United States v. Villodas-Rosario
Opinion
Appellant Angel L. Villodas-Rosario appeals his sentence, claiming that it is both procedurally and substantively unreasonable. He asserts that he may bring these challenges because the waiver-of-appeal provision in his plea agreement should not be enforced under the tripartite framework of
United States
v.
Teeter
,
These competing arguments mirror the confusion in our precedent as to the proper standard for evaluating the enforceability of an appellate waiver. Although we explain this confusion below, we ultimately conclude that, even under the more defendant-friendly Teeter approach, Villodas-Rosario's waiver of appeal must be enforced. Accordingly, we dismiss his appeal.
I.
Villodas-Rosario pleaded guilty pursuant to a plea agreement to one count of knowingly possessing a firearm in furtherance of a drug trafficking crime, in violation of
At the change-of-plea hearing, the district court explained to Villodas-Rosario the rights that defendants waive by pleading guilty. In the context of describing the rights of defendants who are generally in Villodas-Rosario's position, the court stated:
You should know that sentences imposed in this court for this kind of case can be appealed by both sides. You can appeal. The government can appeal. Both sides can exercise the right to appeal. Sometimes Plea Agreements require that a defendant waive the right to appeal under some circumstances. Do you understand that?
The court did not go beyond this general explanation to describe Villodas-Rosario's specific appellate waiver provision or to inquire into his understanding of the appellate rights he was giving up by accepting the plea agreement. After delivering the explanation, the court accepted Villodas-Rosario's guilty plea.
Subsequent to the plea hearing but prior to sentencing, Villodas-Rosario became concerned about the affidavit of the sole police officer who conducted surveillance in this case. For example, the officer signed into the precinct to work on only one of the three days on which she supposedly conducted surveillance, and appellant claims that the log book records for the vehicles allegedly used by the officer were unavailable. Nevertheless, the officer's affidavit was used to establish probable cause for the search warrant that led to the discovery of weapons and drugs in Villodas-Rosario's possession. Despite these concerns, Villodas-Rosario never filed a motion challenging the validity of the affidavit. Instead, defense counsel discussed these concerns with the prosecutor out of "courtesy." The prosecutor, in turn, agreed to lower the government's sentencing recommendation to "at least ten (10) years."
At sentencing, the government recommended a sentence of "at least 120 months," well below the maximum term set forth in the plea agreement and consistent with the informally promised recommendation. In fact, both the government and defense counsel confirmed during the sentencing hearing that the 120-month recommendation was "with the understanding that if Your Honor sentences within the range of eight to 17 [years], then the defendant waives his right to appeal" under the plea agreement.
During sentencing, the district court expressly considered relevant factors specified by
On appeal, Villodas-Rosario asks that his sentence be vacated and the case remanded for resentencing. First, Villodas-Rosario contends that his plea agreement's appellate waiver is unenforceable because "the trial court did nothing to ensure that Villodas-Rosario was freely and intelligently waiving his right to appeal his sentence; on the contrary, it assured him that he did have the right to appeal his sentence." Second, if this court finds that the waiver is unenforceable, Villodas-Rosario contends that his sentence was both procedurally unreasonable-due to the district court's supposed failure to explain the reasons for the variance-and substantively unreasonable. The government argues that we should enforce the appellate waiver set forth in the plea agreement and not address the sentencing arguments that Villodas-Rosario raises.
II.
Villodas-Rosario and the government, relying on different strands of our court's precedent, disagree about the appropriate standard for determining whether to enforce an appellate waiver. As we explain in Section II.B, we should enforce Villodas-Rosario's waiver regardless of which of the two standards we apply. Nonetheless, the parties' competing arguments highlight a tension in our cases that warrants careful examination. We thus begin our discussion by reviewing the development of our case law on appellate waiver enforcement.
A. Waiving the Right to Appeal
In 1999, Rule 11(c)(6) of the Federal Rules of Criminal Procedure was amended to require that, "during a change-of-plea hearing, the presiding judge 'must address the defendant personally in open court and inform the defendant of, and determine that the defendant understands ... the terms of any provision in a plea agreement waiving the right to appeal.' "
Teeter
,
Indeed, at the time Rule 11 was amended to address plea agreement appellate waivers, our court had not yet spoken on their validity. In 2001,
Teeter
presented us with the opportunity to do so. At the time
Teeter
was decided, nine other circuits had already addressed the issue, and all nine had upheld the use of such waivers.
See
As to the second prong,
Teeter
explained that, while an inquiry at the change-of-plea hearing would ensure an intelligent waiver, such an inquiry was not a necessary condition. If the record as a whole revealed that the defendant understood the waiver at the time he entered the plea, an inadequate inquiry would not invalidate the waiver.
Teeter
,
The
Teeter
inquiry requirement was explicitly inspired by, but not dependent on, Rule 11. We were "[m]indful that Rule 11 [ ] ... specifically recognize[d] the importance of the change-of-plea hearing to any waiver of appellate rights," and we noted that "the advisory committee made it pellucid that such an inquiry, properly performed, offer[ed] considerable assurance of the defendant's knowledge and volition."
Importantly, the Teeter prong-two inquiry and the Rule 11(b)(1)(N) inquiry-although accomplished by a single colloquy between court and defendant-serve two distinct purposes. A defendant invoking Teeter seeks relief from an appellate waiver in order to appeal his conviction, his sentence, or both. The decision whether to enforce an appellate waiver is thus a threshold question. We cannot consider the underlying merits of a defendant's appeal until we decide whether a defendant has validly waived his appellate rights. A defendant alleging Rule 11 violations seeks to vacate the entire plea. The decision whether to enforce an appellate waiver necessarily precedes the consideration of such claims. 2
This distinction between a
Teeter
inquiry and a Rule 11 inquiry is highlighted by the remedy prescribed by
Teeter
when an appellate waiver is deemed unenforceable. In such cases, we "sever the
*16
waiver of appellate rights from the remainder of the plea agreement, allowing the other provisions to remain in force."
Teeter
,
In sum, after Teeter , a First Circuit district court's plea colloquy about an appellate waiver fulfills two independent purposes: it simultaneously satisfies Rule 11's requirement for the valid acceptance of a plea and Teeter 's second prong for the enforcement of an appellate waiver. Accordingly, even if Rule 11(b)(1)(N) were repealed, Teeter 's inquiry requirement would remain unchanged.
That said, since our decision in Teeter , we have failed to continuously stress that Rule 11(b)(1)(N) and the second prong of Teeter , with their shared directive to inquire into the defendant's understanding of an appellate waiver, created two separate, albeit related, obligations. 3 Indeed, we effectively blended the two areas of law in Borrero-Acevedo , the case on which the government relies to argue that Villodas-Rosario's appeal should be dismissed.
In
Borrero-Acevedo
, we looked to the Supreme Court's decisions in
United States
v.
Dominguez Benitez
,
In so holding, we may have mistakenly incorporated Rule 11 standards into the second prong of Teeter 's analysis for appellate waiver enforcement. The Supreme Court's requirement that a defendant "must show a reasonable probability that, but for the error, he would not have entered the plea," was articulated in the context of "a defendant who seeks reversal of his conviction after a guilty plea."
*17
Dominguez Benitez
,
In this case, however,-as explained below-we need not reconcile any inconsistency between Teeter and Borrero-Acevedo .
B. Plea Colloquy Error
Villodas-Rosario avers that his appellate waiver is unenforceable because the district court's plea colloquy failed to ensure that he entered into it knowingly and voluntarily. He argues that the district court not only failed to specifically address the terms of his appellate waiver, but it also affirmatively misled him by stating "you can appeal."
As discussed, Villodas-Rosario relies on
Teeter
in seeking release from his appellate waiver.
See
The first prong of the tripartite
Teeter
test-the clarity of the written waiver provision-is not contested. The plea agreement clearly stated that Villodas-Rosario relinquished the right to appeal if he was sentenced within the agreed-upon range. It is also beyond debate that the district court failed to satisfy the second prong's instruction to "inquire specifically at the change-of-the-plea hearing into any waiver of appellate rights."
Teeter
,
Villodas-Rosario suggests that the district court's statement "you can appeal" necessarily prevents a finding that he knew otherwise. To the contrary, we previously have observed that, "[w]hile broad assurances to a defendant who has waived her appellate rights (e.g., 'you have a right to appeal your sentence') are to be avoided[,] ... they do not effect a per se nullification of a plea-agreement waiver of appellate rights."
Teeter
,
Nowhere does Villodas-Rosario assert that he, in fact, unknowingly waived his appellate rights. He argues only that the district court's colloquy was erroneous and misleading. Indeed, at Villodas-Rosario's sentencing, his counsel acknowledged that his plea agreement contained a provision that waived his right to appeal his sentence if he was sentenced "within the
*18
range of eight to 17" years. Neither Villodas-Rosario nor his counsel indicated any objection to, or concern about, the terms of the waiver after they were openly discussed.
4
Although the relevant knowledge under
Teeter
is what Villodas-Rosario knew about the appellate waiver at the time the plea was accepted, we look to the whole record to determine what he understood about the waiver when he entered the plea.
See
Our review persuades us that Villodas-Rosario understood at the time he entered his plea that he agreed to forego the right to appeal if his sentence fell within the provided-for range. The record does not indicate when he would have allegedly learned of the specifics of his appellate waiver after entry of the plea but before sentencing. Yet Villodas-Rosario's counsel at the sentencing hearing-without prompting by the court and in his client's presence-reiterated the defendant's agreement to the specific appellate waiver provision. Even at that point, when an opportunity remained to object before his sentence was imposed, Villodas-Rosario expressed no concern about the waiver. Given the clarity of the written provision, the lack of objection at any time to the meaning of the appellate waiver, and defense counsel's representations to the court, we think it is a fair conclusion that Villodas-Rosario understood the terms of the appellate waiver when he entered his plea. His waiver was knowing and voluntary as required by the first and second Teeter prongs.
C. Miscarriage of Justice
The remaining question under
Teeter
-the third prong-is whether "denying a right to appeal would work a miscarriage of justice."
Villodas-Rosario argues that "it would be a miscarriage of justice for this Court to deny him the right to appeal his sentence after the district court expressly advised him that he did have that right." In other words, Villodas-Rosario's miscarriage-of-justice claim attempts to reargue the plea colloquy error that we have already addressed. But the third prong of
Teeter
, unlike the first two prongs, is not about the knowing and voluntary nature of the waiver.
See
Sotirion
,
The errors claimed by Villodas-Rosario in the merits portion of his briefing-the sentence was both procedurally and substantively unreasonable-do not begin to suggest a viable miscarriage-of-justice claim. Procedurally, Villodas-Rosario's assertion that the district court failed to justify its imposition of a sentencing variance is no more than a "garden-variety" claim specifically barred by an appellate waiver.
See
Sotirion
,
Appeal Dismissed .
In a 2002 amendment, Rule 11 was reorganized and this requirement became what is known today as Rule 11(b)(1)(N), but the substance of the rule remained largely the same. The current text of Rule 11(b)(1)(N) reads, in relevant part: "Before the court accepts a plea of guilty or nolo contendere, the defendant may be placed under oath, and the court must address the defendant personally in open court. During this address, the court must inform the defendant of, and determine that the defendant understands ... the terms of any plea-agreement provision waiving the right to appeal or to collaterally attack the sentence." Fed. R. Crim. P. 11(b)(1)(N).
In some cases, a defendant may seek to invalidate his plea after he is successfully released from an appellate waiver. A defendant may even seek to invalidate his plea on the basis of a Rule 11(b)(1)(N) error. The issues of appellate waiver enforcement and whether a plea should be invalidated are not mutually exclusive, but will arise sequentially.
As previously discussed, the notes to Rule 11 explicitly state that "the Committee takes no position on the underlying validity of such waivers."
Although the district court reiterated at the end of sentencing that Villodas-Rosario could appeal, Villodas-Rosario does not contend that this statement had any effect on whether his waiver was knowing and voluntary.
Borrero-Acevedo
questioned, without deciding, whether the "miscarriage of justice" prong of
Teeter
survived its characterization of the proper test for enforcement of appellate waivers.
See
Borrero-Acevedo
,
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. Angel L. VILLODAS-ROSARIO, Defendant, Appellant.
- Cited By
- 16 cases
- Status
- Published