United States v. Colon-Rosario
Opinion
Dismayed by his 240-month prison sentence, defendant-appellant Alex Colón-Rosario claims that the prosecutor committed various breaches of his plea agreement (the Agreement) during the disposition hearing. Since the appellant raises these claims for the first time on appeal, our review is solely for plain error. Discerning none, we affirm the judgment below.
I. BACKGROUND
We briefly rehearse the relevant facts and travel of the case. Because this appeal trails in the wake of a guilty plea, we draw our account from the Agreement, the change-of-plea colloquy, the presentence investigation report (PSI Report), and the transcript of the disposition hearing.
See
United States
v.
Coleman
,
Following the expiration of a restraining order previously obtained by the mother of his seven-year-old son, the appellant began taking the boy to his house for weekend visits. During these interludes, the appellant voiced threats of violence, abused his son physically and sexually, and took pornographic pictures. The boy's mother eventually noticed a significant change in his behavior and learned of the abuse. On February 7, 2014, she notified the sex-crimes division of the Puerto Rico Police Department.
Matters deteriorated even further when, on March 28, 2014, the son either threatened or attempted to commit suicide three times during the course of the day. After the third incident, the boy was hospitalized in a mental institution. He was discharged after eight days of inpatient care.
We fast-forward to June 3, 2015, when a federal grand jury sitting in the District of Puerto Rico charged the appellant with three counts of transporting a minor (his son) with the intent to engage in criminal sexual activity.
See
The tectonic plates shifted, though, when the probation department compiled the PSI Report. There, the probation department recommended a TOL of 43 - a figure reached by beginning with a higher base offense level and including enhancements that had not been factored into the guideline calculations used in the Agreement, such as enhancements for threats or force, the victim's vulnerability, serious bodily injury, and a pattern of criminal
activity.
See
The appellant proceeded to file a sentencing memorandum seeking a 120-month sentence (the mandatory minimum for the offense of conviction). The memorandum outlined what he believed were mitigating factors, such as his impoverished childhood and his lack of education. The government's sentencing memorandum defended the GSR calculated in the Agreement and explained that this calculation was "result-oriented" in that the government had tendered the plea offer to protect the victim from the trauma of a trial. Accordingly, the government asked the court to impose a 168-month sentence.
The disposition hearing was held on October 25, 2017.
2
At the hearing, the sentencing court adopted the guideline calculations set out in the PSI Report (not those limned in the Agreement). Defense counsel argued for the mandatory minimum sentence - a 120-month term of immurement. For his part, the prosecutor argued in support of an incarcerative sentence of 168 months. After considering the contentions of counsel, the PSI Report, and the factors enumerated in
II. ANALYSIS
The appellant argues that the government failed to honor the commitments that it undertook in the Agreement. The various incidents of alleged breach relate to the government's supposed failure to advocate straightforwardly for the sentence that it had agreed to recommend. There is, however, a threshold issue regarding the Agreement's waiver-of-appeal provision. We start there.
A. The Waiver-of-Appeal Provision .
The government posits that this appeal should be dismissed because the appellant's opening brief failed to address the waiver-of-appeal provision at all. In the government's view, a defendant who signs a plea agreement containing an appeal waiver and then attempts to appeal must perforce explain, in his opening brief, why the waiver does not pretermit the appeal. For this proposition, the government relies on our decision in
United States
v.
Miliano
, in which we held that the defendant had an affirmative obligation to explain up-front why the waiver-of-appeal provision in his plea agreement was inapplicable.
See
Everything depends on context, though, and the government wrests Miliano from it contextual moorings. The rule established there pertains only when a colorable question exists as to whether a waiver-of-appeal provision applies. There is no such question here.
It is black-letter law that a waiver-of-appeal provision precludes only those appeals that fall within its scope.
See
United States
v.
Fernández-Cabrera
,
B. The Appellant's Claims .
This brings us to the appellant's claims of error. Our starting point is his claim that the prosecutor violated the Agreement by telling the district court that there were no mitigating factors in the appellant's case and that the only reason the government made such a "sweetheart deal" was to avoid exposing the victim (a young boy) to the rigors of trial. Because the appellant failed to preserve this claim below, our review is solely for plain error.
See
United States
v.
Duarte
,
As we have said, plain error is "a formidable standard of appellate review."
United States
v.
Saxena,
We detect nothing resembling plain error here. The Agreement committed the government to recommend a sentence of 168 months. Because the appellant's plea rested, in part, on this promise, the promise had to be fulfilled.
See
Santobello
v.
New York
,
To begin, the government's obligation to honor its plea-agreement commitments does not exist in a vacuum. The government has a corollary obligation to furnish the sentencing court with accurate information and to answer the court's questions forthrightly.
See
Almonte-Nuñez
,
In the case at hand, the "sweetheart deal" statement to which the appellant refers was not a spontaneous utterance. To the contrary, it was made in response to defense counsel's assertion that the government had agreed to recommend a bottom-of-the-range sentence and to allow the appellant to argue for a downward variance because of mitigating factors in the appellant's life. This assertion misrepresented the government's rationale, and the prosecutor had a right - indeed, a duty - to correct the misrepresentation and inform the sentencing court of the actual rationale.
See
In a variation on this theme, the appellant attacks the "sweetheart deal" comment from a different angle. He suggests that the comment shows that the government acted in bad faith and "induce[d] him to plea." But this suggestion is pulled out of thin air: protecting a minor victim from exposure to trial may constitute a legitimate reason for offering a defendant a reduced sentence.
Cf.
Globe Newspaper Co.
v.
Super. Ct. for Norfolk Cty.
,
The appellant next asserts that the prosecutor breached the Agreement by "vigorously" delineating certain aggravating factors pertaining to his case. He notes that, at the disposition hearing, the prosecutor made much of the fact that the victim was the appellant's minor son and recounted that the abuse consisted of oral sex, sodomy, physical harm, threats of violence, and rape. This assertion, too, is subject only to plain error review - and at any rate, it is unavailing.
As we already have indicated, the government has an affirmative obligation to supply the sentencing court with accurate facts, including relevant offense characteristics.
See
Almonte-Nuñez
,
In all events, "[w]hen the parties agree that a defendant may argue for a particular sentence while the government may argue for a somewhat stiffer sentence, the government is not constrained to pull its punches when arguing for the stiffer sentence."
Montañez-Quiñones
,
In a last ditch effort to snatch victory from the jaws of defeat, the appellant asseverates that the prosecutor transgressed the Agreement by telling the sentencing court that "[t]he nature and circumstances of the offense, the seriousness of the offense, [and] the requirements for just punishment do not scream for a [downward] variance or a departure" from the GSR. Because a 168-month sentence necessitated a downward variance from the GSR adopted by the sentencing court, the quoted statement - in the appellant's view - undermined the foundation on which the proposed 168-month sentence rested. Thus, the appellant says the prosecutor took with the left hand what he was committed to give with the right hand.
This asseveration need not detain us. While the quoted statement is admittedly unclear as to which GSR calculation the prosecutor had in mind when speaking of the lack of any predicate for "a variance or a departure" - the GSR mentioned in the Agreement or the GSR adopted by the court - the prosecutor clarified any ambiguity within a matter of moments. He told the court that when he stated that "nothing the defense has said would imply that [the appellant] deserved a variance," he was referring to a "variance [from] our calculation [in] the plea agreement." When assessing a claim that a prosecutor has breached a plea agreement, we must consider the sentencing record as a whole.
See
Almonte-Nuñez
,
III. CONCLUSION
We need go no further. For the reasons elucidated above, the judgment of the district court is
Affirmed .
Pursuant to the Agreement, the other two counts of the indictment were dismissed at the time of sentencing.
Hurricane Maria struck Puerto Rico prior to sentencing. The United States District Court for the District of Puerto Rico was forced to close temporarily and the sentencing phase of this case was conducted in a courtroom located in the Southern District of Mississippi.
The proof of the pudding is that the government, in its brief on appeal, argues only that the appellant has defaulted by failing to address the waiver-of-appeal provision. It does not argue that the waiver-of-appeal provision can plausibly be read to bar this appeal. Indeed, the government concedes that "the waiver of appeal was not triggered because the district court did not sentence [the appellant] within the total offense level of 35."
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. Alex COLÓN-ROSARIO, Defendant, Appellant.
- Cited By
- 8 cases
- Status
- Published