2007 D e c i sion s O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit 3-14-2007 

# U SA v . C l a y b orn P r e c e de n t i al or N on-P r e c e de n t i al : N on-P r e c e de n t i al D ocke t N o . 06-1397

F o l lo w thi s a nd a dd it ion al work s at : h tt p://d i g it alc ommon s .l a w . vi l l a no va . e du/thir dc ir c uit_2007

Thi s de c i sion i s br ou gh t t o you for f r e e a nd ope n a c c e s s b y the O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit at V i l l a no va U nive r sity S choo l of L a

w Di g it al Re posit or y

. It h as be e n a c c e pt e d for inclusion in 2007 D e c i sion s b y a n author i z e d a dmini s tr at or of V i l l a no va U nive r sity S choo l of L a

w Di g it al Re posit or y

. F or mor e infor m at ion, p le as e c on t a ct Be n j a min . C a rl s on@l a

w . vi l l a no va . e du . Re c omme nde d C it at ion " U SA v . C l a y bor n " (2007). 2007 D e cisio n s . P ape r 1477. h tt p://d i g it alc ommon s .l a

w . vi l l a no va . e du/thir dc ir c uit_2007/1477H onor ab l e J os eph E. I r enas , Seni orU ni t ed St at es D i s t r i ctJ u dge f ort he D i s t r i ctof * N e w J e r s e y , s i t t i ng b yd e s i g na t i o n. 1 N O T P R E C E D E N T I AL U NI T ED ST A T ES COU RT OF A PP EA LS F O R T H E T H IR D C IR C U IT N o. 06- 1397 U NI T ED S T A T ES OF A M ERI CA

v. T OM M Y L E E CL A YB OR N, A p p e l l a nt U nit e d S t a t e s D is t r ic t C o ur t f o r t h e M id d le D is t r ic t o f P e n n s y lv a nia ( D . C . C r . N o. 05- 00051) D is t r ic t J u d g e : H o no r a b le W ill ia m W . C a ld w e ll Sub mit t ed U nderT hi r d C i r cu i t L A R 34. 1( a)

F eb r u ar y2, 2007 B e fo re : B AR R Y , R O TH , C i r cui tJud ges , a nd I RE N A S, Seni orD is t r i ct Jud ge. * ( F i l ed: M ar ch 14, 2007 ) OP INI ON

IR E N AS , Seni or U ni t ed St at es D i s t r i ctJ u dge .2

A ppel l an t T omm yL ee Cl ayb or n

appea l s hi s s en

t ence impos ed b yt he U ni t ed St at es D i stri c t C o urt fo r th e M i d d l e D i stri c t o f P e n n sy lv a ni a (C a l d w e l l , J .) af ter h e p l e d g u i l tyto v i ol at i ng 21 U . S. C . § 846. T he D i s t r i ctC our t i mpos ed t he 240- mon t h s en t ence of i m pr i s on m e n t s t ipu l a t e d t o in

t he Pl e a A gr e e m e n

t pur s u a n t t o F e d. R. Cr i m . P. 1 1 ( c ) ( 1 ) ( C) . T h e Di s t r i c t Cour t e x e r c i s e d j ur i s d i c t i o n p ur s u a n t t o 1 8 U . S. C. § 3 2 3 1 . We hav e j ur i s di ct i on

t o r ev i ew t he s en

t ence pur s u an

t t o 28 U . S. C . § 1291. F ort he r eas on s s et fo rth b e l o w , w e w i l la ffi rm th e D i stri c t C o urt. I. O n F e b r u a r y2 , 2 0 0 6 , a g r a nd j ur yr e t ur ne d a s i x - c o untI nd i c t m e nt , c h a r g i ng C l ayb orn w i t h co n spi racyt o d i st rib u t e and p ossess i on w i t h i n t en t t o d i st rib ut e i n

excess o f 5 0 g r a m s o f

c r a c k c o c a i ne , i n v i o l a t i o n o f 2 1 U . S . C . § 8 4 6 , a nd d i s t r ib ut i o n a nd p o sses si o n

w i th i n ten t t o d i str ib ute, i n

v i o l ati o n o f 21 U. S . C . § 8 4 1 (a)(1). C l ayb or n exec ut ed a w r i t t en

Pl ea A gr eem en

t on J un e 29, 2005, w hi ch pr ov i ded th a t C l a yb o rn

w o u l d p l e a d g u i l ty to a v i o l a ti o n o f 2 1 U.S .C . § 8 4 6 . (A p p . a t p p . 1 9 - 3 2 ). I n exch ange, t he g ov ern

men t agreed to di smi ss al lothercharges. P aragr aph 11 of t he P l ea Agreem en t st at es: Pu r s u an t t o R u l e 11( c) ( 1) ( C ) of t he F eder alR u l es of

C r i minalPr ocedur e, t h e g o v e r nm e nt a nd t h e d e f e nd a nts t ip u l a t e a nd a g r e e t o t h e f o l l o w i ng r e g a r d i ng t h e d e f

e nd a nt ’ s s e nt e nc e : N o t w i t h s t a nd i ng a nyG u i d e l i ne cal cu l at i on

or pr i or con

v i ct i on , t he def

endan t and t he U ni t ed St at es agr ee t hatt he def

endan t s hal lr ece i v e a s en

t ence of 20 y ear s i mpr i s on

me n t . T he p a r t i e s a g r e e t h a t t h i s s e nt e nc e i s a r e a s o na b l e s e nt e nc e und e r t h e f a c t s a nd cir cums t ances of

t hi s cas e.C o un t Io f th e I nd i c tme n

t to w h i c h C l a yb o rn

p l e d c h a rg e d h i m w i th a c o n sp i ra c yto 1 po sses s w i t h i n

t en t t o d i st rib ut e more t han 50 grams of cocai n e b ase, w hi ch carri es a ma xi mum pr i s on

s en t ence of l i f e and a m i ni mum t er m of 10 y ear s . 21 U . S. C . §§ 846, 8 4 1 ( b ) ( 1 ) ( A ) . B e c a u s e C la yb o r n h a d a c r im ina l h is t o r yo f V I, a c o n

v ic t io n und e r t h is stat u te w o u l d h av e c arri ed a Gu i d el i n e ra ng e o f 23 5 - 2 9 3 . (P S R at p. 9, ¶ 5 3 ). H o w ev er, th e p l e a a g re e m e n

t d i d no t r e q u i re C l a yb o rn to a l l o c ute to a s p e c i fi c a m o un t o f d rug s . T her ef or e, t he m aximum s en

t ence w as r edu ced t o 20 y ear s w i t h no s t atut or ymini mum. 21 U . S . C . § 8 4 1 ( b ) ( 1 ) ( C ) ; Appr end i v. N ew Jer s ey , 5 3 0 U . S . 4 6 6 ( 2 0 0 0 ) ; U ni t ed St at es v. Lacy , 446 F . 3d 448, 453 ( 3d C i r . 2006) ; ( A pp. at19) . T hu s , t he pl ea a gr eem en t oper at ed t o i m p o s e a 2 0 - y e a r s e nt e nc e o n C l a yb o r n w h e n, b a s e d o n t h e I nd i c t m e nt , h e w a s f a c i ng l i fe i mp ri so n

ment. (App . at 12 , ¶ 1 ). 3 ( A pp. atp. 23) . T he par t i es f ur t hers t ipu l at ed t hati f

t he D i s t r i ctC our t i mpos es a s en t ence a b o v e o r be l o w th e s e n

te nc e a g re e d up o n , e i th e r s i d e c a n w i th d ra w fr o m th e a g re e m e n t. ( A pp. at35: 1- 5) . C l ayb or n pl ed gu i l t yon

J un e 30, 2005, and t he D i s t r i ctC our t acc ept ed the p l ea as re q u i red b yR u l e 1 1 (c)(3)(A). (App . at 42 : 4 - 1 4 ). T h e R ev i sed P rese n

tence I n v esti g ati o n

R ep o rt(t h e “ P S R ”) c al cu l ated C l ayb o rn ’s o f f e ns e l e v e lt o b e 3 3 , w i t h a c r i m i na lh i s t o r yc a t e g o r yo f V I . T h e r e s u l t i ng G u i d e l i ne s e n t e nc e r a nge w a s 23 5- 24 0 m on t hs . N e i t he r pa r t yob

j e c t e d t o t he PSR. 1 A t t he s en

t encing hear i ng hel d on

J an u ar y18, 2006, t he D i s t r i ctC our t s en t enced C l a ybo r n t o 2 4 0 m o n

t h s i m p r i s o n

m e n t . T h e D i s t r i c t C o ur t s t a t e d t h a t “.. . ba s e d o n yo ur b ackgr ound and t he r ecor d and y our condu ctt hatoccur r ed in t hi s cas e [ 240 mon

t hs i s ] t he sentence that’s ap p rop ri ate . . . . ” (Ap p . at 51 : 1 1 - 1 3 ). C l ayb or n now appea l s hi s s en

t ence, ar gu i ng t hat : ( 1) t he D i s t r i ctC our t di d not expl i ci t lyar t i cu l at e a m eani ngf u lcon s i der at i on

of t he § 3553( a) f

act or s ; and ( 2) t he D i stri c t C o urt tre a ted th e Gu i d e l i n e se n ten c e a s m a nd a to ryw h e n i t fa i l e d to e x e rc i se i ts4

B ookerd i s c r e t i o n.

II. W e c o nd u c t a p l e na ry re v i e w o f l e g a lrul i ng s a nd m i x e d q u e s ti o n s o f l a w a nd fa c t. U ni t ed St at es v. D el

f i n- C ol i na , 464 F . 3d 392, 396 ( 3d C i r . 2006) . We r ev i ew a D i s t r i ct C o urt ’s s e n

te nc e fo r r e a s o na b l e n e s s . U ni t ed St at es v. C ooper , 4 3 7 F . 3 d 3 2 4 , 3 2 7 (3d C i r. 2 0 0 6 ). III . R u l e 11 (c) (1) (C ) of

t he F ederalR u l es of C riminalP rocedu re s t at es: A n at t or n eyf

or t he gov er n

me n t and t he def

endan t ’ s at t or n ey , or t he def endan t w hen pr ocee di ng pro se , m a yd i s c u s s a nd r e a c h a p l e a a g r e e m e nt

. . . . I f t h e d efe nd ant pl ea d s g u i l tyo r nol o cont end er e t o ei t hera cha r ged of f en s e ora l es s eror r el at ed of f en s e, t he pl ea a gr eem en t ma ys peci f

yt hat an at t or n eyf

or t he gov er n

me n t w i l l. . . agr ee thata s peci f i c s en t ence or se n ten c i ng ra ng e i s th e a p p ro p ri a te d i sp o si ti o n o f th e c a se , o r th a t a par t i cu l arpr ov i s i on

of t he Sen t encing G u i del i n es , or pol i cys t at em en t , or sen t enci ng fact or does o r does not appl y(s u ch a recommendati on or r equ est b i nd s the co urto nce the c o urtac ce p ts th e p l ea ag ree ment) . I n U nit ed Stat es v. B ernard , w e h e l d th a t “ a se n ten c i ng c o urt h a s th e a uth o ri tyto a c c e p t a p le a a g r e e m e n

t . . . s p e c if

y ing a s e n

t e nc e t h a t f

a lls o ut s id e t h e a p p lic a b le gu i del i n es r ange. O nce the D i s t r i ctC our t has acc ept ed s u ch an agr eem en

t , i t i s b i ndi ng. ” 3 7 3 F . 3 d 3 3 9 , 3 4 3 - 4 4 (3d C i r. 2 0 0 4 ). O ur h o l d i ng i n B ernard r e c o g niz e d “ t h a t t h is p o r t io n o f R u le 1 1 s e e m s t o b e in t en s i on w i t h pr ov i s i on s t hatma ke t he s en t encing gu i del i n es b i ndi ng on t he f eder alI n

a typ i c a lP l e a Ag re e me n t, th e p l e a a nd se n

ten c i ng re q u i re th e D i stri c t C o urt to 2 per f or m tw o di s t i nctl egalanaly s es , gener al lyi n t he con t extof t w o di f f er en t l egal p r o c e e d i ng s . H o w e v e r , t h e b i nd i ng na t ur e o f a R u l e 1 1 ( c ) ( 1 ) ( C ) P l e a A g r e e m e nt conf l at es t he analy s es – once the D i s t r i ctC our t acc ept s t he Pl ea A gr eem en t , t he s en t ence i s a l s o d e t e r m i ne d . T h e F e d e r a lR u l e s o f C r i m i na lP r o c e d ur e r e c o g ni z e t h i s f a c t a nd 5 cour t s . ” 373 F . 3d at344. H ow ev er , w e dec i ded t hatt he pr ov i s i on s of R u l e 11( c) t ake pr ece dence ov ert he s en t encing G u i del i n es , des pi t e t he t hen - ma ndat or ynatur e of t he Gui d e l i n e s . I

d. at 34 4 - 4 5 . T h u s, “ [i ]ti s ax i o mati c u nd er R u l e 1 1 that o nce a c o urt acc ept s s u ch an

agr eem en

t , i t mu s t b e enf

or ced a t s en

t encing. ” I

d. at345. I n U ni t ed St at es v. B ooker , the S up reme C o urtrend ere d the Gu i d el i n es a d v i so ry r a t h e r t h a n m a nd a t o r y . 5 4 3 U . S . 2 2 0 ( 2 0 0 5 ) . N o t h i ng i n B ookerund e r m i n e d o ur r e a s o ni ng i n B ernard . I n f a c t , t h e a d vi s o r y na t ur e o f t h e G ui d e l i n e s f

ur t h e r bo l s t e r s o ur B e r n a r d h o l d i ng . O th e r C i rc u i ts th a t h a v e c o n s i d e re d th i s i s s u e a g re e . See , e. g. , U ni t ed St at es v. Si l va , 4 1 3 F . 3 d 1 2 8 3 , 1 2 8 4 ( 1 0 t h C i r . 2 0 0 5 ) ( “ [ N ] o t h i ng i n B ookerunder min es t h e v a lid it yo f

s e n t e nc e s im p o s e d und e r R u le 1 1 ( c ) ( 1 ) ( C ) . ” ) ; U ni t ed St at es v. Pa c h e c o -N

a v a re tte , 4 3 2 F . 3 d 9 6 7 , 9 7 1 ( 9 t h C ir . 2 0 0 5 ) ; U ni t ed St at es v. C i es l ows ki , 410 F . 3 d 3 5 3 , 3 6 3 - 6 4 (7th C i r. 2 0 0 5 ). H er e, C l ayb or n ’ s Pl ea A gr eem en t s peci f i ed a s en t ence of 20 y ear s , w hi ch w as w i t hi n t he G u i del i n e r ange. B eca u s e t he D i s t r i ctC our t acc ept ed t hi s pl ea, t he s t ipu l at ed s e n te nc e i s b i nd i ng o n

th e C o urt a s w e l la s th e p a rt i e s . See F ed . R . C ri m. P. 11 (c)(1)(C ); see al so B ernard , 3 7 3 F . 3 d a t 3 3 9 . W e h a v e no b a s is t o c o nc lu d e t h a t s u c h a s e n t e nc e is un r eas onab l e. 2al l ow t he s en t encing cour t t o def

ert he ac cept ance of

t he Pl ea A gr eem en

t un t i li t has re v i e w e d th e p re s e n

te nc e re p o rt . See F ed . R . C ri m. P. 11 (c)(3)(A). A Pl ea A gr eem en

t pur s u an t t o R u l e 11( c) ( 1) ( C ) r ef l ect s a r equ es t b yb ot h t he g o v e rn m e n t a nd th e d e fe nd a n

t th a t th e s e n

te nc i ng c o urt i m p o s e a p a rt i c u l a r s e n te nc e . T her ef or e, as i n

t hi s cas e, n ei t hers i de u s u al lyob j ect s i f t he s en t encing cour t acc ept s t he Pl ea A gr eem en

t . Wi t hou t ob

j ect i on , R u l e 11 err or s ar e r ev i ew ed undert he pl ain er r or s ta nd a rd o n

a p p e a l . U

ni t ed St at es v. D i

xon , 3 0 8 F . 3 d 2 2 9 , 2 3 3 (3d C i r. 2 0 0 2 ). A s s uming t he s en

t encing cour t com mit t ed pl ain er r or , w e m ayexer ci s e di s cr et i on t o cor r ecti t onlyi f

t he err or “ s er i ou s lyaf

f ect s t he f air n es s , i n

t egr i t y , or pub l i c r eput at i on of j u di ci alpr ocee di ngs . ” D i xon , 308 F . 3d at234. I t i s di f f i cu l t f oru s t o i ma gi n e a si tu ati o n i n w h i ch a d efe nd ant, w h o w i l l i ng lyac ce p ted a p arti cu l ar se n tence as p art of a R u l e 11( c) ( 1) ( C ) pl ea a gr eem en t , cou l d s ub s equ en

t lydem on s t r at e t hatt he s en t ence w as un r e a s o na b le , m u c h le s s t h a t a p p e lla t e in t e r v e n t io n w o u ld b e w a r r a n

t e d und e r t h e p la in er r or s t andar d. 6 IV. F or t he r eas on s s etf

or t h ab ov e, w e af

f i r m the D i s t r i ctC our t ’ s or deri mpos i ng t he sen t ence of 24 0 mont hs.