United States v. Alejandro Gonzalez

540 F. App'x 967
CourtCourt of Appeals for the Eleventh Circuit
DecidedJanuary 15, 2014
Docket12-14702
StatusUnpublished

This text of 540 F. App'x 967 (United States v. Alejandro Gonzalez) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eleventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Alejandro Gonzalez, 540 F. App'x 967 (11th Cir. 2014).

Opinion

MARTIN, Circuit Judge:

Alejandro Gonzalez appeals his convictions for three counts of making false official statements, in violation of 18 U.S.C. § 1001(a)(2) (Counts 2, 3, and 5), and one count of obstruction of an agency proceeding (Count 4), in violation of 18 U.S.C. § 1505. On appeal, Mr. Gonzalez argues that: (1) the government obtained his convictions through a constructive amendment of the indictment; (2) the charges were impermissibly vague as applied to the facts of his case; (8) the District Court improperly refused to instruct the jury on his good faith defense; and (4) there was insufficient evidence to support his convictions. After careful review, and with the benefit of oral argument, we affirm.

I. BACKGROUND

The International Convention for the Safety of Life at Sea (SOLAS) is a maritime treaty that establishes uniform regulations and standards for vessels that regularly travel in international waters. Nov. 1, 1974, 32 U.S.T. 47, T.I.A.S. 9700; see Regs. 2-4, Annex to SOLAS, 1974.

One of the core requirements of SOLAS is that each “Flag State” — the nation in which each boat is registered and under whose flag the ships sail — regularly inspect and survey the ships flying under the nation’s flag to ensure that they are seaworthy and safe to operate. Reg. 6. 1 Once the survey is complete, the Flag State issues a Cargo Ship Safety Construction Certificate (Safety Certificate) certifying that the ship has been inspected and meets all of the safety qualifications of SOLAS. Reg. 12(a)(ii). Flag States often entrust the authority to conduct these surveys and to issue the Safety Certificates to classification surveyors who are affiliated with organizations recognized by SOLAS. Reg. 6.

SOLAS also streamlines the interactions between cargo ships and foreign governments when the ships arrive at ports of call in other countries. Whenever cargo ships come into foreign ports, the “Port States” have the authority to verify that proper SOLAS certifications are on board each vessel. Reg. 19. The Port States also have the authority to conduct port state control examinations to ensure that *970 the ships are in compliance with SOLAS safety regulations. Reg. 19. For example, when foreign vessels come into ports in the United States, the United States Coast Guard is authorized to board the ships to verify SOLAS certifications and conduct port state control examinations. 83 C.F.R. § 96.380(a). If the Coast Guard finds that the vessel is not in compliance with SOLAS, it must prevent the ship from sailing until it can proceed to sea without danger to the passengers or the crew. Reg. 19; 33 C.F.R. 96.380(b).

Mr. Gonzalez was a registered marine surveyor authorized by the governments of Panama and Bolivia to conduct surveys and issue Safety Certificates for cargo ships sailing under each country’s flag. Apparently, his safety inspections and certifications, as well as his conduct during U.S. Coast Guard investigations, left something to be desired and ran afoul of U.S. law. A jury convicted Mr. Gonzalez of three counts of making false official statements (Counts 2, 3, and 5 of the indictment) and one count of obstructing an agency proceeding (Count 4). 2 Mr. Gonzalez now appeals his convictions. Counts 2 and 3 relate to Safety Certificates and statements made by Mr. Gonzalez relating to the M/V Galdana, which was later rechristened the M/V New Wave. Counts 4 and 5 relate to a Safety Certificate issued by Mr. Gonzalez for another cargo ship named the M/V Cosette.

A. COUNT 2: FALSE STATEMENTS TO COAST GUARD INVESTIGATIVE SERVICE AGENT DARREN BOYD

The Galdana was a cargo ship managed and operated by a Miami-based corporation that sailed, among other places, between Miami, Fort Lauderdale, Puerto Rico, New York, Boston, and Haiti. The Galdana first came to the attention of the U.S. Coast Guard when the cargo ship was docked in San Juan, Puerto Rico in August 2008. After a port state control examination revealed that the ship was in serious disrepair, the Coast Guard detained the Galdana until the deficiencies could be remedied. The Coast Guard also requested that the ship provide documentation of the last time that the Galdana had been examined in a dry dock, as well as the date of the next scheduled dry-dock inspection.

Because the Galdana was sailing under the flag of Panama at the time, Mr. Gonzalez, who had been authorized by Panama’s government to survey the ship, went to San Juan to work with the Coast Guard to address the deficiencies. On August 13, 2008, Mr. Gonzalez sent a letter to the Coast Guard’s Prevention Department in San Juan. Among other things, this letter claimed that the Galdana had last undergone a dry-dock inspection in March 2006 in Cartagena, Colombia, where Mr. Gonzalez also claimed that the ship had been extensively repaired.

On April 22, 2009, Agent Darren Boyd of the Coast Guard Investigative Service interviewed Mr. Gonzalez to determine whether the Galdana had in fact been inspected in March 2006. When asked how he knew that the Galdana had been inspected in 2006, Mr. Gonzalez told Agent Boyd that he got it “off a piece of paper” in one of the common areas of the vessel. Mr. Gonzalez claimed that there was no seal, stamp, signature, or country on the document. Nevertheless, Mr. Gonzalez insisted that the March 2006 dry-dock inspection had taken place.

Agent Boyd doubted Mr. Gonzalez’s representations. In Agent Boyd’s experience, dry-dock inspection reports were much thicker than just one piece of paper. After *971 a thorough investigation, Agent Boyd was also unable to find any evidence or any records to show that the Galdana had undergone a dry-dock inspection in 2006. Nowhere in the Galdana’s deck log did it indicate that the ship had traveled to Colombia in 2006 for a dry-dock inspection or for any other reason. This corroborated the Coast Guard’s own records of the Gal-dana’s previous ports of call, which contained no indication that the Galdana had traveled to Colombia in 2006.

B. COUNT 3: FALSE STATEMENTS IN SAFETY CERTIFICATE ISSUED IN HAITI

The Galdana next came to the Coast Guard’s attention in September 2009 when the boat was docked in Boston, Massachusetts. After conducting a port state control examination, the Coast Guard again discovered numerous deficiencies aboard the vessel and detained the ship until they could be resolved. In November 2009, Mr. Gonzalez traveled to Boston to address the deficiencies and drafted a report for the Coast Guard verifying that the deficiencies had been corrected.

Before the Galdana could leave Boston, however, the Coast Guard learned that the government of Panama had cancelled all of the ship’s safety certificates. With the ship no longer in compliance with SOLAS, the Coast Guard expelled the Galdana from U.S. waters. Panama granted a permit for the Galdana to make a one-time voyage to Sant Marc, Haiti, where statutory renewal surveys would be carried out.

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Bluebook (online)
540 F. App'x 967, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-alejandro-gonzalez-ca11-2014.