was no
he knew of
scene,
suspicious
conduct,
possession of cellular
inference
that scienter
cert. denied,
_____ ______
considerations
510
U.S.
subordination
elements of
936
(1993).
to
presence at
drug
allowed
the
leader,
jury to draw
conspiracy were
Among
its
present),
evidentiary
17
showing,
hearing
were Marrero's
that he
had
repeated
conspired with
and Flette;
the beeper
Flette
to
"ten
representations;
and
Flette
at
the
Rule
to distribute
11
ten
Marrero
prepare
admissions
__________
message
jet
skis";
the kilogram of
Marrero's acknowledgement
Marrero received
the
government
cocaine seized by
agents'
the agents;
from
version of
Furthermore, although
it is conceivable that Marrero did not know the box contained co-
Marrero's
admission
that
he
did
conspire
with
Flette
and
to
distribute
ten
kilograms
of
cocaine,
the
district
court's
findings, both at the Rule 11 hearing and the Rule 32(e) hearing,
were not only entirely plausible, but far more plausible than the
he never
The effort to
box contained
First,
contrary
Marrero
cocaine is
must
impeded by
persuade
assessment constituted
Sanchez-Barreto, 93
_______________
senting at the
F.3d at 23.
us
two additional
that
an abuse
the
of
obstacles.
district
court's
discretion.
See
___
to distribute ten
present contention
is
seriously diminished
by
his
of his
continuing
18
failure,
theory
even at
upon which
this late
it
date,
might be
to attempt
to articulate
determined, given
the evidence
Flette.
at the time he
for the
district court
rationally to
there
conclude
Rule 11
hearing for
finding the
"knowing," especially
in light
guilty plea
of Marrero's
"intelligent" and
assurances to
the
charge
with Aguayo
and
understood
it.
On
this record,
of discretion.
guilty plea
constitute an abuse
See id.
___ ___
Finally,
discern
the
after
reviewing
the entire
record,
we can
in any way,
misinformed by counsel
charge
lodged
against him.
Rather,
the conspiracy
all responses
given
by
a correct
and
comprehensive
that
nothing
in
understanding
the
record
indicated
that
314 (1st
of
conspiracy
836 (holding
defendant
lacked
as to competence to plead
19
13,
16 (1st
plea was
involuntary or
Gray, 63 F.3d
____
about
product of
of
guilty plea);
that, at
the
he was confused
United States
______________
v. Ribas______
time
the trousers
Ruiz-Del Valle,
11 hearing that
misunderstanding); contrast
________
consequences
claiming
indication at Rule
8 F.3d 98,
were
[defendant] was
sold to
third
(charge neither
______________
read nor explained, and defendant made statement that should have
put court on notice that she did not understand firearms charge);
United States v.
______________
(defendant
charge);
Valencia, 923
________
F.2d 917,
expressed confusion
Mack v.
____
United States,
_____________
contradictory
Cir. 1991)
about jurisdictional
element of
635 F.2d
20, 24-25
(1st Cir.
been coerced, a
921 (1st
of his
own free
was required
plea
to
(c)
(c)
claim that
Marrero
conceded that
reasonable
doubt, that
the
government
he "willingly
could
prove,
and knowingly
First,
beyond
conspired"
that they
actually distributed
one kilogram
to the
undercover
20
agents.
these sworn
judicial
admissions.
Parrilla-Tirado, 22 F.3d
_______________
at 373 ("[i]t is
that
Marrero had
government's
record further
the requisite
version
of
the
culpable
facts
supports a
state of
stated
that
finding
mind.
The
Marrero
had
cocaine.
_______
does
not indicate
that
he
__
understood
that
the
government's
to
describe
understood
there is
what
Marrero,
the term
no record
as
to mean.
In
distinguished
from
addition, he now
skis" was
Flette,
notes that
a prearranged
ask during
Rule 11 colloquy,
court failed to
count, whether
inferred
count); Cotal-Crispo,
____________
of intent in
47 F.3d at
relation to another
is the
21
substance of what
defendant, rather
Altogether aside
attempted to explain
from the
to us why he
fact that
Marrero has
not
beeper
indication
aquatic
plausible
or
contention that
"jet
skis,"
there
or otherwise,
have offered
either
is
no
as to why
he
or
Flette dealt
suggestion
from
the undercover
in
Marrero,
agents would
"jet ski."13
More
to the
point, were we to postulate that the term "jet skis" did refer to
the
aquatic variety,
we would be
at a total
loss ourselves to
explain the uncontested fact that the box Flette delivered to the
undercover
that
agents contained
cocaine.
Accordingly,
we conclude
that the
beeper
message he
cocaine, particularly in
received
from Flette
referred
to
11 admissions.
Finally,
____________________
13Marrero
explicitly acknowledged
Government's Version
clear error
understood,
message
time he
to
cocaine.
as an
message to Marrero
court's
received
In
plainly alleged,
beeper
at $18,000 each.
the district
at the
referred
indictment to
but
in
correctness of
the
finding that
it, that
addition,
skis"
of course,
Flette had
was
Marrero
the "jet
the
the
in code,
sent a
22
tion of innocence
373 (asser-
He relies on
notes made by
that
had admitted
Marrero
contained cocaine.
that
Although
the
box
he left
Aguayo stated
at
for
Flette
the Rule
32(e)
and that
asked to
explain precisely
factual basis.
We
how he
had described
the requisite
See supra p. 6.
___ _____
cannot
permit
Marrero to
exploit
this
putative
See
___
United States
______________
v.
(inadequate record
claim
Lopez-Pineda,
____________
precludes review of
on direct appeal;
denied, 116 S.
______
F.3d 771,
U.S.C.
55 F.3d
693,
Cir. 1994)
(1st Cir.)
"ineffective assistance"
776 (1st
697
open), cert.
_____
v. Tuesta-Toro, 29
___________
(collateral proceeding
under 28
assis-
review), cert.
_____
States v.
______
Cir.
denied, 115
______
McDonald,
________ ___
necessary
as the present
S. Ct. 947
F.3d
,
___
(1995); see
___
, 1997
also United
____ ______
WL 464957 * (1st
____
Further factual
development is plainly
that Aguayo
rendered
doubt
ineffective assistance.
that an "ineffective
lie were it
23
Rule 11
hearing, that
conspiracy
under 21
knowingly conspired to
_________
U.S.C.
841(a)(1),
not be
846,
distribute cocaine, we
convicted of
unless he
had
to
3.
3.
11 hearing
during which
satisfied with
and
Aguayo's representation,
the consequences
of his
as alleged
into
have
plea, freely
charges
acknowledged
and that he
the Rule
11 record
had not
been coerced
fully
supported the
intelligent and
("We
understood the
was
in the indictment
pleading guilty,
district
guilty
that he
found
withdrawals where
voluntary.
no abuse
See
___
of
Sanchez-Barreto, 93 F.3d
_______________
discretion
in disallowing
at 23
plea
scrupulously followed
by
the district
district
court
court."); Ramos,
_____
thoroughly
810
F.2d at
complied with
Rule
314 ("That
11
the
also weighs
than
fourteen
principal
weeks after
ground on
of heart by Marrero
the
which the
essentially
explained to him
Rule
Rule
extended delay
hearing.
32(e) motion
that he need
think the
11
came more
Given
is based
pleading guilty
in seeking to
24
the
vacate the
the
we
guilty plea
consideration."
Parrilla-Tirado,
_______________
47 F.3d at 8
long).
22 F.3d
at 373.
See
___
also,
____
Although Marrero
legal representation
gain favorable
asserts that it
in Puerto
Rico in
is difficult
August, and
to find
points out
that the
report
Rule 32(e)
and
Vazquez, 34
_______
sentencing,
contrast
________
prior to
the presentence
United States
______________
v.
Gonzalez_________
moved to
other
considerations
alone
do not
warrant
setting
just reason
for allowing
Marrero to withdraw
aside the
his guilty
plea.
B.
B.
was
criminally responsible
for
ten kilograms
of cocaine.
He
to consider whether
he
quantity
of cocaine
comment. (n.12)
that
kilograms.
he . . . did
capable of
ten
25
See U.S.S.G.
___
2D1.1,
defendant establishes
_________ ___________
quantity . . .,
the court
did
not intend
to
provide
or was
it was not
not
Marrero
reasonably capable
further maintains
See U.S.S.G.
___
that
been found
of
kilogram was a
by Flette.
v. Miranda-Santiago,
________________
96 F.3d
Cir. 1996),
as the
the plea
he was
responsible
for
indictment.
to credit these
ten
kilograms of
cocaine
as
charged
sworn admissions.
in the
entitled
See Parrilla-Tirado,
___ _______________
22 F.3d
Finally,
produce, or
was
the
not
claim
capable
that Marrero
of producing,
did
ten
not
intend to
kilograms
of
amount agreed
undercover agents.
See
___
U.S.S.G.
afforded ample support for the district court finding that he was
26
III
III
CONCLUSION
CONCLUSION
__________
to renew the
27