Court Opinion

ID: 9615989
Source: CourtListenerOpinion
Date Created: 2023-08-22 04:42:27.978209+00
Date Added: 2024-06-11T16:41:28.585277
License: Public Domain

WEIS, Circuit Judge,
Dissenting.
I agree with the majority that as a general matter a defendant should not be permitted to renege on a valid and clear sentencing stipulation and a plea agreement. But here there was no breach in arguing for a guideline departure on the criminal history and defendant presented his argument for a variance and mitigation under the guidelines with the permission of the District Court. The judgment should be affirmed.
The text of the plea agreement and events that occurred at the sentencing hearing lead to the conclusion that a remand to a different judge for re-sentencing is unnecessary. The government sets forth two grounds for its assertion that defendant violated the provisions of the plea agreement and stipulations. The first is that defendant agreed not to argue for a departure under the criminal history cate*429gory. The second is the defendant’s alleged agreement not to request a downward variance and mitigation under the guidelines.6 The alleged breaches are best considered separately.
I.
The government’s argument that defendant agreed not to argue for a reduction in the criminal history is not supported by the record and is contrary to a ruling by the District Court. In his statement of reasons for granting the departure, the district judge wrote, “The sentence departs below the guideline range pursuant to a defense motion based on the following reason for departure to which the government has objected and not addressed in a plea agreement.” (emphasis added). That ruling should end the matter. However, it is supported in the record.
The stipulations prepared by the United States Attorney’s Office did not specifically prohibit argument on a guideline departure based on overstatement of the criminal history. Consequently, by asking to reduce the calculation for criminal history, defendant did not violate the stipulations or the plea agreement.
The relevant portions of the plea agreement support this conclusion. The parties agreed that “neither party will argue for the imposition of a sentence outside the Guidelines range that results from the agreed total Guidelines offense level [of 33].” They also stipulated “not to seek or argue for any ... downward departure or any ... downward adjustment not set forth herein.”
The agreement also stated that “[t]o the extent that the parties do not stipulate to a particular fact or legal conclusion, each reserves the right to argue the existence of and the effect of any such fact or conclusion upon the sentence.” Further, with respect to the defendant’s criminal history category level, it is stipulated that “[t]he parties reserve any right they may have under 18 U.S.C. § 3742 to appeal the sentencing court’s determination of the criminal history category.”
Although the stipulations specifically quote the term “total Guidelines offense level” on no less than seven occasions, there is only one reference to the “criminal history category.”
Two of the principal factors in guideline sentencing calculations are the “offense level” and the “criminal history category.” The text of the stipulations makes it obvious that the focus of the plea agreement is on the “offense level.” It is particularly significant that the stipulations studiously avoid any attempt to elaborate or even discuss the basis for the criminal history factor.
The stipulations’ reference to the “range that results from the agreed total Guidelines offense level [of 33]” is ambiguous because a sentencing range is not determined solely by the offense level, but by a combination of that factor and the criminal history. At best, the stipulation is confusing.
Bearing in mind that the agreement drafted by the United States Attorney’s Office must be construed in favor of defendant, United States v. Baird, 218 F.3d 221, 229 (3d Cir.2000), it is inescapable here that the parties intended to leave the question of criminal history open and permit argument on that issue by both parties. The open-ended permission to appeal the *430District Court’s finding on the criminal history makes it clear that argument on that factor is not foreclosed.
The right of appeal preserved by the stipulation implicitly, but no less forcefully, includes the right to present that issue to the district court. It is well established that a point not raised in the district court generally will not be heard by an appellate court. See United States v. Merlino, 349 F.3d 144, 161 (3d Cir.2003) (an “argument ... not raised below ... is not cognizable on review unless it constitutes plain error.”). If the parties were prohibited from raising the matter in the district court, they would not likely be heard on appeal. Hence, denial of the right of argument before the sentencing court would cripple if not destroy the right to appeal.
The deafening silence in the stipulations as to the criminal history is both as eloquent and persuasive as was the fact that the watchdog did not bark.7 I agree with United States v. Giorgi, 840 F.2d 1022 (1st Cir.1988), where the Court said, “Given the relative interests implicated by a plea bargain, we find that the costs of an unclear agreement must fall upon the government. ... [T]he government must shoulder a greater degree of responsibility for lack of clarity in a plea agreement.” Id. at 1026.
Here the sentencing judge was well aware of the stipulations and summed up the situation at the sentencing hearing, saying, “well, I suppose the way to look at this is as follows: The criminal history category doesn’t fall within [the terms of the plea agreement], I suppose, because you stipulated to the offense level, not to the criminal history category.” The defense attorney replied, “That’s correct.”
I would hold, in accordance with the District Court’s ruling, that defendant was permitted to argue for a reduction of the criminal history category. Defendant did not violate the plea agreement in asking for a departure under the guidelines.
II.
The government relies on its alternate argument that defendant violated the plea agreement when he argued mitigating factors under 18 U.S.C. § 3553(a) and Chapter 5 of the guidelines. Defendant agreed “not to seek or argue for any ... downward departure or any ... downward adjustment not set forth [in the plea agreement].” In another stipulation, defendant agreed not “to argue for the imposition of a sentence outside the Guidelines range that results from the agreed total Guidelines offense level [of 33].” (emphasis added). The government’s argument fails because the District Court invited and allowed the argument at the sentencing hearing.
After entertaining the defendant’s motion on his criminal history component, the Court ruled in his favor, reducing the enhancement by one level. The Court then noted that the government’s papers referred to a stipulation “with regard to not seeking a downward departure” and stated, “Notwithstanding the court’s ruling a moment ago [granting the defendant’s request to reduce his criminal history], I presume that you’re seeking other downward departures?” The defense attorney replied,
“Your honor, since U.S. v. Booker was decided, I sort of struggled with the issue exactly what the effect of the stipulation is in light of the decision
I want to make a motion to call to the Court’s attention that, even if the Court believes that I cannot make that motion at this time because of the stipulation, I *431believe that under ... 18 U.S.C. § 3553, I think the Court can still take into account factors that the Guidelines otherwise would prohibit consideration of.”
After a brief discussion of the affect of Booker, the Court observed that defendant was arguing that he had stipulated to the offense level, not the criminal history category. The Court then continued,
“Now, with regard to the other motions you have made ...”
Defense Attorney: “May I?”
The Court: “Yes, because I’m like, well, I don’t really see a way to get around this.”
The defendant’s attorney then argued at some length, concluding, “the more reasonable sentence under Booker is something in that mandatory minimum range.”
The Court then called upon the Assistant United States Attorney who spoke to the defendant’s personal circumstances and concluded that “the guidelines [range] ... [is] fair.” The government did not cite the stipulations banning argument nor object to the defense counsel’s presentation at the sentencing hearing. At no point in the argument did the government’s attorney declare that the plea agreement had been breached and ask that it be set aside. Had he done so, the District Court would have ruled on whether a violation had occurred and whether it had been waived. Baird, 218 F.3d at 230 (when a defendant violates a plea agreement, the government can declare a breach and attempt “to sever its relationship with defendant or to negotiate a new arrangement”).
As is true with most oral presentations, articulation of the parties’ contentions at the hearing was not as sharply defined as it would have been in carefully written form. But here it is clear that both the Court and defense counsel were quite conscious of the stipulations in the plea agreement.
At the sentencing hearing, it was the Court that first brought up “the other motions,” those discussing matters other than the criminal history. The defendant’s attorney’s question, “May I?,” was a request to argue for a reduction in sentence despite the stipulations. The Court responded “Yes, because I’m like, well, I don’t really see a way to get around this.” This comment shows that the Court was pondering the issue and wished to hear defense counsel’s views. It is significant, in view of the stipulations, that the Court did not interrupt the defense argument nor limit it in any way. The experienced district judge knew what he was doing.
A similar situation arose in United States v. Bradstreet, 207 F.3d 76 (1st Cir.2000), superseded on alternate grounds by U.S.S.G. § 5K2.19 (2000). In that case, defendant agreed not to argue for a downward departure, but nevertheless did so at the sentencing hearing. Id. at 79. The district court recognized that it was not bound by the recommendations contained in a sentencing agreement and held that, even though the defendant’s argument breached the agreement’s terms, the court was entitled to consider the request for a departure. Id. at 81. The Court of Appeals affirmed, holding that “[b]ecause the government had sufficient notice of Bradstreet’s argument and could formulate an effective response, we think the court acted within its discretion. Sentencing, after all, is a matter for the district court and not for the government.” Id.8
Here, in granting permission to argue for a sentence outside the guidelines, the Court was properly exercising its authori*432ty. The defendant’s acceptance of the opportunity did not amount to a sanctionable breach of the plea bargain. Having received the Court’s consent to argue a key component of sentencing, defense counsel’s conduct was proper.
I must also question whether a plea agreement to forgo argument on a crucial phase of sentencing, consideration of the § 3553(a) factors, should be enforceable. To deny the sentencing judge the ability to carry out his statutory duty and responsibility through consent of the parties seems to undermine the sentencing procedure Congress has mandated. The sentencing judge in this case chose to hear argument under § 3553(a), a ruling that was responsible and proper.
Perhaps reflecting doubts about Book-ers scope in its immediate wake, the government’s phrasing of the plea agreement might be seen as an effort to force the District Court to sentence within the guidelines. In addition to the provisions restricting the parties’ ability to argue for departures and sentences outside the guidelines range, the parties stipulated that “the Court should sentence Williams within the Guidelines range that results from the total Guidelines offense level [of 33].” (emphasis added).
However, it was agreed that “[t]he sentence to be imposed upon Williams is within the sole discretion of the sentencing judge, subject to the Sentencing Reform Act, 18 U.S.C. § 3551-3742, and the sentencing judge’s consideration of the United States Sentencing Guidelines. The United States Sentencing Guidelines are advisory, not mandatory.” Further, the prosecutor reminded defendant that the “agreement to stipulate ... cannot and does not bind the sentencing judge, who may ... reject any or all of the stipulations entered into by the parties.”
The language of these latter provisions reflects the state of sentencing after Booker. The Supreme Court’s conclusion that appellate courts should review district courts’ sentencing decisions for “reasonableness” under an “abuse-of-discretion standard” reinforced the notion that Booker granted district courts broad sentencing discretion. See Gall v. United States, 552 U.S. -, 128 S.Ct. 586, 597, 169 L.Ed.2d 445 (2007) (“[an] appellate court should ... consider the substantive reasonableness of the sentence imposed under and abuse-of-discretion standard.... [It] must give due deference to the district court’s decision.”); Kimbrough v. United States, 552 U.S. -, 128 S.Ct. 558, 575, 169 L.Ed.2d 481 (2007) (stating that appellate courts must give “due respect to [a] District Court’s reasoned appraisal” of the proper sentence for a defendant).
Just as deference is due to the District Court’s decision on the appropriate length of a sentence, so too should that be the result with respect to the procedural rulings made by the sentencing judge. In interpreting and applying plea agreements particularly, district judges, with their knowledge of local conditions, are in a superior position to assess those agreements. Sentencing is primarily the responsibility of the district courts, not the probation office, not the government, not the defense, and not the appellate courts, although those parties may provide valuable insights.
In conclusion, the defendant’s argument advocating a reduction in his criminal history was not precluded in the plea agreement. The Court made a permissible procedural ruling in deciding to hear the defendant’s other arguments. The sentence was reasonable. Accordingly, I would affirm the judgment of the District Court.

. The distinction between “variances” and “departures” has become common usage. A "variance” is a sentence that deviates from the guidelines range based on Booker and the sentencing factors listed in 18 U.S.C. § 3553(a). A "departure,” on the other hand, is a sentence that differs from the guidelines range based on specific guidelines provisions that authorize such changes. United States v. Gunter, 462 F.3d 237, 247 n. 10 (3d Cir.2006).

. A. Doyle, Silver Blaze, in The Complete Sherlock Holmes 335 (1927).

. United States v. Bowe, 257 F.3d 336, 345 (4th Cir.2001) came to a different conclusion, but I do not find it persuasive.