United States v. Alfonso Martinez-Cruz

736 F.3d 999, 407 U.S. App. D.C. 252, 2013 WL 6231562, 2013 U.S. App. LEXIS 24084
CourtCourt of Appeals for the D.C. Circuit
DecidedDecember 3, 2013
Docket12-3050
StatusPublished
Cited by6 cases

This text of 736 F.3d 999 (United States v. Alfonso Martinez-Cruz) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. 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. Alfonso Martinez-Cruz, 736 F.3d 999, 407 U.S. App. D.C. 252, 2013 WL 6231562, 2013 U.S. App. LEXIS 24084 (D.C. Cir. 2013).

Opinions

■Opinion for the Court filed by Senior Circuit Judge WILLIAMS.

Dissenting opinion filed by Circuit Judge KAVANAUGH.

WILLIAMS, Senior Circuit Judge:

The defendant, Alfonso Martinez-Cruz, pleaded guilty to a single count of conspiracy to distribute methamphetamine. At sentencing, he sought to qualify for 18 U.S.C. § 3553(f)’s “safety valve,” and in fact met all but one criterion, the statute’s requirement that his criminal history score under the Sentencing Guidelines be no more than one point. 18 U.S.C. § 3553(f)(1). Had he met this last criterion, the Sentencing Guidelines would have provided for a two-level decrease in the “base offense” level used to calculate the Guidelines’ recommended range. U.S.S.G. § 2D1.1(16). That decrease in turn would have shaved two-and-a-half years off the bottom end of the recommended range for Martinez-Cruz. But because of a prior driving-under-the-influence conviction in Gwinnett County, Georgia, for which he was on probation at the time of his arrest, his criminal history score was in fact three points. The district court therefore found him ineligible for the reduction.

Martinez-Cruz maintains that at the time of his plea to the DUI charge he was not properly informed of his right to counsel, and thus did not validly waive that right, so that the DUI conviction was in violation of the Constitution. Accordingly, he says, the plea cannot be used to enhance his sentence. U.S.S.G. § 4A1.2 Application Note 6; Burgett v. Texas, 389 U.S. 109, 115, 88 S.Ct. 258, 19 L.Ed.2d 319 (1967). The sole issue presented in this case is whether it is permissible under the Due Process Clause to require Martinez-Cruz to shoulder not only the burden of production in challenging the validity of his prior plea, but also the burden of persuasion. We hold that due process does not permit this additional burden.

At the time of his Georgia arrest, Martinez-Cruz, an immigrant from Mexico, [1001]*1001had no formal education, spoke no English, and could neither read nor write Spanish. He spent two days in jail before pleading guilty; in exchange for his plea, his sentence was limited to time served and one year’s probation. Before pleading, he received a waiver-of-counsel form in Spanish that explained his Sixth Amendment rights. He printed his name on the form and pleaded guilty. The court did not keep a transcript of the plea; it isn’t clear whether one ever came into existence, Martinez-Cruz signed a judgment form, on which someone at the Georgia court had created a box labeled “20.00 TRF” and had checked that box. The district court understood the notation to indicate a $20 fee for a translator or interpreter, and both sides appear to agree.

In a pair of affidavits attached to his two sentencing memoranda, Martinez-Cruz asserted not only that he was illiterate, but also that nobody explained to him the waiver-of-counsel form, that he did not recall appearing before a judge, and that he was absolutely certain that if he did appear before a judge, the judge did not conduct an individualized plea colloquy of the sort that took place at the time of his methamphetamine plea. Absent an explanation of his right to counsel that he could understand, Martinez-Cruz argues, a waiver of that right could not be “knowing and intelligent,” as required by Argersinger v. Hamlin, 407 U.S. 25, 37, 92 S.Ct. 2006, 32 L.Ed.2d 530 (1972).

At his sentencing in this case, Martinez-Cruz argued that in a collateral challenge to an allegedly unconstitutional prior conviction the defendant should bear only a burden of production to show that the conviction was invalid. He submitted that his inability to read the waiver-of-counsel form, plus the absence of evidence indicating that his rights were otherwise explained to him, created a “fair inference” that he did not validly waive his right to counsel. That inference, he suggested, must shift the burden of persuasion to the government.

The government contended that Martinez-Cruz instead bore a burden of persuasion, and that his affidavits failed to carry that burden. It is a little unclear what the government meant by this. Counsel characterized Martinez-Cruz’s statements that he didn’t recall the Gwin-nett County proceedings but that he was certain there was no individualized plea colloquy as “speaking out of both sides of his mouth”; so counsel’s theory was different from a claim that even if the court heard testimony from Martinez-Cruz and believed him there would still be an inadequate basis for finding the waiver insufficient. In any event, not taking testimony but apparently adopting the government’s argument, the district court concluded that Martinez-Cruz failed “to establish by a preponderance of the evidence that this is not a conviction that he knowingly accepted.” The court accordingly assigned Martinez-Cruz three criminal history points— making him ineligible for the safety valve — and sentenced him to 81 months in prison, the bottom of the Guidelines range.

Although the Guidelines once addressed the problem of potentially invalid prior convictions in the calculation of a criminal history score by barring reliance on “[cjonvictions which the defendant shows to have been constitutionally invalid,” U.S.S.G. § 4A1.2 Application Note 6 (1989); United States v. Davenport, 884 F.2d 121, 124 (4th Cir.1989), later amendments adopted a more general formula, saying that the Guidelines “do not confer upon the defendant any right to attack collaterally a prior conviction or sentence beyond any such rights otherwise recognized in law.” U.S.S.G. § 4A1.2 Application Note 6 (1993). The Due Process [1002]*1002Clause is of course a “right[] otherwise recognized in law,” and therefore provides the basis for a collateral attack. See Parke v. Raley, 506 U.S. 20, 28, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992). The question before us is whether due process requirements are satisfied if the defendant meets a burden of production but must then face a burden of persuading the court that the prior conviction was secured in violation of his right to counsel. (As we’ll soon see, “right to counsel” in this context is a term of art that excludes a claim of ineffective assistance of counsel.)

The Supreme Court has partially addressed this question. In Parke v. Raley, the defendant was convicted of robbery and, because he had two prior convictions for burglary, of being a “persistent felony offender.” Id. at 22, 113 S.Ct. 517. Under Kentucky’s persistent felony offender statute, once the government proved the existence of a prior conviction, a presumption of regularity attached to that conviction. To refute that presumption, the defendant needed to “produce evidence that his rights were infringed or some procedural irregularity occurred.” Id. at 24, 113 S.Ct. 517. If he produced such evidence “the burden shifts back to the government affirmatively to show that the underlying judgment was entered in a manner that did, in fact, protect the defendant’s rights.” Id. at 24, 113 S.Ct. 517.

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Bluebook (online)
736 F.3d 999, 407 U.S. App. D.C. 252, 2013 WL 6231562, 2013 U.S. App. LEXIS 24084, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-alfonso-martinez-cruz-cadc-2013.