US v. Dwayne Frazier

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UNPUBLISHED AUTHORED OPINION filed. Originating case number: 1:11-cr-00095-MJG-2 Copies to all parties and the district court/agency. [999379772].. [13-4462]

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Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 1 of 22 UNPUBLISHED UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT No. 13-4462 UNITED STATES OF AMERICA, Plaintiff - Appellee, v. DWAYNE FRAZIER, Defendant - Appellant. Appeal from the United States District Court for the District of Maryland, at Baltimore. Marvin J. Garbis, Senior District Judge. (1:11-cr-00095-MJG-2) Argued: March 20, 2014 Decided: June 20, 2014 Before TRAXLER, Chief Judge, MOTZ, Circuit Judge, and Max O. COGBURN, Jr., United States District Judge for the Western District of North Carolina, sitting by designation. Affirmed by unpublished opinion. opinion, in which Judge Motz joined. a separate concurring opinion. Judge Cogburn wrote the Chief Judge Traxler wrote ARGUED: Doug Keller, Washington, D.C., for Appellant. John Walter Sippel, Jr., OFFICE OF THE UNITED STATES ATTORNEY, Baltimore, Maryland, for Appellee. ON BRIEF: Rod J. Rosenstein, United States Attorney, OFFICE OF THE UNITED STATES ATTORNEY, Baltimore, Maryland, for Appellee. Unpublished opinions are not binding precedent in this circuit. Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 2 of 22 COGBURN, District Judge: Dwayne Frazier pled guilty to one count of carjacking in contravention of 18 U.S.C. § 2119 and received a sentence of 144 months imprisonment. Frazier challenges his conviction, arguing that the district court erred by declining to hold a competency hearing after defense counsel raised concerns regarding Frazier’s ability to aid in his own defense at trial. Frazier also contends that the district court committed reversible error by failing failing to to apply the independently proper sentencing exercise before accepting Frazier’s plea. its standard sentencing and by discretion For the reasons that follow, we affirm. I. In January of 2012 a grand jury in the District of Maryland returned a six-count superseding indictment against Frazier and a co-defendant (“the indictment”). following charges: a conspiracy The indictment alleged the to commit carjacking, in violation of 18 U.S.C. § 371; two substantive carjacking counts, in violation of 18 U.S.C. § 2119; two counts of possession and brandishing of a firearm in furtherance of a crime of violence, in violation of 18 U.S.C. § 924(c)(1)(A)(ii); and possession of a firearm by a convicted felon, in violation of 18 U.S.C. § 922(g). 2 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 3 of 22 A. The Friday before Frazier’s trial was to begin, defense counsel filed detailing proceed his to Frazier’s versus a letter concerns trial. ability a under regarding Among to plea”; seal his defense “understand “to with assist the district client’s The following Monday, the competency counsel’s concerns the pros and in his defense”; “intelligently elect whether to testify or not.” district court cons of to were trial and to S.J.A. 1. court inquired into these concerns with defense counsel and Frazier, outside of the presence of the government. court that nothing After being assured by the district disclosed during the ex parte discussion would be considered during sentencing, defense counsel explained to the district court that, based on approximately “a dozen visits” with his client, he believed Frazier to be “habitually under the use [sic] of narcotics at the Chesapeake Detention Facility.” S.J.A. 5. Defense counsel explained that during his visits with Frazier he “noticed stains on his fingernails.” He noted that Frazier’s eyes were “glassy” could not pay “any degree of attention.” Id. and that Id. Frazier Defense counsel also noted that Frazier “giggled and was giddy at inappropriate moments.” Id. Counsel explained that he believed such supposed narcotic use affected Frazier’s competency to proceed to trial 3 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 4 of 22 principally because Frazier “may or may not be able to assist” in his own defense. S.J.A. 5-6. Frazier discussed his mental health status with the court and attributed his behavior to the high levels of stress and anxiety he was experiencing. Frazier explained that he had not seen his family in many years, including a two-year-old son whom he had not seen at all. He explained that he had been incarcerated for 16 years prior to being charged in the instant case and the prospect of an additional 33 years of imprisonment should he be convicted pushed his “stress level . . . off the chart.” S.J.A. 9. Since his incarceration he had been placed on a series of medications including Neurontin and Prozac, and while he admitted that he “smoke[ed]” and that this was a “problem at the Chesapeake Detention Center,” he also explained that he had never had a positive urinalysis “for any substance.” 1 S.J.A. 8. After hearing all such testimony, the district court determined that there was no basis to find Frazier incompetent 1 It is unclear what type of substance Frazier was admitting to smoking, and defense counsel did not inquire into the matter any further. The district court explained that the stains on Frazier’s fingers, which defense counsel noted in his colloquy, were not indicative of incompetence because it was not clear what substance Frazier was smoking. The district court opined that they could have been tobacco stains, or they could be from the use of “marijuana or something else.” S.J.A. 11. 4 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 5 of 22 to proceed to trial. The district court explained that, at its request, States the United Marshal’s Office conferred with authorities at the detention facility where Frazier was being held, who confirmed that there was no indication that Frazier had taken any illegal drugs. that, as recently as the The district court also noted week before, Frazier had written letters to the court in which he had no difficulty expressing himself. The district court explained that the letters contained no indication that Frazier was delusional or had any difficulty making judgments. While the district court accepted as true defense counsel’s observations of his client, the court concluded that there was no reason to suspect that Frazier was incompetent to proceed to trial. While Frazier did seem to giggle at inappropriate moments, the district court explained that such behavior “just seem[ed] to be his manner.” S.J.A. 11. B. After discussing Frazier’s competency outside the presence of the government, the district selection in Frazier’s trial. court then turned to jury Moments before that was to begin, however, the parties notified the district court that they had reached a plea agreement in principle and requested a brief recess for the government to prepare a written agreement. Frazier subsequently signed a plea agreement pursuant to FED.R.CRIM.P. 11(c)(1)(C), under which the parties agreed to a 5 Appeal: 13-4462 Doc: 38 proposed 144 Filed: 06/20/2014 month Pg: 6 of 22 sentence. Frazier would plead guilty to Count Two of the Indictment, one of the substantive carjacking counts, and in exchange the government agreed to dismiss the remaining counts in the Indictment. The district court proceeded through a lengthy colloquy with Frazier regarding the terms of the plea agreement during which it explained that if the plea was accepted, the sentence imposed would be 144 months. The district court also conducted further inquiry into Frazier’s competency before fully advising Frazier of the rights he would have at trial including his right to testify, the presumption of innocence, the government’s burden, and his right to appeal should he be convicted. being so advised, Frazier confirmed that he still After wished to plead guilty and the court accepted his plea. Upon Frazier’s request and consent by the government, the district court then proceeded directly to sentencing. The district court began by pronouncing Frazier’s criminal history category, the stipulated offense level under the proposed plea agreement, months. and the applicable guideline range of 135 to 168 The district court then allowed the government, defense counsel, and Frazier the opportunity to speak. Defense counsel stated that Frazier had asked “several intelligent questions” and that defense counsel believed that Frazier was competent to proceed with the plea hearing. J.A. 50-51. 6 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 7 of 22 The district court then considered the proposed 144 month sentence, noting that such a sentence was consistent with the plea agreements district offered court to concluded Frazier’s that, having co-defendants. already tried The one of Frazier’s co-defendants and being thoroughly familiar with the particular facts of the case, the proposed sentence was “in the range of reasonableness,” and ultimately accepted the 144 month sentence as the appropriate term of imprisonment. J.A. 75. II. Frazier now appeals his sentence, contending that (1) the district court erred by not holding a competency hearing to determine whether he could proceed to trial; and (2) that the district court erred by sentencing him to the agreed upon 144 month term of imprisonment. A. We hold that the district court did not discretion in failing to order a competency hearing. abuse its Title 18, United States Code, Section 4241(a) requires a district court to hold such a competency hearing “if there is reasonable cause to believe that the defendant may presently be suffering from a mental disease or defect rendering him mentally incompetent to the extent consequences that of he the is unable to proceedings properly in his defense.” understand against him the or 18 U.S.C. § 4241(a). 7 nature to and assist Even if no Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 8 of 22 motion is made by counsel, “[t]he district court must sua sponte order a competency hearing if reasonable cause is demonstrated.” United States v. Mason, 52 F.3d 1286, 1289 (4th Cir. 1995). Whether reasonable cause has been demonstrated, however, is left to the discretion of the district court. Id. at 1289. Frazier’s challenge on appeal is a “procedural competency claim,” that is, he need not demonstrate that he was in fact incompetent at the time of his guilty plea and sentencing, but merely that the district competency hearing. (4th Cir. 2007). the trial court court erred by not ordering a United States v. Banks, 482 F.3d 733, 742 “To prevail, the defendant must establish that ignored facts raising a bona fide regarding the defendant's competency to stand trial.” doubt Walton v. Angelone, 321 F.3d 442, 459 (4th Cir. 2003) (internal quotation marks omitted). 2 We review the district court’s determination that no reasonable cause existed to order a competency hearing for abuse of discretion, under which, “this Court may not substitute its 2 While Frazier waived his right to appeal in his plea agreement, a criminal defendant may not “plead guilty unless he does so ‘competently and intelligently.’” Godinez v. Moran, 509 U.S. 389, 396 (1993) (quoting Johnson v. Zerbst, 304 U.S. 458, 468 (1938)). 8 Appeal: 13-4462 Doc: 38 judgment for determine Filed: 06/20/2014 that of whether the the Pg: 9 of 22 district court's court; rather, exercise of we must discretion, considering the law and the facts, was arbitrary or capricious.” Mason, 52 F.3d at 1289. Appellant’s principal contention is that the district court should have deferred to defense counsel’s impression that he was under the influence of narcotics rendering him unable to assist in his own court’s defense. observations He further regarding contends Frazier’s that the district competency were “qualitatively less meaningful” than those of defense counsel, who had the “unique vantage point” of observing his behavior numerous times over a six-month period. According to appellant, the district court’s interaction with him was brief and involved “little back-and-forth discussion.” Besides defense counsel’s own statements of what he and his investigators had observed, nothing before the district court suggested that Frazier was incompetent to assist in his own defense. The district court accepted as true defense counsel’s impression, but determined that reasonable cause did not exist to suspect that Frazier was incompetent to stand trial in the face of other available evidence. See Mason, 52 F.3d at 1290 (“The trial court must look at the record as a whole and accept as true all evidence of possible incompetence in determining 9 Appeal: 13-4462 Doc: 38 whether to Filed: 06/20/2014 order a Pg: 10 of 22 competency hearing.”) (internal quotation marks omitted). “The district court evidence pertaining (1) history of at prior any demeanor and to should the defendant's irrational to opinions on competency.” examine of the competence, behavior; sentencing; all (2) and the (3) record including: defendant's prior medical United States v. Moussaoui, 591 F.3d 263, 291 (4th Cir. 2010) (citing United States v. General, 278 F.3d 389, omitted). 397 (4th Cir. 2002)) (internal quotation marks Here, the district court properly considered that Frazier had not tested positive for drug use at the detention facility where he was being held, a fact which was bolstered by Frazier’s own statement that although he “smoked,” he had never tested positive attributed noticed to any during odd stress any behavior and urinalysis. that anxiety, for defense which Instead, counsel he was Frazier may have prescribed medication. The district court further noted that Frazier, in a series of pro se letters to the court, had demonstrated that he was clearly capable of expressing himself and was not delusional. Frazier contends that such statements indicate that the district court applied the wrong standard in determining his competency. Under § 4241(a), a competency hearing is required if there is reasonable cause to believe a defendant is “unable to understand 10 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 11 of 22 the nature and consequences of the proceedings against him or to assist properly in his defense.” added). 18 U.S.C. § 4241(a) (emphasis According to Frazier, the district court’s statements indicate that it failed to consider whether he was competent to assist in his own defense. A complete and thorough review of the transcript, however, reveals that this argument mischaracterizes the district court’s analysis during the ex parte hearing. Furthermore, it puts the cart before the horse in the § 4241 analysis in that it assumes the district court had determined that Frazier was suffering from a mental disease or defect. By its terms, § 4241 presupposes that before a district court analyzes the effect a defendant’s mental disease or defect may have on defendant’s competency to understand the nature and consequences of the proceedings against or to assist properly in his defense, it has already found that the defendant does indeed suffer from such a mental disease questioning or and defect. analysis Here, the indicates that district it was court’s simply considering all available evidence to determine whether Frazier suffered from any mental properly determining that affliction Frazier to was begin not with. suffering After from a mental disease or defect, there was no need to continue the analysis. The fact that Frazier was taking Neurontin and Prozac 11 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 12 of 22 does not necessarily mean that he was suffering from a mental disease or defect. Frazier suggests that the district court should have ordered a psychiatric evaluation under § 4241(b), but provides no indication of how the district court abused in its discretion in declining to do so. (b) provides that Setting aside the fact that subsection “the court may order a psychiatric or psychological examination,” nothing in the record suggests that such an examination would have aided the district court in its determination. 18 U.S.C. § 4241(b) (emphasis added). Frazier contends that an evaluation was warranted because the source of Frazier’s cognitive difficulty was not clear. Again, Appellant’s argument assumes too much by concluding that Frazier was indeed suffering from cognitive difficulty when, besides defense counsel’s impression, nearly all the available evidence was to the contrary. As the district court noted, Frazier may have exhibited odd behavior, but that “just seem[ed] to be his manner.” And when Frazier was allowed the opportunity to speak about his counsel’s concerns, he attributed his odd behavior to stress, depression, and the medication he had been prescribed. Frazier did not show any sign of incompetency during the ex parte hearing or the sentencing hearing. He was able to understand the district court’s questions and concerns without any difficulty and respond precisely and cogently. 12 Further, Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 13 of 22 when the issue of Frazier’s competency arose during the plea hearing, stated defense that he counsel abandoned believed Frazier his was earlier “competent concerns to and proceed.” J.A. 50-51. The requirement of § 4241(a) that the district court grant a competency expanded to hearing when require such reasonable a hearing cause exists whenever cannot defense be counsel raises concerns regarding his client’s competency or where a defendant takes prescribed medication. the district court in its Ultimately, it is up to discretion to determine whether reasonable cause exists to require a competency hearing. therefore find that the district court did not abuse We its discretion in failing to order a hearing to determine Frazier’s competency to stand trial. B. Appellant deferring to next contends the plea the district agreement in sentence of 144 months imprisonment. case was proffered pursuant Procedure 11(c)(1)(C). to court determining erred by Frazier’s The plea agreement in this Federal Rule of Criminal Under Rule 11(c)(1)(C), the parties may stipulate that “a specific sentence or sentencing range is the appropriate disposition of the case.” FED.R.CRIM.P. 11(c)(1)(C). “[S]uch a recommendation or request binds the court once the court accepts the plea agreement.” 13 Id. In this case, the Appeal: 13-4462 Doc: 38 parties Filed: 06/20/2014 agreed in the Pg: 14 of 22 plea agreement that 144 months imprisonment was the appropriate sentence. Appellant contends that the district court erred by not first independently then, considering determining that sentence, accept defendant’s plea. 3553(a) requires the appropriate deciding sentence whether it and could Title 18, United States Code, Section district courts to “impose a sentence sufficient, but not greater than necessary, to comply with the” four congressionally mandated goals of sentencing. 3553(a)(2). In determining the appropriate 18 U.S.C. § sentence for a defendant, § 3553(a) requires the court to consider these goals as well as the other factors listed in subsection (a). Appellant contends that the district court erred because it failed to consider sentence. these factors in determining Frazier’s According to Appellant, the district court applied the wrong standard and accepted the plea because the recommended 144 month sentence was “in the range of reasonableness.” J.A. 75; see United States v. Tucker, 473 F.3d 556, 561 (4th Cir. 2007) (holding that a district court’s mission in sentencing is not to impose a ‘reasonable’ sentence but rather, one sufficient, but not greater than necessary, to comply with the purposes of appropriate “abdicat[ed] § 3553(a)). sentence, its By Appellant constitutional 14 not first argues, duty to determining the district exercise its the court own Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 15 of 22 independent judgment in sentencing Mr. Frazier.” Appellant’s Br. 38. The government contends that this court need not reach this issue as Frazier waived his right to appeal his sentence in his plea agreement dismissed. and that “Whether a this portion defendant has of his appeal effectively must waived be his statutory right to appeal his sentence is a question of law subject to de novo review.” General, 278 F.3d at 399. We “will enforce the waiver if it is valid and the issue appealed is within the scope of the waiver.” F.3d 349, 355 (4th Cir. United States v. Davis, 689 2012). Frazier’s plea agreement contains the following provision: The Defendant and this Office knowingly waive all right . . . to appeal whatever sentence imposed . . . except as follows: (i) the Defendant reserves the right to appeal any sentence to the extent that it exceeds 144 months imprisonment; and (ii) this Office reserves the right to appeal any term of imprisonment to the extent that it is below 144 months’ imprisonment. J.A. 85. “The validity of an appeal waiver depends on whether the defendant knowingly and intelligently agreed to waive the right to appeal.” 2005). United States v. Blick, 408 F.3d 162, 169 (4th Cir. Whether an appeal waiver was knowing and intelligent is determined based on the totality of the circumstances and “must depend, in each case, upon 15 the particular facts and Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 16 of 22 circumstances surrounding that case, including the background, experience, and conduct of the accused.” Id. (quoting United States v. Davis, 954 F.2d 182, 186 (4th Cir. 1992)). In this case, the record fully establishes that Frazier knowingly and intelligently waived his right sentence if it did not exceed 144 months. to appeal his During the plea colloquy the district court unambiguously informed Frazier of the appeal waiver in his plea agreement. The district court explained that should he be convicted at trial, he would have the right to appeal his conviction. By signing the plea agreement, the district court explained, he would be waiving his right to appeal the conviction. The district court also explained that under the plea agreement Frazier would waive his right to appeal any sentence not greater than 12 years. Frazier’s unequivocal response was that he understood and that he wished to move forward with his guilty plea. Moreover, Frazier discussed the plea agreement with defense counsel and confirmed that he was satisfied that he was “doing the right thing” by waiving his right to appeal any sentence in excess of 12 years. J.A. 55. Appellant contends that the appeal waiver is not valid because “the district court never validly accepted” the plea agreement. Appellant’s Br. 47. Appellant contends that because the district court failed to exercise its sentencing authority 16 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 17 of 22 to independently determine the appropriate sentence, the plea agreement was never validly accepted, and because the plea was never validly accepted, the plea waiver has no vitality. Whether the district court was required to consider the § 3553(a) factors accepting to Frazier’s determine the plea no has waiver in the plea agreement. sentencing procedure. are two separate appropriate impact on sentence the valid before appeal The acceptance of a plea and and distinct phases of criminal Acceptance of a plea is governed by Federal Rule of Criminal Procedure 11(b) while sentencing is governed by Rule 32. Not only is there no binding authority for Appellant’s proposition, Federal Rule of Criminal Procedure 11(d) recognizes that acceptance of a plea is distinct from sentencing, as a plea may be withdrawn “after the court accepts the plea, but before it imposes sentence.” knowingly and FED.R.CRIM.P.11(d)(2). intelligently waived his right Because Frazier to appeal any sentence in excess of 12 years pursuant to his plea agreement, we dismiss his sentencing challenge. III. For the foregoing reasons, we affirm the judgment of the district court. AFFIRMED 17 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 18 Pg: 18 of 22 Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 19 of 22 TRAXLER, Chief Judge, concurring in the result: I agree, for the reasons expressed by the majority, that the district court did not abuse its discretion in failing to order a competency hearing. However, because my analysis of the other issue Frazier raises differs from that of the majority, I write separately. When Federal a defendant Rule of pleads Criminal guilty Procedure to a charged 11(c)(1)(C) offense, allows the parties to “agree that a specific sentence or sentencing range is the appropriate disposition of the case.” When the parties reach this type of agreement (“a C-plea”), “the court may accept the agreement, reject it, or defer” its decision until after reviewing the presentence report. Fed. R. Crim. P. 11(c)(3)(A). Yet although the court is free to accept or reject the plea agreement, the parties’ agreed-upon sentence “binds the court once the court accepts the plea agreement.” 11(c)(1)(C). accepting his Fed. R. Crim. P. Frazier contends that the district court erred in C-plea without finding that the agreed-upon sentence was sufficient but not greater than necessary to serve the sentencing goals identified in 18 U.S.C. § 3553. The government argues that we need not review the merits of Frazier’s argument because Frazier’s plea agreement contains a waiver of his right to appeal a sentence of 144 months, the sentence Frazier received. I disagree. 19 If Frazier is correct Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 20 of 22 that the district court committed reversible error in accepting the plea agreement, then the agreement is invalid and neither side is waiver. bound by the terms therein, including the appellate See United States v. Portillo-Cano, 192 F.3d 1246, 1250 (9th Cir. 1999). I therefore turn to the merits of Frazier’s argument. Because Frazier asserts it for the first time on appeal, our review is for plain error only. 507 U.S. 725, 732 (1993). defendant must show: See United States v. Olano, To succeed on plain-error review, a (1) there was error, (2) the error was plain, and (3) the error affected his substantial rights. id. Even if a defendant can satisfy these See requirements, correction of the error remains in the court’s discretion, which it “should not exercise . . . unless the error seriously affects the fairness, proceedings.” integrity, Id. or (internal public reputation quotation marks of and judicial alteration omitted). Sentencing Guidelines § 6B1.2(c) governs whether a district court should approve a plea agreement that includes a specific sentence. The policy statement states that the court may accept the agreement if the court is satisfied either that: (1) the agreed sentence guideline range; or is 20 within the applicable Appeal: 13-4462 Doc: 38 Filed: 06/20/2014 Pg: 21 of 22 (2) (A) the agreed sentence is outside the applicable guideline range for justifiable reasons; and (B) those reasons are set forth with specificity in the statement of reasons form. U.S.S.G. § 6B1.2(c) p.s.; see Freeman v. United States, 131 S. Ct. 2685, 2692 (2011) (plurality opinion); id. at 2696 (Sotomayor, J., concurring in the judgment). Here, the district court explicitly noted that the parties had stipulated that the applicable guideline range was 135 to 168 months, and Frazier does not argue otherwise now. In arguing that the district court’s finding that the agreed-upon sentence was reasonable did not provide a sufficient basis for the district court to adopt the plea agreement, Frazier does not make reference to U.S.S.G. § 6B1.2(c). in order needed to to validly adopt the explicitly find that Rather, he argues that, agreement, the the district agreed-upon court sentence was “‘sufficient, but not greater than necessary’” to accomplish the goals of sentencing. 101 (2007) (quoting Kimbrough v. United States, 552 U.S. 85, 18 U.S.C. § 3553(a)). Essentially, his argument would allow the district court to accept a C-plea only if the agreed-upon sentence were exactly the sentence that the district court would have imposed if left to its own devices. I am not aware of any case that has limited a district court’s discretion regarding whether to accept a C-plea in this way, and such a limitation would seem to be at odds with U.S.S.G. § 21 Appeal: 13-4462 Doc: 38 6B1.2(c). Filed: 06/20/2014 Pg: 22 of 22 Thus, in my view, the district court did not err – and certainly did not plainly err – in approving the agreement. 22

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