Court Opinion

ID: 9486812
Source: CourtListenerOpinion
Date Created: 2023-08-05 12:00:48.713563+00
Date Added: 2024-06-11T17:51:56.742537
License: Public Domain

*391KENNEDY, Circuit Judge,
dissenting.
While I agree with the majority of the Court that the defendant had a right to be heard, and that with respect to whether he had violated his probation, a right to testify on his own behalf, I part company with the majority on its holding that he had a constitutional right to be called as a witness and examined by his counsel with regard to possible mitigating circumstances that bear on his sentencing. Defendant had admitted his violations of the terms of his probation. The probation revocation hearing had progressed beyond the violation or the guilt phase. The question before the Court was therefore whether he should be continued on probation or sentenced to custody and, if so, to what period within the guideline range.1
There does not appear to have been any factual dispute regarding his violation which could require testimony. Further, although defendant’s counsel now says he wanted to call the probation officer as a witness, no such request was made to the District Court. I view the issue here as whether a District Court must permit a defendant to explain, through questioning by an attorney and answers by the defendant, presumably under oath, why he should receive leniency because of mitigating circumstances. I agree defendant was entitled to an attorney. This is because I view the proceedings as a sentencing. Although he had received a probationary sentence and was given community service in lieu of a fine, the custodial part of his sentence had not been addressed when he had been placed on probation. In my opinion, such cases are controlled by Mempa v. Rhay, 389 U.S. 128, 88 S.Ct. 254, 19 L.Ed.2d 336 (1967) (probationer entitled to be represented by counsel at a combined revocation and sentencing hearing).
The majority appears to hold that questions and answers are constitutionally required, at least if that procedure is requested. The defendant here, in my opinion, is no different than any defendant facing sentencing. He is entitled to have his attorney address the court, and he is entitled to address the court directly. However, I do not believe the Constitution gives him a right to present any mitigating circumstances through testimony; that is, questions by his attorney and answers by defendant under oath. During my twenty-seven years as a state trial judge, a federal district judge and on this Court, I have never heard such a right being accorded. Lawyers are required at sentencing, yet Rule 32(a) provides only that counsel and defendant have the opportunity to speak. As the Supreme Court stated in Hurtado v. California, 110 U.S. 516, 528, 4 S.Ct. 111, 117, 28 L.Ed. 232 (1884),
[A] process of law, which is not otherwise forbidden, must be taken to be due process of law, if it can show the sanction of settled usage both in England and in this eoun-*392try.... [That which] in substance, has been immemorially the actual law of the land ... is due process of law.
“[N]o procedure firmly rooted in the practices of our people can be so ‘fundamentally unfair’ as to deny due process of law.” Pacific Mut. Life Ins. Co. v. Haslip, 499 U.S. 1, 38, 111 S.Ct. 1032, 1053, 113 L.Ed.2d 1 (1991) (Scalia, J., concurring). For us to now say that a defendant has a constitutional right under due process to proceed by question and answer in that fashion, seems to me to be a radical change. Once this constitutional right is declared, lawyers would feel that they had to ask for that procedure. It would apply to state courts as well as federal sen-tencings. Failing to find a constitutional right in this case would not mean that questions and answers would never be required; however, the standard of review would be different.2 If questions and answers were necessary in a particularly complex case, it would be an abuse of discretion not to permit them. I would review defendant’s request here under an abuse of discretion standard and would find no abuse here.

. The request to present testimony came in the following context:
THE COURT: So, the violation report is for failing to submit written reports in February, March, April, and May. And the Defendant failed to do that, and it is after she had so instructed Mr. Dodson.
And then we have — then we have this failure to communicate with the Probation Officer, which seems to be the whole problem in this case, Mr. Dodson. Do you have anything to say before the Court — to the Court before it makes a decision in this case?
MR. GOLDEN: Your Honor, with all due respect, I think his response is — what he had to say would be more appropriate in the line of testimony, something that he would say to the Court. And in that regard, with regards to those missing — those missing months of the reports, there was a misunderstanding as to whether he was supposed to get the form or go in and get the form. It was truly a misunderstanding there; and at this point, I would prefer to provide that in the way of testimony. There was—
THE COURT: Well, you may prefer that, but I asked the witness — I asked the Defendant for a statement. He is under Federal Probation to me, and I asked him for a statement. If you don’t have anything to say, that’s your answer to that. I am giving you an opportunity to give the Court an explanation. I don’t need testimony.
You know, he doesn't need to be sworn. I will hear what he has to say without that.
MR. GOLDEN: Okay.
Joint App. at 28-9.
Defendant thereupon explained his difficulties in contacting his probation officer; that he filled out his reporting form but instead of sending this in or leaving them when he came to the probation office, he carried them until he could see his probation officer personally. He had previously explained that he did not report to the halfway house because he would have to give up his job since he had been transferred.

. For example, in death penalty cases or where a jury imposes a sentence, question and answer testimony may be required since those proceedings are more analogous to a trial.