United States v. Lidia Rodriguez
Opinion
OPINION
Lidia Rodriguez appeals her conviction and sentence for transporting an illegal alien for financial gain in violation of 8 U.S.C. . §§ 1324(a)(l)(A)(ii) and 1324(a)(l)(B)(i), She was arrested at a Border Patrol checkpoint on 1-19 between Nogales and Tucson, Arizona, after the passenger in her vehicle admitted the B1/B2 border crossing card he showed to Border Patrol agents did not belong to him.
Rodriguez seeks reversal of her conviction and remand for a new trial—which would be her third on this charge—on several grounds. First, she contends a jury instruction incorrectly defined “reckless disregard.” She also contends, among other things,, that the prosecutor’s showing of “unavailability” of her passenger ,was insufficient to admit his videotaped deposition at trial and that her prior conviction was improperly admitted.
We reverse.
I INTRODUCTION
A. Factual Background
Lidia' Rodriguez lives in Rio Rico, Arizona, which is just north of Nogales.’ The parties agree that, on December 17, 2013, Rodriguez picked up a young man, as arranged, at a parking lot in Nogales, asked to see his border' crossing card, which identified him as Jorge Miranda Bueno, then put the card on the seat beside her. In a videotaped deposition, taken on January 24, 2014, before his deportation, her passenger testified about how he had obtained a ride with Rodriguez. He had been making his third attempt to enter the United States, after he had been sent back to Mexico on two previous tries. He had made arrangements to pay a man he knew only as “Pecos” $4,000 to help him, if he successfully crossed into the United States. Pecos told him to go to the McDonald’s after crossing into Nogales, where a man with a black and gray cap would pick him up. When he got to the McDonáld’s, the man in the cap arrived and, without discussion, drove him to a house, left him in the car for a couple of hours, then returned with a border crossing card with a photograph that the man said looked like him, and told him to learn .the name very well. The man then took him to a parking lot, where Rodriguez picked him up. Rodriguez spoke with the man in the cap, but.the passenger did not hear what was said. Rodriguez asked to see the passenger’s border crossing card, told the passenger he should not get ner *1156 vous, and gave him a cell phone to use 'to play games. The passenger testified he understood they were going to Tucson.
Although Rodriguez did not testify, other witnesses’ trial testimony showed that, when Rodriguez and her passenger arrived at the primary inspection area of the Border Patrol checkpoint on 1-19, about 41 kilometers north of Nogales, Border Patrol Agent Luis Perez stopped their vehicle. Agent Perez asked Rodriguez if she was a U.S. citizen; she said she was and produced a U.S. passport card. Her passenger did not respond when asked the same question. Agent Perez thought the passenger looked ill at ease and was wearing a new shirt. Agent Perez explained that illegal aliens frequently changed out of the clothing they had worn to cross through the desert to try to blend in better. Rodriguez handed Agent Perez the border crossing card, which she said was the young man’s. At some point, Rodriguez told Agent Perez that she was going to Tucson to shop. Agent Perez did not believe that the border crossing card showed Rodriguez’s passenger, so he directed her vehicle to secondary inspection.
At secondary inspection, in answer to Border Patrol Agent Oscar Hidalgo’s questions, Rodriguez repeated that she was a U.S. citizen. When Agent Hidalgo asked the passenger about his citizenship, the passenger handed him the border crossing card. Agent Hidaígo directed the passenger to sit on a bench, some 20 or 30 feet away from Rodriguez’s vehicle, so he could continue questioning him. The passenger told Agent Hidalgo he had walked over the border that morning with the border crossing card to go shopping in the United States. Agent Hidalgo testified that, at some point during his questioning of the passenger, Rodriguez yelled from her vehicle, “We’re going shopping,” but that information was not. in. his report of the incident.
The passenger testified in his later videotaped deposition that he had not made any plans with Rodriguez to go shopping prior to the interactions with the officers. The passenger further testified that he thought three agents examined the border crossing card, that one thought the photograph on it looked like him, one didn’t, and a third wasn’t sure.
Agent Hidalgo testified that he did not think the photograph looked like the passenger. Agent Hidalgo called a dispatcher who reported back that the border crossing card had not been used since June. When Agent Hidalgo asked the passenger if he had any other identification, the passenger showed Agent Hidalgo his completely empty wallet. Agent Hidalgo thought going shopping with an empty wallet was unusual. A weapons search produced an identification card in the name of Enrique Martinez-Arguelles from underneath the passenger’s sock. At that point, the passenger admitted he was not the person in the photograph on the border crossing card, but was Martinez-Arguelles, and he was detained. Rodriguez was also arrested.
B. Procedural Background
On the order of a magistrate judge, Mr. Martinez-Arguelles’s deposition was taken on January 24, 2014, prior to his deportation, before the prosecutor and Rodriguez’s then-defense counsel. The videotaped deposition was introduced, over Rodriguez’s objection, during her first trial, in September 2014. Rodriguez also testified at her first trial and, because she did, the jury learned that she had a prior conviction for conspiracy to commit fraud. Rodriguez was convicted, but the district judge granted her a new trial, because her counsel had suffered medical problems that had undermined the effectiveness of his representation.
*1157 At Rodriguez’s second trial, in July-2015, which is the one at issue in this appeal, Mr. Martinez-Arguelles’s videotaped deposition was again introduced into evidence over Rodriguez’s objection. Agents Perez and Hidalgo testified as described above. An expert for the prosecution and an expert for the defense testified about smuggling along the border. Rodriguez did not testify, but her husband did. Rodriguez also presented the testimony of a neuro-optometric specialist that Rodriguez has marked visual disabilities that can create blurred vision, double vision, and transposition, resulting in difficulties interpreting and processing information. That evidence was offered to explain why Rodriguez might not have recognized that the passenger was not the person shown on the border crossing card he gave her. Because Rodriguez argued at trial that Border Patrol agents have special training to detect imposters using documents of others, the prosecution was allowed to introduce evidence of Rodriguez’s prior conspiracy conviction involving fraudulent use of immigration stamps to show her knowledge that aliens use false or fraudulent documents to enter the United States.
At the end of their first day of deliberations, the jurors indicated they were at an impasse, so the district judge gave an
Allen
charge, based on the Ninth Circuit model. This reminded the jurors that they had “a duty to discuss the case with one another and to deliberate in an effort to reach a unanimous verdict if each [could] do so without violating [his or her] individual judgment and conscience,” and instructed the jurors to “decide the case for [themselves]” but to “not hesitate to reexamine [their] own views.” The judge then sent the jury back for further deliberations. After receiving a note and questioning jurors, the district court removed one juror on the prosecution’s motion, joined by Rodriguez, and replaced that juror with an alternate. The jury convicted Rodriguez of transporting an illegal alien in violation of
At sentencing, in January 2016, the district court applied a two-level enhancement, pursuant to the U.S. Sentencing Guidelines Manual (“U.S.S.G.”) § 2Ll,l(b)(3), for committing the charged offense after a prior conviction for a felony “immigration and naturalization offense.” Rodriguez was sentenced to twelve months and one day.
Rodriguez appeals her conviction and sentence. She was granted release pending appeal.
II. LEGAL ANALYSIS
As mentioned at the outset of this opinion, Rodriguez challenges her conviction on several grounds and her sentence on one ground. We will consider in turn Rodriguez’s asserted grounds for relief.
A. Challenges To The Conviction
1. The “reckless disregard” instruction
Rodriguez’s first challenge to her conviction is that the district court gave an incorrect definition of “reckless disregard” in its instructions. She argues the district court’s definition did not require awareness of risk, only unreasonable failure to recognize risk, contrary to
Farmer v. Brennan,
a. Additional factual background
The statute under which Rodriguez was charged imposes criminal penalties on “[a]ny person who
.knowing or in reckless disregard
of the fact that an alien has come to, entered, or remains in the United States' in violation of law, transports, or moves or attempts to transport-or move such alien-within the United States by means of transportation or otherwise, in furtherance of such violation of law.”
Rodriguez asked the, district court to give the following instruction defining “reckless disregard”:
Á person acts in reckless disregard with respect to a circumstance when a person is aware of and consciously disregards a substantial and unjustifiable risk that the circumstance- exists., The risk must be of such nature and degree that disregard of such risk constitutes a gross deviation from the standard of conduct that a reasonable person would observe, in the situation.
This instruction is drawn from the Model Penal Code § 2.02(2)(c). Rodriguez also requested an instruction that negligence or mistake is insufficient to establish “reckless disregard.”
The district court, however, initially proposed the following instruction on “reckless disregard”: -
Reckless disregard is defined as deliberate indifference to the facts which, if considered and weighed in a reasonable manner, indicate a substantial and unjustifiable risk that the alleged alien was in fact an alien and was in the United States unlawfully.
The Model Criminal Jury Instruction for the' Ninth Circuit bn a § 1324(a)(1)(A)(ii) offense, § 9.2, does not define “reckless disregard,” so the district court understandably based this instruction on a comment to that model instruction, which indicated that this definition was derived from decisions of the Tenth and Eleventh Circuits.
Rodriguez objected to this instruction, inter alia, on the following grounds:
Recklessness is an awareness of risk and a conscious disregard of the awareness. The Court’s proposed instruction does not state the necessary awareness of risk. It just says if there is a substantial and [unjustifiable risk. It doesn’t link the existence of a risk to awareness of the same.
The prosecutor suggested the court replace “deliberate indifference to the” with “knowledge of,” and Rodriguez’s counsel agreed to that change. However, Rodriguez’s counsel then repeated a request for an instruction requiring “conscious disregard of the risk of which one has knowledge.” The district court announced, “I’m going to make the modification agreed to by the parties,” but “decline[d] to read the second sentence” of Rodriguez’s proposed instruction, and did not make any other change.
Consequently, the definition of “reckless disregard” presented to the jury was the following:
Reckless disregard is defined as knowledge of facts which, if considered and weighed in a reasonable manner, indí-nate a substantial and unjustifiable risk that the alleged alien was in fact an alien and was in the United States unlawfully.
b. Preservation of error
■We reject the government’s contention that Rodriguez failed to preserve the error
*1159
in the “reckless disregard” instruction. In
Black v. United States,
[T]he Criminal Rules ... are informative on objections to instructions. Rule 30(d) “clarifies what .. counsel must do to preserve a claim of error regarding an instruction.” The Rule provides: “A party who objects to any portion of the instructions or to a failure to give a requested instruction must inform the court of the specific objection and the grounds for the objection before the jury retires to deliberate.”
Here, Rodriguez did not state her objection to the district court’s instruction on “reckless disregard” in terms of “negligence” or reiterate her request to distinguish “reckless disregard” from “negligence.” Nevertheless, she did make patently clear that the substance of her objection was the failure of the district court’s instruction to require awareness of the risk, not merely knowledge of facts reasonably indicating the risk.
c. Misstatement of the law
Rodriguez argues the instruction misstates the law, so our review is de novo.
United States v. Kleinman,
A district court’s formulation of jury instructions must adequately cover the applicable law and must not be misleading. We review the instructions as a whole when determining if there was instructional error.
United States v. Ubaldo,
i. The Farmer definition
First, the Supreme Court has made plain that criminal recklessness generally requires that “a person disregards a risk of harm of which he is aware.”
Farmer,
The instruction, here, was contrary to
Farmer.
First, the instruction states that “[rjeckless disregard is defined as knowledge of facts” from which an inference of risk could be drawn, but does not meet the requirement in
Farmer
that the
defendant
“must ... be aware of facts” from which the inference could be drawn.
Even assuming that the district court’s “reckless disregard” instruction required that Rodriguez be aware of
facts
from which the inference of the risk at issue could be drawn, it plainly did not require that she actually
draw the inference,
We recognize that the decision in
Farmer
did not address, specifically, the meaning of “reckless disregard” in
For example, in
United States v. Rodriguez,
A reckless disregard for the safety of human life has both a subjective and an objective component. First, the defendant must be aware of the risk his conduct created (here, that the laser had the ability to blind or distract a pilot enough to cause a crash). As the Supreme Court recognized in Farmer v. Brennan, “[t]he criminal law[ ] [ ] generally permits a finding of recklessness *1161 only when a person disregards a risk of harm of which he is aware.”
Second, the risk must be “ ‘of such a nature and degree that, considering the nature and purpose of the actor’s conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actor’s situation.’” To put it succinctly, a defendant acts recklessly when he “deliberately disregardts] a substantial and unjustifiable risk ... of which [he is] atvare.”
Similarly, in
Albers,
we considered the meaning of “recklessly” in the definition of disorderly conduct in
The Supreme Court has, moreover, explained that the criminal law generally permits a finding of recklessness only when persons disregard a risk of harm of which they are aware. We thus conclude that the relevant inquiry in finding recklessness here is whether the defendants deliberately disregarded a substantial and unjustifiable risk of creating a hazardous or physically offensive condition of which they were aware.
Thus, a correct definition of “reckless disregard,” consistent with Supreme Court and Ninth Circuit law, would include “[the defendant’s] disregard[] [of] a risk of harm of which [the defendant] is aware.”
Farmer,
The defendant acted with reckless disregard if the defendant knew of facts which, if considered and weighed in a reasonable manner, indicate a substantial and unjustifiable risk that the alleged alien was in fact an alien and was in the United States unlawfully, and the defendant knew of that risk.
ii. The definition in the Model commentary
We are not persuaded to reach a different conclusion either by the two cases cited in the comment to § 9.2 of the Model Criminal Jury Instructions for the Ninth Circuit or by subsequent decisions of other Circuit Courts of Appeals considering the meaning of “reckless disregard” within
As we have not approved a definition for the term [“reckless disregard”] as it is used under Section. 1324, the district court adopted the 3 following definition approved by the Tenth Circuit:
[“]The phrase [‘]“reckless disregard of the fact,[’]” as it has been used from time to time in these instructions, means deliberate indifference to facts which, if considered and weighed in a reasonable manner, indicate the highest probability that the alleged aliens were in fact aliens and were in the United States unlawfully.[”]
We find that this instruction, defining an element of the offense, fairly and accurately stated the law and was therefore proper.
Zlatogur,
The formulation in the ‘Tenth Circuit case should have been suspect, in the first place, because it antedated
Farmer.
Furthermore, the challenge to the instruction in that case was reviewed only for plain error, because there had been no objection. Ures
ti-Hernandez,
Subsequent reiterations of this definition of “reckless disregard” within the meaning of § 1324(a). by the Eleventh, Tenth, and
*1163
Eighth Circuits are equally unpersuasive.
See, e.g., United States v. Kalu,
In short, the jury instruction at issue here was flawed.
d. Propriety of harmless error review
Absent waiver, “[e]ven if we determine an instruction was erroneous or failed to clear up confusion, we must’ still review whether the error was harmless.”
United States v. Castillo-Mendez,
i. Waiver by the government
The first reason is that the government did not argue that any error in the instruction defining “reckless disregard” was harmless. We have stated,
As a general and consistent rule, “when the government fails to argue harmlessness, we deem the issue waived and do not consider the harmlessness of any errors we find.” This is true even when the government “mentions” that harmless error applies in its brief but fails to advance a developed theory about how the errors were harmless, as well as when the government makes no argument whatsoever as to harmlessness in its brief.
United States v. Murguia-Rodriguez,
Not only do we have a “general and consistent rule” against addressing harmlessness when the government has waived it, there are good policy reasons not to do so. These, reasons include the difficulty of determining the effect of the error, particularly if it occurs at a critical point or on a critical issue in the case; our reluctance to expand the doctrine of harmlessness; and our concern not to “encourage the government’s laxness and failure to follow this court’s clear, applicable precedent.”
ii. The effect of the general verdict
Another reason we should not conduct a harmlessness review, when the government has waived the issue, is that “[g]eneral verdicts .., ' which permit a jury to convict based on different possible theories—without specifying the theory that forms the basis of the verdict—can complicate this analysis.”
Babb v. Lozowsky,
iii. This case is not “extraordinary”
Notwithstanding our “general and consistent rule” to consider harmlessness waived when the government does not argue it, “[w]e have discretion to consider the issue of harmlessness
nostra sponte
in ‘extraordinary cases.'”
Murguia-Rodriguez,
[W]e recognize that no interest is served—and substantial time and resources are wasted—by reversal in those unusual cases in which the harmlessness of any error is clear beyond serious debate and further proceedings are certain to replicate the original result. Fortunately, our precedents do not foreclose the position that an appellate court’s sua sponte consideration of harmless error is appropriate on occasions of this type.
Gonzalez-Flores,
The record in this case may not be unduly large, but it is large enough to “render the harmlessness inquiry a ‘burdensome’ one.”
Kloehn,
Here, the harmlessness of the error is, at the very least, “debatable”; consequently, we are not convinced of the futility of reversal and further litigation.
See Brooks,
The prejudicial effect is all the more debateable here, because Rodriguez’s mens rea was the hotly-contested, central issue in the case.
Castillo-Mendez,
Here,
considering
harmless error is clearly not “necessary to prevent a miscarriage of justice or to preserve the integrity of the judicial process.”
Dreyer,
2. Admission of the passenger’s videotaped deposition
Rodriguez argues the prosecutor’s showing of “unavailability” of Mr. Martinez-Arguelles, the illegal alien she was convicted of transporting, was insufficient to admit his videotaped deposition at trial. The government argues the prosecutor made reasonable efforts to obtain Mr. Martinez-Arguelles’s presence to testify while respecting his attorney-client relationship.
a. Additional factual background
At the conclusion of Mr. Martinez-Arg-uelles’s videotaped deposition, which was taken prior to his deportation, he agreed to the prosecutor’s request to make sure he gave his lawyer all of his contact information, so he could be contacted when he was back in Mexico. Neither party asked Mr. Martinez-Arguelles on the record what his address or contact information was. At a hearing during Rodriguez’s first trial, outside the presence of the jury, Mr. Martinez-Arguelles’s counsel testified Mr. Martinez-Arguelles had not, in fact, given *1166 him his address, adding that he might not have had the chance to do so before he was deported. At a hearing during Rodriguez’s second trial,, also outside the presence of the jury, the prosecutor stated Mr. Martinez-Arguelles’s attorney had represented to the prosecutor that he had “fallen out of touch” with his client. The prosecutor believed he could not contact Mr. Martinez-. Arguelles directly, because he was represented by counsel, so prior to both trials, the prosecutor wrote letters to Mr. Martinez-Arguelles, in care of his attorney. The ¿ttorney responded in both instances that he was out of contact with Mr. Martinez-Arguelles, but would preserve the letters.
The government had in its possession Mr. Martinez-Arguelles’s identification card, which showed his address in Mexico. The prosecutor did not provide that address to Mr. Martinez-Arguelles’s attorney, however.
b. Confrontation Clause requirements
i. The applicable standards
Section 1324(d) authorizes use at trial of the videotaped deposition of a witness to a § 1324(a) violation “who has been deported or otherwise expelled from the United States, or is otherwise unable to testify.”
ii. Application of the standards
In
Jackson,
a case involving a state prisoner’s petition for federal
habeas corpus
relief pursuant to
Similarly, here, the prosecutor failed to take good-faith, available measures to locate Mr. Martinez-Arguelles. The prosecutor did not share the address from the border crossing card with that attorney. Nor, apparently, did the prosecutor ever ask whether Mr. Martinez-Arg-uelles was still represented by counsel at all, a question that could have informed whether it would have been ethically appropriate for the prosecutor to attempt to contact him; directly.
Cf. United States v. Pena-Gutierrez,
The government does not attempt to demonstrate any reason for believing that Mr. Martinez-Arguelles would not return to the United States to testify, if asked to do so and if his expenses were paid.
See
Thus, admission of Mr. Martinez-Arg-uelles’s videotaped deposition violated Rodriguez’s Confrontation Clause rights.
3. Admission of Rodriguez’s prior conviction
Next, Rodriguez challenges evidence of her prior conviction.
a. Additional factual background
In 2005, Rodriguez was convicted pursuant to
Rodriguez argues this prior offense was too dissimilar to the charged offense to show “knowledge,” rather, than criminal propensity, pursuant to Rule 404(b). The-government argues that the evidence was proper to show that Rodriguez knew that Mr. Martinez-Arguelles was in the country illegally.
b. Analysis
“Evidentiary rulings admitting evidence of other acts under Federal Rule of Evidence 404(b) are reviewed for an abuse of discretion, but whether the evidence of other acts is relevant to the crime charged is reviewed de novo.”
United States v. Livingston,
[t]he government must show that “(1) the evidence tends to prove a material point; (2) the other act is not too remote in time'; (3) the evidence is sufficient to support a finding that defendant committed the other act; and (4) (in certain cases) the act is similar to the offense charged.” “[T]he probative value of the evidence must" not be ‘substantially outweighed by the danger of unfair prejudice.’ ”
United States v. Lloyd,
When Rule 404(b) evidence is offered to prove knowledge, as it was here, the “similarity’’ requirement does not require that the prior bad, act be precisely the same.as the charged act, “as long as the prior act. was one which would tend to make the existence of the defendant’s knowledge more probable- than it would be without the evidence,”
United States v. Hardrick,
We conclude the government established the logical connection between the 2005 conviction and the charged offense.
Rodriguez does not dispute that the other requirements for admitting this Rule 404(b) evidence were satisfied, and we conclude that they were.
See, e.g., Lloyd,
The evidence was properly admitted.
4. Other alleged errors
Rodriguez also argues the cumulative effect of the district court’s trial errors deprived her of a fair trial. We will not consider the cumulative effect of alleged errors, because at least one error requires reversal.
See United States v. Cazares,
Rodriguez also challenges her conviction because a juror was improperly dismissed and the
Allen
charge the district court gave the deadlocked jury was coercive. Because these two alleged errors are not likely to arise again on any retrial, we will not address them.
See Alvirez,
III. CONCLUSION
Rodriguez is entitled to reversal on the basis of two of her challenges to her convictions. The district court’s instruction to the jurors defining “reckless disregard” was incorrect. The district court also improperly admitted the passenger’s videotaped deposition, because the government made an insufficient showing that the pas *1169 senger was “unavailable,” where the government’s efforts to secure his presence were not reasonable.
REVERSED.
. Model Penal Code § 2.02(2) identifies and defines four mentes reae for criminal culpability: (a) purposely; (b) knowingly; (c) recklessly; and. (d) negligently. It defines “recklessly" as follows:
A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material’ element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the nature and purpose of the actor's conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actor's situation.
Model Penal Code § 2,02(2)(c),
. The Seventh Circuit also used the definition of "recklessness” in
Farmer
and Model Penal Code § 2.02(2)(c) to determine the meaning of the term for purposes of the federal criminal contempt statute,
. There may be other appropriate formulations, but we offer this as an example of one that would satisfy Farmer.
. Other Circuit Courts of Appeals also consider these three factors when deciding whether or not to consider the harmlessness of an instructional error, notwithstanding the government's failure to argue harmlessness.
See, e.g., Mollett v. Mullin,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Lidia RODRIGUEZ, Defendant-Appellant
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- 28 cases
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- Published