United States v. Valerie Flores
United States v. Valerie Flores
Opinion
In this appeal, Valerie Flores challenges one condition of her supervised release as unconstitutionally vague. She admits that she did not raise the challenge in the district court, but she asks that we review it for plain error. The first step in plain-error review, as the Supreme Court has repeatedly said, is to ask whether the defendant intentionally relinquished the challenge she now presents.
See
Rosales-Mireles v. United States,
--- U.S. ----,
We recognize, and will address, that in some cases we have overlooked waiver concerns when reviewing supervised release conditions for plain error. Those cases either presented compelling reasons for forgiving waiver, which this case does not present, or simply did not address waiver, usually because the government did not press it. We emphasize, as the Supreme Court has, that waiver is a threshold, context-specific inquiry in plain-error review. Due to Flores's waiver, we affirm.
I
In January 2018, Wisconsin law enforcement learned via confidential informants that Flores and her co-defendant had traveled to California to obtain methamphetamine and transport it back to Wisconsin to sell. Through her cell phone, the officers tracked Flores and her co-defendant, who were driving separate vehicles in tandem. Police conducted traffic stops after the co-defendants returned to Wisconsin. Searches of their vehicles revealed more than 300 pounds of marijuana with a street value of approximately $1.8 million.
A grand jury returned an indictment charging Flores with possession with the intent to distribute 100 kilograms or more of marijuana under
In July 2018, Flores pleaded guilty. Using the 2016 United States Sentencing Guidelines Manual, the United States Probation Office prepared Flores's Presentence Investigation Report, Revised Presentence Investigation Report, and addendum to the report (collectively "PSR").
*446 Attached to the PSR was the supervision plan listing the standard and special conditions of supervised release. At issue on appeal is standard condition #3 (employment condition), which stated: "Defendant shall maintain lawful employment, seek lawful employment, or enroll and participate in a course of study or vocational training that will equip defendant for suitable employment, unless excused by the probation officer or the Court." In Flores's supervision plan, the probation office noted that "defendant's employment has been sporadic and inconsistent," and also "[s]he has outstanding financial obligations." The probation office's justification for the employment condition stated, in part, "[e]vidence based practice research indicates that lawful, stable employment and education are pro-social activities that reinforce the rehabilitation of defendant."
Flores had the opportunity to object to the PSR and discuss sentencing issues in writing before sentencing. In September 2018, she filed objections, corrections, and clarifications to the PSR. She did not, however, object to any of the proposed conditions of supervised release. A couple weeks later, she filed a sentencing memorandum seeking the mandatory minimum sentence to run concurrently with her state sentence. Again, Flores did not object to any of the proposed conditions of supervised release.
The district court conducted Flores's sentencing hearing in October 2018. At the beginning of the hearing, the court asked Flores if she had the opportunity to read and discuss her original PSR, the revised PSR, and the addendum to the report with her attorney. Flores responded yes. Next, the sentencing court noted that the government had no objections to the PSR, but that Flores objected to the two-level increase under U.S.S.G. § 2D1.1(b)(1) based on maintaining a premise for manufacturing or distributing a controlled substance. The court also discussed Flores's objection to relevant conduct explaining that the amounts were not included in the drug quantity analysis, and therefore, had no impact under the sentencing guidelines.
Before imposing her sentence, the district judge asked Flores if there was anything she would like to add. Flores had prepared a written allocution, which she read into the record. She emphasized:
I want to use this time serving my sentence for some major self-improvement and to acquire skills and a college degree that will serve me well when I get home. Whatever the outcome of today ends up being, I will take every advantage and opportunity possible to help with my sobriety and restart my life with a positive perception on how things should be done rightfully.
After her allocution, the district court sentenced Flores to the mandatory minimum of 120 months in prison. The court recommended mental health treatment, drug abuse programs, and, consistent with Flores's allocution, educational and vocational training. Also, the court directed that Flores's 120 month federal sentence run concurrently with the balance of her state revocation sentence.
The district court further sentenced Flores to the mandatory eight years of supervised release adopting certain conditions set forth in the supervision plan, including the employment condition. The court first noted that neither the government nor Flores had objected to these conditions. The court then stated:
[T]he primary goals of supervised release are to assist the defendant's transition back into the community after a term of imprisonment and to provide rehabilitation. That will be crucial to this defendant. Supervision in this case will provide the typical needed programming, *447 including rehabilitative programs, assist with community reintegration, and afford supervision necessary to deter and protect against further criminal acts perpetrated by the defendant.
...
I'm confident that along with her sporadic employment and outstanding financial obligations that I have more than amply justified the conditions that are being imposed. But as counsel is aware, there's some question as to whether I should put each on the record verbatim and justify them individually. And I'm happy to do that unless the defense wishes to waive my doing so.
Defense counsel responded: "We do waive, Your Honor. Thank you."
The court continued "when the defendant is released from confinement, understanding that will be ten years from now or thereabouts, [if] either the defendant or the supervising probation officer should believe that any of the conditions imposed today are no longer appropriate, they should petition the Court for review."
The district court entered judgment on October 9, 2018, and Flores filed a timely notice of appeal.
II
On appeal, Flores argues that the supervised release condition requiring her to "maintain lawful employment, seek lawful employment, or enroll and participate in a course of study or vocational training that will equip defendant for suitable employment" is unconstitutionally vague. Flores specifically takes issue with the word "suitable."
A
We begin with the difference between forfeiture and waiver. Waiver occurs when a party intentionally relinquishes a known right and forfeiture arises when a party inadvertently fails to raise an argument in the district court.
Olano
,
Because Flores did not object to the challenged supervised release condition in the district court, the parties assert that we should review her argument for plain error. We disagree. For plain-error review to apply, "there must be an error that has not been intentionally relinquished or abandoned."
Molina-Martinez
,
In general, criminal defendants must make informed and intentional decisions when waiving their rights.
New York v. Hill
,
In the context of a guilty plea, for example, because the defendant is waiving several fundamental rights, her waiver must clear a high bar.
Brady v. United States
,
Not every waiver must meet such stringent criteria. A defendant waives her right to challenge jury instructions if she approved of the instructions at the district court.
United States v. Caguana
,
Waiver of most sentencing issues is similar.
See
United States v. St. Clair
,
We often find such intent where the defendant chose-as a matter of strategy-not to present a conditions-related argument to the district court.
See, e.g.
,
United States v. Bloch
,
Moreover, in the specific context of supervised release conditions, we have
*449
provided guidance to ensure defendants make intentional and informed decisions-decisions that could eliminate appellate review based on waiver.
See
United States v. Lewis
,
An important factor in giving a defendant the opportunity to make an informed and intentional decision about supervised release conditions is advance notice of the conditions.
United States v. Gabriel
,
A defendant who receives advance notice of proposed conditions of supervised release has both the benefit of advice of counsel and a full opportunity to raise objections about arguably vague or unjustified conditions of supervised release. Sentencing in the district court is the time to raise such issues, not on appeal, for the first time.
St. Clair
,
Last, and most obvious, we have concluded that a defendant intentionally waived an appellate challenge to his supervised release condition when he "affirmatively told the district court that he had no objection" to the challenged condition.
United States v. Smith
,
Applying these principles to the circumstances of our case, the record is clear that Flores made a deliberate and informed decision when she did not challenge the employment supervised release condition. She had the opportunity to review the probation office's recommendations with her attorney in advance of sentencing, and at her sentencing hearing, the district judge ensured that Flores had reviewed these conditions with counsel.
See
St. Clair
,
Flores's decision to waive an explanation and reading of the supervised release conditions further confirms her intent.
Tjader
,
*450
Due to Flores's intentional relinquishment of her right to appeal the claimed error, we are precluded from reviewing her appellate argument.
See
Young
,
B
In so holding, we are aware of the inconsistencies in our case law and that we have not always applied waiver in this context. To start, because we liberally construe waiver in favor of defendants,
see
Butler
,
In other decisions, we simply did not address waiver when applying plain-error review.
See, e.g.,
Kappes
,
We make the point again today. When a defendant does not address supervised release conditions in the district court, this court will assess whether she waived those challenges. We will find waiver, as we do here, when the defendant has notice of the proposed conditions, a meaningful opportunity to object, and she asserts (through counsel or directly) that she does not object to the proposed conditions, waives reading of those conditions and their justifications, challenges certain conditions but not the one(s) challenged on appeal, or otherwise evidences an intentional or strategic decision not to object. 1
C
On a final note, at oral argument, the government articulated that it relied on our prior cases when asserting that plain-error review applied.
See, e.g.,
Poulin
,
*451 Here, we decline to enforce the government's waiver due to the inconsistencies in our case law regarding plain-error review in the supervised release context, as discussed directly above, and our previous confusion over the terms forfeiture and waiver. Further, in the face of the recent influx of supervised release condition challenges before this court where such conditions were not challenged before the district court, we are compelled to emphasize that waiver is part of our plain-error review.
III
The district court gave Flores every opportunity to make the challenge she makes now on appeal. Flores expressly declined. That precludes our appellate review, but it does not permanently bind Flores. We have long assumed that probation officers work
with
defendants, not against them, to help defendants transition back into society after prison. They do not, and must not, nitpick defendants and seek reprimands or revocations over small, unreasonable concerns. There is another safety valve as well, even for defendants who waive conditions challenges on direct appeal. Should certain conditions prove too onerous or ill-defined, or should circumstances change during incarceration or after release,
For today, however, Flores intentionally waived her right to challenge the employment condition, and so we affirm.
Before issuing this opinion, we circulated it to all judges in active service under Circuit Rule 40(e). No judge voted to hear this case en banc .
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Valerie FLORES, Defendant-Appellant.
- Cited By
- 121 cases
- Status
- Published