United States v. Acevedo-Osorio
United States v. Acevedo-Osorio
Opinion
United States Court of Appeals For the First Circuit
Nos. 21-1708, 22-1610
UNITED STATES OF AMERICA,
Appellee,
v.
NATANAEL ACEVEDO-OSORIO,
Defendant, Appellant.
APPEALS FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF PUERTO RICO
[Hon. Francisco A. Besosa, U.S. District Judge]
Before
Montecalvo, Lipez, and Thompson, Circuit Judges.
José David Rodríguez, Research and Writing Specialist, with whom Eric Alexander Vos, Federal Public Defender, and Franco L. Pérez-Redondo, Assistant Federal Public Defender, Supervisor, Appeals Division, were on brief, for appellant.
Gregory B. Conner, Assistant United States Attorney, with whom W. Stephen Muldrow, United States Attorney, and Maria E. Bauzá-Almonte, Assistant United States Attorney, Chief, Appellate Division, were on brief, for appellee.
September 24, 2024 LIPEZ, Circuit Judge. Appellant Natanael Acevedo-Osorio
("Acevedo") pleaded guilty to one count of coercion and enticement
of a minor. Pursuant to the plea agreement, Acevedo and the
government jointly recommended a sentence of 120 months'
imprisonment, the statutory minimum. Though such a sentence fell
well below the Guidelines sentencing range calculated for Acevedo,
the government offered no explanation for its sentencing
recommendation at the sentencing hearing. The court proceeded to
sentence Acevedo to 292 months in prison -- more than double the
sentence asked for by the parties, an increase of fourteen years.
The court also imposed a condition of supervised release
prohibiting Acevedo from having unsupervised contact with any
minor, including his children, and it ordered him to pay a special
assessment and restitution.
Acevedo now raises a bevy of challenges to this sentence
on appeal, highlighting both the government's lack of any
explanation for the negotiated sentence at the sentencing hearing
and the severity of the sentence and release conditions imposed.
We agree with Acevedo that the government breached the plea
agreement, as its laconic approach to the sentencing hearing
"undermine[d] the benefit of the bargain." United States v.
Frazier,
340 F.3d 5, 10(1st Cir. 2003) (internal quotation marks
omitted). Even so, we conclude that -- under the circumstances
now before us -- the sentencing court's tacit endorsement of the
- 2 - government's breach does not constitute plain error, and we
otherwise affirm the length of the sentence as reasonable. For
the reasons laid out below, we also affirm the restriction on
Acevedo's unsupervised contact with his children, but we vacate
and remand the special assessment and restitution orders.
I.
A. Factual Background
Our description of the facts comes from the plea
agreement, the change of plea colloquy, the presentence
investigation report ("PSR"), and the transcript of the sentencing
hearing. See United States v. Diaz-Serrano,
77 F.4th 41, 44(1st
Cir. 2023).
The relevant events concern Acevedo's sexual contact
with and solicitation of sexually explicit material from S.Q.R.
Acevedo met S.Q.R. in 2016 at a boxing gym. The first sexual
contact occurred in 2018, when Acevedo was twenty-five and S.Q.R.
was fifteen. Over the ensuing months, Acevedo subsequently had
sex with S.Q.R. many more times, and, on one occasion, Acevedo
took pictures of S.Q.R. without her knowledge while she slept,
including one in which she was naked, which he then threatened to
disseminate. When S.Q.R.'s mother became aware of Acevedo's
treatment of her daughter, she reported Acevedo to the police1 and
1 The record does not explain the outcome of this complaint to the police.
- 3 - sent S.Q.R. from Puerto Rico to Pennsylvania to live with S.Q.R.'s
father.
Acevedo continued to communicate with S.Q.R., using
messaging apps and social media, to solicit and receive sexually
explicit depictions of S.Q.R. On one occasion, during a video
chat, he asked S.Q.R. to perform sexual acts, and, unbeknownst to
her, recorded her doing so. Acevedo threatened to disseminate the
video unless she sent him more sexually explicit material, which
she did. Acevedo also pressured S.Q.R. to return to Puerto Rico
and live with him, which S.Q.R. unsuccessfully attempted to do.
After this event, her father confiscated her cell phone, but the
two maintained communication using another device.
Eventually, Acevedo sent a naked picture of S.Q.R. to
one of her coworkers, which prompted S.Q.R. to quit her job and
move to Oklahoma to live with her brother. Afterward, Acevedo
continued to solicit and receive explicit photos from S.Q.R., which
he again threatened to distribute. He also demanded to know her
whereabouts, commanded her to respond to his communications
instantly, and peppered her with jealous questions about her sexual
activity. Whenever she failed to respond promptly or provide
explicit photos of herself, he berated her with foul language.
All told, between June and August of 2019, the period charged in
the indictment, when S.Q.R. was 16 years old, Acevedo received at
least forty sexually explicit photos of her.
- 4 - S.Q.R. returned to Puerto Rico in August 2019. After
learning of her return, Acevedo instructed her to see him within
forty-eight hours. He threatened to pay someone to burn her
mother's car, break down her door, and abduct her if she refused.
That night, the car of S.Q.R.'s mother exploded after Acevedo
purportedly paid someone to set it on fire.
B. The Indictment and Plea Agreement
In 2019, a grand jury returned a three-count indictment
against Acevedo, charging him with the production of child
pornography, see
18 U.S.C. § 2251(a), (e) (Count 1); coercion and
enticement of a minor, see
18 U.S.C. § 2422(b) (Count 2); and
receipt of child pornography, see
18 U.S.C. § 2252(a)(2)(A),
(b)(1) (Count 3). Acevedo agreed to plead guilty to coercion and
enticement of a minor in exchange for the dismissal of Counts 1
and 3.
The plea agreement included a total offense level
calculation of 29, reflecting a base offense level of 32 because
the offense involved "causing . . . a minor to engage in sexually
explicit conduct for the purpose of producing a visual depiction
of such conduct," U.S.S.G. § 2G1.3(c)(1); see also id. § 2G2.1(a),
with a three-level reduction for acceptance of responsibility, see
id. § 3E1.1. The parties did not stipulate to a criminal history
category ("CHC"). Regarding the sentence to be recommended, the
agreement stated:
- 5 - After due consideration of the relevant factors enumerated in
18 U.S.C. § 3553(a), in exchange for the defendant pleading guilty to Count Two of the [i]ndictment, the parties will request the mandatory minimum sentence of one hundred twenty (120) months. The parties agree that the defendant shall serve at least five years of supervised release. The defendant agrees that the sentence range[2] is reasonable pursuant to Title
18, United States Code, § 3553(a).
In the statement of facts incorporated into the plea
agreement, Acevedo admitted only that he "requested [S.Q.R.] to
send him sexually explicit images of her through the WhatsApp
Messaging Application and then threatened to disseminate her
images if she did not comply with his demands." The statement
also noted that S.Q.R.'s phone contained sexually explicit images
of herself with timestamps corresponding to written requests from
Acevedo for such images. The district court accepted Acevedo's
guilty plea.
C. The PSR
The PSR outlined Acevedo's alleged acts in much more
specific and lurid detail than the admissions in the plea
agreement. Of particular significance, the PSR revealed that
Acevedo had not only threatened to disseminate explicit images of
S.Q.R. but had actually done so; that he had received at least
2 Notwithstanding use of the word "range," we understand this word to refer to the jointly recommended 120-month sentence. The parties do not suggest otherwise.
- 6 - forty explicit images of her; that he had frequent sexual contact
with her starting when she was fifteen; and that he had threatened
to pay someone to burn her mother's car shortly before it exploded.
With one exception,3 this information was drawn from unsworn,
arguably uncorroborated statements by S.Q.R. to law enforcement
and in her victim impact statement.
The PSR calculated a total offense level of 38. As in
the plea agreement, this calculation included a base offense level
of 32, see U.S.S.G. §§ 2G1.3(c)(1), 2G2.1(a), and a three-level
decrease for acceptance of responsibility, see id. § 3E1.1. But
the calculation in the PSR added a two-level increase for knowingly
distributing sexually explicit material involving a minor, see id.
§ 2G2.1(b)(3); a two-level increase for using a computer or
interactive computer service to entice a minor to engage in sexual
conduct, see id. § 2G2.1(b)(6)(B); and a five-level increase for
engaging in a pattern of prohibited sexual activity with a minor,
see id. § 4B1.5(b).
The PSR also included a criminal history score of
five -- three points for a prior firearms conviction, see id.
§ 4A1.1(a), and two points for committing the instant offense
during a term of probation.4 That score placed Acevedo in the CHC
3 According to the PSR, the FBI case agent verified the fact that S.Q.R. sent Acevedo at least 40 sexually explicit images. 4 In 2023, the Guidelines were amended to eliminate the automatic application of two criminal history points for offenses
- 7 - of III, yielding a Guidelines sentencing range of 292-365 months.
U.S.S.G. ch. 5, pt. A (sentencing table). The PSR noted that
Acevedo had experienced trauma, including a turbulent childhood
and the murders of both his father and brother, as a mitigating
factor to consider. On the other hand, the PSR stated that
Acevedo's threatening and abusive conduct, as well as his violation
of probation, "demonstrat[ed] [Acevedo's] total disregard for the
law."
D. The Sentencing Hearing
At the sentencing hearing, Acevedo's counsel objected to
the PSR's reliance on S.Q.R.'s unsworn statements in its statement
of facts and victim impact statement. Counsel also argued that
some of the statements were unrelated to the crime of conviction.
The sentencing court overruled that objection, stating broadly
that "the information provided by the victim is reliable and
verified enough" to include in the PSR as discovery information
pertinent to the indicted conduct and noting that the sentencing
enhancements supported by those statements do not require a
conviction.
Counsel next objected to the recommendation in the PSR
of a special assessment of $5,000 pursuant to the Justice for
committed during probation previously imposed under U.S.S.G. § 4A1.1(d). This amendment is not relevant to the issues on appeal.
- 8 - Victims of Trafficking Act ("JVTA"), see
18 U.S.C. § 3014(a),
arguing that it was inapplicable because Acevedo was indigent.
The court denied that objection but said it would reconsider if
"Mr. Acevedo can later indicate that he will not be able to pay
the $5,000 because of inability to have a job." Lastly, counsel
objected to the PSR's proposed condition of supervised release
that would restrict him from having unsupervised contact with his
own minor children.5 At the court's prompting, the probation
officer explained that Acevedo would be able to contact his
children with a chaperone, and that the restriction could later be
lifted with the approval of his probation officer, his mental
health treatment provider, and the children's mothers. On that
understanding, the court overruled the objection.
With respect to Acevedo's requested sentence, Acevedo's
counsel emphasized Acevedo's turbulent upbringing and the recent
murder of his brother as mitigating factors. She also pointed to
the ongoing support of his family, the mothers of his children,
and his boxing coach as evidence of his good character. Lastly,
counsel noted that Acevedo would have to serve one year in state
5 The proposed condition provided: "[Acevedo] shall not have unsupervised contact as to any other related or non-related child below the ages of 18, specifically his children, unless determined to be appropriate by the treatment provider and the Probation Officer and always in the presence of his children's mothers." To be clear, Acevedo has not challenged the restriction against unsupervised contact with minor children other than his own.
- 9 - prison due to the revocation of his probation and would have to
register as a sex offender as additional consequences of his crime.
Counsel argued that these considerations supported the jointly
recommended 120-month sentence.
The government offered only the following: "Good
morning, Your Honor. On behalf of the Government, we would be
recommending 120 months pursuant to the plea agreement. Thank
you."
Agreeing with the PSR, the court calculated a total
offense level of 38 and a CHC of III, for a Guidelines sentencing
range of 292 to 365 months. After recounting Acevedo's criminal
history and the PSR's description of events, the court found
Acevedo's "abusive and threatening conduct" outweighed any
mitigating circumstances. The court stated that the recommended
120-month sentence "does not reflect the seriousness of Mr.
Acevedo's offense, does not promote respect for the law, does not
protect the public from future crimes from Mr. Acevedo, and does
not address the issues of deterrence and punishment." It then
sentenced Acevedo to 292 months' imprisonment, the bottom of the
calculated Guidelines sentencing range.
Consistent with the recommendation in the PSR, the court
also imposed a fifteen-year term of supervised release, three times
greater than the five-year term recommended by the plea agreement,
and the condition that he have no unsupervised contact with any
- 10 - minors, including his children. The court ordered the $5,000 JVTA
assessment. The court also ordered Acevedo to pay restitution but
opted to defer deciding the amount to later proceedings. In a
subsequent filing, the government requested $3,275 of restitution
for the destruction of S.Q.R.'s mother's car. Before Acevedo could
file a response, the court granted that request.
In this timely appeal, Acevedo argues that the
government breached the plea agreement. He also challenges the
sentence as procedurally unreasonable, and he seeks vacatur of the
restriction on unsupervised access to his children, the JVTA
assessment, and the restitution order.
II.
We begin with Acevedo's 292-month sentence.
A. Breach of the Plea Agreement
Given that Acevedo did not assert that the government
breached the plea agreement during the sentencing proceedings, our
review is for plain error. See United States v. Sierra-Jiménez,
93 F.4th 565, 570(1st Cir. 2024). To satisfy this "rigorous"
standard, United States v. Ortiz,
741 F.3d 288, 293(1st Cir.
2014), Acevedo must show "(1) that an error occurred (2) which was
clear or obvious and which not only (3) affected the [appellant's]
substantial rights, but also (4) seriously impaired the fairness,
integrity, or public reputation of judicial proceedings," United
- 11 - States v. Cheveres-Morales,
83 F.4th 34, 42-43(1st Cir. 2023)
(alteration in original).
1. Background Law
"There is no doubt whatsoever that plea agreements play
an 'important role . . . in our criminal justice system.'" United
States v. Cortés-López,
101 F.4th 120, 127(1st Cir. 2024)
(omission in original) (quoting Frazier,
340 F.3d at 10). After
all, plea bargains facilitate the "prompt" administration of
justice, thus warding off the "corrosive impact" on defendants of
lengthy pretrial detention, "protect[ing] the public" when such
detention is not imposed, and "enhanc[ing] . . . the
rehabilitative prospects of the guilty." Frazier,
340 F.3d at 10(quoting Santobello v. New York,
404 U.S. 257, 261(1971)). Plea
bargaining also "benefits a host of [other] important
constituencies," including the government and the public in the
form of preserved resources and efficient law enforcement, as well
as victims of crimes, who secure a quick and final judgment.
Jeffrey Bellin, Plea Bargaining's Uncertainty Problem,
101 Tex. L. Rev. 539, 548-49 (2023).
Pleading guilty is also a weighty decision for a
defendant, who typically agrees to waive important constitutional
rights in exchange for the government's promise to lend its
"prestige" to the defendant's requested sentence, and with it the
added "potential to influence the district court" to accept the
- 12 - agreed-upon sentence. United States v. Velez Carrero,
77 F.3d 11, 11-12(1st Cir. 1996) (emphasis omitted). At bottom, hence, our
strict enforcement of plea agreements stems from our desire to
protect defendants from forsaking their fundamental trial rights
in exchange for empty promises, see Frazier,
340 F.3d at 10.
Accordingly, to preserve faith in the plea-bargaining process, "we
'hold prosecutors to the most meticulous standards of promise and
performance.'" United States v. Brown,
31 F.4th 39, 50(1st Cir.
2022) (internal quotation marks omitted) (quoting United States v.
Marín-Echeverri,
846 F.3d 473, 478(1st Cir. 2017)). As this
formulation implies, traditional contract principles guide our
assessment of the plea agreement and the government's adherence to
it. Id.; see also Puckett v. United States,
556 U.S. 129, 137(2009) ("[P]lea bargains are essentially contracts.").
Broadly speaking, the government may breach a plea
agreement in two ways. First, it can breach the agreement's
express terms by doing something that it promised not to do, see,
e.g., Santobello,
404 U.S. at 262(finding breach when government
promised to make no sentencing recommendation but did so), or
failing to do something that it promised to do, see, e.g., Velez
Carrero,
77 F.3d at 11-12(finding breach when government promised
to oppose an offense level adjustment but instead "ma[de] no
suggestion to the court" as to a potential adjustment).
- 13 - Second, even when the government is in "technical
compliance" with the plea agreement's express terms, the
prosecutor's actions may implicitly "undercut" the deal. United
States v. Almonte-Nuñez,
771 F.3d 84, 89, 90(1st Cir. 2014). As
we have often stated, the government may not merely pay "lip
service" to the plea agreement, "reaffirm[ing] a promise to the
defendant out of one side of [its] mouth" but "try[ing] to subvert
it out of the other side."
Id. at 91. After all, "as in all
contracts, plea agreements are accompanied by an implied
obligation of good faith and fair dealing." Frazier,
340 F.3d at 11(quoting United States v. Ahn,
231 F.3d 26, 35-36(D.C. Cir.
2000)); see also Cortés-López,
101 F.4th at 128("[T]he defendant
is entitled to both the 'benefit of the bargain struck in the plea
deal and to the good faith of the prosecutor.'" (quoting United
States v. Lessard,
35 F.4th 37, 42(1st Cir. 2022))).
While there is no "magic formula" for evaluating claims
of breach, United States v. Gonczy,
357 F.3d 50, 54(1st Cir.
2004), the government's "overall conduct must be reasonably
consistent with making [the agreed-upon] recommendation, rather
than the reverse," United States v. Canada,
960 F.2d 263, 269(1st
Cir. 1992). Put another way, we must examine the "net effect of
the government's behavior" to determine whether, on balance, it
has "undermine[d] the benefit of the bargain." Cortés-López,
101 F.4th at 128(internal quotation marks omitted) (quoting Frazier,
- 14 -
340 F.3d at 10). We thus must examine the totality of the
circumstances in a case-by-case approach.
Id.Typically, cases of implicit breach involve the
government saying or doing something that could signal to the
sentencing court its dissatisfaction with the agreed-upon
sentence. See United States v. Miranda-Martinez,
790 F.3d 270, 275(1st Cir. 2015) (noting that breach may occur when the
prosecutor engages in "implicit advocacy" for a result contrary to
the plea agreement). In Canada, for instance, we found that the
prosecutor had engaged in such a wink and a nod by making only
"grudging and apologetic" comments in support of the agreed-upon
sentence while stressing the need for "a lengthy period of
incarceration" and emphasizing facts that supported an enhancement
not contemplated by the plea agreement.
960 F.2d at 269(internal
quotation marks omitted). Likewise, in Gonczy, the prosecutor
ostensibly stood by the plea agreement's recommendation but then
emphasized the harmful consequences of the defendant's acts so
much that no "impartial observer [would] think that [the
government] thought [the agreed-upon sentence] was
. . . adequate."
357 F.3d at 54; see also United States v.
Mojica-Ramos,
103 F.4th 844, 850(1st Cir. 2024) (finding breach
where government called the defendant "exception[ally]" dangerous
and adduced copious evidence of uncharged criminal behavior);
Cortés-López,
101 F.4th at 132-33(finding breach where,
- 15 - unprompted, the government endorsed the Guidelines calculation in
the PSR rather than the less harsh calculation in the plea
agreement).
On the other hand, the government ordinarily has no
"obligation . . . to further explain its recommendation," even in
the case of a downward variance, "when such an obligation is not
explicit in the plea agreement." United States v. Cruz-Agosto,
102 F.4th 20, 26(1st Cir. 2024); see also Lessard,
35 F.4th at 44(holding that, unless contemplated by the plea agreement, the
government has "no affirmative obligation of either advocacy or
explication"). Nor must the government present the recommended
sentence enthusiastically. Cruz-Agosto,
102 F.4th at 25. Indeed,
unless expressly disallowed by the terms of the plea agreement,
the government has a right to explain to the court its rationale
for agreeing to and recommending the sentence in terms unfriendly
to the defendant, by, for example, explaining that the sentence is
warranted by the need for punishment, so long as it does not imply
that a greater sentence is called for. See, e.g., Brown,
31 F.4th at 50-51(finding no breach where, despite emphasizing that the
defendant had acted "reckless[ly]," the government's conduct was
consistent with recommending the agreed-upon sentencing range).
These limitations accord with traditional contract
principles. While the government must act in good faith, Frazier,
340 F.3d at 11, that duty only prohibits the government from
- 16 - interfering with a defendant's reasonably expected benefit of the
bargain, Metcalf Constr. Co. v. United States,
742 F.3d 984, 991(Fed. Cir. 2014). It does not impose upon the government
additional "duties beyond those in the express contract or create
duties inconsistent with the contract's provisions."
Id.(quoting
Precision Pine & Timber, Inc. v. United States,
596 F.3d 817, 831(Fed. Cir. 2010)); but see
id.(explaining that the implied duty
of good faith and fair dealing "prevents a party's acts or
omissions that, though not proscribed by the contract expressly,
are inconsistent with the contract's purpose and deprive the other
party of the contemplated value").
Notwithstanding our general rule that the government has
no implied duty to explain a plea deal's recommended sentence, we
have recognized that the government may be obliged to offer "some
minimal explanation" in the rare circumstance in which the parties
agree to jointly recommend a sentence that amounts to such a
"dramatic downward variation" that, without some justification by
the government, "the district court [would be] left to speculate
about what rationale might reasonably support such a seemingly
off-kilter, well-below guidelines recommendation." Cortés-López,
101 F.4th at 132-33. Thus, in Cortés-López, we found that the
government was obliged to provide some justification for its
recommendation, pursuant to the plea agreement, of what appeared
to be an extremely lenient sentence -- twenty-four months'
- 17 - probation -- as compared to the calculated low-end sentence of
seventy-eight months' imprisonment laid out in the PSR. Because
the recommended sentence differed from the applicable Guidelines
sentence so drastically, in both degree and in kind, the
government's "reserve" could only be interpreted as "a repudiation
of the agreement."6
Id. at 133.
Finally, despite the government's obligation to honor
the bargain struck in the plea agreement, we have recognized that
the government has "a concurrent and equally solemn obligation to
provide relevant information to the sentencing court."
Almonte-Nuñez,
771 F.3d at 86, 90; see also
18 U.S.C. § 3661("No
limitation shall be placed on the information concerning the
background, character, and conduct of a person convicted of an
offense which a court of the United States may receive and consider
for the purpose of imposing an appropriate sentence."); U.S.S.G.
§ 1B1.4 (same). At times, this obligation to the court may come
into "tension" with "the fact that 'certain factual omissions,
6 We note that in Cruz-Agosto -- a decision issued just four days after Cortés-López -- we stated that "we have never imposed an obligation on the government to further explain its recommendation for a downwardly variant sentence." Cruz-Agosto,
102 F.4th at 26(emphasis added). However, Cruz-Agosto does not cite Cortés-López, and we assume that the later panel was simply unaware of that just-issued opinion requiring explanation in certain extreme circumstances. In any event, the jointly recommended downward variance in Cruz-Agosto -- which was only twenty months shorter than, or about 35% less than, the lower end of the Guidelines range -- was far less significant than the "dramatic" variance requested in Cortés-López.
- 18 - helpful to the defendant, may be an implicit part of the bargain
in a plea agreement.'" United States v. Davis,
923 F.3d 228, 237(1st Cir. 2019) (internal quotation marks and alteration omitted)
(quoting Miranda-Martinez,
790 F.3d at 274).
In assessing the government's conduct, we must balance
these competing interests, recognizing that the government will
rarely breach a plea agreement merely by providing relevant
information to the court that happens to be unfavorable to a
defendant, so long as it does not cross the line into express or
implicit advocacy for a greater-than-agreed-upon sentence
recommendation. See Almonte-Nuñez,
771 F.3d at 90(finding no
breach where the government agreed that there was a factual basis
for an offense-level adjustment not contemplated by the plea
agreement but continued to advocate for the agreed-upon sentence).
It is particularly significant in the breach analysis when the
information provided by the government came at the court's
prompting. See, e.g., id.; United States v. Saxena,
229 F.3d 1, 7(1st Cir. 2000) ("We consider it important that the AUSA's
remarks came at the court's urging and in direct response to
defense counsel's attempt to put an innocent gloss on the post-plea
activities.").
2. Discussion
Acevedo argues that, during the sentencing hearing, the
government both breached the plea agreement's express terms and
- 19 - implicitly repudiated it. We need not treat these theories of
breach as wholly separate. Because we assess the totality of the
circumstances, we must consider both the terms of the agreement
and the government's conduct, viewed holistically, to assess
whether, overall, the government acted consistently with Acevedo's
reasonable expectations. See Canada,
960 F.2d at 268-70(concluding that the government had breached the plea agreement
based on explicit and implicit factors).
Our focus on Acevedo's reasonable expectations follows
from the contract principles discussed above. As noted, plea
agreements, like all contracts, "are accompanied by an implied
obligation of good faith and fair dealing," Frazier,
340 F.3d at 11(quoting Ahn,
231 F.3d at 35-36), which obligates the government
to refrain from "acts or omissions that . . . are inconsistent
with the contract's purpose and deprive the other party of the
contemplated value," Metcalf Const. Co.,
742 F.3d at 991; see also
Restatement (Second) of Contracts § 205 (Am. L. Inst. 1981) ("Good
faith performance or enforcement of a contract emphasizes
faithfulness to an agreed common purpose and consistency with the
justified expectations of the other party"); 23 Williston on
Contracts § 63:22 (4th ed. 2024) ("[W]hen one party performs the
contract in a manner that is unfaithful to the purpose of the
contract and the justified expectations of the other party are
thus denied, there is a breach of the covenant of good faith and
- 20 - fair dealing."). Accordingly, in construing plea agreements,
"[t]he touchstone is the 'defendant's reasonable understanding' of
the agreement." United States v. Gardner,
5 F.4th 110, 114(1st
Cir. 2021) (quoting United States v. Conway,
81 F.3d 15, 17(1st
Cir. 1996)); cf. United States v. Gall,
829 F.3d 64, 72 n.6 (1st
Cir. 2016) (citing cases for the general proposition that a court's
construction of a plea agreement should align with the reasonable
expectations of the parties). The government's conduct must be
"reasonably consistent," Canada,
960 F.2d at 269, with the benefit
of the bargain that induced the defendant to forgo important
constitutional trial rights and instead admit guilt.
The agreement states that "[a]fter due consideration of
the relevant factors enumerated in
18 U.S.C. § 3553(a), in exchange
for the defendant pleading guilty to Count Two of the Indictment,
the parties will request the mandatory minimum sentence of one
hundred twenty (120) months." Acevedo argues that the phrase
"[a]fter due consideration of the relevant factors" obligated the
government, during the sentencing hearing, to contextualize its
recommendation within the sentencing factors. Another possible
interpretation, however, is that this reference merely reflects
the parties' understanding that the sentence aligns with the
sentencing factors. "[W]hen the words of a plea agreement are
unclear, extrinsic evidence may be considered to clarify the
parties' understanding." Gall,
829 F.3d at 72. Neither party,
- 21 - however, points to extrinsic evidence clarifying the agreement's
meaning, and our independent review of the record is likewise
unavailing. We thus fall back on the general contract principle
that, as the drafter of the agreement, "[a]mbiguities in plea
agreements are construed against the government." United States
v. Newbert,
504 F.3d 180, 185 & n.3 (1st Cir. 2007); see also
United States v. Giorgi,
840 F.2d 1022, 1026(1st Cir. 1988)
("Given the relative interests implicated by a plea bargain, we
find that the costs of an unclear agreement must fall upon the
government."). Therefore, the phrase, even if ambiguous, informs
our understanding of what Acevedo reasonably expected to get out
of pleading guilty: a sentencing hearing in which the court would
understand why, under the relevant sentencing factors, the
government believed a 120-month sentence was appropriate.
Hence, to resolve Acevedo's claim that the government
implicitly repudiated the agreement with its terse presentation,
we must determine if the government acted consistently with
Acevedo's expectation. Whereas many of our cases finding an
implicit breach involved plainly discernable cues to the
sentencing judge that the government disapproved of the
agreed-upon sentence, see, e.g., Mojica-Ramos,
103 F.4th at 850;
Gonczy,
357 F.3d at 54; Canada,
960 F.2d at 268-69, here any such
wink or nod by the government was far more subtle. That is, the
government never affirmatively sent such a message of disapproval.
- 22 - Indeed, the prosecutor uttered only 16 words of substance: "On
behalf of the Government, we would be recommending 120 months
pursuant to the plea agreement."
The government defends that tightlipped approach
entirely on the general principle that, absent an express statement
in the plea agreement, it has "no affirmative obligation of either
advocacy or explication," Lessard,
35 F.4th at 44, even when
recommending a substantial downward variance, see Cruz-Agosto,
102 F.4th at 26(finding no breach where the parties agreed to
recommend a thirty-seven-month sentence whereas the Guidelines
sentencing range was fifty-seven to seventy-one months). The
government's sole reliance on that principle is difficult to
square, however, with our recent decision in Cortés-López. See
101 F.4th at 132-33(finding breach where government's only
affirmative acknowledgment of the agreed-upon sentence was its
statement that it would "stand by" the agreement, spoken after its
unprompted assent to the drastically higher loss amount in the PSR
than contemplated by the plea agreement).
As we discuss below, there are several meaningful
factual differences between that case and the present
circumstance. Nonetheless, the core principle articulated in
Cortés-López -- that in certain circumstances the government owes
at least a "minimal explanation,"
id. at 132, when it agrees to
jointly recommend a dramatic downward variance -- leads us to
- 23 - conclude that here "the government's failure to provide at least
some explanation for its decision to lend its prestigious
imprimatur to such a dramatic downward variation likely caused the
district court to view the government's 'stand by' statement as
just hollow words, undermining any notion that the government
viewed the plea agreement as fair and appropriate,"
id. at 133.7
Most significantly, the jointly recommended sentence
here was the statutory minimum of 120 months' imprisonment, whereas
the applicable Guidelines sentencing range called for 292-365
months. In other words, the government agreed to recommend a
sentence that was, in raw terms, fourteen years less than the
minimum sentence called for by the Guidelines, and, in relative
terms, less than half as long.
Additionally, similar to Cortés-López, see
101 F.4th at 132-33, we find the government's reserved approach especially
remarkable considering the stark differences between the plea
agreement and the PSR.8 As we have noted, the PSR described in
7The fact that we decided Cortés-López after Acevedo's sentencing proceeding does not affect our analysis. See United States v. Delgado-Sánchez,
849 F.3d 1, 13(1st Cir. 2017) ("[P]lain error review requires us to evaluate whether the law is clear now, at the time we are conducting appellate review, regardless of whether the law was unclear at the time of sentencing."). In Cortés-López, which involved financial fraud, the PSR 8
calculated a much greater loss amount than the one calculated by the parties, which resulted in a far greater total offense level and Guidelines sentencing range that further underscored the lenient sentence recommended pursuant to the plea agreement.
- 24 - painful detail a long-running, sexually exploitative
"relationship" beginning when S.Q.R. was just fifteen years old,
characterized by abusive language and threats of humiliation.
Moreover, the PSR divulged the production of a sexually explicit
video, the exchange of approximately forty sexually explicit
photos of S.Q.R., the unwanted distribution of one such photo to
her coworker, and the purported destruction of S.Q.R.'s mother's
car. By contrast, Acevedo understood that he was pleading guilty
to one count of coercion and enticement of a minor, based on the
minimal, unadorned admission of soliciting an explicit video on
one occasion and a vague admission of threatening to distribute.
That sparse narrative informed the parties' agreement to jointly
recommend the most lenient possible sentence for that offense,
while dismissing the additional charges of production and receipt
of child pornography.9 Ultimately, the revelations in the PSR,
which supported several sentencing enhancements absent from the
plea agreement, led the probation office to calculate a total
offense level and Guidelines sentencing range that dwarfed the one
calculated by the parties and painted a damning portrait of
Acevedo.
We note that the statutory minimum sentence for production 9
of child pornography would have been fifteen years' imprisonment rather than the ten-year statutory minimum for Acevedo's crime of conviction. See
18 U.S.C. § 2251.
- 25 - We can see no reason why the government would not have
been aware of this information when it entered into the plea
agreement. Other than some details introduced by S.Q.R.'s victim
impact statement, most of the PSR's narrative comes from the
government's discovery, particularly S.Q.R.'s statements to
investigators.10 The government thus surely understood that, by
agreeing to dismiss the child pornography charges and recommending
the most lenient possible sentence despite the severity of
Acevedo's wrongful conduct, it was making Acevedo an unusually
generous offer that would induce the reasonable expectation,
informed by the advice of counsel, that his acceptance of
responsibility would yield a sentencing proceeding that gave him
some hope of leniency. Yet, despite the stark narrative
differences between the plea agreement and the PSR, the government
made no effort to explain why it thought a 120-month sentence was
still warranted under the sentencing factors. Instead, "the
district court was left to speculate about what rationale might
reasonably support such a seemingly off-kilter, well-below
guidelines recommendation." Cortés-López,
101 F.4th at 133.
Acevedo argues that merely by providing this information 10
to the probation office, the government breached the plea agreement. Given the government's "solemn obligation to provide relevant information to the sentencing court," Almonte-Nuñez,
771 F.3d at 86, 90, we disagree.
- 26 - In short, Acevedo did not get what he bargained for: a
sentencing hearing in which an inevitably skeptical court could at
least comprehend why, in the government's view, the sentence was
proper. Of course, such a proceeding would not have guaranteed
Acevedo the lenient sentence he hoped to secure when he agreed to
plead guilty, but it would have at least delivered the promised
benefit of a realistic chance at such an outcome. The government's
failure to offer a "minimal explanation,"
id. at 132, for
recommending what appeared to be a startingly lenient sentence
deprived Acevedo of the added "prestige" necessary for the
government's recommendation to have any "potential to influence
the district court," Velez Carrero,
77 F.3d at 11-12(emphasis
omitted). In the circumstances of this case, the government's
perfunctory performance was thus not "reasonably consistent with
making [the agreed-upon] recommendation." Canada,
960 F.2d at 269. Rather, the "net effect of the government's behavior
undermine[d] the benefit of the bargain upon which [Acevedo] has
relied." Frazier,
340 F.3d at 10(internal quotation marks
omitted).
3. Plain Error Review
Though we conclude that the government's failure to
explain its sentence recommendation in this case was "tantamount
to a repudiation of the agreement," Cortés-López,
101 F.4th at 133, we must still consider whether Acevedo has satisfied the
- 27 - remaining prongs of our plain-error test. Our analysis ends,
however, with the second requirement: that the government's breach
had to be clear and obvious in light of existing law. See
Cheveres-Morales,
83 F.4th at 43. To rise to that level, the
"error must, at the very least, contradict existing law." United
States v. Gonzalez,
981 F.3d 11, 22(1st Cir. 2020). Accordingly,
"ambiguous case law does not give rise to the clear or obvious
error necessary to comport with the plain-error construct,"
id.,required to vacate Acevedo's sentence.
Notwithstanding our recognition that Cortés-López helps
explain why the government's conduct was improper, we perceive
enough differences between that case and the present case that we
cannot conclude that the "error [was] 'indisputable' in light of
controlling law." Gonzalez,
981 F.3d at 22(quoting United States
v. Jones,
748 F.3d 64, 69-70(1st Cir. 2014)). For one thing, in
Cortés-López, we emphasized that the sentence recommendation
warranting a minimal explanation from the government was not only
much shorter than the Guidelines sentencing range but also took a
different form -- probation rather than imprisonment.
101 F.4th at 133. Here, the recommended sentence has a much greater
disparity in length, but had no difference "in kind."
Id.Additionally, in Cortés-López, the prosecutor made an unprompted
statement agreeing with aspects of the PSR that differed from the
plea agreement and supported a higher sentence.
Id. at 132-33.
- 28 - While we did not rest our analysis in Cortés-López on that fact
alone, the presence of such a statement undermining the plea
agreement is a significant factual difference from the present
case.
Indeed, as we have noted, other cases identifying an
implicit repudiation of the plea deal have involved similar
affirmative conduct by the government signaling its
dissatisfaction, as opposed to the government's omission here.
See, e.g., Mojica-Ramos,
103 F.4th at 850; Gonczy,
357 F.3d at 54;
Canada,
960 F.2d at 268-69. Considering this pattern in our past
cases, the general principle that the government has "no
affirmative obligation of either advocacy or explication,"
Lessard,
35 F.4th at 44, and the various factors distinguishing
Acevedo's circumstances from those present in Cortés-López, we
cannot say that the government's omission of an explanation here
was a clear or obvious breach so as to satisfy the high bar set by
this prong of plain error review. We therefore decline to vacate
Acevedo's sentence, notwithstanding the government's breach.
B. Procedural Reasonableness
Acevedo asserts that his sentence was not supported by
a preponderance of the evidence, as it must be, see United States
v. Ortiz-Carrasco,
863 F.3d 1, 3(1st Cir. 2017), because the
court's factfinding depended upon statements in the PSR that are,
in Acevedo's telling, unreliable. Because Acevedo preserved this
- 29 - objection, we review the court's factfinding for clear error within
the abuse-of-discretion framework that accompanies claims of
procedural error. See United States v. Mejia,
55 F.4th 1, 9 (1st
Cir. 2022). Under this deferential standard, "[w]e must uphold
the district court's ruling unless 'we are left with the definite
and firm conviction that a mistake has been committed.'" Sanchez
v. Roden,
808 F.3d 85, 90(1st Cir. 2015) (quoting United States
v. Mensah,
737 F.3d 789, 796–97 (1st Cir. 2013)).
The gravamen of Acevedo's complaint is that the district
court relied largely on unsworn, uncorroborated statements by
S.Q.R. contained in the PSR to calculate the Guidelines sentencing
range, as well as to form its qualitative view of Acevedo's
conduct. Acevedo accurately describes the court's reasoning:
S.Q.R.'s account in the PSR led the court to calculate a total
offense level of 38, including enhancements of seven levels for
engaging in a pattern of sexual misconduct with a minor and
distributing sexually explicit material of a minor. Likewise, the
PSR's lurid account of a long-running exchange of sexually explicit
material and Acevedo's manipulative and threatening behavior
clearly influenced the court's sentencing rationale. S.Q.R. was
the source of nearly all these allegations, most of which were not
corroborated by any direct evidence.11 Our task, therefore, is to
11As noted, the fact that Acevedo received forty explicit photos was corroborated by the FBI investigation. The government's
- 30 - determine whether the sentencing court's heavy reliance on
S.Q.R.'s statements to support these two enhancements and to
otherwise guide its sentencing rationale was procedural error.
"[A] district court 'must take pains to base sentencing
judgments upon reliable and accurate information.'" United States
v. Rodríguez-Cruz,
997 F.3d 362, 366(1st Cir. 2021) (quoting
United States v. Tavano,
12 F.3d 301, 305(1st Cir. 1993)).
According to Acevedo, S.Q.R.'s statements were not reliable
because they were unsworn, lacked corroboration, had some internal
inconsistency, and included "multiple-level hearsay."12 This
challenge to the reliability of information in the PSR is an uphill
battle, as we generally presume that "a PSR bears sufficient
indicia of reliability to permit the district court to rely on it
at sentencing." United States v. Cyr,
337 F.3d 96, 100(1st Cir.
2003) (quoting United States v. Taylor,
277 F.3d 721, 724(5th
Cir. 2001)). Acevedo offered the district court no "countervailing
evidence or proffers" to challenge the PSR's reliability, as he
must to generate a "genuine and material dispute" during
appellate brief also states that the allegation that Acevedo sent an explicit photo to S.Q.R.'s coworker was corroborated by that coworker. We do not rely on this out-of-record representation. "[N]either the Federal Rules of Evidence nor the Sixth 12
Amendment's confrontation clause applies" during sentencing hearings, and thus a sentencing court may rely on hearsay evidence. United States v. Rondón-García,
886 F.3d 14, 21(1st Cir. 2018). We understand Acevedo's claim that the statements are hearsay to simply be another reason why they are unreliable.
- 31 - sentencing.
Id.Rather, he merely asserted that S.Q.R.'s
statements were "unverified" and "unrelated to the crime of
conviction." When faced with "objections to the PSR [that] are
merely rhetorical and unsupported by countervailing proof, the
district court is entitled to rely on the facts in the PSR."
Id.Acevedo's argument for procedural error thus closely
resembles the one we rejected in United States v. Santiago-Colon,
918 F.3d 223, 226(1st Cir. 2019). In that case, the defendant
challenged the reliability of uncorroborated, uncharged statements
by a sexual abuse survivor whose statements were included in the
PSR. We explained, just as here, that the defendant's claim failed
because he offered no evidence that the statements were unreliable.
Id.Acevedo argues that Santiago-Colon is distinguishable
because, in that case, the challenged statements were consistent
with the trial testimony of other survivors. But we did not uphold
the sentencing court's factfinding on that basis -- we were
satisfied that the PSR was presumptively reliable, and the
defendant had failed to prove otherwise.
Id.The same is true
here.
We note, moreover, that S.Q.R.'s statements are
consistent with the (minimal) information admitted to by Acevedo
in the plea agreement. See Cyr,
337 F.3d at 100(noting that the
reliability of detailed information in the PSR was supported by
less detailed admissions in the plea agreement). In the plea,
- 32 - Acevedo accepted responsibility for soliciting explicit photos
from S.Q.R. and threatening to distribute them. The plea also
confirms that S.Q.R. took explicit photos of herself at the time
Acevedo requested them. These acknowledged facts align with
S.Q.R.'s allegations, which are far more detailed but ultimately
relate to Acevedo soliciting and receiving explicit images from
S.Q.R. and then using the photos to coerce and intimidate her.
Because the district court's reliance on S.Q.R.'s
statements in the PSR was not clearly erroneous, we reject
Acevedo's broad procedural challenge to the district court's
factfinding, as well as his attack on the two specific enhancements
premised on S.Q.R.'s statements.13
13 Acevedo also argues that the two-level enhancement for distribution was unwarranted because the PSR only describes the photo distributed to S.Q.R.'s coworker as a "naked picture," whereas the enhancement applies only to depictions of "sexually explicit conduct," as defined under
18 U.S.C. § 2256(2). See U.S.S.G. § 2G2.1, cmt. 1; see also United States v. Amirault,
173 F.3d 28, 33-35(1st Cir. 1999) (holding that a photo depicting "mere nudity" does not meet the statutory definition of sexually explicit conduct (analyzing
18 U.S.C. § 2256(2))). This argument is meritless. Most of the photos described in the PSR included "lascivious exhibition of the anus, genitals, or pubic area."
18 U.S.C. § 2256(2). Absent any offer of proof to the contrary, the district court's inference that the photo Acevedo distributed was also of this nature was not clearly erroneous. See Brown,
31 F.4th at 46("We will not find clear error in the court's application of the guidelines to the facts 'as long as the district court's decision is based on reasonable inferences drawn from adequately supported facts.'" (quoting United States v. Martin,
749 F.3d 87, 92(1st Cir. 2014))).
- 33 - * * *
In sum, the court did not commit plain error by
overlooking the government's breach of the plea agreement. Having
also rejected Acevedo's claim of procedural error, we affirm
Acevedo's 292-month prison sentence.
III.
We next consider the condition of supervised release
restricting Acevedo's unsupervised contact with his children.14 As
Acevedo raised this objection to the district court, we review his
challenge for abuse of discretion, revisiting legal issues de novo,
assessing the district court's factual findings for clear error,
and viewing deferentially the court's "judgment calls." United
States v. Hood,
920 F.3d 87, 92(1st Cir. 2019) (quoting Riva v.
Ficco,
615 F.3d 35, 40(1st Cir. 2010)).
The sentencing court must set forth a "reasoned and
case-specific explanation" for the conditions of supervised
release. United States v. DaSilva,
844 F.3d 8, 11(1st Cir. 2016)
(quoting United States v. Perazza-Mercado,
553 F.3d 65, 75(1st
Cir. 2009)). These conditions must "involve[] no greater
deprivation of liberty than is reasonably necessary to achieve the
goals of the sentence," and must be "reasonably related both to
these goals and to the nature and circumstances of the offense and
At the time of sentencing, 14 Acevedo had four minor children: three daughters and a son.
- 34 - the history and characteristics of the defendant."
Id.(quoting
Perazza-Mercado,
553 F.3d at 69). We require a "greater
justification" for special conditions "that would impair a
defendant's relationship with his child[ren]." United States v.
Del Valle-Cruz,
785 F.3d 48, 62(1st Cir. 2015).
While the district court did not expressly explain the
restriction on Acevedo's access to his children, the requirement
that it explain its reasoning is satisfied "so long as the court's
reasoning can be deduced from the record." United States v. Leach,
89 F.4th 189, 201(1st Cir. 2023). Here, the court solicited, and
accepted, an explanation from the probation officer during the
sentencing hearing. The probation officer explained that the
nature of the offense made the restriction necessary "to protect
the community and to protect minors." With regard to Acevedo's
children, specifically, the officer explained that Acevedo would
have chaperoned contact and that unsupervised visits could be
possible, in consultation with mental health professionals and the
children's mothers.
Acevedo argues that the restriction is not supported by
the record, which shows that he is a good father and that his
conduct did not involve a family member or occur inside the
familial home. He also points out that during the period charged
in the indictment S.Q.R. was sixteen, and, thus, though a minor
for the purposes of
18 U.S.C. § 2422(b), she was of the age of
- 35 - consent in Puerto Rico, see 33 L.P.R. § 4770(a), and that he and
S.Q.R. were, as he puts it, "romantically involved, their
relationship bearing no resemblance to anything like a parental or
familial association." Thus, he asserts, the restriction is not
reasonably related to his offense and unduly intrudes upon his
parental liberty interests.
The PSR, however, does not describe a "romantic"
entanglement. Rather, it describes an exploitative relationship
between a teenager and an older man who used abusive language and
threats of humiliation to solicit sexually explicit images from
her and manipulate her behavior. Although Acevedo is correct that
most of these events occurred after S.Q.R. was sixteen years old,
their sexual relationship began when she was fifteen, and they met
several years before that. We also find it significant that
S.Q.R.'s parents put thousands of miles between Acevedo and their
child and restricted her access to technology in their repeated
efforts to block contact between them. Nonetheless, Acevedo
subverted these extensive measures, contacting S.Q.R. through
alternative channels and urging her to run away from home.
Acevedo's threatening behavior culminated in the distribution of
a sexually explicit photo of S.Q.R. and the purported torching of
her mother's car.
We have little difficulty distinguishing these
circumstances from the facts of previous cases in which we have
- 36 - vacated restrictions on parental contact. In Del Valle-Cruz, for
example, the defendant's instant offense -- failing to update his
sex offender registration -- did not itself involve a sexual act,
his underlying sexual offense was over a decade old, and the record
contained no overtly violent or threatening conduct. See
785 F.3d at 59-64; see also United States v. Fey,
834 F.3d 1, 4(1st Cir.
2016) (similar); United States v. Cabrera-Rivera,
893 F.3d 14, 33(1st Cir. 2018) (vacating restriction where defendant lacked
"violent inclinations" (quoting United States v. Pabon,
819 F.3d 26, 33(1st Cir. 2016)). Rather, the present case resembles other
cases upholding similar restrictions in light of the defendant's
recent history of violent or threatening behavior. See, e.g.,
Pabon,
819 F.3d 32-33 (upholding restriction where the defendant
had a "copious criminal history" and his offense "involved a
prolonged sexual relationship with a minor over whom he was in a
position of apparent trust and authority"); United States v.
Mercado,
777 F.3d 532, 538-39(1st Cir. 2015) (upholding
restriction in light of the defendant's "persistent criminal
involvement"); cf. United States v. Benoit,
975 F.3d 20, 26-27
(1st Cir. 2020) (upholding restriction on defendant having
unsupervised contact with his children and distinguishing Del
Valle-Cruz partially on the ground that the relevant conduct
justifying the restriction was more recent).
- 37 - As in those cases, we also note that the "conditions
imposed by the district court do not comprise an outright ban on
the defendant's ability to associate" with his children. Mercado
777 F.3d at 539; see also Benoit, 975 F.3d at 27; Pabon,
819 F.3d at 33. Acevedo remains able to contact his children with
supervision, and "[t]here is no basis for believing that the
probation officer will unreasonably withhold permission for the
defendant to see his own children." Mercado
777 F.3d at 539. Nor
is he without redress if that occurs. Id.; see also
18 U.S.C. § 3583(e)(2). Indeed, as noted during the sentencing hearing, the
restriction can be modified, including by removing it entirely if
his mental health treatment provider and the children's mothers
deem it appropriate.
Because the record offers a reasonable explanation for
restricting Acevedo's unsupervised contact with his children, see
DaSilva,
844 F.3d at 11, we will not disturb the district court's
judgment call that such a condition is presently warranted.
IV.
Finally, we consider the $5,000 special assessment and
the restitution order of $3,275 to S.Q.R.'s mother for the mother's
destroyed car.
A. Special Assessment
We review the special assessment order for abuse of
discretion. See United States v. Procell,
31 F.4th 32, 35(1st
- 38 - Cir. 2022) (reviewing JVTA special assessment order for abuse of
discretion). Ultimately, however, Acevedo's challenge raises a
legal question, which, within our abuse of discretion framework,
we review de novo. Hood,
920 F.3d at 92.
The JVTA requires the court to "assess an amount of
$5,000 on any non-indigent person or entity convicted" of several
offenses, including the offense of coercion and enticement of a
minor to which Acevedo pleaded guilty.
18 U.S.C. § 3014(a).
Acevedo argues that he adduced copious evidence that he is indigent
within the meaning of section 3014(a). He also points out that
the district court did not make any finding as to Acevedo's
financial condition, but, instead, ordered the assessment and
stated that it was open to revisiting the issue if Acevedo was
unable to obtain future employment. The government defends the
court's "provisional" decision by pointing out that a sentencing
court is entitled to consider the defendant's future ability to
pay.
The government's defense of the court's order as
"provisional" is revealing. The statute speaks in mandatory
terms: "[T]he court shall assess an amount of $5,000 on any
non-indigent person or entity convicted of an offense" covered by
the statute.
18 U.S.C. § 3014(a) (emphasis added). As other
circuits have concluded, this language means that "the district
court has no choice but to impose the $5,000 assessment if it
- 39 - determines that the defendant is non-indigent. And the opposite
is also true: the district court cannot impose the assessment on
an indigent defendant." United States v. Shepherd,
922 F.3d 753, 757(6th Cir. 2019); see also United States v. Kibble, No. 20-
4106,
2021 WL 5296461, at *3 (4th Cir. Nov. 15, 2021) (stating
that "a district court must make a finding [regarding indigency]
before imposing the $5,000 special assessment pursuant to the JVTA"
(emphasis added)). To be sure, the indigency finding need not be
express, so long as the "record is sufficient to permit appellate
review." United States v. Rowe,
268 F.3d 34, 39(1st Cir. 2001);
see also Shepherd,
922 F.3d at 760(applying this principle in the
JVTA context). But "[t]here is a difference between an implicit
finding of non-indigency and no finding at all," Kibble,
2021 WL 5296461, at *4, and, hence, the record must confirm that such an
implicit finding occurred. Here, the government does not even
attempt to suggest that the court made an implicit indigency
finding, instead admitting that "[i]n effect, the district court
deferred ruling on indigency."
The record supports that characterization. At the
sentencing hearing, the court asked for the probation officer's
evaluation of Acevedo's indigency, and the officer responded that
"at this time we don't have enough information," recommending that
the court instead "give [Acevedo] a chance to get employment"
before "mak[ing] an assessment." The court then overruled
- 40 - Acevedo's objection to the special assessment, stating that it
would "reconsider" the fine "if Mr. Acevedo can later indicate
that he will not be able to pay the $5,000 because of inability to
have a job."15 Contrary to the government's suggestion, the court's
reference to Acevedo's future employment did not assess his "future
earning potential to render him non-indigent." Procell,
31 F.4th at 38. The district court did not make any finding of
non-indigency premised on Acevedo's employment prospects, instead
indicating that it would make a future indigency finding based on
Acevedo's actual employment outcomes.
The court thus erroneously imposed the special
assessment without any finding regarding Acevedo's indigency, and,
consequently, we vacate the $5,000 assessment. Acevedo further
argues that the record establishes his indigency: he has limited
income, receives SNAP benefits, lacks assets, and has burdensome
child support obligations. That determination properly lies with
the district court in the first instance, however, and we therefore
remand the issue to the district court. See United States v.
Irizarry-Colón,
848 F.3d 61, 70(1st Cir. 2017).
15 Acevedo notes that, as a consequence of the court's decision
to assess the fine but "defer" an indigency finding, Acevedo is presently obligated -- but purportedly unable -- to pay the fine, which means interest may be unnecessarily accruing.
- 41 - B. Restitution
Finally, Acevedo challenges the restitution order of
$3,275 for the destruction of S.Q.R.'s mother's car. We disagree
with the government that the restitution order should be reviewable
only for plain error. The district court granted the government's
restitution request -- made in a post-sentencing memo -- before
Acevedo had an opportunity to file a timely opposition. Federal
Rule of Criminal Procedure 51(b) provides that "[i]f a party does
not have an opportunity to object to a ruling or order, the absence
of an objection does not later prejudice that party." The
government's contention that Acevedo forfeited his objection
because he had prior notice that some restitution might be awarded
in unavailing. He had no notice of the issue on appeal -- whether
he owed S.Q.R.'s mother restitution for her car -- until the
government's post-sentencing memo. We thus review the restitution
order for abuse of discretion, see, e.g., United States v.
Naphaeng,
906 F.3d 173, 179(1st Cir. 2018), meaning that, once
again, our review is functionally de novo since Acevedo's appeal
concerns a legal question, see Hood,
920 F.3d at 92.
Acevedo argues that this restitution order is improper
because the Mandatory Victims Restitution Act ("MVRA") authorizes
restitution to be paid to the "victim" of a crime,16 see 18 U.S.C.
The MVRA also authorizes restitution to non-victims "if 16
agreed to by the parties in a plea agreement." 18 U.S.C.
- 42 - § 3663A(a)(1), (b)(1), yet the district court identified only
S.Q.R. as a victim, with her mother being S.Q.R.'s
"representative." The government responds that S.Q.R.'s mother
was a victim within the statutory definition and the district court
understood her as such, and, in any event, she may receive
restitution as S.Q.R.'s representative.
The MVRA defines a victim as "a person directly and
proximately harmed as a result of the commission of an offense for
which restitution may be ordered . . . ." Id. § 3663A(a)(2). On
the face of this definition, we can understand why the government
regards S.Q.R.'s mother as a victim.17 Whether, in our view, the
facts show that S.Q.R.'s mother satisfies the statutory definition
of "victim" is not the relevant question on appeal, however.
§ 3663A(a)(3). Here, the plea agreement does not contemplate restitution to S.Q.R.'s mother. 17 The MRVA, as relevant here, "appl[ies] in all sentencing proceedings for convictions of, or plea agreements relating to charges for, any offense-- (A) that is-- (i) a crime of violence, as defined in [
18 U.S.C. § 16] [or] (ii) an offense against property . . . ." 18 U.S.C. § 3663A(c)(1). Acevedo was not charged with an offense against property, and we have not opined on whether any of Acevedo's charged offenses qualify as a "crime of violence." But see United States v. Champion,
248 F.3d 502, 506(6th Cir. 2001) (holding that each of the offenses relevant to this appeal is a "crime of violence"); see also United States v. Williams,
529 F.3d 1, 5(1st Cir. 2008) ("[I]llicit sexual activity between an adult and a minor . . . poses a significant risk that force will be used in the consummation of the crime."). Nor is it clear that the burning of the car is sufficiently related to the charged offenses to qualify. Acevedo, however, has not raised these issues, and we therefore consider only whether S.Q.R.'s mother is statutorily eligible to receive restitution.
- 43 - Because such a factfinding properly lies with the district court
in the first instance, see Irizarry-Colón,
848 F.3d at 70, the
question is whether the district court found S.Q.R.'s mother to be
a victim and whether, if not, it properly awarded her restitution
anyway.
During the sentencing hearing, the district court
expressly identified only one victim: S.Q.R., describing S.Q.R.'s
mother not as a victim, but as S.Q.R.'s representative. There is
nothing else in the record from which we can infer that the
district court nonetheless made an implicit finding that S.Q.R.'s
mother is herself a victim when entering its restitution order.
The government points out that the PSR identified both S.Q.R. and
her mother as victims, but, of course, a district court is not
required to agree with the PSR, and the district court notably
departed from the language of the PSR in describing only S.Q.R. as
Acevedo's victim. Indeed, the court referred in the singular to
"the victim" throughout the sentencing hearing, always in
reference to S.Q.R. In the government's post-sentencing
memorandum, moreover, it likewise referenced one "victim," meaning
S.Q.R., and at one time described the damaged property as "her
mother's car," while at other times referring to the car as
S.Q.R.'s property.18 In the district court's subsequent
To the extent the district court premised its restitution 18
order on the understanding that the car was S.Q.R.'s property,
- 44 - unexplained order granting restitution, it again ordered Acevedo
to pay restitution to "the victim." In short, on this record, we
cannot conclude that the district court made a finding, express or
implicit, that S.Q.R.'s mother is a victim within the statutory
definition.
The government argues, in the alternative, that S.Q.R.'s
mother was entitled to receive restitution for her damaged property
as S.Q.R.'s representative. The MVRA provides that "[i]n the case
of a victim who is under 18 years of age . . . the legal guardian
of the victim . . . may assume the victim's rights under this
section." 18 U.S.C. § 3663A(a)(2). We have not previously
considered whether this text entitles a victim's representative to
restitution for the representative's own losses, but several other
circuit courts have rejected that interpretation. See United
States v. Casados,
26 F.4th 845, 853(10th Cir. 2022) ("[The MVRA]
limits restitution to losses incurred by the victim, and the
victim's representative assumes the right to receive restitution
for exactly those losses incurred by the victim, and not [the
representative's] own losses."); United States v. Wilcox,
487 F.3d 1163, 1177(8th Cir. 2007) ("The section does not allow the legal
such a finding would be clearly erroneous, as the record makes clear that the car belonged to S.Q.R.'s mother, not S.Q.R.
- 45 - guardian to substitute [the guardian's] own losses for those of
the victim.").19
We agree. The MRVA authorizes a victim's representative
only to "assume the victim's rights under this section." 18 U.S.C.
§ 3663A(a)(2) (emphasis added). In other words, the statute
authorizes a representative to collect the restitution owed to the
victim for losses the victim suffered. It does not separately
authorize restitution for the losses of the victim's
representatives. The rest of section 3663A confirms our reading.
The statute authorizes "restitution to the victim." Id.
§ 3663A(a)(1) (emphasis added). As relevant to this case, the
statute requires restitution for "damage to or loss or destruction
of property of a victim," id. § 3663A(a)(2) (emphasis added), and
to "reimburse the victim for lost income and necessary child care,
transportation, and other expenses incurred during participation
in the investigation or prosecution of the offense or attendance
at proceedings related to the offense," id. § 3663A(b)(4)
(emphasis added). The statute also specifies that it is only
applicable where "an identifiable victim or victims has suffered
19By contrast, in United States v. Pizzichiello, the Ninth Circuit held that a deceased victim's family could recover restitution for their own travel expenses, reasoning that if the victim had survived, he would have incurred travel expenses of his own. See
272 F.3d 1232, 1241(9th Cir. 2001). As the Tenth Circuit notes in Casados, see
26 F.4th at 852, Pizzichiello does not engage with the statutory text whatsoever and is thus not a persuasive authority on the statute's plain meaning.
- 46 - a physical injury or pecuniary loss."
Id.§ 3663A(c)(1)(B)
(emphasis added). And it only contemplates recovery for
non-victims when specifically provided by a plea agreement. Id.
§ 3663A(a)(3).
Simply put, any right of recovery assigned to a victim's
representative must relate to a loss suffered by that victim, as
the statute describes the term. Since the district court did not
make any finding that S.Q.R.'s mother, in addition to being
S.Q.R.'s representative, is also a victim of Acevedo's charged
conduct in her own right, we reject the government's contention
that she is nonetheless entitled to recover for her own losses
solely on account of being S.Q.R.'s representative.
The restitution award was thus erroneous. Acevedo asks
that we strike the award, without remand. We disagree that that
is the proper remedy. As we read the record, the district court
never made a finding, one way or the other, about whether S.Q.R.'s
mother meets the statutory definition of a victim entitled to
restitution. Since such factfinding is the domain of the
sentencing court, we will vacate the restitution award and remand
the issue for further consideration. See Casados,
26 F.4th at 854(taking the same approach).
* * *
In sum, we affirm Acevedo's 292-month sentence and the
condition of supervised release restricting Acevedo from having
- 47 - unsupervised contact with his children. We vacate, however, the
special assessment under the JVTA and the restitution order and
remand those issues to the district court for proceedings
consistent with this opinion.
So ordered.
- 48 -
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