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COMMONWEALTH v. CHRISTOPHER M. MCCOWEN.

PROPOSED FINDINGS AND RECOMMENDED DISPOSITION

Within fourteen (14) days after a party is served with a copy of these proposed findings and recommended disposition, that party may, pursuant to 28 U.S.C. § 636(b)(1), file written objections to such proposed findings and recommended disposition. A party must file any objections with the clerk of the United States District Court for the District of New Mexico within the fourteen (14) day period allowed if that party wants to have appellate review of the proposed findings and recommended disposition. If no objections are filed, no appellate review will be allowed. Pursuant to Fed.R.Civ.P. 72(b)(2), a party may respond to another party's objections within fourteen (14) days after being served with a copy of the objections.

LOURDES MARTINEZ, Magistrate Judge

THIS MATTER is before the Court on Defendant/Movant (hereinafter "Defendant") Luis Carlos Sanchez[-]Calderon's Section 2255 motion [ Doc. 1], memorandum of law in support of his motion (Doc. 2), and affidavit in support of his motion [ Doc. 3], all filed on June 29, 2010. Plaintiff/Respondent (hereinafter "the Government") filed a response [ Doc. 9] to the motion on August 2, 2010, and Defendant filed a reply to the Government's response on August 23, 2010 [ Doc. 11].

Unless otherwise noted, all referenced documents are from Case No. CIV-10-0618, and all page number references are to the electronic page numbers listed in the PDF header at the top of the document in the CM-ECF docket.

United States District Judge James O. Browning referred the claims raised in the motion to the undersigned for proposed findings and a recommended disposition, and a hearing, if necessary. [ Doc. 4]. Having considered the parties' submissions, relevant law, and the record in this case and in Defendant's underlying criminal case contained in Case No. CR-09-1801, the undersigned recommends, for the reasons set forth below, that the claims raised in Defendant's Motion Under 28 U.S.C. § 2255 to Vacate, Set Aside, or Correct Sentence by a Person in Federal Custody (Doc. 1) be DENIED and that Case No. CIV-10-0618 be DISMISSED with prejudice.

Factual and Procedural Background

On May 4, 2009, Defendant was charged with re-entry of a removed alien in violation of 8 U.S.C. §§ 1326(a)(1) and (2) and 1326(b)(2). [ Doc. 1, filed in Case No. CR-09-1801]. Federal Public Defender Joseph Gandert was appointed to represent Defendant in his criminal case. [ Doc. 5, filed in Case No. CR-09-1801]. On May 15, 2009, the Government sent a letter to Defendant's counsel wherein it offered Defendant a plea agreement and stated that Defendant "does not qualify for the standard Fast Track [plea] treatment because [his] criminal history contains crimes of violence or other disqualifying types of felony convictions." [ Doc. 9-1]. On July 1, 2009, Defendant pled guilty pursuant to a "Non-Standard Fast-Track Plea Agreement." [ Doc. 14, filed in Case No. CR-09-1801]. Under the terms of the plea agreement, the Government agreed to a downward adjustment for Defendant's acceptance of responsibility, and a downward departure for Defendant's waiver of certain appeal rights, with Defendant retaining his right to file a motion seeking further reduction, departure, deviation, or variance in the final offense level or criminal history category. Id. at 3. Also pursuant to this agreement, Defendant agreed to waive his "right to appeal any sentence within the applicable sentencing guideline range and imposed in conformity with this plea agreement . . . [and] any collateral attack to [his] conviction pursuant to 28 U.S.C. § 2255, except on the issue of ineffective assistance of counsel." Id. at 5. A plea hearing was held before United States Magistrate Judge W. Daniel Schneider on July 1, 2009, at which Defendant testified that he was satisfied with Mr. Gandert's representation and Defendant acknowledged that he had discussed the waiver of certain "appellate and post[-]conviction rights" with his counsel. [ Doc. 36, filed in Case No. CR-09-1801, at 4 and 8].

Prior to sentencing, Mr. Gandert filed on Defendant's behalf a sentencing memorandum and motion requesting a downward variance from the advisory guideline range "pursuant to the factors set forth in 18 U.S.C. § 3553 and United States Sentencing Guidelines, 4A1.3(b), 5K2.0 and 5K2.20." [ Doc. 17, filed in Case No. CR-09-1801, at 1]. Defendant contended that he should receive a lower sentence because he was not offered a standard fast-track plea agreement as the majority of re-entry defendants charged in the District of New Mexico are, and because of Defendant's significant ties to the United States. Id. at 2-4. United States District Judge James O. Browning held a sentencing hearing on October 20, 2009, at which the Court noted that the plea agreement "calls for a third level . . . for downward adjustment for acceptance of responsibility" and "stipulates to an offense level of 20, which [is] a downward departure of one level pursuant to . . . the fast-track program." [ Doc. 37 at 3-4]; see also [ Docs. 24 and 26, filed in Case No. CR-09-1801] (Government's motions for § 5K3.1 downward departure and § 3E1.1(b) downward adjustment) and [ Docs. 25 and 27, filed in Case No. CR-09-1801] (orders granting those motions, respectively). The Court explained that the offense level of 20 and Defendant's criminal history category of IV established a sentencing guideline range of 51 to 63 months of imprisonment. [ Doc. 37 at 4]. Defendant's counsel argued in support of Defendant's motion for a downward variance. Id. at 5-9. In addition, both sides stated that Defendant was ineligible for the standard fast-track plea agreement because of his criminal history. Id. at 6, 11-12. The Court found that Defendant's history and characteristics did not justify a variance and sentenced Defendant to 51 months, the low-end of the sentencing guideline range. Id. at 15-16, see also [ Doc. 28, filed in Case No. CR-09-1801, at 5] (memorandum opinion and order denying Defendant's motion for variance [ Doc. 17]) and [ Doc. 29, filed in Case No. CR-09-1801, at 1-3] (judgment sentencing Defendant to prison term of 51 months and a three-year term of unsupervised release, and stating that the date of imposition of the judgment is October 20, 2009).

Defendant timely filed his § 2255 motion on June 29, 2010. The Court reviews Defendant's pro se pleadings under a liberal standard. See United States v. Guerrero, 488 F.3d 1313, 1316 (10th Cir. 2007). However, the Court may not act as his advocate in this proceeding. See Hall v. Bellmon, 935 F.2d 1106, 1110 (10th Cir. 1991).

A motion under 28 U.S.C. § 2255 is timely if it is filed within one year from the date the conviction becomes final. See 28 U.S.C. § 2255(f)(1).

Discussion

In his motion Defendant raises three ineffective assistance of counsel claims. First, Defendant claims that his counsel was ineffective for "failing to ask the government [for] an offer to recommend a reduction in his base offense level based on his timely acceptance of responsibility and in accordance with the Fast Track Program for illegal reentry cases." [ Doc. 2 at 5], see also [ Doc. 1 at 4]. Second, Defendant states that his counsel was ineffective by failing to argue at sentencing that the imposed 51-month sentence was unreasonable under federal law. [ Doc. 1 at 5] and [ Doc. 2 at 7]. Finally, Defendant contends that his counsel was ineffective for failing to consult with Defendant regarding the filing of a notice of appeal. [ Doc. 1 at 7] and [ Doc. 2 at 10-11]. As relief, Defendant asks the Court to grant him: an evidentiary hearing [ Doc. 1 at 13], and "dismissal of the Count Two in the Indictment, a new trial, new sentencing hearing, or an out-of-time appeal" [ Doc. 2 at 14].

In evaluating an ineffective assistance of counsel claim, an attorney's performance is measured by the two-prong standard established by the Supreme Court in Strickland v. Washington, 466 U.S. 668 (1984). To prevail on an ineffective assistance claim under the Strickland standard, Defendant must show that (a) his attorney's performance fell below an objective standard of reasonableness, and (b) he was prejudiced by the attorney's deficient performance. Id. at 687. Both showings must be made to satisfy the Strickland standard. Id. To demonstrate unreasonable performance, Defendant must show that his attorney made errors so serious that his performance could not be considered "reasonable[] under prevailing professional norms." Id. at 688. To demonstrate prejudice, Defendant must show a reasonable probability, sufficient to undermine confidence in the outcome, that the result of the proceeding would have been different but for his attorney's alleged unprofessional errors. Id. at 694. The Court does not have to address both prongs of the Strickland standard if Defendant makes an insufficient showing on one of the prongs. Id. at 697.

A. Failure to Ask the Government for Reduction in Base Offense Level

Defendant's first ineffective assistance of counsel claim is that his counsel should have asked the Government for a reduction in his base offense level based on Defendant's timely acceptance of responsibility and in accordance with the fast-track program for illegal reentry cases. [ Doc. 2 at 5]. Defendant states that his counsel advised him that he did not qualify for the fast-track program (which would allow a departure in his offense level), and that his counsel could not ask for the reduction because, if he did ask for it, Defendant could get a longer sentence if he qualified for the fast-track program. Id. Defendant contends that if his counsel had presented a request for the fast-track program to the Government, "there is a possibility that the prosecution would have considered the request, and the sentence would have been different." Id. at 6. The Government responds that Mr. Gandert's performance was not deficient for failing to seek a standard fast-track plea offer for Defendant because Defendant was ineligible for such an offer because of his criminal history. [ Doc. 9 at 7]. The Government explains that even if Mr. Gandert had requested the standard fast-track plea offer for Defendant, the Government could not have agreed to it even if it had wanted to because "[p]ursuant to the terms of the Fast-Track program . . . the United States may not offer a standard Fast-Track plea offer to any defendant with a prior conviction for a crime of violence." Id.

Defendant had a prior conviction for aggravated assault with a deadly weapon and trafficking cocaine. See [ Doc. 1, filed in Case No. CR-09-1801] and [ Doc. 37, filed in Case No. CR-09-1801, at 6, 11 and 15].

The fast-track programs "allow defendants to obtain a downward departure in their offense level under the United States Sentencing Guidelines . . . in exchange for pleading guilty and waiving their rights to file certain motions and to appeal." United States v. Martinez-Trujillo, 468 F.3d 1266, 1267 (10th Cir. 2006) (citation omitted); see also United States v. Morales-Chaires, 430 F.3d 1124, 1127 n. 1 (10th Cir. 2005) (explaining that New Mexico is one of the states in which these programs are available). The plea agreement which Defendant signed was pursuant to New Mexico's fast-track program. See [ Doc. 14, filed in Case No. CR-09-1801], see also [ Doc. 37, filed in Case No. CR-09-1801, at 4]. The agreement provided that the Government would pursue a downward adjustment for Defendant's acceptance of responsibility, and a downward departure for Defendant's waiver of certain appeal rights, to determine Defendant's final adjusted offense level. See [ Doc. 14, filed in Case No. CR-09-1801, at 3]. Defendant's claim that his counsel should have requested a reduction in Defendant's base offense level, therefore, is without merit because the plea agreement already contained such a reduction. To the extent Defendant is arguing that his counsel should have pursued a further reduction in Defendant's base offense level by requesting the standard fast-track plea offer, it appears that Defendant was ineligible for the standard fast-track plea agreement because of his criminal history. See [ Doc. 9 at 7], see also [ Doc. 37, filed in Case No. CR-09-1801, at 12] (counsel for the Government stating that "no defendants who have a crime of violence in their past service receive a fast-track plea offer"). Mr. Gandert has provided an affidavit to the Court in which he states that Defendant did not qualify for a standard fast-track plea offer because of his criminal history. [ Doc. 9-4 at 2]. Mr. Gandert's decision not to pursue a standard fast-track plea offer for which Defendant would have been ineligible does not fall below an objective standard of reasonableness. See United States v. Fisher, 38 F.3d 1144, 1147 (10th Cir. 1994) (holding that counsel's failure to raise meritless issue in underlying criminal case did not constitute ineffective assistance). In addition, Defendant fails to meet the second Strickland prong because he fails to demonstrate that there is a reasonable probability that the outcome of his case would have been different had his attorney requested a standard fast-track plea offer. Strickland, 466 U.S. at 694. Defendant's statement that there is a possibility the Government would have considered the request is conclusory and does not provide a reasonable probability that Defendant's sentence would have been any different but for his counsel's alleged unprofessional errors. For these reasons, the Court recommends that this claim be denied.

B. Failure to Argue That Sentence was Unreasonable

Defendant next claims that his counsel was ineffective by failing to argue at sentencing that his sentence of 51 months was unreasonable. [ Doc. 1 at 5], [ Doc. 2 at 7]. Defendant states that this sentence is unreasonable because it results in a disparity "among defendants with similar records who have been found guilty of similar conduct." [ Doc. 2 at 7]. Defendant appears to contend that his counsel should have argued that his sentence was unreasonable for two reasons. First, Defendant states that his counsel should have argued that his sentence was unreasonable because the trial judge did not consider Defendant's alien status and the fact that he was facing an immigration removal proceeding, and that Defendant would be serving more time in prison than "a U. S. [c]itizen who committed the same offense, equally culpable and received the identical guideline base offense level." Id. at 9. Second, Defendant contends that his counsel should have argued that this sentence was unreasonable in comparison with the sentences imposed on defendants under the fast-track program, and that if he had done so, "there is a reasonable probability that the sentencing [judge] would have considered the factors set forth in § 3553(a)(6) and the application of the fast track program in this case as to avoid disparity among defendants with similar offense[s] and similar record[s]." Id. at 10.

The Government responds that Defendant's argument that his counsel was ineffective for failing to seek a sentence reduction based on Defendant's status as a deportable alien should fail because the collateral consequences of Defendant's status as a deportable alien cannot be a basis for a downward departure, and because a sentencing reduction based on Defendant's immigration status is not warranted when his immigration status is an essential element of the offense for which he was convicted. [ Doc. 9 at 8-9] (citations omitted). The Government states that the Tenth Circuit has held that defense counsel's failure to seek a departure or variance based on the defendant's immigration status does not constitute ineffective assistance of counsel. Id. at 9 (citing United States v. Nuñez-Fuentes, No. 05-3422, 184 Fed. Appx. 795, 798, 2006 WL 1689264 (10th Cir. June 21, 2006) (unpublished)). The Government contends that Defendant fails to establish that a motion based on Defendant's status as a deportable alien would have resulted in a different sentence because Judge Browning at sentencing acknowledged that he was aware of Defendant's immigration status, recommended that removal proceedings be initiated during Defendant's service of his sentence, and advised Defendant to find a way to live in Mexico following service of his sentence. Id. at 9, see also [ Doc. 37, filed in Case No. CR-09-1801, at 14-17]. In addition, the Government contends that Defendant's counsel made the argument that the 51-month prison sentence was unreasonable as compared to the sentences imposed on defendants who received standard fast-track plea offers at Defendant's sentencing hearing. Id. at 10.

The Court finds that Defendant's claim that his counsel was ineffective by failing to argue at sentencing that his 51-month sentence was unreasonable fails. First, to the extent Defendant is claiming that his counsel should have sought a sentence reduction based on Defendant's immigration status, this claim fails because defendants are not entitled to a sentence reduction due to their status as deportable aliens. See United States v. Tamayo, No. 04-2307, 162 Fed. Appx. 813, 815, 2006 WL 52792 (10th Cir. Jan. 11, 2006) (unpublished). Defendants are also not entitled to a downward departure based on an essential element of the crime with which they are charged. See United States v. Valdez-Gomez, No 01-4044, 15 Fed. Appx. 763, 764, 2001 WL 896894 (10th Cir. Aug. 9, 2001) (unpublished) (holding that where the defendant was charged with illegal reentry, there was not a reasonable probability that the result of the proceeding would have been different had the defendant's counsel argued for a downward departure based on defendant's status as a deportable alien, because that is an essential element of the crime charged). Therefore, Defendant's counsel's failure to argue that the Court should have considered Defendant's status as a deportable alien is not objectively unreasonable because the argument is without merit. See Fisher, 38 F.3d at 1147. Moreover, there is no reasonable probability that the outcome would have been any different had his counsel raised the argument, so Defendant cannot show any prejudice from this alleged error.

The Court notes that, unlike the defendant in Tamayo, Defendant does not raise an equal protection claim because Defendant here is challenging the length of his sentence, not the execution of his sentence. Tamayo, 162 Fed. Appx. at 814-16 (remanding to the district court the defendant's claim that he had to serve his sentence under circumstances more severe than citizens of the United States, because it is an equal protection claim challenging the execution of his sentence and should be brought under 28 U.S.C. § 2241 instead of § 2255).

Second, the Court finds that Defendant's claim that his counsel was ineffective for failing to argue that Defendant's sentence was unreasonable compared to defendants who receive standard fast-track plea offers also fails. As the Government points out, Mr. Gandert raised this argument in his sentencing memorandum [ Doc. 17, at 2], as well as at Defendant's sentencing hearing by arguing that Defendant should receive a downward variance in part because Defendant was ineligible for the standard fast-track plea agreement and, instead, was offered a non-standard fast-track plea agreement. [ Doc. 37 at 6]. The trial judge rejected this argument, finding that, based on Defendant's history and characteristics, "nothing seems to justify a variance." Id. at 15. The trial judge further stated that "if [he] were to vary in this case it would almost have to vary in almost all reentry cases." Id. at 15-16. The trial judge chose, instead, to sentence Defendant at the low end of the guideline range. Id. at 16. Therefore, Defendant's argument that his counsel failed to argue that Defendant's sentence should be reduced because he was not offered a standard fast-track plea agreement fails because his counsel did raise this argument and the trial judge rejected it. For these reasons, the Court finds that Defendant's claim that his counsel was ineffective for failing to argue at sentencing that his sentence was unreasonable should be denied.

C. Failure to Consult With Defendant About Filing Notice of Appeal

Finally, Defendant states that his counsel was ineffective for failing to consult with him regarding the filing of a notice of appeal. [ Doc. 1 at 7]. In support of this claim, Defendant states that after his sentence was imposed, he "tried to talk with his counsel about the filing of a notice of appeal to appeal as to [the] sentence imposed," but that his counsel did not discuss with Defendant the possibility of filing an appeal. [ Doc. 2 at 12]. Defendant states that he called his counsel's office for many days after his sentencing hearing, and that his counsel did not respond to his calls. [ Doc. 3 at 2], see also [ Doc. 11 at 5] (wherein Defendant asks for an evidentiary hearing to show that Defendant "made attempts to contact attorney Gandert about to file [sic] an appeal"). In addition, Defendant states in his affidavit that at his sentencing hearing, after the trial judge advised him that he could appeal his sentence, Defendant "responded that [he] wanted to appeal the sentence." [ Doc. 3 at 2].

The Government responds that there is no evidence that Defendant wanted to appeal his sentence, especially because Defendant pled guilty pursuant to a plea agreement, made no indication that he wanted to litigate the charges against him, and makes no claim here as to which defense he wants to raise on appeal. [ Doc. 9 at 11]. The Government notes that Defendant was sentenced at the low-end of the sentencing guideline range and that Defendant's plea agreement expressly waived most of his rights to appeal or collaterally attack his conviction and sentence. Id. at 12. In addition, Mr. Gandert has signed an affidavit stating that Defendant never asked him to file an appeal and that Defendant had no non-frivolous appellate issues to raise. [ Doc. 9-4 at 2].

When faced with a claim that counsel was ineffective for failing to file a notice of appeal, the Court must first ask whether counsel consulted with the defendant, advising the defendant about the advantages and disadvantages of filing an appeal and making a reasonable effort to determine the defendant's wishes regarding filing an appeal. Roe v. Flores-Ortega, 528 U.S. 470, 478 (2000). If counsel did consult with the defendant, and the defendant conveyed a specific instruction to counsel to file an appeal, counsel performs in a professionally unreasonable manner by failing to follow the defendant's instructions. Id. If counsel did not consult with the defendant, the Court must next determine whether such failure to consult with the defendant constitutes deficient performance by counsel, which is established "when there is reason to think either (1) that a rational defendant would want to appeal (for example, because there are nonfrivolous grounds for appeal), or (2) that this particular defendant reasonably demonstrated to counsel that he was interested in appealing." Id. at 480 ("We cannot say, as a constitutional matter, that in every case counsel's failure to consult with the defendant about an appeal is necessarily unreasonable, and therefore deficient.") ( id. at 479). In making this determination, the Court should consider whether the conviction follows a trial or a guilty plea, because a guilty plea reduces the scope of appealable issues and may indicate that the defendant seeks an end to the judicial proceedings. Id. at 480. The Court should also consider whether the defendant received the sentence he bargained for in his plea agreement, and whether the plea waived some or all appellate rights. Id. In addition, to satisfy the prejudice prong of Strickland for failure to file a notice of appeal, a defendant must demonstrate that there is a reasonable probability that, but for counsel's deficient failure to consult with him about an appeal, he would have timely appealed. Id. at 484-86.

Here, the record shows that Defendant's counsel did not consult with him about the advantages and disadvantages of filing an appeal. The Court, however, finds that Mr. Gandert's failure to consult with Defendant was not unreasonable because there was no reason for Mr. Gandert to think that a rational defendant would want to appeal, and Defendant did not reasonably demonstrate that he was interested in appealing. The Court finds that there is no reason for Mr. Gandert to think that Defendant wanted to appeal because Defendant's sentence was imposed as a result of a plea agreement which reduced the scope of potentially appealable issues and indicated that Defendant desired to end the judicial proceedings. See Roe, 528 U.S. at 480 (explaining that "a highly relevant factor in this inquiry will be whether the conviction follows a trial or a guilty plea, both because a guilty plea reduces the scope of potentially appealable issues and because such a plea may indicate that the defendant seeks an end to judicial proceedings").

In addition, Defendant received a sentence at the low end of the sentencing guidelines, and he was advised of his appellate rights by the trial judge [ Doc. 37 at 18]. See Roe, 528 U.S. at 479 (explaining that when: (1) a defendant is advised as to the likely sentence pursuant to a guilty plea and pleads guilty, (2) the defendant receives the expected sentence, (3) the court informs the defendant of his appeal rights, (4) the defendant does not express any interest in appealing, and (5) counsel concludes there are no nonfrivolous grounds for appeal, "[u]nder these circumstances, it would be difficult to say that counsel is professionally unreasonable, as a constitutional matter, in not consulting with such a defendant regarding an appeal") (citation and internal quotation marks omitted). At his sentencing, the Court explained Defendant's appellate rights to him in detail ( see [ Doc. 37 at 17-18]), which can "substitute for counsel's duty to consult" ( see Roe, 528 U.S. at 479-80). While Defendant states in his affidavit that he stated at his sentencing hearing that he wanted to appeal his sentence, a review of the transcript of the sentencing hearing shows no such statement made by Defendant or his counsel, and nothing in the record supports this contention. In addition, even though Defendant states in Document 2 at page 1 that he "communicated [to] his counsel [that] he wished to appeal his case and asked to [sic] his counsel to file a notice of appeal as to appeal the sentence imposed," other statements by Defendant, as well as Mr. Gandert's affidavit, contradict this statement. Defendant states that his "counsel [n]either tried to talk with [Defendant] about the filing of a notice of appeal or to apprise [Defendant] about the advantages and disadvantages to file to [sic] an appeal, nor counsel ever tried to discuss with [Defendant] the possibility of the filing [of] an appeal as advised by the Court at sentencing." [ Doc. 2 at 12]. In addition, Defendant states that his counsel failed to consult with him regarding the filing of a notice of appeal [ Doc. 1 at 7], and that Defendant "tried to talk" with his counsel about the filing of a notice of appeal but that his counsel "[n]either attempted, nor tried to have an attorney's conference to give [Defendant] all [the] details concerning the filing of a notice of appeal" [ Doc. 3 at 2]. Even though Defendant states that he tried to reach his counsel by phone after sentencing, Defendant does not claim that he ever left a message with his counsel that he wanted to file an appeal. See [ Doc. 2 at 12], [ Doc. 3 at 2], and [ Doc. 11 at 5]. The Court, therefore, finds that the record does not support a finding that Defendant conveyed a specific instruction to his counsel to file a notice of appeal. See, e.g., United States v. Kelley, No. 07-7032, 253 Fed. Appx. 743, 745, 2007 WL 3230402 (10th Cir. Nov. 1, 2007) (explaining that Defendant's request that his counsel "`take care of everything' . . . does not constitute a specific instruction to file an appeal") (unpublished). For these reasons, the Court finds that Defendant's counsel's failure to consult with Defendant regarding filing an appeal does not constitute deficient performance and, therefore, fails to satisfy the first prong of Strickland.

Moreover, even if Defendant had communicated his interest in filing an appeal to his counsel, Defendant fails to show any prejudice by his counsel's alleged ineffective performance. Roe, 528 U.S. at 486 (explaining that evidence that a defendant sufficiently demonstrated to counsel his interest in an appeal is not sufficient "to establish that, had the defendant received reasonable advice from counsel about the appeal, he would have instructed his counsel to file an appeal"). Defendant makes no showing that he would have appealed his sentence had his counsel consulted with him. While Defendant is not required to show the grounds he would raise if he were able to appeal ( id.), the Court can still consider whether Defendant has shown any non-frivolous grounds for appeal as part of determining prejudice, and Defendant has failed to raise any grounds for his appeal. Defendant has also failed to state any other reasons to support a finding that he would have appealed his sentence. Id. ("[A] defendant's inability to specify the points he would raise were his right to appeal reinstated . . . will not foreclose the possibility that he can satisfy the prejudice requirement where there are other substantial reasons to believe that he would have appealed.") (citation and internal quotation marks omitted). Defendant cites to three Tenth Circuit cases for their holdings that for claims of ineffective assistance of counsel based on failure to file an appeal, a defendant is not required to show that the appeal would have merit, and the fact that a defendant waived his right to appeal does not foreclose a counsel's duty to file a notice of appeal when instructed to do so. [ Doc. 2 at 11-12] and [ Doc. 11 at 6] (citing United States v. Guerrero, 488 F.3d 1313 (10th Cir. 2007), United States v. Snitz, 342 F.3d 1154 (10th Cir. 2003), and United States v. Garrett, 402 F.3d 1262 (10th Cir. 2005)). All of these cases, however, involve situations where the defendants established that they had given their attorneys specific instructions to file appeals, and those instructions were disregarded, which is not the case here. In addition, the trial judge explained to Defendant that he could appeal his conviction and sentence, and that Defendant could apply for leave to appeal in forma pauperis, which the trial judge explained to Defendant "means [that] the Clerk of the Court will prepare and file a notice of appeal upon [Defendant's] request." [ Doc. 37, filed in Case No. CR-09-1801, at 18]. Defendant fails to explain why he did not file an appeal on his own or that he would have done so but for his counsel's alleged ineffective assistance.

The Court further notes that had Defendant asked his counsel to file an appeal and his counsel determined that the appeal was "wholly frivolous," then his counsel could have advised the appellate court and requested permission to withdraw under Anders v. State of Cal., 386 U.S. 738, 744 (1967) (requiring counsel to accompany any such withdrawal request with "a brief referring to anything in the record that might arguably support the appeal," which should be given to the defendant to allow the defendant to raise any points he chooses).

As explained above, Defendant has not established that his counsel was ineffective for failing to consult with him about whether to file an appeal, nor has he established that he instructed his counsel to appeal his sentence. Defendant has also failed to establish that he would have filed an appeal but for his counsel's alleged ineffective assistance. For these reasons, Defendant's claim that his counsel was ineffective for failing to consult with him regarding filing a notice of appeal should be denied.

D. Evidentiary Hearing

The Court finds that an evidentiary hearing is unnecessary because Defendant's motion and the record of this case conclusively show that Defendant is entitled to no relief. The Court must hold an evidentiary hearing on a § 2255 motion "[u]nless the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief." 28 U.S.C. § 2255(b). Therefore, no evidentiary hearing will be held.

Conclusion

IT IS HEREBY RECOMMENDED, for the reasons stated above, that the claims raised in Mr. Sanchez[-]Calderon's Motion Under 28 U.S.C. § 2255 to Vacate, Set Aside, or Correct Sentence by a Person in Federal Custody (Doc. 1) be DENIED, and that Case No. CIV-10-0618 be DISMISSED with prejudice.



f444 Mass. 381, 386 (2005); Commonwealth v. Fidler, 377 Mass. 192, 201 (1979). The defendant therefore bears the initial burden of proving, by a preponderance of the evidence, that the jury were exposed to statements that infected the deliberative process with racially or ethnically charged language or stereotypes. See Commonwealth v. Kincaid, supra. If the defendant meets this burden, the burden then shifts to the Commonwealth to show beyond a reasonable doubt that the defendant was not prejudiced by the jury's exposure to these statements. See id., quoting Commonwealth v. Fidler, supra. In making this determination, "[t]he judge may not receive any evidence concerning the actual effect of the matter on the juror's decision, for this would involve probing the juror's thought processes." Commonwealth v. Fidler, supra. Rather, the judge must focus on "the probable effect" of the statements "on a hypothetical average jury." Id. See 3 J. Weinstein M. Berger, Evidence par. 606.05 [2] [b] (2010), and cases cited. The judge here correctly applied the law and made the necessary findings of fact, which were supported by the record and not clearly erroneous. While the judge found that Juror Y did not hold actual racial bias, he recognized that Juror Y's reference to the race of the defendant potentially communicated such a bias to the jury and concluded that the black female juror's appropriate response to the statement served the beneficial purpose of exposing and "blunting the effect" of the racial stereotype, and of warning the jury of the risk of racial stereotypes infecting their deliberations. See Commonwealth v. Kincaid, supra at 389, quoting Commonwealth v. Fidler, supra at 201 n. 8 (judge may consider whether "improper remark prompted an immediate reprimand from another juror"). We conclude that the judge did not err in finding that the defendant was not denied his due process right to an impartial jury because of a juror's racial bias.

The judge here characterized this question as whether the jury were "exposed to racial bias" from the exchange of words between Juror Y and the black female juror.

[W]e emphasize that not every stray or isolated off-base statement made during deliberations requires a hearing at which jury testimony is taken." United States v. Vdlar, 586 F.3d 76, 87 (1st Cir. 2009).

The judge in his findings referred to the testimony of the defendant's social science expert that people have the ability to rise above racial stereotypes where they make a conscious effort to do so.

9. Review under G.L. c. 278, § 33E. Having reviewed the entire record pursuant to our duty under G.L. c. 278, § 33E, we discern no error, considered alone or collectively, that provides a just basis to set aside or reduce the verdict of murder in the first degree.

Judgments affirmed. Orders denying motions for a new trial affirmed.

IRELAND, J. (concurring).

I concur in affirming the judgments of conviction against the defendant. I write separately to set forth my thoughts on the issue of juror bias raised in this case.

I agree with the judge that Juror Y's statement that the victim's injuries would result "when a big black man" beat a small woman raised the specter of racism, warranting closer examination. Indeed, Juror Y's statement provoked an immediate reaction from the black female juror (Juror A), who accused Juror Y of racism. The confrontation included the two women yelling back and forth and swearing at each other.

In assessing whether the defendant met his burden to prove that Juror Y was actually biased, Smith v. Phillips, 455 U.S. 209, 215 (1982), the judge very conscientiously and sensitively explored the issue of racial bias and juror taint, including a careful determination of credibility and context. I agree that his findings are not clearly erroneous. Commonwealth v. Amirault, 399 Mass. 617, 626 (1987). However, there is one conversation between Juror Y and Juror A that I would have explored further to broaden the context of Juror Y's statement. That is, Juror A claimed that, at some point during the day that Juror Y made her statement about the defendant's race, Juror Y also asked Juror A about her hairstyle and the level of education she had achieved. Juror A told the judge that the comments were made in a "snide" manner, "suggesting racial bias."

"Since the 1990's, a number of studies have deconstructed the complicated ways in which the human mind maintains and manifests racially biased implicit attitudes and stereotypes. Many of these studies have reached the same conclusion — that implicit biases are real, pervasive, and difficult to change . . . . [Moreover] racial attitudes and stereotypes are both automatic and implicit. That is, that people possess attitudes and stereotypes over which they have little or no 'conscious, intentional control.' Levinson, Forgotten Racial Equality: Implicit Bias, Decisionmaking and Misremembering, 57 Duke L.J. 345, 351-354 (2007) (Levinson). This is because, according to "[r]esearch on stereotype formation and maintenance] . . . stereotypes are instilled at an early age and come from cultural and societal beliefs. . . . [Psychologists have found that stereotypes arise when a person is as young as three years old and are usually learned from parents, peers, and the media. As people grow older, their stereotypes become implicit and remain mostly unchanged even as they develop nonprejudiced explicit views. 'Stereotypes about ethnic groups appear as a part of the social heritage of society. . . . [And] [n]o person can grow up in a society without having learned the stereotypes assigned to the major ethnic groups.' Id. at 363, quoting Page, Batson's Blind-Spot: Unconscious Stereotyping and the Peremptory Challenge, 85 B.U. L. Rev. 155, 203 n. 22 (2005). See Symposium Forbidden Conversations: On Race, Privacy, and Community (A Continuing Conversation with John Ely on Racism and Democracy), 114 Yale L. J. 1353, 1391 (2005) (individuals restrict their racist speech).

Courts are aware that unconscious racism could affect the outcome of trials. See Commonwealth v. Laguer, 410 Mass. 89, 99 (1991), quoting Smith v. Phillips, supra at 221-222 (O'Connor, J., concurring) ("Determining whether a juror is biased or has prejudged a case is difficult, partly because the juror may have an interest in concealing his own bias and partly because the juror may be unaware of it"). See also Georgia v. McCollum, 505 U.S. 42, 68 (1992) (O'Connor, J., dissenting) ("It is by now clear that conscious and unconscious racism can affect the way white jurors perceive minority defendants and the facts presented at their trial, perhaps determining the verdict of guilt or innocence").

To support her statement, Justice O'Connor cited Developments in the Law — Race and the Criminal Process, 101 Harv. L. Rev. 1472, 1559-1560 (1988); Colbert, Challenging the Challenge: Thirteenth Amendment as a Prohibition against the Racial Use of Peremptory Challenges, 76 Cornell L. Rev. 1, 100-112 (1990). A more recent study concluded that judges and jurors unknowingly "misremember" facts in a case in racially biased ways. Levinson, Forgotten Racial Equality: Implicit Bias, Decisionmaking, and Misremembering, 57 Duke L.J. 345, 373-374 (2007).

The judge here expressed his understanding of unconscious bias by relying, in part, on the defendant's "expert social psychologist on matters of racial bias," Samuel R. Sommers, and stating that he was assessing Juror Y's testimony through the filter of Justice O'Connor's concurring opinion in Smith v. Phillips, supra at 221-222 (O'Connor, J., concurring), concerning unconscious bias.

Although, as the judge pointed out, judges are free to reject expert testimony, I note that the role of experts in assisting the court in understanding unconscious racism in all its forms could be critical. Although Samuel Sommers testified that, for obvious reasons, research about juror behavior and attitudes has been conducted with mock juries and trials, he conducted at least one study in which he chose his test subjects from a "jury-eligible community." See Sommers, On Racial Diversity and Group Decision Making: Identifying Multiple Effects of Racial Composition on Jury Deliberations, 90 J. Personality Soc. Psychol. 597, 601-602 (2006).

As the judge also recognized, courts use mechanisms that studies suggest can counteract implicit racially based attitudes and stereotypes. Here, during the voir dire, the judge asked each juror about their attitudes about race. The empanelled jury were racially diverse. The defense argued that the prosecution was based on racial stereotyping of the defendant. The judge instructed the jury to "remove bias from their deliberations." Studies suggest that these types of mechanisms have the effect of at least temporarily reducing stereotyping by calling it to the attention of white jurors who are motivated to present the appearance of impartiality. See Levinson, supra at 414-415. Moreover, studies show that even hostile confrontations such as the one that took place between Juror Y and Juror A following Juror Y's statement can, at least temporarily, decrease automatic stereotyping. Levinson, supra at 413-414 n. 321.

The judge stated that the case involved an allegation that the defendant, who is black, raped and killed a white woman and asked whether this information about race would affect the juror's ability to be fair and impartial. He also asked whether the juror would believe the testimony of a white person over a black person and vice versa, and whether the juror believed that blacks are more likely to commit crimes than whites. According to at least one study, simply asking jurors these types of questions calls the issue of race to their attention, what they call "race salience," making it more likely that juror bias will be reduced. Sommers, 90 J. Personality Soc. Psychol., supra at 601, 607. See Sommers, White Juror Bias: An Investigation of Prejudice Against Black Defendants in the American Courtroom, 7 Psychol., Pub. Pol'y L. 201, 220-222 (2001).

According to one study, "racially diverse juries deliberated longer, discussed more trial evidence, and made fewer factually inaccurate statements in discussing the evidence than did all-White juries. Interestingly, these effects, too, cannot be explained solely in terms of the performance of Black jurors, as White jurors were more thorough and accurate during deliberations on diverse vs. all-White juries. A potential implication of these findings is that one process through which a diverse jury composition exerts its effects is by leading White jurors to process evidence more thoroughly." Sommers, Race and the Decision Making of Juries, Legal Criminological Psychol. 171, 181 (2007), citing Sommers, 90 J. Personality Soc. Psychol., supra at 612.

Defense counsel argued in his opening, during examination of witnesses, and in closing that jurors needed to put aside hasty conclusions and consider the possibility that the defendant and the victim had a consensual relationship and that she was killed by a third party. In his articles about race salience, see note 3, supra, the defense expert Sommers found that when the issue of race is brought to the attention of mock jurors, white jurors were less likely to demonstrate bias in their decision making. Sommers, 7 Psychol., Pub. Pol'y L., supra at 220, 225.

Here, as the judge found, several jurors, including juror A and the foreperson, more than once reminded jurors that race should play no role in deliberations that should be focused on the evidence. See note 4, supra, discussing that racially diverse mock jurors were more thorough in their deliberations than all white mock juries.

Given the societal norm that one does not overtly express racially biased attitudes, see Sommers, 7 Psychol., Pub. Pol'y L., supra at 208, as well as the mechanisms to which the jurors were exposed before their deliberations, Juror Y's "big black man" statement is all the more remarkable. I recognize that her statement could have been parroting the statements of defense counsel, or that she was being descriptive, as the judge found. That being said, I would have liked the judge to explore, with more jurors, the questions concerning Juror A's hairstyle and level of education, before he concluded that these statements were "[a]t worst. . . equivocal. What one woman reports as small talk initiated by others . . . the other interpreted as snide." The judge elicited from Juror Y that she never directly asked Juror A about her hair, but that Juror A was asked about it during trial because, every Friday, Juror A had her hair styled differently. Juror Y denied ever asking about Juror A's education level. The judge asked only one other juror. That juror denied hearing either statement. It would have been informative to know whether Juror A was the only juror asked about her level of education. If she were the only one, it would have raised a red flag for me, as it apparently did for Juror A. See Lawrence, The Id, the Ego, and Equal Protection: Reckoning with Unconscious Racism, 39 Stan. L. Rev. 317, 323 (1987) (discussing cultural stereotype that blacks are lazy or unintelligent).

In fact, Juror Y testified that she was using the phrase because defense counsel did, and another juror testified that race was mentioned in the context of argument by defense counsel.

Juror A's reaction is not unusual. Studies show that blacks and whites perceive incidents of discrimination differently. Whites expect discrimination to be explicit, whereas blacks are more aware of implicit discrimination. See Robinson, Perceptual Segregation, 108 Colum. L. Rev. 1093, 1127-1128 (2008) (Robinson), quoting Sommers, Lay Theories About White Racists: What Constitutes Racism (and What Doesn't), 9 Group Processes Intergroup Rel. 117, 132 (2006) ("white and nonwhite respondents [were asked] to review a list of behaviors and report whether the behavior was typical of white racism. [Researchers] found that 'non-Whites are more likely to consider subtle forms of bias to be indicative of racism than are Whites'"); Chew, Judicial Decisions, Pitt Law Magazine 8, 9 (2010) (race of judge affected likelihood that plaintiff would prevail in employment discrimination claim and that most successful claims involved supervisors and coworkers "using racial slurs or by 'ganging up' on the plaintiff").
According to Chester Pierce, a graduate of Harvard College and Harvard Medical School, and Emeritus Professor of Education and Psychiatry at the medical school, Graduate School of Education, and School of Public Health at Harvard University, a psychiatrist at Massachusetts General Hospital, and author of over 200 articles, who has served as president, chairperson, advisor, and consultant to numerous organizations, the interactions between white and black individuals in the larger society is marked by what he calls "offensive mechanisms" which are made automatic by the culture and "stem[] from the need of whites to reaffirm and reassert feelings and ideas of racial superiority."
C. Pierce, Offensive Mechanisms, The Black Seventies 265, 277 (F. B. Barbour, ed. 1970). He relates the following experience as an illustration:

"I notice in a class I teach that after each session a white, not a black, will come up to me and tell me how the class should be structured or how the chairs should be placed or how there should be extra meetings outside the classroom, etc. [It is possible that I am hypersensitive.] What I cannot explain . . . is that it is not what the student says in this dialogue, it is how he approaches me, how he talks to me, how he seems to regard me. . . . I was told . . . that although I am a full professor on two faculties at a prestigious university, to him . . . I had to be instructed and directed as to how to render him more pleasure!"
Id. at 277.
Two studies have demonstrated that white test subjects minimize charges of racial discrimination. In sum, in each test, one concerning employment and one concerning grading a college student's essay, whites were informed that the person who could have evaluated a mock black subject was prejudiced. Nevertheless, they were more likely to call the black subject who asserted discrimination a "complainer" or "troublemaker." See Robinson, supra at 1148-1151.



Because of unconscious racism, it is the subtle clues that help give a judge insight into a juror's true feelings. Indeed, the judge here explored in detail such a subtlety: whether Juror Y said "this" big black man rather than "a" or "the" big black man. He found that she was referring directly to the defendant and concluded that she did not harbor prejudice against blacks as a class but was speaking descriptively of the defendant. A similar analysis of the hair and education questions would have added another dimension to the judge's analysis. Both questions, but particularly the question about Juror A's level of education, implicate racial stereotyping. See Lawrence, supra. I would want to know whether Juror Y asked other jurors about their education or asked just Juror A.

I agree with the court that the judge's task here was tremendously difficult, ante at 494, and do not suggest that the judge would have reached a different conclusion concerning whether Juror Y was actually biased. I do think that more inquiry concerning whether any other jurors were asked questions about their level of education and hairstyle would have given context and insight into whether the questions put to Juror A were simply small talk or indicative of implicit bias.

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