United States v. Rivera-Gonzalez , 776 F.3d 45 ( 2015 )

United States Court of Appeals
For the First Circuit
No. 13-1620
UNITED STATES OF AMERICA,
Appellee,
v.
KERMIT RIVERA-GONZÁLEZ,
Defendant, Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Francisco A. Besosa, U.S. District Judge]
Before
Howard, Selya and Thompson,
Circuit Judges.
Edwin E. Leon-Leon on brief for appellant.
Rosa Emilia Rodríguez-Vélez, United States Attorney, Nelson
Pérez-Sosa, Assistant United States Attorney, Chief, Appellate
Division, and Tiffany V. Monrose, Assistant United States Attorney,
on brief for appellee.
January 20, 2015
SELYA, Circuit Judge. Defendant-appellant Kermit Rivera-
González challenges his 84-month sentence for a firearms offense.
After careful consideration, we affirm.
I.
Background
Since this appeal trails in the wake of a guilty plea, we
draw the facts from the plea agreement, the change-of-plea
colloquy, the undisputed portions of the presentence investigation
report (PSI Report), and the transcript of the disposition hearing.
See United States v. Almonte-Nuñez, 771 F.3d 84, 86 (1st Cir.
2014); United States v. Del Valle-Rodríguez, 761 F.3d 171, 173 (1st
Cir. 2014). Beginning in 2007 and continuing into 2010, the
defendant engaged in a conspiracy to distribute controlled
substances at various drug distribution points in San Juan, Puerto
Rico. In carrying out his role in the conspiracy, he possessed and
used firearms.
After a federal grand jury charged the defendant with
various drug-trafficking offenses, the government filed a
supplemental information containing two additional counts arising
out of the defendant's possession, at the time of his apprehension,
of four kilograms of marijuana (supplemental count 1) and four
firearms (supplemental count 2). Although the defendant initially
maintained his innocence, he soon entered into a non-binding plea
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agreement (the Agreement) with the government. See Fed. R. Crim.
P. 11(c)(1)(B).
Pursuant to the Agreement, the defendant pleaded guilty
to count 1 of the indictment (charging him with conspiring to
possess with intent to distribute various controlled substances
within 1,000 feet of a protected location, see 21 U.S.C.
§§ 841(a)(1), 846, 860), supplemental count 1 (charging him with
possessing marijuana with intent to distribute, see id.
§ 841(a)(1)), and supplemental count 2 (charging him with
possessing firearms in furtherance of a drug-trafficking offense,
see 18 U.S.C. § 924(c)(1)(A)). The remaining five counts contained
in the indictment were to be dismissed.
The Agreement made clear the parties' expectation that
the guideline sentencing range (GSR) for count 1 would be 108 to
135 months and that the GSR for supplemental count 1 would be 6 to
12 months. These anticipated GSRs were based on the assumption
that the defendant would be placed in criminal history category
(CHC) I. The parties agreed that, should this assumption
materialize, they would jointly recommend a 120-month sentence for
count 1 and a concurrent 6-month sentence for supplemental count 1.
With respect to supplemental count 2, they agreed to recommend the
mandatory minimum 60-month term of immurement, to run consecutively
to the sentences on the underlying drug charges. The parties'
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recommendation of a 60-month consecutive term for the gun charge
was not contingent upon the sentencing court's CHC designation.
Some months after accepting the defendant's guilty plea,
the district court received the PSI Report, which grouped the drug
charges. See USSG §3D1.2. Using CHC I, the PSI Report set the GSR
at 87 to 108 months for the grouped counts. The Report made only
a passing reference to the gun charge, noting that the statute of
conviction required a minimum 60-month consecutive term of
imprisonment. See 18 U.S.C. § 924(c)(1); USSG §2K2.4(b).
At the disposition hearing, the district court, without
objection, adopted the guideline calculations limned in the PSI
Report. The government acknowledged that grouping had resulted in
a lower GSR for the drug counts but nevertheless pressed for the
imposition of the previously agreed 120-month sentence on count 1
and a 6-month sentence on supplemental count 1. The district court
eschewed the non-binding sentencing recommendations contained in
the Agreement and imposed concurrent within-the-range sentences of
96 months on count 1 and 12 months on supplemental count 1.
The court then took up the gun charge. It again turned
a deaf ear to the parties' joint recommendation and levied an 84-
month sentence on supplemental count 2 to run consecutively to the
other sentences.1 This timely appeal ensued.
1
As contemplated in the Agreement, the district court
dismissed the remaining five counts contained in the indictment.
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II.
Analysis
On appeal, the defendant abjures any challenge to either
the district court's guideline calculations or the sentences
imposed on the drug counts. Instead, he focuses with laser-like
intensity on the reasonableness (procedural and substantive) of the
84-month sentence for the gun charge.
We review challenges to the reasonableness of a sentence
in line with a two-step pavane. See United States v. King, 741
F.3d 305, 307 (1st Cir. 2014); United States v. Martin, 520 F.3d
87, 92 (1st Cir. 2008). We begin by examining allegations of
procedural error. See Gall v. United States, 552 U.S. 38, 51
(2007). If no procedural error is found, we then assess the
substantive reasonableness of the sentence. See id. In carrying
out these tasks, our review is for abuse of discretion. See id.;
United States v. Narváez-Soto, ___ F.3d ___, ___ (1st Cir. 2014)
[No. 13-1963, slip op. at 5]. Within this rubric, we review
conclusions of law de novo and findings of fact for clear error.
See Narváez-Soto, ___ F.3d at ___, [slip op. at 5]; United States
v. Walker, 665 F.3d 212, 232 (1st Cir. 2011).
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A.
Preliminary Matters
Even though the Agreement contained a waiver-of-appeal
clause, the defendant's appeal is properly before us. Such a
clause only precludes appeals falling within its scope. See
Almonte-Nuñez, 771 F.3d at 88; United States v. Murphy-Cordero, 715
F.3d 398, 400 (1st Cir. 2013). Here, the defendant waived his
right of appeal to the extent that he was subsequently "sentenced
in accordance with the terms and conditions set forth in the
Sentence Recommendation provisions" of the Agreement. The sentence
imposed on the gun charge was not in accordance with the terms and
conditions of the Sentence Recommendation provisions, which
memorialized the parties' joint recommendation of a 60-month term
of immurement. Because of this digression from what the parties
had proposed, the waiver-of-appeal clause does not bar this appeal.
A few words about a second preliminary matter will help
to put our merits discussion in perspective. The statute of
conviction provides in pertinent part, with exceptions not relevant
here, that any person who possesses a firearm in furtherance of a
drug-trafficking crime "shall, in addition to the punishment
provided for such . . . drug trafficking crime . . . be sentenced
to a term of imprisonment of not less than 5 years." 18 U.S.C.
§ 924(c)(1)(A)(i). This term of imprisonment shall not "run
concurrently with any other term of imprisonment imposed on the
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person, including any term of imprisonment imposed for the
. . . drug trafficking crime during which the firearm was
. . . possessed." Id. § 924(c)(1)(D)(ii).
The general rule is that convictions (like this one) that
carry a statutory mandatory minimum term of immurement designed to
run consecutively to any sentence on the underlying crime are to be
sentenced "independent of the guideline sentence on any other
count." USSG §5G1.2(a), cmt. (n.2(A)). Consecutive sentences for
violations of 18 U.S.C. § 924(c) are, moreover, to be calculated
without regard to chapters three and four of the sentencing
guidelines. See USSG §2K2.4(b).
Even so, a mandatory minimum sentence under section
924(c) is not wholly independent of the sentencing guidelines.
Rather, the statutory mandatory minimum sentence is deemed to be
the guideline sentence.2 See id. §2K2.4(b); United States v.
Millán-Isaac, 749 F.3d 57, 67 (1st Cir. 2014). We hold, therefore,
that since a mandatory minimum sentence under section 924(c) is the
recommended guideline sentence, a reviewing court should treat any
sentence above that statutory mandatory minimum as an upward
variance. See, e.g., United States v. Goodrich, 739 F.3d 1091,
1095, 1099 (8th Cir. 2014); United States v. Gantt, 679 F.3d 1240,
2
The guidelines also make clear that if the defendant's
conviction for a section 924(c) offense pushes him into career
offender status, his GSR would be determined under section
4B1.1(c). See USSG §2K2.4(c). That principle is not implicated
here.
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1243, 1248 (10th Cir. 2012); United States v. Lucas, 670 F.3d 784,
789, 796-97 (7th Cir. 2012). We proceed accordingly.
B.
Procedural Reasonableness
The defendant first contends that the district court
failed to conduct an adequate individualized assessment of his
history and characteristics. Specifically, he contends that the
court did not take into account mitigating factors, such as his
relatively crime-free past, his age (33), and the duration of his
sentence on the underlying drug counts.
This is whistling past the graveyard. The record makes
pellucid that the court below focused appropriately on the
defendant's personal history and characteristics. With respect to
the defendant's particular complaints, we note that the court
specifically acknowledged not only that the defendant's criminal
record was minimal but also that he was a "good father" and a good
family man. So, too, the court recognized the defendant's age. It
is true that no extensive comment about the defendant's age was
made — but none was required. Age is normally relevant in
sentencing only if age-based considerations "are present to an
unusual degree," USSG §5H1.1, and distinguish a particular case in
a meaningful way (such as when a defendant is either very young or
very old). No such special considerations obtain here.
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In a nutshell, the sentencing court indicated its
awareness of the defendant's personal history and characteristics.
The defendant's real complaint is not that the court overlooked
those factors but that it weighed those factors less heavily than
he would have liked. But that type of balancing is, within wide
limits, a matter for the sentencing court. See United States v.
Carrasco-De-Jesús, 589 F.3d 22, 29 (1st Cir. 2009) (holding that a
criminal defendant is entitled to a weighing of relevant factors,
not to a particular result); United States v. Deppe, 509 F.3d 54,
62 (1st Cir. 2007) (similar). Those wide limits were not exceeded,
or even closely approached, in this instance.
The defendant's claim that the district court disregarded
the sentences imposed on the underlying drug charges is made up out
of whole cloth. The record offers no reason to doubt that the
court took into account the sentences imposed on the underlying
drug charges. After all, the sentences on all three counts were
imposed at the same time. To cinch the matter, the aggregate
period of incarceration portended by the combined sentences — 180
months — is exactly the same as the aggregate period of
incarceration jointly recommended by the parties in the Agreement.
That smacks of deliberate decisionmaking, not mere happenstance.
Though the defendant's lack of individualization claim is
meritless, his challenge to the procedural reasonableness of the
sentence has another facet: his asseveration that the sentencing
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court erred by increasing the mandatory minimum sentence in a knee-
jerk response to the high incidence of crime and illegal firearm
use in Puerto Rico and the local judiciary's perceived penchant for
leniency in such cases. The defendant maintains that the court
placed too much emphasis on these community-based considerations
and, thus, overshadowed the appropriate sentencing factors limned
in 18 U.S.C. § 3553(a).
We agree with the defendant's premise that a sentencing
court's appraisal of community-based considerations does not
relieve its obligation to ground its sentencing determination in
individual factors related to the offender and the offense. See
United States v. Flores-Machicote, 706 F.3d 16, 24 (1st Cir. 2013).
A sentencing court may abuse its discretion by focusing "too much
on the community and too little on the individual" in imposing a
sentence. Id.; see Narváez-Soto, ___ F.3d at ___ [slip op. at 8].
But as we explain below, that is not what happened here.
That the court paid heed to the particulars of the
defendant's case is made manifest by its references to his family
life, age, education, employment record, absence of mental health
issues, drug consumption, and prior brushes with the law. The
court also remarked that the defendant, who had been found in
possession of four firearms, had no training in their use. Nor did
he have any visible means of purchasing them.
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Against this tableau, the defendant's asseveration is
unpersuasive. While the sentencing court referred to both the high
incidence of violent crime in Puerto Rico and to the local courts'
tendencies toward leniency in such cases, it did so in connection
with the need for deterrence — and deterrence is, of course, a
legitimate sentencing goal. See 18 U.S.C. § 3553(a)(2)(B); Flores-
Machicote, 706 F.3d at 23.
The short of it is that the district court sentenced the
defendant in light of the totality of a myriad of relevant
circumstances. Although community-based considerations were a part
of this mix, there is no compelling indication that the court gave
undue weight to them. Consequently, we reject the defendant's
assignment of procedural error.
C.
Substantive Reasonableness
This leaves only the defendant's assertion that his
sentence on the gun charge is substantively unreasonable. The
essence of appellate review for substantive reasonableness is
whether the sentence is the product of "a plausible . . . rationale
and a defensible result." Martin, 520 F.3d at 96.
The defendant starts by attacking the lower court's
sentencing rationale. We glean that rationale primarily from the
court's near-contemporaneous oral and written explanations of the
sentence. See id. at 93. In evaluating the plausibility of a
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discerned rationale, we are mindful that a district court's
sentencing portfolio is "broad, open-ended, and significantly
discretionary." Id. at 92.
At the disposition hearing, the court noted the
prevalence of gun-related crimes in Puerto Rico and the pressing
need to deter that kind of misconduct. The court also noted that
such gun-related crimes are often committed by persons who, like
the defendant, have obtained firearms illicitly and have had no
proper training in their use.
Furthermore, the defendant was a drug point owner and
enforcer who possessed four firearms in furtherance of those roles.
For many drug dealers, guns are tools of the trade. See, e.g.,
United States v. Acosta-Colón, 741 F.3d 179, 203 (1st Cir. 2013);
United States v. Green, 887 F.2d 25, 27 (1st Cir. 1989). The
sentencing court's rationale stressed the need for deterrence in a
community and in a trade where gun-related crimes run rampant. So
viewed, the court's sentencing rationale was plausible. See
Flores-Machicote, 706 F.3d at 23; Martin, 520 F.3d at 96.
The defendant next frontally attacks the sentence itself,
insisting that it is unreasonably stiff. He points out that the
court "exceeded by 24 months" the parties' joint recommendation for
a 60-month sentence on the gun charge, "represent[ing] a 40%
increase" over the recommended sentence. This drastic upward
variance, he says, flouts the parsimony principle, which requires
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that a sentence be "sufficient, but not greater than necessary."
18 U.S.C. § 3553(a); see United States v. Rodríguez, 527 F.3d 221,
228 (1st Cir. 2008).
This argument lacks force. Normally, a sentencing court
is not bound by the parties' mutual embrace of a recommended
sentence.3 See, e.g., Flores-Machicote, 706 F.3d at 19-20.
Moreover, a mandatory minimum sentence is just that: the lowest
sentence that can lawfully be imposed. A sentencing court may
lawfully select a higher sentence up to the statutory maximum
(which in this case is life imprisonment). See, e.g., Narváez-
Soto, ___ F.3d at ___ [slip op. at 4-5, 13].
Here, the crimes of conviction are serious and the
defendant was found in possession of a small arsenal. Seen in this
light, the 24-month upward variance is not unconscionably steep.
Together with the 96-month sentence on the underlying drug charges,
it produced the same aggregate period of incarceration to which the
parties had previously agreed.
In most cases, there is not a single appropriate sentence
but, rather, a universe of reasonable sentences. See Walker, 665
F.3d at 234. That is true here — and on this record, we cannot say
3
We say "normally" because, under Federal Rule of Criminal
Procedure 11(c)(1)(C), a plea agreement accepted by the district
court may thereafter bind the court to a particular sentence. See,
e.g., United States v. Rivera-Martínez, 665 F.3d 344, 345 (1st Cir.
2011); United States v. Teeter, 257 F.3d 14, 28 (1st Cir. 2001).
That is not the case here.
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that the court's upward variance either brought the challenged
sentence outside this universe or resulted in an indefensible
outcome. We conclude, therefore, that the challenged sentence is
substantively reasonable and "sufficient, but not greater than
necessary" to further the legitimate goals of sentencing. 18
U.S.C. § 3553(a).
III.
Conclusion
We need go no further. For the reasons elucidated above,
the judgment of the district court is
Affirmed.
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