United States v. Carlos Aguiar
United States v. Carlos Aguiar
Opinion
Rogers, Circuit Judge
This is an appeal from the denial of a collateral attack pursuant to
I.
In superseding indictments, Aguiar and five co-defendants were charged with RICO and armed bank robbery conspiracies, two armed bank robberies, three counts of unlawful possession of a firearm by a convicted felon, and two counts of possession or use of a fully automatic assault weapon in connection with a crime of violence in violation of
Thereafter, on September 12, 2012, Aguiar,
pro se
, filed a motion pursuant to
II.
The protections afforded by the Sixth Amendment to the Constitution that "the accused shall enjoy the right to a ... public trial" extend to
voir dire
.
Presley v. Georgia
,
It is undisputed that the courtroom where
voir dire
was conducted for the trial of Aguiar and his co-defendants was closed, that defense counsel did not object, and that the district court did not conduct the
Waller
test. According to affidavits of
*356
Aguiar's mother and sister, when they attempted to observe
voir dire
on the first day of trial, a court security officer "informed [them] that [they] could not enter the courtroom because the jury selection had started, and that nobody was being allowed to enter until the jury selection was finished." Affid. of Lily Aguiar, at 1 (Sept. 12, 2012);
see
Affid. of Mariana Aguiar, at 1 (Sept. 12, 2012). The district court concluded that the alleged closure was "so trivial that it did not violate the Sixth Amendment,"
Aguiar
,
When, as here, a defendant first objects to a
voir dire
closure in a collateral attack on his conviction, the Supreme Court instructed in
Weaver v. Massachusetts
, --- U.S. ----,
[W]hen a defendant raises a public-trial violation via an ineffective-assistance-of-counsel claim, Strickland prejudice is not shown automatically. Instead, the burden is on the defendant to show either a reasonable probability of a different outcome in his or her case or, as the Court has assumed for these purposes, to show that the particular public-trial violation was so serious as to render his or her trial fundamentally unfair.
In circumstances strikingly similar to Aguiar's, Weaver's mother and her minister were excluded from the courtroom for two days during
voir dire
.
Assuming Aguiar's counsel's failure to object to the closure of
voir dire
constituted deficient performance under
Strickland
's first prong,
Weaver
is dispositive of
Strickland
's second prong. Aguiar proffered no evidence that had the district court conducted
voir dire
in open court, there was a reasonable probability the result of the proceeding would have been different, or that the
voir dire
proceedings were fundamentally unfair. He, like Weaver, suggests no misconduct by any party. The closed proceedings were held on the record, in the presence of all parties and their counsel, and Aguiar points to nothing in the closed proceedings that would remove his challenge from the reach of
Weaver
. The evidentiary and sentencing
*357
phases of the trial were held in open court, as were peremptory strikes and the district court's final rulings on pretrial motions. Aguiar's suggestion that during certain gaps in the closed
voir dire
proceedings the district court impermissibly discussed ongoing logistical, procedural, and evidentiary issues with the parties overlooks the record showing that the district court used these breaks to reference issues for final resolution later in open court. As in
Weaver
, then, Aguiar "does not indicate any basis for concern, other than the closure itself."
III.
The Sixth Amendment right to the effective assistance of counsel extends to the "critical stage" of plea bargaining.
Lafler v. Cooper
,
The duty to provide reasonably effective representation at sentencing presumes knowledge of statutory penalties and familiarity with the U.S. Sentencing Guidelines.
See
Abney
,
The Supreme Court has clarified that counsel's representational duty extends to advising the defendant about the consequences of pleading guilty beyond the criminal conviction itself. In
*358
Padilla v. Kentucky
,
Aguiar contends he was denied the effective assistance of counsel when trial counsel failed to explain to him that, upon rejecting the plea offer and going to trial, the government's superseding indictment would include more than one § 924(c) count and increase his mandatory minimum sentencing exposure, even to as much as life imprisonment. He maintains his "counsel needed only elementary reasoning to know what would happen if Aguiar rejected the plea offer." Appellant's Br. 49. In an affidavit attached to his § 2255 motion, Aguiar states:
My attorney ... informed me verbally that the government had offered me a thirty (30) year [mandatory minimum] plea to resolve my case. He failed to inform me and explain to me the consequences of the consecutive sentences exposure[ ] I was actually facing, if I was convicted at trial. He failed to advise me regarding the d[e]sirability of accepting the plea offered, rather than to proceed to trial. Had I been aware[ ] that I was actually facing a total of 35-years for the two (2) § 924(c) counts consecutively with an additional 30-years for the remaining counts, I would ha[ve] accepted the 30-year plea offer and pleaded guilty in a timely manner instead of proceeding to trial.
The district court rejected Aguiar's argument without holding an evidentiary hearing, reasoning that Aguiar's "counsel's performance did not fall below an objective standard of reasonableness under prevailing professional norms by failing to explain to him the sentencing implications of violations to which he was not charged at the time that the plea offer was extended and expired without acceptance."
Aguiar
,
Even assuming the absence of pending charges would distinguish Aguiar's circumstances from those of the defendants in
Abney
,
Booze
, and
Gaviria
, the question after
Padilla
is whether there were "clear" and "easily determined" severe sentencing consequences of Aguiar's rejection of the plea offer.
Padilla
,
*359 and once that he "hid ... weapons." Indictment at 2-8 (Aug. 5, 2004). The references to possession and use of a firearm during commission of a violent crime would alert competent counsel that the government had grounds to seek Aguiar's indictment on multiple counts of violating § 924(c). Doing so would be consistent with prosecutorial policy on firearms offenses in the United States Attorneys' Manual . 2 But even if the indictment alone did not alert counsel, the plea offer did. Counsel did not have to be clairvoyant. The plea offer included a § 924(c) count and stated that the government would "not file additional § 924(c) violations" if Aguiar accepted the plea offer. Plea Offer at 2 (Sept. 17, 2004) (emphasis added).
In
Padilla
, the Supreme Court, in reaffirming that "negotiation of a plea bargain is a critical phase of litigation for purposes of the Sixth Amendment right to effective assistance of counsel," concluded that counsel's Sixth Amendment duty to provide reasonable assistance to his client extends beyond the pending charges in an indictment.
Whether Aguiar can also show prejudice under
Strickland
's second prong depends on whether there is a reasonable probability that the "outcome of the plea process would have been different with competent advice."
Lafler
,
Aguiar points to the fact that the "loss of the plea opportunity led to a trial resulting in a conviction on more serious charges [and] the imposition of a more severe sentence," namely, 60 years' imprisonment (including 35 years' mandatory minimum imprisonment on the § 924(c) counts). Appellant's Br. 51 (quoting
Lafler
,
The government responds that Aguiar cannot show either deficiency or prejudice under Strickland because he was informed of the risk of additional § 924(c) charges prior to rejecting the plea offer. The record evidence on which the government relies is less illuminating than the government suggests. At a September 2004 status hearing on the last day the plea offer was available, the prosecutor stated that the government would "likely ... supersede with a RICO indictment," which "will also add other incidents, including two incidents of assault." Status Hg. Tr. at 11 (Sept. 27, 2004). At no point did the prosecutor mention the possibility and sentencing implications of multiple § 924(c) convictions. Rather, the prosecutor only stated that the government would add "other incidents" to the four already-charged bank robberies.
At a January 2005 status hearing, after Aguiar had rejected the plea offer and a superseding indictment had been filed charging him with two violations of § 924(c), neither the prosecutor nor the district court mentioned that upon conviction Aguiar would face mandatory life imprisonment for possession or use of a fully automatic assault weapon, or five additional years of mandatory imprisonment upon conviction of possession or use of a semi-automatic assault weapon. The district court commendably sought to "to discuss the pleas and put them on the record" in order to ensure no defendant, if convicted at trial, would claim in a later § 2255 motion "that they did not get a full discussion of the plea." Status Hg. Tr. at 15 (Jan. 31, 2005). But when Aguiar and his counsel were invited to step forward, no mention was made of mandatory minimum sentences of life imprisonment or an additional five years. The prosecutor stated that Aguiar "is charged with having personally participated in four of the bank robberies," that a plea offer was made to one count of § 924(c), id. at 33, and that Aguiar's likely Guidelines sentence under the plea was between about 35 and 37 years (including the 30-year mandatory minimum for the one § 924(c) violation), with the possibility of 30 years to life imprisonment if he were found to be a career offender, id. at 34. Aguiar's counsel stated without elaboration that he had discussed with Aguiar career offender status, the difference between a RICO conspiracy and the drug conspiracy, and what § 924(c) involves. Id. at 35. Aguiar confirmed that he had this discussion *361 with counsel but he too did not elaborate. Id. When the district court inquired what would happen at trial, the prosecutor stated, referring to a sentencing analysis:
The differences mainly ... would be three levels for acceptance of responsibility and ... whether or not there are one or more than one conviction under § 924(c). But frankly, Your Honor, adding, all it really does to the calculation is add back in the three additional level[s] that he otherwise would get for acceptance of responsibility, and so his new range would be 457 to 481 months [38 to 40 years].
Id. at 35-36. The record on appeal does not include the prosecutor's sentencing analysis nor otherwise indicate it was made part of the record of this status hearing. Absent elaboration of the advice counsel gave Aguiar about § 924(c), this colloquy does not show that he was specifically advised of the mandatory minimum, consecutive, sentencing consequences of rejecting the plea offer, including life imprisonment upon conviction of two § 924(c) counts.
What Aguiar needed to know before he decided whether or not to accept the plea offer was the worst-case scenario if he rejected the plea and went to trial. Although this "court must indulge a strong presumption that counsel's conduct falls within the wide range of reasonable professional assistance,"
Strickland
,
Our colleague's partial dissent is twice flawed. First, our colleague ignores that the district court's reason for denying an evidentiary hearing was erroneous as a matter of law, in view of the inconclusive state of the record and the standard announced in
Padilla
,
Accordingly, we affirm the denial of Aguiar's Sixth Amendment challenge on the ground of voir dire closure, and we reverse and remand the plea bargaining challenge.
Griffith, Circuit Judge, dissenting in part:
I cannot join Part III of the majority opinion. Even assuming that Aguiar's counsel performed deficiently when explaining the plea offer, Aguiar failed to present sufficient evidence of prejudice. The only evidence Aguiar advanced to make this showing was an affidavit he executed years after his conviction. The Supreme Court has held that such post hoc assertions, without more, are insufficient to show prejudice. I see no abuse of discretion in the district court's decision to forgo an evidentiary hearing, and I would affirm its judgment in full.
* * *
Aguiar petitioned for relief under
Although the majority acknowledges that we review for abuse of discretion, Maj. Op. at 355, it does not seem to apply that standard. Instead, the majority reverses the district court and remands the case because the record is "quite sketchy regarding plea discussions."
See
id.
at 361. This standard is drawn from cases in which defendants brought ineffective-assistance claims on
direct appeal
, not on collateral review under § 2255.
See id.
(relying on
United States v. Winstead
,
To succeed on his ineffective-assistance claim, Aguiar must satisfy
both
of
Strickland
's prongs: he must show that his lawyer's performance was deficient and that this deficiency prejudiced his defense.
See
Strickland v. Washington
,
To establish prejudice, Aguiar "must show that there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different."
Aguiar's only evidence that he would have accepted the plea offer is his affidavit, which he executed approximately six years after his conviction. There he said: "Had I been aware[ ] that I was actually facing a total of 35-years for the two (2) § 924(c) counts, consecutively with an additional 30-years for the remaining counts, I would ha[ve] accepted the 30-year plea offer and pleaded guilty in a timely manner instead of proceeding to trial." See Maj. Op. at 358. The Supreme Court has told us that these assertions, without more, are insufficient to show prejudice.
In
Lee v. United States
, --- U.S. ----,
*364 The record contains no contemporaneous evidence that Aguiar ever considered accepting his plea offer. In fact, it suggests just the opposite. At the January 2005 status hearing, the district court repeatedly emphasized that the hearing was intended to ensure that the defendants had understood their plea offers and would not later claim in a § 2255 challenge that they "did not get a full discussion of the plea." J.A. 157. By that time, Aguiar had already been charged under a superseding indictment with the additional firearm crime-the charge at the center of Aguiar's § 2255 claim. See J.A. 76-109. Thus, Aguiar already knew at the status hearing that he would face more charges at trial than he would have under the plea offer. Yet even with this information, Aguiar never once hinted during the hearing that he had considered accepting the plea offer. Nor did he express any surprise or concern about the additional firearm charge in the superseding indictment.
At the hearing, Aguiar's counsel confirmed to the district court that he and Aguiar had discussed the plea offer, Aguiar's career offender status, and what § 924(c) involves. J.A. 176-77. Counsel also suggested to the court that Aguiar's rejection of the plea offer had been unwavering: "He rejected it then and he's rejecting it now." J.A. 176. After addressing counsel, the court turned to Aguiar and asked, "Is this the discussion, Mr. Aguiar, that you had with your attorney about the plea offer ... ?" J.A. 177. Aguiar said yes.
In the absence of any contemporaneous evidence, Aguiar offers only a post hoc assertion that he would have accepted his plea offer. See Aguiar Br. 52. But that assertion is not enough under Lee . 3 The majority seems to shift the burden onto the government to show that Aguiar was "specifically advised" that his sentencing exposure could increase if he opted for trial. See Maj. Op. at 361. But that is not where the burden lies. To establish prejudice, Aguiar must show a "reasonable probability" that he would have accepted the plea offer, and he has not come close to satisfying that standard.
Of course, it is always possible that a district court may find additional evidence on remand. But we review for abuse of discretion, not the mere possibility of finding additional evidence. I would affirm the district court's decision to forgo an evidentiary hearing as a sound exercise of its discretion.
I respectfully dissent.
Upon Aguiar's motion for a certificate of appealability ("COA"),
see
Section 112 of the United States Attorneys' Manual, Criminal Resource Manual (1997), states in relevant part:
Charges under18 U.S.C. § 924 (c) can be filed whenever a firearm is used or carried during the course of a violent or drug trafficking crime. The mandatory consecutive and enhanced punishment under this section, which can significantly increase a sentence especially where firearms are used in numerous criminal acts of the gang, make this statute one of the most potent tools in prosecuting gang activity, especially those engaged in multiple criminal acts. ... Firearms violations should be aggressively used in prosecuting violent crime. They are generally simple and quick to prove. The mandatory and enhanced punishments for many firearms violations can be used as leverage to gain plea bargaining and cooperation from offenders.
Available at www.justice.gov/usam/criminal-resource-manual-112firearms-charges. Similarly, just months prior to Aguiar's arrest and indictment, the Attorney General "strongly encourag[ed]" the use of "statutory enhancements" like § 924(c). Hon. John Ashcroft, U.S. Dep't of Justice, Memorandum from Attorney General Setting Forth Charging & Plea Policies , 16 F. Sentencing Rep. 129, 131 (Sept. 22, 2003).
Aguiar must also "demonstrate a reasonable probability the plea would have been entered without the prosecution canceling it or the trial court refusing to accept it."
Missouri v. Frye
,
The majority suggests that Lee is inapplicable because the defendant in that case had received an evidentiary hearing but Aguiar has not. See Maj. Op. at 361-62. That reading is unpersuasive. Lee never purported to limit its applicability to petitioners who have already received an evidentiary hearing. To the contrary, Lee set out a general instruction about the kind of evidence courts should consider when assessing prejudice in the plea-offer context, i.e. , contemporaneous evidence. Thus, even though the amount of evidence Aguiar needs to secure an evidentiary hearing is less than Lee needed to prevail on the merits, Aguiar's claim still fails because he has not presented any evidence of the kind that can show prejudice under Lee .
Aguiar's affidavit is unhelpful for yet another reason. It is a particularly poor indicator of whether Aguiar would have accepted the plea offer because it misstates his sentencing exposure under the offer. In his affidavit, Aguiar says he "would ha[ve] accepted the 30-year plea offer" if his lawyer had properly advised him. Maj. Op. at 358-59. But Aguiar's actual sentencing exposure was not 30 years; he was facing "a likely total sentence of between 47 and 51 years." Id. at 354. Given this significant discrepancy, Aguiar's affidavit is even less probative of whether he would have accepted the plea offer. In other words, not even in his post hoc assertion does Aguiar claim he would have accepted his true likely sentence instead of going to trial.
Reference
- Full Case Name
- UNITED STATES of America, Appellee v. Carlos AGUIAR, Also Known as Los, Appellant
- Cited By
- 20 cases
- Status
- Published