Court Opinion

ID: 9953387
Source: CourtListenerOpinion
Date Created: 2024-03-22 00:01:18.655169+00
Date Added: 2024-06-11T14:46:04.993058
License: Public Domain

Case: 23-30149       Document: 85-1      Page: 1    Date Filed: 03/21/2024

        United States Court of Appeals
             for the Fifth Circuit                          United States Court of Appeals
                                                                     Fifth Circuit

                             ____________                          FILED
                                                              March 21, 2024
                               No. 23-30149                   Lyle W. Cayce
                             ____________                          Clerk

United States of America,

                                                         Plaintiff—Appellee,

                                   versus

Clarence Santiago,

                                        Defendant—Appellant.
               ______________________________

               Appeal from the United States District Court
                  for the Eastern District of Louisiana
                         USDC No. 2:21-CR-31-1
               ______________________________

Before Higginbotham, Smith, and Higginson, Circuit Judges.
Jerry E. Smith, Circuit Judge:
       Clarence Santiago and his coconspirators were selling marihuana out
of a hotel room. Late one night, a few of their recent buyers decided to come
back with guns and rob them. But the sellers were armed too. So, when the
buyers returned to the hotel room, they began a shootout, and three of the
thirteen involved were shot—none fatally.
       The police arrived, stopped Santiago, and arrested him. He confessed
to his involvement and eventually pleaded guilty to four separate charges.
       After obtaining new counsel and reviewing the presentence investi-
Case: 23-30149        Document: 85-1        Page: 2    Date Filed: 03/21/2024

                                  No. 23-30149

gation report (“PSR”), Santiago moved to withdraw his plea, contending
that the PSR recommended improperly punishing him for attempted first-
degree murder. The district court sentenced Santiago to 360 months. The
parties dispute whether the court’s oral explanation included a cross-
reference to attempted second-degree murder under U.S.S.G. § 2A2.1(a)(2),
but they agree that the court upwardly varied the sentence because of the
shooter’s danger to hotel guests.
       On appeal, Santiago raises a bevy of challenges to his plea and sen-
tence. We discern no reversible error related to the plea. But the district
court erred in calculating the guideline range, so we vacate and remand for
resentencing.

                                       I.
       Santiago and his coconspirators rented rooms 1514 and 1509 of the
Jung Hotel in New Orleans to sell and store marihuana, respectively. Late at
night, Chris Ross and his three associates came to 1514 and bought mari-
huana. Ross, his three associates, and two others they invited planned to
return that night and rob the sellers at gunpoint. Either they did not know,
or they did not care, that the sellers too were armed.
       After midnight, Ross and the others arrived back at the hotel with
semi-automatic handguns, and, when the door to 1514 opened, a shootout
began. Ross and the would-be robbers fled down the hall to the elevators,
continuing to fire back erratically. During that firefight, three of the thirteen
participants were shot, one by friendly fire, but none fatally.
       Once the would-be robbers had escaped into the elevator, Santiago
and the other sellers moved the guns and drugs to 1509 and then attempted
to abscond before the police could arrive. The hotel’s security cameras
caught nearly the entirety of the encounter and its aftermath.

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        Shortly thereafter, Santiago, as the last to leave, was accosted by the
police at the front of the hotel and arrested after a brief foot chase. In custody,
he waived his rights and admitted that he had been using the hotel rooms “to
illegally store and package marijuana and to store multiple firearms.” When
the police later examined the scene, they determined that the two groups had
fired over 80 shots inside the hotel. Luckily, though, not a single shot hit an
innocent hotel guest.
        The government indicted Santiago on four counts related to drug traf-
ficking and firearms usage.1 Represented by counsel, he pleaded guilty with-
out a plea agreement. During his rearraignment, Santiago confirmed that he
(1) understood the charges against him and (2) had read, reviewed, and
understood the factual basis and that it accurately described his actions.
        In computing Santiago’s offense level, the PSR considered not only
the crimes of which he had pleaded guilty; it also asserted that he had com-
mitted attempted first-degree murder of his six would-be robbers. With that,
the U.S.S.G. § 2A2.1 first-degree murder cross-reference applied through
U.S.S.G. § 2K2.1 and § 2X1.1(c), and Santiago’s guideline range increased
by several years.2

        _____________________
        1
           (1) Conspiracy to Possess Firearms in Furtherance of a Drug Trafficking Crime,
in violation of 18 U.S.C. § 924(o); (2) Use, Carry, Brandish, and Discharge of Firearms in
Furtherance of a Drug Trafficking Crime, in violation of 18 U.S.C. § 924(c)(1)(A) and (2);
(3) Conspiracy to Possess with the intent to Distribute a Controlled Dangerous Substance,
to wit: marihuana, in violation of 21 U.S.C. § 841(a)(1) and (b)(1)(D) and § 846; and
(4) Maintaining a Drug-Involved Premises, in violation of 21 U.S.C. § 856(a).
        2
          The PSR applied U.S.S.G. § 2A2.1 and § 3D1.2 to give Santiago 33 Base Offense
Level points for shooting at each of his would-be robbers and an additional four points
because a bullet hit one of them—though the PSR never confirmed that Santiago had fired
that bullet. Then, the PSR added five more points under U.S.S.G. § 3D1.4 for the other
groups (attempted murder of each of his five uninjured would-be robbers). Thus, the Com-
bined Adjusted Offense Level was 42. The court also granted a three-point downward
adjustment for acceptance of responsibility. So, the PSR calculated Santiago’s Total

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                                      No. 23-30149

        With his new counsel, Santiago moved to withdraw his guilty plea,
claiming he had been unaware that unindicted crimes and alleged crimes not
admitted to in the factual basis would enhance his sentencing range. Speci-
fically, he took issue with the consideration of attempted first-degree murder
in setting the offense level. He asserted that he had never been apprised of
the possibility of a sentence enhancement based on an unindicted murder
allegation and that, even if such consideration were otherwise proper, the
factual basis supported a claim of self-defense.
        The government responded by characterizing Santiago as merely
“dissatisfied with his guidelines as determined by the United States Pro-
bation Office” and as attempting to abuse the system by moving to withdraw
“only after he had an opportunity to review and consider his guidelines.”
The government focused on Santiago’s and his coconspirators’ having “re-
peatedly discharged their firearms at other rival drug dealers in an attempt to
kill them.” Further, in the government’s view, because there were injuries,
Santiago was responsible for everything that might have happened, not just
for defending himself. Similarly, had a hotel guest been killed, the govern-
ment could have charged Santiago and his associates with violating 18 U.S.C.
§ 924(j)(1)—a death-penalty-eligible crime—so the PSR properly counted
firing the weapons as attempted first-degree murder.3

        _____________________
Offense Level at 39. As he had no criminal history, the PSR gave him a Criminal History
category of I, and his Guideline range was 262 to 327 months. That factored in the man-
datory, consecutive 120-month sentence for the § 924(c) firearms offense.
        3
          The Probation Office’s response to Santiago’s challenge suggested that, if the
court determined Santiago had not engaged in attempted first-degree murder, his Total
Offense Level would be 33, with a sentencing range of 135–168 months for Counts 1, 3, and
4, along with the mandatory 120-month consecutive sentence for Count 2. Santiago char-
acterizes this alternative calculation, and we agree, as still sentencing him for attempted
second-degree murder.

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         At sentencing, the court denied Santiago’s motion to withdraw his
guilty plea, then “declin[ed] to make a specific finding . . . as to the rela-
tionship between the firearm cited in the indictment and the other offense of
attempted first-degree murder.” In other words, the district court accepted
some of Santiago’s objection to the PSR. But, as the court’s statement of
reasons explained, the court still applied U.S.S.G. § 2A2.1(a)(2) and only
“changed [the] base offense level” to 27.4 Thus, the guidelines recom-
mended imprisonment of 255 to 288 months.
         Because of the “shocking and disturbing” nature of the crimes, how-
ever, the court departed from that range, varying the sentence upward by six
years.       Specifically, the court imposed 240 months’ imprisonment for
Counts 1 and 4 and 60 concurrent months for Count 3. Then the court
imposed a consecutive sentence of 120 months for Count 2.
         On appeal, Santiago challenges the court’s acceptance of his plea, its
sentencing procedures, and his sentence.

                                            II.
         Santiago’s flock of challenges implicates several different standards of
review, depending on whether he has preserved the objection. The most
relevant standard we will apply is plain error.
         Where a party has not preserved an alleged error, we review for plain

         _____________________
         4
           The “base offense level of 27” with a Total Offense Level of 33 appears to match
the Probation Office’s response. We understand this to mean the district court found that
Santiago had committed “Assault with Intent to Commit Murder” constituting not-first-
degree murder. U.S.S.G § 2A2.1(a). The court must have also found that the injury to
Ross’s associate Everson’s arm and shoulder was “permanent or life-threatening” instead
of “serious” or between serious and life-threatening. U.S.S.G § 2A2.1(b)(1). Further, the
district court must have declined to group the assaults against each robber under U.S.S.G.
§ 3D1.2. Finally, it increased the Offense Level by five because of the six groups.

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                                       No. 23-30149

error. “To preserve error, an objection must be sufficiently specific to alert
the district court to the nature of the alleged error and to provide an oppor-
tunity for correction.”5 Where the “purposes of the preservation require-
ment are met—namely, the defendants ‘raised a claim of error with the
district court in such a manner so that the district court may have corrected
itself and thus, obviated the need for our review,’ we conclude that the issue
has been sufficiently preserved.”6
        If, though, a party raises objections for the first time on appeal or did
not otherwise preserve them, we review for plain error.7 To prove plain
error, Santiago must show “that (1) there is an error; (2) the error is clear
and obvious; and (3) the error affects his substantial rights.”8 Then, once he
has shown that error, we may choose to correct the error only if (4) it “seri-
ously affect[s] the fairness, integrity, or public reputation of judicial pro-
ceedings.”9 “Meeting all four prongs is difficult, ‘as it should be.’”10

                                            III.
        Santiago appeals (1) the acceptance of his guilty plea as Rule 11 error,
(2) the district court’s sentencing procedures, and (3) his sentence. Because
        _____________________
        5
           United States v. Torres-Perez, 777 F.3d 764, 767 (5th Cir. 2015) (quoting United
States v. Neal, 578 F.3d 270, 272 (5th Cir. 2009)).
        6
          Id. (cleaned up) (quoting United States v. Mondragon-Santiago, 564 F.3d 357, 361
(5th Cir. 2009)).
        7
          United States v. Alvarado-Casas, 715 F.3d 945, 953 (5th Cir. 2013) (citing United
States v. Oliver, 630 F.3d 397, 411 (5th Cir. 2011)).
        8
          United States v. Castro-Trevino, 464 F.3d 536, 541 (5th Cir. 2006) (citing United
States v. Marek, 238 F.3d 310, 315 (5th Cir. 2001) (en banc)).
        9
         United States v. Olano, 507 U.S. 725, 736 (1993) (alteration in original) (internal
quotation and citation omitted).
        10
          Puckett v. United States, 556 U.S. 129, 135 (2009) (quoting United States v. Domin-
guez Benitez, 542 U.S. 74, 83 n.9 (2004)).

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                                     No. 23-30149

the district court improperly sentenced Santiago by cross-referencing at-
empted murder under U.S.S.G. § 2A2.1, we reach only the first two claims.

                                           A.
        Santiago alleges two errors under Federal Rule of Criminal Proce-
dure 11: (1) that the district court failed to explain the elements of the four
offenses of which he pleaded guilty and (2) that the factual basis was insuffi-
cient to prove his guilt on Counts Two and Four. He raises both claims for
the first time on appeal, so we review only for plain error. See Marek,
238 F.3d at 315.
        To prevail on a Rule 11 plain-error claim, Santiago must satisfy the
four prongs of Olano. On both challenges, Santiago cannot clear that high
bar. Therefore, we affirm his conviction.

                                           1.
        Santiago asserts that, when “the district court summarized the indict-
ment but did not advise [him] of the elements of any of the offenses to which
he was pleading guilty,” the court committed “clear, obvious error.” But
Rule 11 does not require the district court to explicate the specific elements
of each charge. The court must only “inform the defendant of . . . the nature
of each charge to which the defendant is pleading.” Fed. R. Crim. P.
11(b)(1)(G) (emphasis added). Although “there are no precise guidelines as
to what is sufficient to meet this standard, ‘the court must have a colloquy
with the defendant that would lead a reasonable person to believe that the
defendant understood the nature of the charge.’”11

        _____________________
        11
          United States v. Rivas, No. 21-50921, 2022 WL 3226622, at *1 (5th Cir. Aug. 10,
2022) (per curiam) (unpublished) (quoting United States v. Reyes, 300 F.3d 555, 559 (5th
Cir. 2002)).

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                                       No. 23-30149

        At Santiago’s rearraignment, where he was represented by counsel,
the court explicitly broke down each charge to which he was pleading guilty.
It explained that “Count 1 . . . charges you with conspiracy to possess fire-
arms in furtherance of a drug trafficking crime”; that “Count 2 . . . charges
you with carrying, brandishing, and discharging firearms in furtherance of a
drug trafficking crime”; that “Count 3 . . . charges you with conspiracy to
possess with the intent to distribute a controlled dangerous substance”; and
that “Count 4 . . . charges you with maintaining a drug-involved premises.”
Santiago responded that he understood each charge. Further, after it stated
each count in plain English, the court laid out the basic facts underlying that
count. Then, the court explained the maximum sentences each count car-
ried. Santiago, yet again, confirmed he understood the possible sentences.
        That colloquy was sufficient for any “reasonable person to believe
that the defendant understood the nature of those charges.” Rivas, 2022 WL
3226622, at *1 (cleaned up). Therefore, Santiago has not shown any Rule 11
error, much less plain error.
        Santiago also asserts that Count 2 was ambiguous as to whether he had
been indicted as a principal or as an aider and abettor and that the court’s
colloquy improperly incorporated that ambiguity. Because “[t]hose two
theories of guilt require proof of wholly distinct elements and mandate differ-
ent evidentiary showings[,]” Santiago asserts, he could not have knowingly
and voluntarily pleaded guilty to Count 2. We reject that challenge, too.
        Aiding and abetting is a theory of liability implicit in every federal
indictment and is not a distinct substantive crime.12 Therefore, any ambigu-
ity in Santiago’s plea colloquy is irrelevant. Santiago knew the charges

        _____________________
        12
          United States v. Diaz, 941 F.3d 729, 741 (5th Cir. 2019) (quoting United States v.
Turner, 674 F.3d 420, 442 (5th Cir. 2012)).

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                                      No. 23-30149

against him, and he offers no caselaw to support his contention that the court
was required to distinguish between those two possible theories of liability.
Nor does he suggest he would not have pleaded guilty had the court clarified
which theory applied to him. Santiago’s failure along either path of this fork
would suffice for us to reject his plain-error challenge. 13 Instead of picking a
tine, we “take it.”14

                                           2.
        We turn to Santiago’s challenge to the factual basis underlying his
guilty plea to Counts Two and Four.
        For Count Two, Santiago pleaded guilty of “Us[ing], Carry[ing],
Brandish[ing] and Discharg[ing] of Firearms in Furtherance of a Drug Traf-
ficking Crime” in violation of 18 U.S.C. § 924(c). He contends that because
the factual basis did not establish that he fired any weapons, his plea to Count
Two was insufficient.
        For Count Four, Santiago pleaded guilty of “Maintaining a Drug-
Involved Premises” in violation of 21 U.S.C. § 856. Because the record is
unclear as to who rented rooms 1514 and 1509, or for how long they had
rented them, he asserts he had not “maintained” a premise as required for
Count Four.
        Well-established law confirms common sense—that a defendant
“pleaded guilty . . . is not itself sufficient to support [a] guilty plea.” Marek,
238 F.3d at 314. Instead, Rule 11 “requires the district court to determine
that the factual conduct to which the defendant admits is sufficient as a matter
        _____________________
        13
          See United States v. Baez-Adriano, 74 F.4th 292, 302 (5th Cir. 2023) (quoting
United States v. Andaverde-Tiñoco, 741 F.3d 509, 523 (5th Cir. 2013)).
        14
         See United States v. Castillo-Rivera, 853 F.3d 218, 232 & n.1 (5th Cir. 2017) (en
banc) (Smith, J., dissenting)

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                                         No. 23-30149

of law to constitute a violation of the statute.” Id.15 Thus, we must review
the facts underlying each count.

                                    a.      Count Two
        Santiago advocates that the factual basis never established that he
“knowingly used, carried, and discharged a firearm ‘during and in relation
to’ his participation in the marijuana conspiracy.”                      Therefore, under
Rule 11(b)(3), the district court must have erred by accepting his plea.
        “We may consider the entire district court record in assessing
whether there was a sufficient factual basis to support [Santiago’s] guilty
plea.”16 The record must confirm that Santiago (1) was engaged in a drug
trafficking crime; (2) (a) “during and in relation to” that crime, “used or
carried a firearm, or (b) in furtherance of that crime, possessed a firearm”;
and (3) “discharged” the firearm. 18 U.S.C. § 924(c)(1)(A)(iii) (cleaned
up). That he was engaged in a drug trafficking crime is not in question, so
the dispute turns on only the two remaining elements.
        First, Santiago suggests the factual basis does not support an inference
that he ever discharged a firearm. Second, he submits that even if he did, the
record does not prove that he did so “in relation to” the conspiracy. Third,
he avers that, on the theory of aiding and abetting, the factual basis does not
establish that he had “advance knowledge that a confederate would use or
carry a gun during the crime’s commission” as required by Rosemond v.
United States, 572 U.S. 65, 67 (2014).

        _____________________
        15
          See also Fed. R. Crim. P. 11(b)(3) (“Before entering judgment on a guilty plea,
the court must determine that there is a factual basis for the plea.”).
        16
            United States v. Hicks, 958 F.3d 399, 401 (5th Cir. 2020) (citing United States v.
Ortiz, 927 F.3d 868, 873 (5th Cir. 2019)); see also Trejo, 610 F.3d at 313 (citing United States
v. Tullos, 356 F. App’x 727, 727–28 (5th Cir. 2009)).

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        None of Santiago’s contentions overcomes the record evidence. The
factual basis to which he admitted states that “[d]uring the attempted rob-
bery, the seven occupants of Room 1514 immediately returned gunfire.” It
explicitly describes Santiago as one of those occupants. Then, it explains that
“[a] shootout between the six individuals [i.e., Ross et al.] and the occupants
of the room [i.e., Santiago and his coconspirators] began.” Additionally, it
explains that, during the shootout, “the occupants of Room 1514 continued to
discharge their firearms . . . .” Then, the hotel videos of the encounter show
Santiago making several trips between Rooms 1514 and 1509, putting several
bags and a rifle into Room 1509. Further, the police concluded that the two
groups fired over 80 shots during the shootout. Finally, and most damningly,
the factual basis ends with Santiago’s admitting that he and his coconspira-
tors “used” the guns “to protect their drugs and drug proceeds” and that
the occupants of Room 1514 “fired multiple times at the assailants.”
        Although Santiago may not have expressly stated he fired a weapon,
his admissions certainly came close. When accepting a plea, the court may
make common-sense inferences from the evidence, including the factual
basis.17 Further, carrying a gun “for protection . . . honors the Congressional
concerns manifested by the ‘in relation to’ element.”18 Thus, Santiago
presents no reason to contradict the district court’s implicit inferences that
(1) as an occupant, Santiago was one of the “occupants” returning fire;
(2) that when over 80 shots were fired, each person involved in that shootout
fired a weapon; and (3) that they did all of that “during and in relation to”
the sale of marihuana. Whether that was an error is questionable, but on

        _____________________
        17
            See United States v. Jones, 75 F.4th 502, 508 (5th Cir.) (“The supporting facts
may include . . . ‘fairly drawn inferences from the evidence . . . .’” (quoting United States
v. Trejo, 610 F.3d 308, 319 (5th Cir. 2010)), cert. denied, 144 S. Ct. 515 (2023).
        18
             United States v. Harris, 477 F.3d 241, 245 (5th Cir. 2007).

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plain-error review, it certainly was not a “clear and obvious error.” There-
fore, we decline to disturb Santiago’s plea to Count Two.

                                b.      Count Four
       Santiago raises a stronger theory about the meaning of the law on
Count Four. He contends that “rent[s], use[s], or maintain[s]” in 21 U.S.C.
§ 856(a)(1) requires more than mere presence for one night and involvement
in a drug trafficking crime. But he relies entirely on the established interpre-
tation of “maintain” without explaining why “use” does not suffice.
       For purposes of § 856, the word “‘maintain’ ‘connotes a degree of
continuity and duration.’” United States v. Barnes, 803 F.3d 209, 216 (5th
Cir. 2015) (quoting United States v. Morgan, 117 F.3d 849, 857 (5th Cir.
1997)). Santiago correctly asserts that the factual basis does not support a
charge of “maintaining” the hotel rooms, as it proves nothing more than that
he occupied the rooms for one night, with no clarification of whether he had
any kind of dominion over them. See id. (citing United States v. Soto-Silva,
129 F.3d 340, 346 (5th Cir. 1997)).
       But Santiago’s factual basis includes an admission that he “used” the
hotel rooms. Therefore, we could determine that the district court com-
mitted plain error only if we effectively read out “use” from the statute, giv-
ing it the same meaning as “maintain.” But “use” “cannot be meaningless,
else [it] would not have been used.”19 Further, reading out “use” would
make a mockery of Congress’s decision to add it to a statute that already
included “maintain.”20 Such an action would not comport with our limited
       _____________________
       19
          Calumet Shreveport Refin., L.L.C. v. EPA, 86 F.4th 1121, 1138 (5th Cir. 2023)
(quoting Antonin Scalia & Bryan A. Garner, Reading Law: The Inter-
pretation of Legal Texts 174 (2012)).
       20
         See Prosecutorial Remedies and Tools Against the Exploitation of Children
Today Act of 2003 (Protect Act), Pub. L. No. 108–21, § 608, 117 Stat 650, 691 (2003)

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                                       No. 23-30149

judicial role, and we decline to rewrite the statute.
        Santiago points to three cases—United States v. Guzman-Reyes, 853
F.3d 260 (5th Cir. 2017), Barnes, and Dubin v. United States, 599 U.S. 110
(2023)—that allegedly support his position that we give “use” and “main-
tain” the same meaning. But none bears that weight.
        First, Guzman-Reyes dealt with sentencing under a sentencing guide-
line, not 21 U.S.C. § 856. See 853 F.3d at 263–64. And the guideline with
which it dealt, U.S.S.G. § 2D1.1(b)(12), employs the word “maintain[],” not
“use.” We could plausibly extend its thoughtful analysis of “maintain” to
another case in which the meaning of that word was at issue, but we cannot—
and do not—read that case to express a preference for “maintain” over
“use” in every context.
        Second, in Barnes we unambiguously declined to rule on whether the
defendants “maintained” a drug-involved premise. See 803 F.3d at 216.
Instead, we applied aiding-and-abetting liability to uphold the convictions.
Id.21 That renders Barnes completely inapplicable in determining the mean-
ing of “use.”
        Third, Dubin explains that “‘use’ takes on different meanings de-
pending on context.” 599 U.S. at 118 (cleaned up). So, we must “look not
only to the word itself, but also to the statute and the surrounding scheme, to
determine the meaning Congress intended.” Id. (cleaned up). Instead of
supporting Santiago’s recommendation that we give “use” no meaning,
Dubin contradicts it. As the Court instructs, we must apply noscitur a sociis

        _____________________
(updating 21 U.S.C. § 856).
        21
          Though we do not base our ruling on this similarity, the district court could have
found that Santiago aided and abetted whichever of his coconspirators rented the rooms—
thereby meeting § 856’s “renting” element. See Barnes, 803 F.3d at 216–17.

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                                       No. 23-30149

to understand “use” as akin to, but with a meaning different from, “open,
lease, rent, . . . or maintain.” 21 U.S.C. § 856(a)(1); see Dubin, 599 U.S.
at 124–27. Using a hotel room for the night as a storefront for illegal drugs is
precisely the type of “use” Congress included in that language that would
not already be covered by “open,” “lease,” “rent,” or “maintain.”
        In conclusion, Santiago offers no on-point caselaw on “use,” and we
have not, nor has the government, found any precedent applying “use” or
explaining how long-term a “temporary” “use” must be under § 856(a)(1)
to qualify. Yet, Santiago has the burden to show the error, and any error is
not plain where a possible and plausible interpretation has not been fore-
closed by precedent.22 Thus, the district court’s application of “temporary
use” to an overnight hotel-room-cum-storefront cannot be plain error.23
Santiago’s Rule 11 challenges fail.

                                             B.
        Santiago raises three challenges to the district court’s calculation of
his sentencing guideline range. First, he avers the court never performed the
requisite guideline calculations, or it at least failed to explain them. Second,

        _____________________
        22
           See Puckett, 556 U.S. at 135 (Plain error requires “some sort of deviation from a
legal rule.” (cleaned up)); Trejo, 610 F.3d at 319 (“An error is not plain under current law
if a defendant’s theory requires the extension of precedent.” (internal quotation marks and
citation omitted)); United States v. Broussard, 669 F.3d 537, 550 (5th Cir. 2012) (citing
Puckett, 556 U.S. 129).
        23
           Even had Santiago established that the district court committed error by accept-
ing his plea on Count Four, we have two independent reasons for which we would still
affirm. First, the error was harmless: Santiago received an identical, concurrent sentence
on Count One. See United States v. Valdez, 726 F.3d 684, 697–98 (5th Cir. 2013). Second,
Santiago has not shown that he would not have pleaded guilty had the agreed-upon factual
basis been clearer or had the court made the desired additional findings. Though we men-
tion these only as alternative rationales, Santiago’s failure to overcome either of those bars
would also defeat his claim of plain error.

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                                       No. 23-30149

he contests the factual findings underlying those calculations. Third, he
alleges legal error, claiming that the court improperly applied the attempted-
murder cross-reference and the guidelines’ grouping rules. We disagree with
his first challenge but agree with the second, so we do not reach the third.
        We review preserved objections to a district court’s calculation and
application of the guidelines de novo and its findings of fact for clear error. See
Torres-Perez, 777 F.3d at 768 (citing United States v. Cisneros-Gutierrez,
517 F.3d 751, 764 (5th Cir. 2008)). “A factual finding is not clearly erroneous
if it is plausible in light of the record as a whole.” United States v. Zuniga,
720 F.3d 587, 590 (5th Cir. 2013) (per curiam) (citation omitted). If the chal-
lenge is raised for the first time on appeal, though, we review for plain error.
United States v. Johnson, 943 F.3d 735, 737 (5th Cir. 2019) (citing United
States v. Lopez-Velasquez, 526 F.3d 804, 806 (5th Cir. 2008)).
        The parties dispute how many of those challenges, if any, Santiago
raised in the district court. Santiago contends that, by objecting to the first-
degree murder cross-reference and asking for a downward variance, he put
the court on notice of his request that “the court . . . comply with its obliga-
tion to calculate and consider the correct Guidelines range . . . .”24 The gov-
ernment responds by claiming that, when the district court refused to apply
the first-degree-murder cross reference, the court fully addressed Santiago’s
objections; thus, he needed to raise additional objections to preserve any
issue for appeal.
        At sentencing, the court denied Santiago’s motion to withdraw his
guilty plea. The court explained that it had already considered his objections

        _____________________
        24
           Indeed, Santiago objected to “any mention of murder or attempted murder” and
specifically raised that “the factual basis . . . provides for a self defense argument of an
attempted murder charge” in his motion to withdraw his guilty plea.

                                            15
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                                       No. 23-30149

in its calculation of the guideline range and that its calculations did not
include a finding that Santiago had attempted first-degree murder. At that
point, the court was aware of, and had overruled, Santiago’s objection to the
characterization of his actions as attempted murder of any degree.25 There-
fore, Santiago’s objection to the attempted-murder cross-reference was
raised and addressed by the district court.
        Yet, when the district court later queried whether either party had
anything further to ask, Santiago declined to object to the court’s explanation
of its findings and calculation. Without an objection, the court had no inkling
that Santiago believed the explanation was insufficient or that the court had
not made the requisite factual findings. Thus, Santiago failed to alert the
court to that potential issue with the necessary specificity required for the
identification and correction of the alleged error. United States v. Salazar,
743 F.3d 445, 448 (5th Cir. 2014) (citing Mondragon-Santiago, 564 F.3d
at 361).26
        We agree that Santiago properly presented the “crux of his objection”
regarding attempted murder to the district court. United States v. Bravo,
852 F. App’x 790, 794 (5th Cir. 2021) (per curiam) (quoting United States v.
Nesmith, 866 F.3d 677, 679 (5th Cir. 2017)). And, insofar as he raised his
objection in writing, he did not also need to object orally to that error. See
United States v. Medina-Anicacio, 325 F.3d 638, 642 (5th Cir. 2003) (citing

        _____________________
        25
             See United States v. Mendiola, 42 F.3d 259, 260 n.2 (5th Cir. 1994) (The purpose
of the plain error rule is served where “[t]he essential substance of the objection is obvious
and was made known to the district court.”); see also id. (Where “counsel [is] entitled to
believe that further explanation would not be welcomed or entertained by the district
court . . ., the objection was adequate to preserve the issues for review.” (citation
omitted)).
        26
           See also Mondragon-Santiago, 564 F.3d at 361 (“He could have asked the district
court for further explanation during the sentencing hearing, but did not.”).

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                                  No. 23-30149

Bender v. Brumley, 1 F.3d 271, 277 (5th Cir. 1993)). But Santiago did not prop-
erly object to the court’s explanation of its findings and calculations. There-
fore, we review (1) Santiago’s challenge to the explanation for plain error and
(2) his challenge to the cross-referencing for clear error as a factual finding.

                                       1.
       Santiago characterizes the district court as having neither considered
nor determined the guideline range, suggesting that the court made no factual
findings at all before sentencing him. The government retorts that Santiago
has taken the court’s statements out of context and that the court explicitly
adopted the PSR and its addendum for the court’s findings of fact. Then, the
government explains, the court applied those findings to calculate the offense
level and his criminal history category, which generated the guideline range.
       “[F]ailing to calculate . . . the Guidelines range” is a “significant pro-
cedural error” that constitutes an abuse of discretion in sentencing. Gall v.
United States, 552 U.S. 38, 51 (2007). But the transcripts support the gov-
ernment’s position: The district court calculated the range as required.
       With a caveat about Santiago’s objection to the consideration of first-
degree murder, the district court expressly adopted the PSR and its adden-
dum as its findings of fact. Then, it applied the recommended Total Offense
Level of 33 to craft the guideline range. Considering that range, the court
explained its upward variance, calling “[t]he facts of this case . . . stunning
and horrific.” It did all of that in a few brief sentences, and we agree with
Santiago that the court could have explained its process more clearly. But,
on plain-error review, it is not “clear or obvious” that the court fell short of
Gall’s requirements by not explaining the findings of fact, its application of
the guidelines, or its calculation of the range. Further, Santiago has made no
showing that that limited discussion would seriously affect the fairness,
integrity, or public reputation of judicial proceedings. Therefore, we reject

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                                       No. 23-30149

Santiago’s challenge to the explanation of the sentence and its calculation.

                                             2.
        Santiago preserved his challenge to the district court’s determination
that he attempted second-degree murder. So, we review, for clear error, the
district court’s application of the U.S.S.G. § 2K2.1(c)(1)(A) cross-reference
to U.S.S.G. § 2A2.1.
        On clear-error review, we accept the “trial court’s factual findings if
they are plausible in light of the record, even though we might have weighed
the evidence differently if we had been sitting as a trier of fact.” Taylor-
Travis v. Jackson State Univ., 984 F.3d 1107, 1116 (5th Cir. 2021) (cleaned
up). But “sentencing facts must be established by a preponderance of the
evidence.”27 An error is clear “if a review of the record results in a ‘definite
and firm conviction that a mistake has been made.’”28
        Section 2A2.1 of the guidelines defines first-degree murder by refer-
ence to 18 U.S.C. § 1111. See U.S.S.G. § 2A2.1 cmt. n.1. That guideline does
not define non-first-degree murder, though. Without clearer guidance, we
continue to look to § 1111, which defines “[a]ny other murder” that was not,
inter alia, “deliberate, malicious, [or] premeditated” or committed as part of
other specified crimes, as “murder in the second degree.”                        18 U.S.C.
§ 1111(a).
        Self-defense is an affirmative defense to a charge of murder under

        _____________________
        27
           United States v. Johnson, 648 F.3d 273, 277 (5th Cir. 2011) (citation omitted); see
also United States v. Luna-Gonzalez, 34 F.4th 479, 480 (5th Cir. 2022) (citing United States
v. Abrego, 997 F.3d 309, 312 (5th Cir. 2021)).
        28
           Zuniga, 720 F.3d at 590 (quoting United States v. Rodriguez, 630 F.3d 377, 380
(5th Cir. 2011)).

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                                       No. 23-30149

§ 1111 that “negates the[] elements of criminal behavior.”29 The initial
burden of production rests on the defendant asserting self-defense, but once
the defendant has met that burden, the government must then provide proof
to “negate” it. Branch, 91 F.3d at 714 n.1 (citation omitted).
        To meet that burden of production, Santiago must present
        evidence that (1) he was under an unlawful and present, immin-
        ent, and impending threat of such a nature as to induce a well-
        grounded apprehension of death or serious bodily injury; (2) he
        had not recklessly or negligently placed himself in a situation in
        which it was probable that he would be forced to choose the
        criminal conduct; (3) he had no reasonable, legal alternative to
        violating the law, a chance both to refuse to do the criminal act
        and also to avoid the threatened harm; and (4) a direct causal
        relationship may be reasonably anticipated between the crim-
        inal action taken and the avoidance of the threatened harm.[30]
        The video and the factual record unequivocally show that Ross and his
crew attempted to rob Santiago at gunpoint. Thus, Santiago easily meets the
first, third, and fourth criteria.
        The second criterion presents a closer question. That Santiago was
selling drugs and carrying significant weaponry might suggest that he had
“recklessly or negligently placed himself” into that situation. But “engaging
        _____________________
        29
            Moran v. Ohio, 469 U.S. 948, 955 (1984) (Brennan, J., dissenting from denial of
certiorari); see United States v. Branch, 91 F.3d 699, 714 (5th Cir. 1996) (“It is true, as a
general proposition, that self-defense . . . [is an] affirmative defense[] to both murder and
voluntary manslaughter.”); see also McDonald v. City of Chicago, 561 U.S. 742, 767 (2010)
(“Self-defense is a basic right, recognized by many legal systems from ancient times to the
present . . . .”).
        30
           United States v. McGee, No. 93-7503, 29 F.3d 625 (table), 1994 WL 395111, at *6
(5th Cir. July 8, 1994) (unpublished but precedential per 5th Cir. R. 47.5.3) (cleaned
up). See also Andersen v. United States, 170 U.S. 481, 508 (1898) (collecting cases).

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                                       No. 23-30149

in unlawful conduct . . . does not, by itself, constitute provocation . . . .”
Branch, 91 F.3d at 718. Thus, we treat the second criterion more akin to a
prohibition against “provok[ing] a fight and then rely[ing] on a claim of self-
defense when that provocation results in a counterattack . . . .” Id. at 717
(internal quotation marks and citation omitted). Yet, the government has
pointed to no evidence, and on our independent review, we see no part of the
record or of the videos that suggests Santiago provoked Ross. Ross and his
crew came with guns drawn to rob Santiago and his fellow dealers. Their
reaction very well might have been self-defense.
        Santiago met his burden of production, but the district court never
sought, and the government never attempted to provide, proof to rebut his
self-defense claim. From this review, we find ourselves with a “definite and
firm conviction that a mistake was made” by the district court where it cross-
referenced attempted murder without considering self-defense. Zuniga,
720 F.3d at 590 (cleaned up). Therefore, that was clear error.31
        Further, the district court’s error was not harmless. “To establish
harmlessness, the government must convincingly demonstrate that the court
would have imposed the very same sentence if it had not made an erroneous
calculation.” Torres-Perez, 777 F.3d at 768 (internal quotation marks and
citation omitted).32 But harmless error is a “heavy burden” that the govern-

        _____________________
        31
           We do not suggest that every time a defendant asserts self-defense as an objection
to a sentence, the district court must hold an evidentiary hearing before ruling on it. Cf.
United States v. Hebert, 813 F.3d 551, 554 (5th Cir. 2015) (The court held a “detailed four-
day hearing where it found that Hebert had committed second degree murder in connection
with the bank fraud counts.”). But the record must, in some way, support the court’s de-
clination of that defense if the defendant raises it. This record does not.
        32
          See also United States v. Rebulloza, 16 F.4th 480, 484 (5th Cir. 2021) (“A proce-
dural error during sentencing is harmless if the error did not affect the sentence imposed.”
(cleaned up)).

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                                 No. 23-30149

ment cannot carry here. United States v. Richardson, 676 F.3d 491, 511 (5th
Cir. 2012) (citation omitted).
       First, the government has not alleged harmlessness. Second, even had
it done so, we would reject the claim. The district court varied Santiago’s
sentence upward by six years from the top of the guideline range. That
brought the sentence in line with the PSR’s recommended sentence for
attempted first-degree murder. According to Santiago, had the court not
considered any murder allegation, his properly calculated range would have
been 130–136 months. The record does not support any claim—and we
doubt—that the district court would have imposed a sentence nearly three
times greater than the guideline range, even after an upward variance for the
danger posed to unsuspecting hotel guests. Further, the court never declared
its intention to impose the same sentence regardless of any guideline-calcu-
lation error. As the burden is on the government to make that harmless-error
showing, and because it could not convincingly do so on this record, we
decline to dismiss this error as harmless.

                            *      *         *    *
       In summary, the district court properly accepted Santiago’s well-
supported and well-explained plea agreement. It also explained its calcula-
tions and application of the guidelines sufficiently to survive plain-error
review. But by applying the attempted-murder cross-reference without con-
sidering that Santiago acted in self-defense, the court committed clear error.
       The conviction is AFFIRMED. The sentence is VACATED, and
we REMAND for resentencing. We express no view on the sentence that
the court should announce on remand.

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                                  No. 23-30149

Stephen A. Higginson, Circuit Judge, concurring:
       I concur in all but Part III(B)(1) of the opinion. Respectfully, I read
the record differently with regard to the district court’s explanation and
guidelines calculation. At sentencing, the district court stated that Santiago
“objected to the final presentence investigation report arguing that the
calculations should not cross-reference to the charge of attempted murder
because the acts alleged do not and would not constitute first degree
murder.” Hr’g Tr. at 6:24-7:5, United States v. Santiago, 21-00031, ECF 156
(E.D. La. Mar. 7, 2023). The district court then explained that, while it had
“reviewed both the response of the probation officer and that of the
Government,” the “sentence was crafted . . . without making that finding,”
and “declin[ed] to make a specific finding at this time as to . . . attempted
first degree murder” because it did not “find it to be necessary to the decision
[it] made with reference to the defendant’s sentence today.” Id. at 7:4-14.
In response to Santiago’s objection to the attempted murder cross-reference
in the presentence investigation report, the district court stated, “I'm not
going to make that determination; but in effect, your objection is moot based
upon the way I've crafted defendant's sentence, okay.” Id. at 7:17-20. But in
the written statement of reasons that followed, the district court did the
opposite and expressly relied on a cross-reference to attempted second-
degree murder, albeit with a typo in the referenced guidelines provision.
Statement of Reasons, United States v. Santiago, 21-00031, ECF 133 (E.D. La.
Mar. 14, 2023).
       Inconsistencies and failures to explain at sentencing are particularly
troubling in this context, where a defendant is sentenced for conduct that is
uncharged and unadjudicated. And even more so here, where the district
court denies the defendant’s request to withdraw his guilty plea after learning
this sentence may be based on uncharged and unadjudicated conduct, yet
then does not take, test, and resolve evidence, even to a preponderance

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                                No. 23-30149

standard of proof, to confirm that conduct. See United States v. Hebert, 813
F.3d 551, 554 (5th Cir. 2015). Notably, the eventual upward variance
substantially exceeded the sentence recommended by either Probation or the
Government. Our decision today vacating and remanding for resentencing
will allow the district court to fully explain the sentence given, based on
clearly determined guidelines calculations as well as specific, preponderance
findings of fact.

                                     23