United States v. Cesar R. Castro-Gomez

233 F.3d 684, 2000 U.S. App. LEXIS 31176, 2000 WL 1774121
CourtCourt of Appeals for the First Circuit
DecidedDecember 7, 2000
Docket99-1491
StatusPublished
Cited by12 cases

This text of 233 F.3d 684 (United States v. Cesar R. Castro-Gomez) is published on Counsel Stack Legal Research, covering Court of Appeals for the First 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. Cesar R. Castro-Gomez, 233 F.3d 684, 2000 U.S. App. LEXIS 31176, 2000 WL 1774121 (1st Cir. 2000).

Opinion

TORRUELLA, Chief Judge.

Appellant César R. Castro-Gómez appeals the denial by the district court of his motion to withdraw his guilty plea. Castro-Gómez allegedly was unaware that the only possible sentence for a person with his criminal history under the “three strikes” statute, 18 U.S.C. § 3559(c)(1)(A), was life imprisonment. Because the district court did not inform appellant, as required by Federal Rule of Criminal Pro *686 cedure 11(c)(1), that he faced a minimum mandatory life sentence, we reverse.

BACKGROUND

On November 12, 1997, a grand jury returned an indictment against César R. Castro-Gómez charging him with: (1) conspiracy to possess with intent to distribute cocaine, in violation of 21 U.S.C. § 846 and 18 U.S.C. § 2; (2) attempt to import and possess with intent to distribute cocaine on board a vessel, in violation of 46 App. U.S.C. § 1903(a) and (b)(1) and 18 U.S.C. § 2; and (3) aiding and abetting unlawful importation of cocaine into the United States, in violation of 21 U.S.C. § 963 and 18 U.S.C. § 2. In the months leading up to trial, appellant’s counsel engaged in plea negotiations with the government resulting in a motion for a change of plea from not guilty to guilty. Shortly thereafter, the United States Attorney’s office determined that it would not offer appellant a deal and filed an Information stating that based on appellant’s prior criminal history, it would seek life imprisonment.

On March 25, 1998, appellant’s change of plea hearing was held before the district court. Appellant entered a straight plea of guilty for the three counts with which he was charged. The district court explained to appellant that each count had a minimum sentence of ten years imprisonment and a maximum of life imprisonment. Appellant was told that the sentences could be imposed to run concurrently or consecutively and was given examples of possible scenarios. Appellant stated that no promises or predictions had been made to him regarding what sentence he was likely to receive. No mention of the government’s Information was made at appellant’s change of plea hearing.

Appellant’s sentencing hearing was held on August 17, 1998. The government moved for the district court to take into account the Information regarding appellant’s prior convictions, which would mandate a sentence of life imprisonment. Appellant’s counsel responded by objecting and stating that she did not know of the filing of the Information until she received the pre-sentence report. In addition, she stated that had she known that the government was going to file an Information, appellant would not have pled guilty. Appellant’s counsel reasoned that if faced with mandatory life imprisonment, appellant had nothing to lose by going to trial. The government countered that appellant’s counsel had been alerted to the filing of the Information, as evidenced by the certificate of service. The sentencing hearing was continued with instructions to the parties to clarify their positions.

The government filed two unsworn statements indicating that appellant’s counsel had been notified of the impending filing of the Information. On November 3, 1998, appellant filed a motion to withdraw his guilty plea on the grounds that he did not make an intelligent or knowing plea. This was denied by the district court in its Opinion and Order of February 4, 1999 for the reasons that: (1) appellant’s counsel probably had received notice of the Information, or, at minimum, certainly knew about appellant’s prior criminal convictions and should have expected that the government would file such Information; and (2) appellant was informed of the possibility of a life sentence and had no expectation of any particular sentence. Appellant’s Motion for Reconsideration was similarly denied on February 24, 1999, and appellant was sentenced to life imprisonment, as required by statute, on March 12, 1999.

DISCUSSION

The standard of review for denial of a motion to withdraw a guilty plea is abuse of discretion. United States v. Ribas-Dominicci 50 F.3d 76, 78 (1st Cir. 1995). Appellant was not per se entitled to withdraw his guilty plea prior to sentencing. United States v. Marrero-Rivera, 124 F.3d 342, 347 (1st Cir.1997). Instead, motions to withdraw a guilty plea prior to sentencing may be allowed upon a *687 showing of “any fair and just reason,” Fed. R.Crim.P. 32(e), with the burden of persuasion falling upon the defendant, Marre-ro-Rivera, 124 F.3d at 347. In making this determination, the district court was required to evaluate whether the guilty plea was voluntary, intelligent, and knowing within the framework of Federal Rule of Criminal Procedure 11. Id.

Rule 11(c) of the Federal Rules of Criminal Procedure governs a court’s conduct when a defendant pleads guilty or nolo contendere. Specifically, the court must communicate to the defendant personally: “the nature of the charge to which the plea is offered, the mandatory minimum penalty provided by law, if any, and the maximum possible penalty provided by law.” Fed.R.Crim.P. 11(c)(1). This Court has identified three “core” concerns of Rule 11(c). They are: (1) that the plea is voluntary; (2) that the defendant understands the charge to which he has pled guilty; and (3) that the defendant knows the consequences of his guilty plea. Marrero-Rivera, 124 F.3d at 348 n. 7. The complete failure of the district court to address one or more of these three concerns would warrant reversal. Id. at 348. Absent total failure, any variance from the procedures required by Rule 11 that does not “affect substantial rights” is harmless error. Fed.R.Crim.P. 11(h); Marrero-Rivera, 124 F.3d at 348. We look at all of the circumstances of the Rule 11 hearing to determine what appellant reasonably should have understood. Id.

In this appeal, only the third concern, appellant’s knowledge of the consequences of his guilty plea, is relevant. At his change of plea hearing, Castro-Gómez was informed by the district court that, based on the offenses to which he intended to plead guilty, he faced a minimum of ten years imprisonment and a maximum of life imprisonment.

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Bluebook (online)
233 F.3d 684, 2000 U.S. App. LEXIS 31176, 2000 WL 1774121, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-cesar-r-castro-gomez-ca1-2000.