Filed: Mar. 07, 2007
Latest Update: Feb. 21, 2020
Summary: United States Court of Appeals Fifth Circuit REVISED MARCH 7, 2007 FILED IN THE UNITED STATES COURT OF APPEALS February 28, 2007 FOR THE FIFTH CIRCUIT Charles R. Fulbruge III _ Clerk No. 05-11391 _ UNITED STATES OF AMERICA, Plaintiff-Appellee v. OMAR MEJIA-HUERTA, also known as Omar Huerta-Mejia, also known as Omar Mejia, also known as Omar Huerta, also known as Ivan Mexia-Huerta, also known as Omar Mexia, Defendant-Appellant _ Consolidated with 06-10004 UNITED STATES OF AMERICA, Plaintiff-Appel
Summary: United States Court of Appeals Fifth Circuit REVISED MARCH 7, 2007 FILED IN THE UNITED STATES COURT OF APPEALS February 28, 2007 FOR THE FIFTH CIRCUIT Charles R. Fulbruge III _ Clerk No. 05-11391 _ UNITED STATES OF AMERICA, Plaintiff-Appellee v. OMAR MEJIA-HUERTA, also known as Omar Huerta-Mejia, also known as Omar Mejia, also known as Omar Huerta, also known as Ivan Mexia-Huerta, also known as Omar Mexia, Defendant-Appellant _ Consolidated with 06-10004 UNITED STATES OF AMERICA, Plaintiff-Appell..
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United States Court of Appeals
Fifth Circuit
REVISED MARCH 7, 2007 FILED
IN THE UNITED STATES COURT OF APPEALS February 28, 2007
FOR THE FIFTH CIRCUIT Charles R. Fulbruge III
_____________________ Clerk
No. 05-11391
_____________________
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
OMAR MEJIA-HUERTA, also known as Omar
Huerta-Mejia, also known as Omar Mejia,
also known as Omar Huerta, also known as
Ivan Mexia-Huerta, also known as Omar Mexia,
Defendant-Appellant
_________________________________________________________________
Consolidated with
06-10004
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
ANASTACIO PANTOJA-ARELLANO, also known as
Andy Pantoja, also known as Armando
Puentes-Herrera, also known as Pedro
Garcia-Rodriguez,
Defendant-Appellant
_________________________________________________________________
Consolidated with
06-10082
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
JOSE ANDRES DEHUMA-SUAREZ,
Defendant-Appellant
_________________________________________________________________
Consolidated with
06-10099
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
ANTONIO CRUZ-MARTINEZ,
Defendant-Appellant
_________________________________________________________________
Consolidated with
06-10142
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
LUIS ESTRADA,
Defendant-Appellant
_________________________________________________________________
Consolidated with
06-10211
UNITED STATES OF AMERICA,
Plaintiff-Appellee
v.
TABRODRICK DESHAUN CRADDOCK,
Defendant-Appellant
----------------------
Appeals from the
United States District Court
for the Northern District of Texas
----------------------
2
Before JONES, Chief Judge, WIENER, and BARKSDALE, Circuit Judges.
WIENER, Circuit Judge:
This consolidated appeal involves six defendants, each of
whom challenges his sentence. All of the sentences were imposed
by the same district judge. Defendant-Appellants Omar Mejia-
Huerta, Anastacio Pantoja-Arellano, Jose Andres Dehuma-Suarez,
and Antonio Cruz-Martinez were convicted of illegal re-entry
after deportation, in violation of 8 U.S.C. § 1326. Defendant-
Appellant Luis Estrada was convicted of transporting aliens, in
violation of 8 U.S.C. § 1324. Defendant-Appellant Tabrodrick
Deshaun Craddock was convicted of being a felon in possession of
a firearm, in violation of 18 U.S.C. § 922(g)(1). Of the six,
only one —— Estrada —— was sentenced before United States v.
Booker,1 but, post-Booker, his case was remanded for re-
sentencing. All the sentences were imposed between early
December 2005 and early February 2006.
Although nothing in the government’s pre-sentencing
submissions or the probation officers’ Pre-Sentence Investigation
Reports (“PSR”) recommended or mentioned any grounds for
sentencing departures or variances, the district court in each
case —— without providing pre-sentencing notice of its intent to
1
543 U.S. 220 (2005).
3
do so —— imposed a non-Guidelines sentence greater than the
Guidelines range indicated. Finding Burns v. United States2 and
the plain language of Federal Rule of Criminal Procedure 32(h)
inapplicable to post-Booker sentences at variance with the
Guidelines,3 we conclude that, post-Booker, a sentencing court
need not provide pre-sentencing notice of its sua sponte
intention to impose a non-Guidelines sentence and affirm the
district court in all respects.
I. FACTS AND PROCEEDINGS
A. Omar Mejia-Huerta
Mejia-Huerta was indicted for a single count of illegal re-
entry after deportation.4 He pleaded guilty pursuant to a plea
agreement. Prior to sentencing, the probation officer prepared a
PSR, which calculated Mejia-Huerta’s advisory Guidelines range at
9 to 15 months imprisonment.
2
501 U.S. 129 (1991).
3
Rule 32(h) states:
Before the court may depart from the applicable
sentencing range on a ground not identified for departure
either in the presentence report or in a party’s
prehearing submission, the court must give the parties
reasonable notice that it is contemplating such a
departure. The notice must specify any ground on which
the court is contemplating a departure.
Fed. R. Crim. Proc. 32(h).
4
8 U.S.C. § 1326.
4
The district court sentenced Mejia-Huerta to a non-
Guidelines sentence of 36 months imprisonment followed by three
years supervised released. Before imposing the sentence and
after considering the sentencing objectives of 18 U.S.C. §
3553(a), the district court stated that Mejia-Huerta’s extensive
criminal history, disrespect for the laws of the United States,
and threat to public safety warranted an “upward variance.”5
Prior to sentencing, neither the district court nor the PSR, or
any pre-sentencing submission by the government, indicated the
possibility of or reasoning behind the imposition of a non-
Guidelines sentence. Mejia-Huerta did not object to the
sentence, but timely filed a notice of appeal.
B. Anastacio Pantoja-Arellano
Pantoja-Arellano was indicted for a single count of illegal
re-entry after deportation.6 He pleaded guilty pursuant to a
plea agreement. Prior to sentencing, the probation officer
prepared a PSR, which calculated Pantoja-Arellano’s advisory
Guidelines range at 33 to 41 months imprisonment.
5
Mejia-Huerta had two prior convictions for driving while
intoxicated, two prior convictions for improper entry by an illegal
alien, a single conviction for interfering with public duties of
Emergency Medical Services officials, and arrests for making a
false claim of U.S. citizenship, possession and use of an inhalant,
driving while intoxicated, evading arrest, and tampering with a
government document.
6
Id.
5
The district court sentenced Pantoja-Arellano to a non-
Guidelines sentence of 96 months imprisonment followed by three
years supervised released. Before imposing the sentence and
after considering the sentencing objectives of § 3553(a), the
district court stated that Pantoja-Arellano’s extensive criminal
history, disrespect for the laws of the United States, and threat
to public safety warranted an “upward variance.”7 Prior to
sentencing, neither the district court nor the PSR, or any pre-
sentencing submission by the government, indicated the
possibility of or reasoning behind the imposition of a non-
Guidelines sentence.
At the conclusion of the sentencing hearing, Pantoja-
Arellano’s counsel objected to the upward variance and asked the
district court if it preferred to consider the objection by oral
argument at present or subsequently in writing. The district
court advised Pantoja-Arellano to file a subsequent written
objection.
In the post-sentencing written objection, Pantoja-Arellano’s
counsel complained that the district court erred in failing to
7
Pantoja-Arellano had three prior convictions for driving
while intoxicated, two prior convictions for illegal re-entry, two
prior convictions for aiding and abetting transportation of illegal
aliens, two prior convictions for assaults causing bodily injury to
family members, a single prior drug offense conviction, and
additional convictions that were not specifically identified by the
district court at sentencing.
6
give him notice of its intent to make a variance; that the
variance did not comply with § 4A1.3 of United States Sentencing
Guidelines (“U.S.S.G.”); and that the sentence was unreasonable.
The district court denied the motion and stated that, even if it
were to grant the motion and resentence Pantoja-Arellano, it
would impose the same sentence. Pantoja-Arellano timely filed a
notice of appeal.
C. Jose Andres Dehuma-Suarez
Dehuma-Suarez was indicted for a single count of illegal re-
entry after deportation, to which he pleaded guilty pursuant to a
plea agreement.8 Prior to sentencing, the probation officer
prepared a PSR, which calculated Dehuma-Suarez’s advisory
Guidelines range at 21 to 27 months imprisonment.
The district court sentenced Dehuma-Suarez to a non-
Guidelines sentence of 120 months imprisonment followed by three
years supervised released. Before imposing the sentence and
after considering the sentencing objectives of § 3553(a), the
district court stated that Dehuma-Suarez’s extensive criminal
history, disrespect for the laws of the United States, and threat
to public safety warranted an “upward variance.”9 Prior to
8
Id.
9
Dehuma-Suarez had four prior convictions for driving while
intoxicated and a single conviction for assault on a peace officer,
and was arrested and charged with sexual assault of a 14-year-old
7
sentencing, neither the district court nor the PSR, or any pre-
sentencing submission by the government, indicated the
possibility of or reasoning behind the imposition of a non-
Guidelines sentence.
Despite not voicing an objection at the sentencing hearing,
Dehuma-Suarez filed a post-sentencing objection to the upward
variance later that day, making the same claims as Pantoja-
Arellano. In response, the district court denied the motion and
stated the same observation that it had made in Pantoja-
Arellano’s case: it would impose the same sentence, even if
Dehuma-Suarez’s motion was meritorious. Dehuma-Suarez timely
filed a notice of appeal.
D. Antonio Cruz-Martinez
Cruz-Martinez was indicted for a single count of illegal re-
entry after deportation, and pleaded guilty pursuant to a plea
agreement.10 Prior to sentencing, the probation officer prepared
a PSR, which calculated Cruz-Martinez’s advisory Guidelines range
at 21 to 27 months imprisonment.
The district court sentenced Cruz-Martinez to a non-
Guidelines sentence of 60 months imprisonment followed by three
female child. In addition, Dehuma-Suarez had been deported twice
and subsequently re-entered the United States both times.
10
Id.
8
years supervised released. Before imposing the sentence, the
district court stated as it had in the other cases consolidated
with this one, that, after considering the sentencing objectives
of § 3553(a), Cruz-Martinez’s extensive criminal history,
disrespect for the laws of the United States, and threat to
public safety warranted an “upward variance.”11 Prior to
sentencing, neither the district court nor the PSR, or any pre-
sentencing submission by the government, indicated the
possibility of or reasoning behind the imposition of a non-
Guidelines sentence.
At the conclusion of the sentencing hearing, Cruz-Martinez’s
counsel objected to the upward variance and asked the district
court if it preferred to consider the objection by oral argument
at present or subsequently in writing. The district court
advised Cruz-Martinez to file a subsequent written objection.
In the post-sentencing written objection, Cruz-Martinez’s
counsel objected to the upward variance for the same reasons
espoused by Pantoja-Arellano and Dehuma-Suarez. Making the same
observations as it had in those cases, the district court denied
11
Cruz-Martinez had two prior convictions for driving while
intoxicated, a single prior conviction for assault causing bodily
injury, which was committed on his wife and children, and three
prior illegal re-entries into the United States. During one
incident of driving while intoxicated, Cruz-Martinez had an
unrestrained 7-month-old child in the vehicle with him.
9
the motion and stated that it would impose the same sentence,
even if Cruz-Martinez’s motion was meritorious. Cruz-Martinez
timely filed a notice of appeal.
E. Luis Estrada
Estrada was indicted for a single count of transporting
illegal aliens.12 He pleaded guilty pursuant to a plea agreement
and was sentenced pre-Booker. On appeal, we vacated his sentence
for Booker error and remanded.13
Prior to resentencing, the probation officer prepared a PSR,
which calculated Estrada’s advisory Guidelines range at 33 to 41
months imprisonment. The district court lowered Estrada’s
Guidelines range after sustaining an objection to a two-point
enhancement. As a result, Estrada’s Guidelines range was 27 to
33 months imprisonment. The district court nevertheless
resentenced Estrada to a non-Guidelines sentence of 41 months
imprisonment followed by three years supervised release. Before
imposing the sentence and after considering the sentencing
objectives of § 3553(a), the district court stated that Estrada’s
disrespect for the laws of the United States and threat to public
12
Id. § 1324(a)(1)(A)(ii).
13
United States v. Estrada, 153 F.App’x 265, 266-67 (5th Cir.
2005).
10
safety warranted an “upward variance.”14 Prior to sentencing,
neither the district court nor the PSR, or any pre-sentencing
submission by the government, indicated the possibility of or
reasoning behind the imposition of a non-Guidelines sentence.
Estrada did not object to the sentence, but did timely file a
notice of appeal.
F. Tabrodrick Deshaun Craddock
Craddock was indicted for a single count of being a felon in
possession of a firearm.15 He pleaded guilty pursuant to a plea
agreement. Prior to sentencing, the probation officer prepared a
PSR, which calculated Craddock’s advisory Guidelines range at 21
to 27 months imprisonment.
The district court sentenced Craddock to a non-Guidelines
sentence of 60 months imprisonment followed by three years
supervised released. Before imposing the sentence and after
considering the sentencing objectives of § 3553(a), the district
court stated that Craddock’s history of violent criminal
behavior, his threat to public safety, the need to provide
adequate punishment, and the need to promote respect for the law
14
Estrada was transporting 17 illegal aliens in his vehicle
and his co-defendant was transporting 10 additional illegal aliens
in his vehicle. The district court concluded that these facts
alone justified the upward variance.
15
18 U.S.C. § 922(g)(1).
11
warranted an “upward variance.”16 Prior to sentencing, neither
the district court nor the PSR, or any pre-sentencing submission
by the government indicated the possibility of or reasoning
behind the imposition of a non-Guidelines sentence. Craddock did
not object to the sentence, but did timely file a notice of
appeal.
II. LAW AND ANALYSIS
On appeal, all six defendants assert two identical
arguments: (1) The district court erred when it failed to provide
pre-sentencing notice of its sua sponte intention to impose a
non-Guidelines sentence, thereby violating Burns and Rule 32(h);
and (2) the district court erred when it failed to follow the
sentencing methodology set forth in U.S.S.G. § 4A1.3. In
addition, Mejia-Huerta, Pantoja-Arellano, Dehuma-Suarez, and
Cruz-Martinez contend that the district court erroneously treated
each of their prior aggravated felony convictions as sentence-
16
Craddock had prior convictions for assault in which he
assaulted his mother and two younger siblings (ages twelve and
thirteen, respectively), evading arrest, and unauthorized use of a
motor vehicle, in which he led law enforcement officers on a chase
throughout Lubbock, Texas and was only apprehended after crashing
the vehicle into a utility pole. Furthermore, during the occasion
of one of Craddock’s arrests, law enforcement officers entered the
residence where Craddock was located and observed Craddock
brandishing a pistol. Craddock charged the officers, engaging in
a fight with one of them. Craddock continued to fight with this
officer until subdued by a taser. In addition, an analysis of
spent rounds from the pistol in Craddock’s possession indicated
that it had been used one week earlier in a home-invasion robbery.
12
enhancing factors, rather than as substantive elements pursuant
to 8 U.S.C. § 1326(b).
The government agrees with the defendants that the district
court was required by the rationale of Burns and Rule 32(h) to
provide pre-sentencing notice of its sua sponte intention to
impose a non-Guidelines sentence. The government contends that
this notice will insure a more focused and adversarial
proceeding, and will avoid any due process implications.
Notwithstanding its position, the government asserts that
the district court’s failure to provide pre-sentencing notice of
its sua sponte intention to impose a non-Guidelines sentence does
not constitute reversible error. As to Pantoja-Arellano, Dehuma-
Suarez, and Cruz-Martinez, the government asserts that our review
is for harmless error and, because the district court explicitly
acknowledged that, even if it had provided pre-sentencing notice
of its sua sponte intention to impose a non-Guidelines sentence,
it would have imposed the same sentence, any error was harmless.
As to Mejia-Huerta, Estrada, and Craddock, the government
contends that review is for plain error and, because there is no
binding, pre-existing law on this issue, any error was not plain.
A. Standard of Review
Having timely objected, Pantoja-Arellano’s, Dehuma-
13
Suarez’s,17 and Cruz-Martinez’s claims are reviewed for harmless
error.18 Under harmless error review, “[a]ny error, defect,
irregularity, or variance that does not affect substantial rights
must be disregarded.”19 An error affects substantial rights if
it affects the outcome of the trial proceedings; conversely, an
error is harmless if it does not affect the outcome of the
district court proceedings.20 A sentencing error will be
considered harmless if the government can establish beyond a
reasonable doubt that the district court would have imposed the
same sentence absent the error.21
In contrast, we review the claims of Mejia-Huerta, Estrada,
and Craddock for plain error, as they failed timely to object to
the district court.22 Under plain error review, we may exercise
17
It is questionable whether Dehuma-Suarez timely raised an
objection to his sentence, thus implicating the standard of review
we apply to his claim. Dehuma-Suarez failed to raise a
contemporaneous objection during his sentencing hearing, but filed
a written objection later that same day. His actions may not have
been sufficient to constitute a timely objection, but because his
claim fails under both harmless error and plain error review, we
need not reach this issue. Instead, we will review Dehuma-Suarez’s
claim under the more lenient harmless error standard.
18
United States v. Walters, 418 F.3d 461, 463 (5th Cir. 2005).
19
Fed. R. Crim. Proc. 52(a).
20
United States v. Akpan, 407 F.3d 360, 377 (5th Cir. 2005).
21
United States v. Pineiro, 410 F.3d 282, 286 (5th Cir. 2005).
22
United States v. Vargas-Garcia, 434 F.3d 345, 347 (5th Cir.
2005), cert. denied,
126 S. Ct. 1894 (2006). Estrada contends that
14
our discretion to correct a defendant’s sentence if there is: (1)
an error; (2) that is plain; (3) that affects substantial rights;
and (4) that seriously affects the fairness, integrity, or public
reputation of judicial proceedings.23
B. Merits
i. Rule 32(h) and Burns
Rule 32(h) was a legislative response to the Supreme Court’s
decision in Burns. There, the Supreme Court held that an earlier
version of Rule 32 required a sentencing court to give parties
reasonable notice of its intention to depart upwardly sua sponte
from the appropriate Guidelines range, if the grounds for such a
departure were not identified in either the PSR or a pre-
sentencing submission by the government.24 The Court concluded
that, to give effect to a defendant’s right “to comment upon the
his claim should be reviewed for harmless error as he properly
objected to the imposition of his sentence. We disagree. At the
conclusion of Estrada’s sentencing, Estrada’s counsel stated,
“[W]ith the Court’s permission, I’ll file a written objection on
the notice requirement.” Nothing more was said concerning the
district court’s alleged error. In response, the district court
approved Estrada’s proposed procedure. Estrada, however, failed to
file his proposed written objection. Estrada’s counsel’s single
statement was simply insufficient to preserve Estrada’s objection.
It did not adequately provide the district court with the substance
of the objection or an opportunity to cure the perceived error.
Thus, Estrada’s claim is reviewed for plain error.
23
United States v. Lewis, 412 F.3d 614, 616 (5th Cir. 2005).
24
501 U.S. at 138-39.
15
probation officer’s determination and on other matters relating
to the appropriate sentence,” advance notice was a prerequisite
to a departure.25 Otherwise, reasoned the Court, a litigant
would unfairly have (1) to engage in an incoherent comment and
defense at sentencing; (2) in a pre-sentencing filing, to waste
large amounts of time guessing when or on what grounds a court
might depart sua sponte; or (3) to suggest reluctantly a
departure possibility to the sentencing court in a pre-sentencing
filing, only for the purpose of rebutting the possible departure
grounds.26 Rule 32(h) has essentially codified the holding of
Burns.
Before United States v. Booker, sentencing courts were
compelled to impose sentences that fell within the sentencing
ranges assigned by the Guidelines, unless a specified exception
existed.27 When a sentencing court found such an exception and
exercised its limited discretion to sentence outside the
applicable Guidelines range, the court was said to be engaging in
25
Id. This right was codified in Rule 32(a)(1) at the time
of Burns, but is now codified in Rule 32(i)(1).
26
Id. at 136-37. The Court also expressed concern with
whether a lack of notice under Rule 32 would violate the Due
Process Clause.
Id. at 138.
27
543 U.S. at 259.
16
a “departure” from the Guidelines.28 Thus, pre-Booker, a
sentencing court would either impose a sentence within the
properly calculated Guidelines range or impose a Guidelines
sentence that included an upward or downward departure.
Since Booker, sentencing courts have had a third sentencing
option —— a non-Guidelines sentence.29 Under the post-Booker
advisory Guidelines regime, a sentencing court may impose a
sentence either higher or lower than —— at variance with —— the
appropriate Guidelines range.30 Before doing so, however, the
sentencing court must calculate the correct Guidelines range,
consider it as advisory, and use it as a frame of reference.31
If the sentencing court chooses to impose a non-Guidelines
sentence, its reasons for doing so must be consistent with the
factors enumerated in § 3553(a).32 Thus, post-Booker, a
28
United States v. Smith, 440 F.3d 704, 707 (5th Cir. 2006).
29
United States v. Mares, 402 F.3d 511, 519 n.7 (5th Cir.
2005), cert. denied,
126 S. Ct. 43 (2005).
30
Smith, 440 F.3d at 707.
31
United States v. Angeles-Mendoza, 407 F.3d 742, 746 (5th
Cir. 2005).
32
Smith, 440 F.3d at 707. Section 3553(a)’s factors include:
the defendant’s offense conduct, personal history, and
characteristics; the need for the sentence to reflect the
seriousness of the offense, to promote respect for the law, to
provide just punishment, to afford adequate deterrence to criminal
conduct, to protect the public, and to rehabilitate the defendant;
the kinds of sentences available; the advisory Guidelines range and
17
sentencing court may impose a non-Guidelines sentence, i.e., a
“variance”, but not a “departure,” if it calculates the proper
sentencing range and references the broad array of factors set
forth in § 3553(a).
Since Booker, an incongruent pattern of caselaw has
developed among those federal circuits that have considered
whether Burns or Rule 32(h) continue to apply to non-Guidelines
sentences. The Third,33 Seventh,34 Eighth,35 and Elevnth36 Circuits
have answered in the negative; the Second,37 Fourth,38 Ninth,39 and
Tenth40 Circuits have answered in the affirmative. In an
policy statements; the need to avoid unwarranted sentencing
disparities; and the need to provide restitution.
33
United States v. Vampire Nation, 451 F.3d 189, 195-98 (3d
Cir. 2006), cert. denied,
127 S. Ct. 424 (2006).
34
United States v. Walker, 447 F.3d 999, 1005-07 (7th Cir.
2006), cert. denied
127 S. Ct. 314 (2006).
35
United States v. Egenberger, 424 F.3d 803, 805-06 (8th Cir.
2005), cert. denied
126 S. Ct. 1106 (2006).
36
United States v. Irizarry, 458 F.3d 1208, 1212 (11th Cir.
2006).
37
United States v. Anati, 457 F.3d 233, 236-38 (2d Cir. 2006).
38
United States v. Davenport, 445 F.3d 366, 371 (4th Cir.
2006).
39
United States v. Evans-Martinez, 448 F.3d 1163, 1167 (9th
Cir. 2006).
40
United States v. Dozier, 444 F.3d 1215, 1217-18 (10th Cir.
2006).
18
unpublished and thus non-binding opinion, we have previously
determined that a sentencing court’s failure to provide notice of
its intention to impose a non-Guidelines sentence post-Booker
does not constitute plain error, but we have expressly declined
to rule on whether such failure constitutes error.41 We now
enter the fray, agreeing with the circuits that have concluded
that neither Burns nor Rule 32(h) apply to non-Guidelines
sentences and thereby disrupt the equipoise of the circuit split
on this issue.
We first note that the plain language of Rule 32(h) limits
its application to departures. It contains no language even
hinting that it might apply elsewhere. We conclude that we are
bound to hold that Rule 32(h) applies to departures only and not
to variances from the Guidelines.
In addition, as Booker has rendered the Guidelines purely
advisory, the concerns that precipitated the Court’s decision in
Burns are no longer viable. Sentencing post-Booker is a heavily
discretionary exercise. Sentencing courts need only consider the
Guidelines as informative and must consult the full host of
factors set forth in § 3553(a) before rendering a reasonable non-
41
United States v. Dean, No. 05-51015, 2006 WL 3005546, at *2
(5th Cir. Oct. 23, 2006); cf. United States v. Mateo, 179 F.App’x
64, 65 (1st Cir. 2006); United States v. Pettus, 166 F. App’x 532,
534 (2d Cir. 2006); United States v. Simmerer, 156 F.App’x 124, 128
(11th Cir. 2005), cert. denied
126 S. Ct. 1599 (2006).
19
Guidelines sentence. These factors are known (or knowable) by
the parties prior to sentencing, thus putting the litigants on
notice that a sentencing court has discretion to consider any of
these factors. This knowledge eliminates the element of unfair
surprise, the concern that defense counsel will waste time with a
pre-sentencing filing, the possibility that defense counsel will
unwittingly provide the sentencing court with a grounds for
departure, and the worry of possibly undermining the adversarial
process, that permeate Burns, thus negating its application to
non-Guidelines sentences.
Here, each defendant had knowledge of the facts of his case
on which the district court would rely in applying the § 3553(a)
factors. The district court correctly calculated the sentencing
ranges and, after considering the § 3553(a) factors, exercised
its discretion to impose non-Guidelines sentences. This is not
an instance when the sentencing court unexpectedly departed from
a binding Guidelines range. Rather, the district court
predictably did what any district court is empowered to do post-
Booker. If we were to conclude that the advance notice
requirement of Rule 32(h) applies to non-Guidelines sentences, we
would re-elevate the Guidelines to a position it no longer
enjoys.42 Thus, we conclude that sentencing courts are not
42
See Vampire Nation, 451 F.3d at 196.
20
required to give pre-sentencing notice of their sua sponte
intention to impose a non-Guidelines sentence, regardless of the
pre-Booker pronouncements of Burns and Rule 32(h).
ii. U.S.S.G. § 4A1.3
Pursuant to U.S.S.G. § 4A1.3(a)(1), a sentencing court may
impose an upward departure “[i]f reliable information indicates
that the defendant’s criminal history category substantially
under-represents the seriousness of the defendant’s criminal
history or the likelihood that the defendant will commit other
crimes.” In the event that the sentencing court decides to
depart, it is to follow the method for calculating the extent of
the departure set forth in §§ 4A1.3(a)(4)(A) and (B).
Here, the defendants argue that their sentences were
unreasonable because the district court failed to comply with or
consult the methodology established in § 4A1.3.43 As each
sentence was a variance and not a departure, we disagree.
We note initially that the district court’s decisions to
impose non-Guidelines sentences were not based exclusively on
unrepresentative criminal histories. Rather, they were based on
a number of § 3553(a) factors, including extensive criminal
43
On appeal, the Defendant-Appellants did not assert that
their respective sentences were unreasonable in and of themselves,
but instead only challenged the reasonableness of the sentences
based on the district court’s failure to consult and comply with §
4A1.3.
21
history, the need to promote respect for law, deterrence of
future criminal conduct, and the need to protect the public. We
reiterate for emphasis that § 4A1.3 applies only to departures ——
based on unrepresentative criminal history —— not to variances.
Thus, from the outset, the defendants’ argument fails.
Furthermore, the defendants completely skirt our test for
determining the reasonableness of a non-Guidelines sentence. We
have established that a non-Guidelines sentence is unreasonable
when it (1) does not account for a factor that should have
received significant weight, (2) gives significant weight to an
irrelevant or improper factor, or (3) represents a clear error of
judgment in balancing the sentencing factors.44 Here, the
defendants do not argue that the district court short-changed a
particular factor, over-emphasized another, or erred in balancing
multiple factors. Instead, the defendants disregard our caselaw
and rely on a single, inapposite Seventh Circuit case to argue
that the sentencer’s failure to conduct the calculus of § 4A1.3
renders a non-Guidelines sentence per se unreasonable.45
In simplest terms, the district court in the six cases
consolidated here on appeal (1) calculated the proper Guidelines
44
Smith, 440 F.3d at 708.
45
United States v. Castro-Juarez, 425 F.3d 430 (7th Cir.
2005).
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ranges, (2) considered multiple § 3553(a) factors, (3) explained
its reasons for imposing non-Guidelines sentences, and (4)
imposed non-Guidelines sentences that we conclude are not
unreasonable. We hold that the district court committed no error
in calculating and imposing the defendants’ sentences.
Therefore, defendants’ no-pre-sentencing-notice claim fails under
either of the applicable standards of review.
iii. 8 U.S.C. § 1326(b)
Finally, four of the six defendants contend that the
district court inappropriately treated their prior aggravated
felony convictions as sentence enhancements, rather than as an
element of their offenses under 8 U.S.C. § 1326(b). As this
argument is foreclosed by Almendarez-Torres v. United States,46
it fails.
III. CONCLUSION
In the post-Booker world of advisory Guidelines, all parties
are on notice that, after considering the sentencing factors of §
3553(a), a sentencing court has the discretion to impose a non-
Guidelines sentence. Stated differently, parties are
conclusively presumed to have pre-sentencing knowledge of these
factors. Thus, no party is unfairly prejudiced by the imposition
46
523 U.S. 224, 235 (1998); see United States v. Alvarado-
Hernandez,
465 F.3d 188, 190 n.2 (5th Cir. 2006).
23
of a non-Guidelines sentence based on a sentencing court’s sua
sponte consideration and application of § 3553(a). Accordingly,
the unfair surprise and other concerns sought to be remedied by
Burns and Rule 32(h) is no longer a legitimate concern and no
longer necessitates that a sentencing court provide pre-
sentencing notice of its intention to impose a non-Guidelines
sentence sua sponte.
Based on the applicable law and our extensive review of the
parties’ briefs and the records of the cases consolidated in this
appeal, we hold that (1) the district court was not required to
provide pre-sentencing notice of its sua sponte intention to
impose a non-Guidelines sentence; (2) the district court’s
failure to follow the methodology of U.S.S.G. § 4A1.3 did not
constitute error; and (3) the defendants’ § 1326(b) claims are
non-meritorious. We therefore affirm the sentence imposed by the
district court in each of these six consolidated cases.
AFFIRMED
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