U.S. v. Saenz-Forero

• Decision Date: 20 July 1994
• Docket Number: SAENZ-FORER,D,No. 93-3556,93-3556
• Citation: 27 F.3d 1016
• Parties: UNITED STATES of America, Plaintiff-Appellee, v. Hernandoefendant-Appellant.
• Court: U.S. Court of Appeals — Fifth Circuit

Page 1016

27 F.3d 1016

UNITED STATES of America, Plaintiff-Appellee, v. Hernando SAENZ-FORERO, Defendant-Appellant.

No. 93-3556.

United States Court of Appeals, Fifth Circuit.

July 20, 1994.

Appeal from the United States District Court for the Eastern District of Louisiana.

Before JOHNSON, BARKSDALE and DeMOSS, Circuit Judges.

DeMOSS, Circuit Judge:

Defendant-appellant Hernando Saenz-Forero pleaded guilty on February 3, 1993 to illegally attempting to re-enter the United States after having been previously arrested and deported. 8 U.S.C. Sec. 1326. ¹ He appeals his 41-month sentence, claiming (1) that the trial court violated the Ex Post Facto Clause of the United States Constitution by using a 1985 conviction to enhance his sentence; and (2) that he received ineffective assistance of counsel. Finding no basis for reversal or modification of Saenz-Forero's sentence, we AFFIRM.

FACTS AND PROCEDURAL BACKGROUND

On December 21, 1992, Saenz-Forero arrived at the New Orleans International Airport aboard a flight from San Jose, Costa Rica. He presented a falsified passport to immigration authorities. Upon questioning, he waived his Miranda rights and admitted his true identity. He was then arrested on a charge of using a false passport in violation of 18 U.S.C. Sec. 1543. Subsequent checks of immigration records revealed that Saenz- Saenz-Forero was indicted on two counts: (1) attempting to re-enter the United States without the permission of the Attorney General after having been arrested and deported; and (2) willful use of an altered passport. He pleaded guilty to the re-entry count, and the government moved to dismiss the passport count in accordance with the plea agreement.

Forero had previously been arrested and deported from the United States on September 10, 1986, after a 1985 conviction for conspiracy to possess and distribute cocaine. After his deportation in 1986, Saenz-Forero did not apply for or receive permission to re-enter the United States.

Saenz-Forero was sentenced on May 19, 1993. The trial court used his prior drug conviction to increase his sentence under 8 U.S.C. Sec. 1326(b)(2) ² and the corresponding sentence enhancement provision in the United States Sentencing Guidelines. ³ Saenz-Forero's 1985 conviction is an "aggravated felony" for the purpose of Sec. 2L1.2(b)(2) and Sec. 1326(b)(2), according to both Guideline and statutory definitions in effect in 1992 when he attempted to re-enter the United States. 8 U.S.C. Sec. 1101(a)(43); U.S.S.G. Sec. 2L1.2(b)(2), comment. (n. 7) (Nov. 1992). Cocaine is a "controlled substance" under 21 U.S.C. Sec. 802(6), and conspiring to distribute cocaine is a "drug trafficking crime" as defined in 18 U.S.C. Sec. 924(c)(2). ⁴

After the trial court applied the 16-level increase called for in Sec. 2L1.2(b)(2), as well as a three-level decrease for acceptance of responsibility, Saenz-Forero's total offense level was 21. His criminal history category was II, resulting in a sentencing range of 41 months to 51 months. The trial court chose the bottom of the range, sentencing Saenz-Forero to 41 months of incarceration.

DISCUSSION

Saenz-Forero, who brings this appeal pro se, challenges his sentence with two issues on appeal. (1) Did the trial court's enhancement of Saenz-Forero's sentence under 8 U.S.C. Sec. 1326(b)(2) and U.S.S.G. Sec. 2L1.2(b)(2) for his 1985 aggravated felony conviction violate the Ex Post Facto Clause of the Constitution? (2) Was Saenz-Forero denied effective assistance of counsel?

Issue 1: Ex Post Facto Argument

Saenz-Forero, raising an issue of first impression in the Fifth Circuit, alleges an ex post facto violation because his drug conviction--the "aggravated felony" used to enhance his sentence--occurred in 1985, before such a drug conviction was classified as an "aggravated felony," and before the enactment of the sentencing enhancement provisions in 18 U.S.C. Sec. 1326(b)(2) and U.S.S.G. Sec. 2L1.2(b)(2). The relevant dates are set out below:

January 30, 1985--Saenz-Forero is convicted of conspiring to possess and distribute cocaine.

September 10, 1986--Saenz-Forero is arrested and deported from the United States.

November 18, 1988--8 U.S.C. Sec. 1326 is amended effective this date to provide for a 15-year maximum sentence for a defendant who attempts to illegally re-enter the United States after having been previously deported following an aggravated felony conviction. The amending legislation also added a new statutory provision, 8 U.S.C. Sec. 1101(a)(43), which defines "aggravated felony" as including any drug trafficking crime.

November 1, 1991--U.S.S.G. Sec. 2L1.2 is amended effective this date by the addition of a new subsection (b)(2), providing for a 16-level increase in the base offense level of a defendant who attempts to illegally re-enter the United States after having been previously deported following an aggravated felony conviction. The amendment to Sec. 2L1.2 also added Application Note 7, which defines "aggravated felony" to include any illicit trafficking in a controlled substance.

December 21, 1992--Saenz-Forero, using an altered passport, attempts to illegally re-enter the United States and is arrested.

January 7, 1993--Saenz-Forero is indicted.

February 3, 1993--Saenz-Forero pleads guilty to a violation of 8 U.S.C. Sec. 1326(b)(2).

May 19, 1993--Saenz-Forero is sentenced.

Saenz-Forero, in his pro se brief, argues that "the aggravated felony statute did not exist at the time of appellant's original conviction," and that his 1985 conviction occurred "before the statute declared drug convictions to be conviction of an aggravated felony." He asks the Fifth Circuit to "remand for re-sentencing in compliance with the law in effect at the time of appellant's original conviction, thus, remanding for removal of the 16-level enhancement."

Saenz-Forero's argument seems to be that the district court's application to him of the harsher penalties in 8 U.S.C. Sec. 1326(b)(2) and U.S.S.G. Sec. 2L1.2(b)(2) violates the Ex Post Facto Clause of the Constitution. ⁵ U.S. CONST., art. I, Sec. 9, cl. 3 ("No ... ex post facto Law shall be passed."). An ex post facto law is a criminal or penal measure which is retrospective and is disadvantageous to the offender because it may impose greater punishment. United States v. Leonard, 868 F.2d 1393, 1399 (5th Cir.1989), overruled on other grounds by Taylor v. United States, 495 U.S. 575, 579 & n. 2, 110 S.Ct. 2143, 2148-49 & n. 2, 109 L.Ed.2d 607 (1990), and cert. denied, 496 U.S. 904, 110 S.Ct. 2585, 110 L.Ed.2d 266 (1990). A central concern of the ex post facto prohibition is to assure that legislative acts "give fair warning of their effect and permit individuals to rely on their meaning until explicitly changed." Miller v. Florida, 482 U.S. 423, 430, 107 S.Ct. 2446, 2451, 96 L.Ed.2d 351 (1987) (quoting Weaver v. Graham, 450 U.S. 24, 28-29, 101 S.Ct. 960, 964, 67 L.Ed.2d 17 (1981)). We have held that a statute violates the Ex Post Facto Clause if the statute (1) punishes as a crime an act previously committed which was not a crime when it was done; (2) increases the punishment for a crime after the crime is committed; or (3) deprives a criminal defendant of a defense that was legally available at the time the act was committed. United States v. Brechtel, 997 F.2d 1108, 1113 (5th Cir.), cert. denied, --- U.S. ----, 114 S.Ct. 605, 126 L.Ed.2d 570 (1993).

This Circuit has not yet addressed the precise issue Saenz-Forero raises. But a recent First Circuit case is squarely on point against his ex post facto argument. United States v. Forbes, 16 F.3d 1294, 1302 (1st Cir.1994). In addition, this Circuit and the Supreme Court have upheld recidivist statutes in the face of similar ex post facto challenges. Leonard, 868 F.2d at 1399-1400 (citing Gryger v. Burke, 334 U.S. 728, 732, 68 S.Ct. 1256, 1258, 92 L.Ed. 1683 (1948)); Perkins v. Cabana, 794 F.2d 168, 169 (5th Cir.), cert. denied, 479 U.S. 936, 107 S.Ct. 414, 93 L.Ed.2d 366 (1986).

In Leonard, the defendant claimed that his sentence could not be enhanced (pursuant to a recidivist statute giving a harsher sentence to offenders with three prior convictions for certain felonies) due to convictions that pre-dated the enactment of the recidivist statute. We upheld his conviction:

"Leonard's argument reflects a misunderstanding as to the function of his [prior] convictions under the statute. Neither his conviction nor the sentence he complains of punishes him for these prior offenses. Those offenses merely led to an enhanced sentence for his new crime. Leonard pled guilty to [the new crime] on May 26, 1988, after the effective date of [18 U.S.C.] Sec. 924(e). Section 924(e) is not retrospective because it bases enhancement of his sentence upon convictions which preceded its enactment."

Leonard, 868 F.2d at 1399-1400 (holding that Sec. 924(e) did not violate the Ex Post Facto Clause). ⁶ We also upheld a Mississippi recidivist statute against a similar constitutional challenge in Perkins v. Cabana, 794 F.2d 168, 169 (5th Cir.), cert. denied, 479 U.S. 936, 107 S.Ct. 414, 93 L.Ed.2d 366 (1986).

"Perkins argues that [Miss.Code Ann.] Sec. 99-19-81 is an unconstitutional ex post facto law. He asserts that the law impermissibly applies to convictions that occurred as many as ten years before the effective date of the law, and that the requirement of the maximum possible sentence for the habitual offender impermissibly increases the punishment for the crime after its commission.

This retroactivity argument misses the mark. The statute defines and fixes the punishment for future felony offenses. That it does so in terms of past offenses does not punish or increase the punishment for those past offenses. The State has done no more than classify felony recidivists in a different category for punishment purposes than the category provided for first felony offenders. No person is exposed to the increased penalty unless he commits a felony...