U.S. v. Sanchez, 96-646.

• Decision Date: 19 April 1999
• Docket Number: No. 96-646.,96-646.
• Citation: 38 F.Supp.2d 355
• Parties: UNITED STATES of America v. Guido SANCHEZ.
• Court: U.S. District Court — District of New Jersey

38 F.Supp.2d 355

UNITED STATES of America v. Guido SANCHEZ.

No. 96-646.

United States District Court, D. New Jersey.

April 19, 1999.

Faith S. Hochberg, U.S. Atty., Mark J. McCarren, Asst. U.S. Atty., Newark, NJ, for U.S.

Tomas Espinosa, Jersey City, NJ, for Defendant.

OPINION

ORLOFSKY, District Judge:

This case presents the novel and unsettled question of what legal standard a District Court must apply under 18 U.S.C. § 4244¹ to determine whether a convicted person is competent to be sentenced. For the reasons set forth below, I hold that the Due Process Clause of the Fifth Amendment requires that a District Court apply the same legal standard in determining whether a convicted person is competent to be sentenced as the standard which is applied in determining whether a defendant is competent to stand trial pursuant to 18 U.S.C. § 4241. Specifically, in determining whether a convicted defendant is competent to be sentenced pursuant to 18 U.S.C. § 4244, a District Court must decide whether the defendant has sufficient ability to consult with his lawyer with a reasonable degree of rational understanding, and has a rational, as well as a factual understanding of the proceedings against him or her.

On March 7, 1997, Guido Sanchez pled guilty to one count of dealing in counterfeit United States obligations in violation of 18 U.S.C. § 473. On July 8, 1997, Sanchez moved to withdraw his guilty plea pursuant to Rule 32(e) of the Federal Rules of Criminal Procedure. After taking testimony, this Court denied Sanchez's motion to withdraw his guilty plea on August 26, 1998. See United States v. Sanchez, Crim. No. 96-646(SMO), slip op., (D.N.J. Aug. 26, 1998) at 24. Thereafter, Sanchez moved for reconsideration and for certification of an interlocutory appeal. The Court denied both motions. See United States v. Sanchez, Crim. No. 96-646(SMO), slip op., (D.N.J. Oct. 23, 1998) at 7, 23. Sentencing was scheduled for November 20, 1998. On November 19, 1998, on the eve of his sentencing, Mr. Espinosa, counsel for Sanchez, informed the Court that Sanchez was suffering from suicidal ideation, and had been committed to the psychiatric unit at Cabrini Medical Center, located in New York City.

On December 10, 1998, pursuant to 18 U.S.C. §§ 4244, 4247, the Court ordered Sanchez to undergo a psychiatric/psychological evaluation. After receiving the report of the Court appointed psychologist, and the reports of Sanchez's treating psychiatrists, the Court conducted a competency hearing on March 12, 1999. Following the hearing, the parties filed supplemental briefs.

For the reasons that follow, I find, by a preponderance of the evidence, that Sanchez is presently suffering from a mental disease or defect and that he should, in lieu of being sentenced to imprisonment, be committed to a suitable facility for care or treatment. Accordingly, the Court shall commit Sanchez to the custody of the Attorney General for hospitalization in a suitable facility for care or treatment. In addition, in accordance with 18 U.S.C. §§ 473, 4244(d), I shall provisionally sentence Sanchez to commitment for a period of ten years, or until such time as the director of the facility in which Sanchez is hospitalized determines that Sanchez is recovered from his mental disease and is competent to be sentenced, see 18 U.S.C. § 4244(e), or until such time as this Court grants a motion by Sanchez for an order directing his discharge from hospitalization. See 18 U.S.C. § 4247(h).²

I. BACKGROUND

A. Factual and Procedural History

On October 9, 1996, a criminal complaint was filed in this Court charging Defendant, Guido Sanchez ("Sanchez"), with dealing in counterfeit United States obligations in violation of 18 U.S.C. § 473. See Complaint (dated Oct. 9, 1996).³ On October 10, 1996, Sanchez was arrested and later released on bail. On October 21, 1996, a grand jury returned a one count indictment charging Sanchez with a violation of 18 U.S.C. § 473. See Indictment (dated Oct. 21, 1996). Specifically, Sanchez was indicted for selling or attempting to sell $100,000 in counterfeit $100 Federal Reserve notes to a confidential informant working on behalf of the Government. See Presentence Investigation Report ("PSI") ¶ 7. After his arrest and release on bail, Sanchez pled not guilty at an arraignment on November 8, 1996, before the Honorable Joel B. Rosen, United States Magistrate Judge. See Transcript (dated November 8, 1996). At the time of the arraignment, Sanchez was represented by Samuel R. DeLuca, Esq. ("DeLuca") of the law firm of DeLuca & Taite. See United States v. Sanchez, Crim. No. 96-646(SMO), slip op, at 4-5 (D.N.J. Aug. 26, 1998) (hereinafter "Opinion of Aug. 26, 1998").

On March 7, 1997, Sanchez retracted his plea of not guilty and, after an extended colloquy with the Court, entered a plea of guilty pursuant to a plea agreement with the Government. See Plea Agreement (dated Dec. 28, 1996; executed Mar. 6, 1997).

On June 4, 1997, nearly three months after pleading guilty, Tomas Espinosa, Esq., who had been newly retained as counsel for Sanchez, informed the Court by letter that Sanchez would be moving to withdraw his guilty plea. See Letter to the Court (dated June 4, 1997). On July 8, 1997, Sanchez, through his new attorney, Mr. Espinosa, formally moved to withdraw the plea of guilty. (See Opinion of Aug. 26, 1998). After initial briefing and the filing of several certifications, including one from Sanchez himself, the Court conducted a two-day evidentiary hearing on November 14 and 18, 1997. See id.

In support of his motion to withdraw his guilty plea, Sanchez asserted the following two arguments based on ineffective assistance of counsel: (1) that Sanchez's former counsel, Mr. DeLuca, failed to investigate or advise Sanchez of the potential affirmative defenses of coercion and entrapment; and (2) that Mr. DeLuca inappropriately promised Sanchez that he would receive a short probationary sentence if he pleaded guilty, and a ten year sentence if he did not so plead. See United States v. Sanchez, Crim. No. 96-646(SMO), slip op, at 4-5 (D.N.J. Oct. 23, 1998) (hereinafter "Opinion of Oct. 23, 1998"). On August 26, 1998, the Court filed an opinion and order denying Sanchez's motion to withdraw his plea of guilty. See Opinion of Aug. 26, 1998, at 24. Specifically, with regard to the defenses of coercion and entrapment, this Court found:

I find that regardless of whether [former counsel] investigated th[e] affirmative defense[s] [of entrapment and coercion], there is no likelihood that discovery of the "supporting" evidence would have led [former counsel] to change his recommendation regarding the plea of guilty, no likelihood that Sanchez would have gone to trial based on the entrapment [and coercion] theor[ies], and finally, no likelihood that the defense[s] would have succeeded at trial. Th[ese] theor[ies] provide[] no "fair and just reason" for withdrawal of the plea.

See id. at 14, 17-18.

On September 28, 1998, Sanchez filed a motion for leave to file an interlocutory appeal.⁴ See Notice of Motion for Leave to File an Interlocutory Appeal (filed Sept. 28.1998). On October 7, 1998, after considering Sanchez's moving papers and the Government's October 6, 1998 letter-brief in opposition, I denied Sanchez's motion for leave to file an interlocutory appeal for the following reason:

The Court having found that a grant of leave to file an interlocutory appeal would be improper at this time, see United States v. Gottlieb, 817 F.2d 475, 476 (8th Cir.1987) (stating that the proper time to challenge an order denying a motion to withdraw a plea of guilty is after sentencing when the decision is final); see also Midland Asphalt Corp. v. United States, 489 U.S. 794, 798-99, 109 S.Ct. 1494, 103 L.Ed.2d 879 (1989) (stating that, in criminal cases, 28 U.S.C. § 1291 limits the jurisdiction of courts of appeals to final decisions of the district court "after conviction and imposition of sentence"); Abney v. United States, 431 U.S. 651, 97 S.Ct. 2034, 52 L.Ed.2d 651 (1977) (noting the primacy of the final judgment rule governing appeals in criminal cases); ... Defendant's motion for leave to file an interlocutory appeal is hereby DENIED[.]

See Amended Order of the Court (filed Oct. 7, 1998).

On October 13, 1998, Sanchez filed a notice of motion for reargument of the Court's October 7, 1998, order denying his motion for leave to file an interlocutory appeal from the Court's opinion and order of August 26, 1998, denying his motion for withdrawal of his guilty plea. See Notice of Motion for Reconsideration (filed Oct. 13, 1998). After a thorough and careful review of the record, my prior orders, and the submissions of Sanchez and the Government, I denied Sanchez's motion for reargument, concluding that I had not overlooked any matter or controlling decision. See Opinion of Oct. 23, 1998.

On October 8, 1998, the United States Probation Office ("Probation Office") prepared a Presentence Investigation Report. See PSI (prepared Oct. 8, 1998, revised Oct. 23, 1998). Applying federal sentencing guideline § 2B5.1(a), Probation computed the base offense level to be nine. See PSI ¶ 18. "Because [Sanchez's] offense involved $100,000.00 worth of counterfeit currency, the offense level [was] increased six levels, pursuant to [United States Sentencing Guideline] § 2B5.1(b)(1),⁵ which references the table at [USSG] § 2F1.1(b)(1)(G)." See PSI ¶ 19. No other adjustments were made to the offense level, resulting in a total offense level of 15. See id. ¶ 28. The Probation Officer computed Sanchez's criminal history category as "I." Id. ¶ 31.

By letter dated October 17, 1998,⁶ Sanchez objected: (1) to the Probation Officer's recommendation that he be denied a two level reduction in his total offense level for acceptance of responsibility pursuant to USSG § 3E1.1,⁷ and (2) to the Probation Officer's application of USSG § 2F1.1 in determining the total offense level. See...