T hi s di s pos i t i on i s notappr opr i a t e f orpubl i c a t i on and i s notpr e c e de nt * e xc e pta s pr ovi de d by 9th C i r . R . 36- 3.

T he H onor abl e S uz a nne B . C onl on, U ni t e d S t a t e s D i s tr i c tJ udge f or ** the N orthe rn D i s tr i c tof I l l i noi s , s i tt i ng by de s i gna t i on. NOT F OR P UB L I CAT I ON UN I TE D STATE S C OU RT OF APPE ALS FOR T HE NI NTH CI RC UI T UN I T E D S T AT E S OF AME R I C A, P l ai nt i ff

- A pp el l ee , v. J UA N MAN UE L C R UZ - VA L DI VI A, D e f

e n d a n t - A p p e lla n t. N o. 12- 50177 D . C . N o. 3: 11 -c r- 05 18 8-L A B -1 ME MOR AN DU M *

A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f o rth e S o u th e rn D is tr ic t o f C a lif o rn ia L a rry A . B urns , D i s tr i c tJ udge , P r e s i di ng A r gue d a nd S ubm i tt e d M a r c h 8, 2013 P a s a d e n a , C a lif

o rn ia B ef ore: P A E Z and W A T F O R D , C i rc ui tJudg es , and C O N L O N , D i stri ctJudg e. ** J u a n Ma n u e l C ru z - Va l d i v i a( “ C ru z ” ) c h a l l e n g e s h i s 7 0 - m o n th s e n t e n c e . He c o n te n d s th a t th e d is tr ic t c o u rt e rr e d in d e c lin in g h is o f f e rto w a iv e h is r ig h t to appe a l i n e xc ha nge f

oras e nt e nc e note xc e e di ng 48 m onths ; tha tthe gove rnm e nt 

# FI LED APR29 2 013 M OLLY C. DW Y ER, CLERK U . S. C O U R T OF APPE ALS2

brea ched hi s pl eaagre em entby no tvi go rousl y s up po rt i ng an agree d re com m endat i on of 21 m on ths; and thatthe i m po si t i on of a 70-m on th sent ence w as u n r e a s o n ab le . W e h a v e ju r is d ic tio n u n d e r2 8 U .S .C . § 1 2 9 1 . 1. T he di stri ctcourtdi d n oterr i n ref usi ng t o n egot i at e C ruz’ s s ent ence i n e xc ha nge f

ora n appe l l a t e w a i ve r . D i s tr i c tj udge s a r e pr ohi bi t e d f r om p a rtic ip a tin g in p le ad is c u s s io n s . F e d . R . C r im . P . 1 1 ( c ) ( 1 ) . T h is b r ig h t- lin e ru le m i ni m i z e s the r i s k of

c oe r c i on, pr ot e c t s the i nt e gr i ty of the j udi c i a l pr oc e s s , a nd p r e s e rv e s aju d g e ’s im p a rtia lity . U ni ted Stat es v. B ruce , 9 7 6 F .2 d 5 5 2 , 5 5 6 - 5 7 ( 9 th C i r . 1992) . T he s a m e pol i c y c ons i de r a t i ons a r e i m pl i c a t e d i f aj udge ba r ga i ns f

or a n ap p e lla te w a iv e rin e x c h a n g e f o ras e n te n c in g p r o m is e . U ni ted Stat es v. G onz ale s -Me lc hor , 6 4 8 F .3 d 9 5 9 , 9 6 3 - 6 5 ( 9 th C ir . 2 0 1 1 ) . 2. “ C ou rt s e nforce the l i t er al t erm s of apl eaagre em ent , ” U ni ted Stat es v. E llis , 6 4 1 F .3 d 4 1 1 , 4 1 7 ( 9 th C ir . 2 0 1 1 ) , a n d h e r e th e g o v e rn m e n t c o m p lie d w ith the l i t er al t erm s of C ruz’ s pl eaagre em entby re com m endi ng a 21-m on th sent ence , th e m id d le o f

th e a d v is o ry s e n te n c in g g u id e lin e s r a n g e . B e c aus e the gove rnm e nt di d nota gr e e t o a dvoc a t e e nthus i a s t i c a l l y ort o e xpl a i n the r e a s ons f orthe r e c om m e nde d s e nt e nc e , i t s f a i l ur e t o do s o a tthe s e nt e nc i ng he a r i ng di d not c o n s titu te ab r e a c h . Se e U ni te d State s v . B e nc hi m ol , 47 1 U . S . 45 3, 45 5-56 (198 5); U ni te d State s v . J

ohns on , 18 7 F . 3d 11 29 , 11 35 (9th C i r. 19 99 ).3

3. A sen t en ci n g d eci si o n m ay b e rev ersed i f th e d i stri ctco u rti m p o ses a s u b s ta n tiv e ly u n r e a s o n ab le s e n te n c e . G al l v. U ni ted Stat es , 552 U . S . 38, 56 ( 2 0 0 7 ) ; U

n ite d S ta te s v . C a r ty , 5 2 0 F . 3 d9 8 4 , 9 9 3 ( 9 th C i r . 2 0 0 8 ) ( e n b a n c ) . An ab u s e - o f - d is c r e tio n s ta n d a r d ap p lie s in d e te rm in in g r e a s o n ab le n e s s . G a ll , 5 5 2 U . S. a t 4 1 ; U ni te d State s v . O s egue r a-M adr i gal , 70 0 F . 3d 11 96 , 11 99 -120 0 (9th C i r. 2 0 1 2 ) . W e f in d th e im p o s itio n o f

a7 0 - m o n th s e n te n c e s u b s ta n tiv e ly u n r e a s o n ab le unde rthe c i r c um s t a nc e s of thi s c a s e . T he a dvi s ory s e nt e nc i ng gui de l i ne s r a nge w as 1 8 t o 2 4 m o n th s. T he r e c or d undoubt e dl y s upport s the di s tr i c tc ourt ’ s de c i s i on t o d epartup w ar d from thatrang e, bu tthe di stri ctcourtdi d n otadequat el y j ust i fy th e e x te n t o f

th e u p w a r d d e p a rtu r e it im p o s e d . W hen i tbeca m e c l ear thatthe courti nt ended t o i m po se an up w ar d d eparture, C ru z r e q u e s te d a4 8 - m o n th s e n te n c e in e x c h a n g e f o raw a iv e ro f

h is ap p e lla te r ig h ts . T h e d is tr ic t c o u rt f o u n d C ru z ’s o f

f e rto b e r e a s o n ab le , a n d in d ic a te d it w o u ld h a v e a c c e p te d th e o f f e rb u t f o rth is C o u rt’s ru le p r o h ib itin g d is tr ic t c o u rts f r o m e n g a g in g in n e g o tia tio n s o v e rap p e lla te w a iv e r s . Se e , e . g. , S e nt e nc i ng T r . 18 ( “I ’d lik e to , it m a k e s g o o d s e n s e to m e . . . . I t s e e m s lik e th e r ig h t w a y to h a n d le th is . O r d in a r ily , I ’d e m b r a c e it . . . .” ) ; i d. a t19 ( “ I w i s h I c oul d t a ke y ou up on tha ton m a ny l e ve l s . I tm a ke s good s e ns e , butl e ga l l y I a m pr ohi bi t e d . . . f r om4

ta k in g th a t in to c o n s id e r a tio n .” ) . T h u s , th e d is tr ic t c o u rt s u g g e s te d th a t a4 8 - m o n th s e n te n c e w o u ld h a v e b e e n r e a s o n ab le , a n d w o u ld h a v e “a f f o r d [ e d ] a d e q u a te d e te rr e n c e to c r im in a l c o n d u c t,” 1 8 U .S .C . § 3 5 5 3 ( a ) ( 2 ) ( B ) , if th e c o u rt c o u ld o b ta in f r o m th e d e f

e n d a n t aw a iv e ro f

h is r ig h t to ap p e a l. B ec ause the courtcoul d n otac ce ptC ruz’ s propo se d w ai ver, i ti nst ea d i m po se d a se nt ence of 70 m on ths. T he court ’ s i nabi l i ty t o acc eptC ruz’ s w ai ver o f f e r , h o w e v e r , is n o t a m o n g th e ap p r o p r ia te s e n te n c in g c o n s id e r a tio n s s e t f o rth in 18 U . S . C . § 3 55 3(a) . Itthu s c ou l d n otprop er l y be use d as are as on t o d epart u p w ard t o 7 0 m o n th s w h ere, th e co u rtap p earedt o i n d i cat e, 4 8 m o n th s p l u s a w ai ver of app el l at e r i gh t s w ou l d h ave been “ suff i ci ent , bu tno tgrea t erthan n e c e s s a ry ,” to c o m p ly w ith th e p u rp o s e s o f § 3 5 5 3 ( a ) . See 1 8 U .S .C . § 3 5 8 2 ( a ) . C ruz’ s s ent ence i s s ub st ant i vel y unrea sonabl e bec ause i tw as base d o n an im p e rm is s ib le c o n s id e r a tio n . See U ni ted Stat es v. Mi qb el , 444 F . 3d 1173, 1182 ( 9 th C ir . 2 0 0 6 ) . S E NT E NCE V ACAT E D AND RE M ANDE D F OR RE S E NT E NCI NG.U S A v. C ruz - V a l da vi a , N o. 12- 50177

C O N L O N , D i s tr i c tJ udge , di s s e nt i ng: T he un cont es t ed pres ent ence re po rtre fl ec t ed thatJuan M anuel C ruzV a l di vi a( “ C ruz ” ) ha d a n e xt e ns i ve c r i m i na l r e c or d s pa nni ng ove r25 y e a r s . T he m ore s er i ou s c on vi ct i on s w er e notcoun t ed i n cal cul at i ng hi s c ri m i nal hi st ory ca t egory due t o the age of the offens es : po ss es si on of heroi n for sa l e ( 19 75 ); m u ltip le b u r g la r ie s w h e r e as to le n s h o tg u n a n d b u r g la ry to o ls w e r e a ls o f o u n d in h is c a r( 1 9 8 2 ) ; p o s s e s s io n o f c o c a in e a n d d r iv in g u n d e rth e in f lu e n c e o f in to x ic a n ts (199 4); po ss es si on of a s t ol en vehi cl e on the sa m e daythe vehi cl e w as re po rt ed st ol en (199 4); po ss es si on of cocai ne, m ar i j uana, sc al es , drug re cords, and syr i ng es (199 5); and d i sorder l y c on du ctand p rovi di ng fa l se i dent i fi ca t i on t o O re go n l aw enforce m ent(199 7). C ru z w as d ep o rt ed aft er serv i n g v aryi n g j ai l o r p ri so n t erm s fo r each o f th ese of f e ns e s w i th the e xc e pt i on of the l a s t . H e r e pe a t e dl y r e turne d i l l e ga l l y t o the U n i t ed S t at es t o co m m i tan o th er cri m e. Iti s u n d i sp u t ed h e u sed 3 3 al i as n am es, s ix d if f e r e n t d a te s o f

b irth , a n d f

iv e d if f e r e n t s o c ia l s e c u r ity n u m b e r s , p r e s u m ab ly t o co n ceal h i s i l l eg al st atu s fro m au th o ri t i es. Cru z ’ s f i r s tc o n v i c t i o n f

o ri l l e g a l r e e n try o f

ad e p o rt e d a l i e n u n d e r8 U . S. C. § 1326( a ) w a s i n 1997. T he f e de r a l di s tr i c tc ourti n O r e gon s e nt e nc e d hi m t o 24 m onths i n pr i s on, a nd he w a s de port e d f orthe s i xth t i m e i n 1999. N e ve rthe l e s s , he



# FI LED APR29 2 013 M OLLY C. DW Y ER, CLERK U . S. C O U R T OF APPE ALSC ruz ’ s of f e ns e l e ve l w a s r e duc e d f r om 20 t o 13 f

ort i m e l y a c c e pt a nc e of 1 re spon si bi l i ty ( -3) a nd by the appl i ca t i on of the “ F as tT ra ck” program (- 4). 2 w as foun d t o b e i l l egal l y i n the U ni t ed S t at es agai n and w as conv i ct ed of i l l egal r e e ntry unde r§§ 1326( a ) a nd ( b) ( 2) i n 2003. T he f e de r a l di s tr i c tc ourti n C ol or a do i m pos e d a57- m onth s e nt e nc e , 33 m onths l onge rtha n the s e nt e nc e he r e c e i ve d f or hi s f i r s tr e e ntry c onvi c t i on. C ruz w a s de port e d f orthe s e ve nth t i m e i n 2007. C ru z w a s a rr e s te d in th e U n ite d S ta te s in O c to b e r2 0 1 1 a n d p le a d e d g u ilty to an i nform at i on char gi ng hi m un der §§ 1 32 6(a) and (b)(2) w i th b ei ng a deport ed a l i e n w i th apr i orc onvi c t i on f ora n a ggr a va t e d f

e l ony . T he a dvi s ory s e nt e nc i ng g u i d el i n es i n th e p resen t en ce rep o rtp ro v i d ed a ran g e o f 1 8 t o 2 4 m o n th s’ i m pr i s onm e nt ; the c a l c ul a t i ons di d nott a ke i nt o a c c ountC ruz ’ s m ul t i pl e drug, bu rgl ary and theftconv i ct i on s i n d et erm i ni ng hi s c ri m i nal hi st ory c at egory w as I I I . U nde rthe i rpl e aa gr e e m e nt , the pa rt i e s a gr e e d the a dvi s ory gui de l i ne r a nge 1 w as 18 t o 2 4 m on ths, and thatthey w ou l d rec om m end a 21 -m on th sent ence . T he di s tr i c tj udge r e

j e c t e d the 21- m onth r e c om m e nda t i on a nd the 18- t o- 24- m onth gui de l i ne r a nge gi ve n C ruz ’ s a c tua l c r i m i na l hi s t ory , i nc l udi ng hi s tw o pr i or c onvi c t i ons f

orthe s a m e i l l e ga l r e e ntry of f e ns e a nd the s e nt e nc e s i m pos e d, e a c h of w h ic h w a s h ig h e rth a n th e jo in t r e c o m m e n d a tio n p r o p o s e d f o rC ru z ’s th ir d o f

f e n s e . T he di stri ctj ud ge express ed hi s vi ew thatre peatoffe nd er s s ho ul d rec ei ve hi gh er s e nt e nc e s f

orr e pe a t e d c r i m i na l i ty , notl ow e rs e nt e nc e s . T he di s tr i c tj udgeT he pres ent ence re po rtre fe re nces on e a dd i t i on al depo rt at i on i n January 2 1 9 8 0 th ati s n o trefl ect ed i n h i s cri m i n al co n v i ct i o n s. 3 e xpl i c i t l y c ons i de r e d C ruz ’ s l ong a nd va r i e d c r i m i na l hi s t ory a nd hi s r e c i di vi s m f or ille g a l r e e n try . H e n o te d th e d e c e p tiv e m e a n s C ru z u s e d to c o n c e a l h is i m m i g r a t i o n s t a tu s : f

a l s e n a m e s , d a t e s o f

b i rth , a n d s o c i a l s e c u r i ty n u m b e r s . He foun d thatthe 57 m on ths i m po se d for C ruz’ s 200 3 con vi ct i on for the sa m e c on du ct d i d n o tserv e as an effecti v e d et erren tan d th atan i n crem en t al , 1 3 -m o n th i n crease in p u n is h m e n t ( 5 7 + 1 3 = 7 0 ) w a s s u f f ic ie n t f o rth e 2 0 1 1 c o n v ic tio n . T he di stri ctj ud ge consi dere d and decl i ned t o u se the 33 -m on th i ncre as e use d by the C ol orado d i stri ctcourti n sent enci ng C ruz f or the 20 03 conv i ct i on . H er e, the di stri ctcourtfoun d thata 33-m on th i ncre as e w as grea t erthan n ec es sary because of C ruz’ s a dv ance d age (62) and b ec ause of hi s c l ean cri m i nal re cord dur i ng the f

oury e a r s be tw e e n hi s r e l e a s e f r om pr i s on f

ol l ow i ng hi s s e c ond conv i ct i on for i l l egal re entryand h i s thi rd offe nse. T he i m pos i t i on of

a70- m onth s e nt e nc e w a s ba s e d on c ons i de r a t i ons of C ruz’ s a ctual cr i m i nal hi st ory of f el on y c on vi ct i on s, hi s e i gh t re corded 2 de port a t i ons , the ne e d f ors tr onge rde t e rr e nc e , the l i ke l i hood of r e c i di vi s m , a nd C ruz ’ s pe r s ona l c ha r a c t e r i s t i c s . T hi s w a s nota n abus e of di s c r e t i on, a nd the 70- m o n th s e n te n c e w a s w e ll b e lo w th e 2 0 - y e a rs ta tu to ry m a x im u m . G al l v. U ni ted Stat es , 5 5 2 U .S . 3 8 , 4 1 ( 2 0 0 7 ) ; U ni te d State s v . O s egue r a-M adr i gal , 700 F . 3d4

1 1 9 6 , 1 2 0 0 ( 9 th C ir . 2 0 1 2 ) . Se e al s o U ni te d State s v . Hi

gue r a-L lam os , 574 F . 3d 12 06 , 12 11 (9th C i r. 20 09 ) ( af fi rm i ng up w ar d d eparture f rom cr i m i nal hi st ory c a t e gory I V t o V I ba s e d on pr i ors i m i l a ri m m i gr a t i on vi ol a t i ons tha tw e r e not p r o s e c u te d , c itin g U .S .S .G . § 4 A 1 .3 ( a ) ( 2 ) ( E ) ) ; U ni te d State s v . Segur a- D e l R e al , 8 3 F . 3 d 2 7 5 , 2 7 8 (9 th C i r. 1 9 9 6 ) (affirm i n g u p w ard d ep artu re b ased o n n u m ero u s, re pet i t i ve i m m i grat i on vi ol at i on s) . T he m a j or i ty s pe c ul a t e s tha tthe di s tr i c tc ourt ’ s va r i a nc e f r om the gui de l i ne r a n g e w a s n o t ju s tif

ie d b e c au s e th e d is tr ic t c o u rt f o u n d C ru z ’s o f

f e ro f a4 8 - m o n th s e n te n c e in e x c h a n g e f

o raw a iv e ro f

h is ap p e lla te r ig h ts to b e r e a s o n ab le . T h is i ssu e w as n o trai sed i n C ru z’ s ap p el l at e b ri efs. H e ch al l en g ed th e reaso n ab l en ess o f h is s e n te n c e o n g r o u n d s th a t th e d is tr ic t c o u rt g a v e c o n tr o llin g w e ig h t to d et erren ce an d n o w ei g h tt o th e sen t en ci n g g u i d el i n e ran g e. C ru z arg u ed , as a s e p a r a te is s u e in h is b r ie f s , th a t th e d is tr ic t c o u rt e rr e d b y n o t a c c e p tin g h is o f f e rto w a i ve hi s appe l l a t e r i ght s f oras e nt e nc e note xc e e di ng 48 m onths . I c onc uri n the m a jo r ity ’s ru lin g th a t th e d is tr ic t c o u rt d id n o t e rrin r e f u s in g to e n g a g e in se nt enci ng bargai ni ng . T ho ug h the di stri ctj ud ge’ s c om m ent s s ug gesthe w as i ncl i ned t o fi nd the of

f ero f a n ap p e lla te w a iv e rin e x c h a n g e f o ralo w e rs e n te n c e to be ar e a s onabl e appr oa c h t o s e nt e nc i ng, he pr ope r l y de c l i ne d t o ba r ga i n w i th the d e f e n d a n t.5

A f t e rthe de f

e ns e c ouns e l i nt e rrupt e d the di s tr i c tj udge t o of f e ras e nt e nc i ng ba r ga i n a nd the r e s ul t i ng c ol l oquy , the di s tr i c tj udge c l e a r l y s hi f t e d the di s c us s i on back t o the fa ct ors he c on si dere d i n d et erm i ni ng C ruz’ s s ent ence i n acc ordance w i th 18 U . S . C . § 3553( a ) . S e nt e nc i ng T r . 19 ( “ L e tm e ge tba c k t o the m a tt e rof s e n te n c in g n o w .” ) . T h e d is tr ic t ju d g e n e v e rm e n tio n e d w a iv e ro f ap p e lla te r ig h ts a s as e nt e nc i ng c ons i de r a t i on. I nde e d, the onl y s ugge s t i on tha tnotw a i vi ng ap p e lla te r ig h ts a d v e r s e ly a f f e c te d C ru z ’s s e n te n c e a r o s e f r o m a n in a c c u r a te st at em entm ade by hi s a tt orney duri ng oral ar gu m entthathe bel i eved the di stri ct courti nd i ca t ed 48 m on ths w ou l d h ave been re as on abl e, m aki ng 70 m on ths an unr e a s onabl e s e nt e nc e . N otonl y i s c ouns e l ’ s s t a t e m e ntuns upport e d by the appe l l a t e r e c or d, i ti s i nc ons i s t e ntw i th C ruz ’ s a r gum e nt s i n hi s br i e f s tha tthe d is tr ic t c o u rt f

o c u s e d e x c lu s iv e ly o n d e te rr e n c e . I w ou l d aff

i rm the 70 -m on th sent ence .