Opinion ID: 171408
Heading Depth: 2
Heading Rank: 3

Heading: Departure or Variance

Text: Given that we apply a different appellate framework depending on whether the sentence is the result of a departure or a variance, our review of Mr. Alapizco-Valenzuela's sentence requires that we first determine whether the district court departed upward, varied upward, or both departed and varied upward when it granted the government's Motion for Upward Departure and Upward Variance. Although this is a close question, our review of the entire record convinces us that the sentence is a variance. In its motion, the government first set forth the factual background of the crime, which does not differ in significant respects from the facts we have already relayed. The government then advocated for an upward departure under U.S.S.G. § 5K2.0, which provides that the sentencing court may depart from the applicable Guidelines range if there exists an aggravating circumstance of a kind, or to a degree, not adequately taken into consideration by the Sentencing Commission in formulating the Guidelines. The government argued that the two-level enhancement under § 2L1.1(b)(8) contemplates an isolated, minor detention of limited duration as opposed to the four-day ordeal involving, in effect, multiple detentions amounting to kidnaping, plus other inhumane treatment, and that the circumstances of this case are thus of a kind and to a degree not adequately taken into consideration by the Sentencing Commission. In the alternative, the government argued for an upward variance. It explained that the egregious facts necessitated a higher sentence in order to adequately deter future conduct and to constitute just punishment, see 18 U.S.C. § 3553(a)(2)(A), (a)(2)(B), and that the other § 3553(a) factors similarly counseled in favor of an above-Guidelines sentence. The government sought an increase in Mr. Alapizco-Valenzuela's offense level from nineteen to twenty-six, which would bring his sentence more in line with a sentence for kidnaping and demanding a ransom. See U.S.S.G. §§ 2A4.1, 2A4.2. The resulting sentencing range was sixty-three to seventy-eight months. At the sentencing hearing, the district court referred to the motion both in terms of a departure and a variance. At one point, the court appeared to conflate the two types of sentences, calling the motion one for an upward departure variance and noting that [a]fter considering the factors set forth in 18 U.S.C. § 3553(a), the Court finds that the facts of this case constitute aggravating circumstances and that this case falls outside the [heartland] of the immigration cases. [4] We are not bound, however, by the district court's characterization of the motion and resulting sentence  at least where, as here, the court's characterization is inconsistent and ambiguous. A full reading of the district court's explanation at sentencing clarifies that the court imposed a sentence based primarily on the § 3553(a) factors and was therefore varying from the Guidelines: The facts of the case show that the illegal aliens were held at gunpoint, forced to call family or friends at gunpoint to request money, their shoes and personal belongings were taken, they were fed very little, they were transported and made to urinate in plastic jugs, as they were not allowed to exit the vehicle. When they were made [sic] contact with law enforcement they were threatened and told to lie to the officers. The Court relies on the following factors: One, the nature and circumstance of the [offense] [18 U.S.C. § 3553(a)(1)], the case falls outside the [heartland] of immigration cases in the unlawful restraint and extreme conduct by the defendant and others involved in criminal organization. The victims in this case were held captive for a number of days, forced to extort money from their family and friends at gunpoint. The seriousness of the offense [18 U.S.C. § 3553(a)(2)(A)], the defendants participated in holding 11 people hostage, extorting money and then not providing safe means of transportation for the passengers in the vehicle. The question of adequate deterrence [18 U.S.C. § 3553(a)(2)(B)], the Court finds that the sentence of 72 months will deter this type of conduct. As for the protection to the public [18 U.S.C. § 3553(a)(2)(C)], the public will be protected from defendant while he's incarcerated. Defendants participated in an illegal alien smuggling group and harm from this group is ongoing. Also, the defendant admitted to law enforcement that he had participated in [ ] smuggling an alien in March, 2004. The Court grants the motion for an upward departure and for an upward variance. That's the ruling and judgment of the Court. The district court's written order similarly supports our conclusion that the sentence is a variance. Although the court initially characterized the sentence in terms of a departure, [5] the court went on to set forth all of the § 3553(a) factors: The court, in determining the particular sentence to be imposed, shall consider (1) the nature and circumstances of the offense and the history and characteristics of the defendant; (2) the need for the sentence imposed (A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense; (B) to afford adequate deterrence to criminal conduct; (C) to protect the public from further crimes of the defendant; and (D) to provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner; (3) the kinds of sentences available; (4) the kinds of sentence and the sentencing range established; (5) any pertinent policy statement; (6) the need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct; and (7) the need to provide restitution to any victims of the offense. 18 U.S.C. § 3553(a). The court then applied those factors to the facts of the case, describing the seriousness of holding eleven people hostage and causing them to fear for their lives; noting that a higher sentence would more effectively deter similar criminal conduct; explaining that a sentence of imprisonment would best protect the public from Mr. Alapizco-Valenzuela, who had admitted to previously smuggling aliens in 2004; and justifying the disparity between Mr. Alapizco-Valenzuela's sentence and that of Mr. Cota-Beltran. In doing so, the court did not specifically refer to the sentence as a variance (indeed, on occasion it called it a departure), but, as we have stated, we need not rely solely on the district court's isolated use of the terms variance or departure when the court's language is ambiguous and our reading of the entire record suggests a contrary conclusion. Here, where the court carefully enumerated all of the sentencing factors in § 3553(a), and then went on to emphasize that those factors justified a higher-than-Guidelines sentence, we conclude that the resulting sentence is a variance.