United States v. Vega-Santiago

519 F.3d 1, 2008 U.S. App. LEXIS 3757, 2008 WL 451813
CourtCourt of Appeals for the First Circuit
DecidedFebruary 21, 2008
DocketNo. 06-1558
StatusPublished
Cited by162 cases

This text of 519 F.3d 1 (United States v. Vega-Santiago) is published on Counsel Stack Legal Research, covering Court of Appeals for the First Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Vega-Santiago, 519 F.3d 1, 2008 U.S. App. LEXIS 3757, 2008 WL 451813 (1st Cir. 2008).

Opinions

OPINION EN BANC

BOUDIN, Chief Judge.

Manuel Vega-Santiago appealed from his conviction on one count of armed carjacking, 18 U.S.C. § 2119(1) (2000), and two counts of related weapons offenses, id. §§ 924(c)(1)(A), 922(k), asserting various trial errors. He also appealed from his prison sentence of 240 months, which represented an upward variance from the sentencing guidelines range of 177 to 191 months that would otherwise have applied to him.

A panel of this court affirmed Vega’s conviction and sentence, remanding only to correct a discrepancy between the written and oral judgments. United States v. Vega-Santiago, 519 F.3d 14, 2007 WL 3171337 (1st Cir.2007). We granted rehearing en banc to consider the panel’s ruling that the district judge must provide “notice” to litigants before imposing a sentence outside the guideline range — a requirement that the panel found satisfied in this case.

The facts in detail can be found in the panel opinion. Vega-Santiago, 519 F.3d at 18-20, 2007 WL 3171337, at *1-*3. Pertinently, here the district judge chose — pursuant to the sentencing regime established by the Supreme Court, United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005); see also United States v. Jimenez-Beltre, 440 F.3d 514 (1st Cir. 2006) (en banc)—to impose a sentence above the range applicable under the sentencing guidelines. He did so after weighing the sentencing factors outlined in 18 U.S.C. § 3553(a)—in particular, the nature of the offense and the background of the offender. Neither the presentence report nor the government’s pre-hearing submissions had suggested varying from the guidelines.

The question before us is whether a district court, before sua sponte imposing a sentence outside the recommended guideline range, must automatically provide advance notice to the parties of its intent to do so and its contemplated reasoning. The circuit courts being divided,1 the Supreme Court is now likely to decide the issue, United States v. Irizarry, 458 F.3d 1208, 1212 (11th Cir.2006), cert. granted, — U.S.-, 128 S.Ct. 828, 169 L.Ed.2d 625 (2008) (No. 06-7517), but until it does, district judges in this circuit are entitled to guidance on an issue potentially present in every sentencing. Our answer is that notice is sometimes, but not always, required.

Much of the dispute among our sister circuits has concerned the applicability of [3]*3Federal Rule of Criminal Procedure 32(h). The rule provides that:

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.

Prior to Booker, the guidelines were mandatory save for “departures” that could be allowed by the district judge only in accordance with rules imposed both by the governing statute and the guidelines themselves. The term “departures” refers specifically to just such deviations. Rule 32(h) speaks explicitly of “departures,” a term with a precise legal meaning. U.S.S.G. § 1B1.1 cmt. n. 1(E) (2007); United States v. Diaz-Villafane, 874 F.2d 43, 49 (1st Cir.1989). Departures continue to be available after Booker and it is to them that Rule 32(h) is addressed.

Booker has created new latitude for district judges by permitting them to treat the guidelines as advisory and, after calculating the guideline sentence (including any departure), to impose a different sentence based on the broader criteria identified in the statute. Such deviations have been variously labeled — “variance” is one common term — but they are not “departures” either in technical terminology or in common parlance. On its face, Rule 32(h) cannot apply of its own force to variances, a distinct concept developed after the rule was promulgated.

It is far from clear whether the drafters of the rule would have included variances within the rule if they had then existed, but it does not matter: a formal rule can be changed through the statutorily prescribed rulemaking process, which includes congressional oversight of proposed changes, but it cannot be rewritten ad hoc by an individual judge or panel. “[A] legislature says in a statute what it means and means in a statute what it says there.” Conn. Nat’l Bank v. Germain, 503 U.S. 249, 253-54, 112 S.Ct. 1146, 117 L.Ed.2d 391 (1992). So, too, with formally adopted rules.

The more difficult question is whether the reasoning that prompted Burns v. United States, 501 U.S. 129, 111 S.Ct. 2182, 115 L.Ed.2d 123 (1991) — the decision that Rule 32(h) codified — should be extended without qualification ho this new context to establish a judicially created rule requiring automatic advance notice for variances. The Supreme Court could, and might in the end, choose to do so. But this would be an expansion of Bums ’ holding, which was specifically directed to departures.2

The Court in Bums held that courts may not depart from the guidelines if neither the presentence report nor the prehearing submissions of the parties had requested such a departure, unless reasonable notice is provided. That requirement was said to be implicit in the demands of a federal rule giving parties the right to comment on “matters relating to the appropriate sentence.”3 Without notice, the [4]*4Court reasoned, counsel will be unprepared to comment meaningfully on grounds for departure proposed by the judge, resulting in a lack of adversarial testing. Burns, 501 U.S. at 135, 111 S.Ct. 2182.

There are competing arguments as to whether and how far Bums and its rationales bear on variances; and the Supreme Court will answer those questions in due course. But our view is that, in this different context, adopting a mechanical rule would be a mistake: it would not respond to the realities of a system in which judges are afforded much broader discretion than in the recent past, it would reinforce guideline sentencing, and it would considerably complicate and prolong the sentencing process.

A bright-line advance notice requirement for potential departures fit sensibly within the mandatory guideline regime in place when Bums was decided. The guidelines provided for departures, and articulated specific grounds upon which they can (and cannot) be premised. E.g., U.S.S.G. §§ 4A1.3, 5K1.1 through 2.23.

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519 F.3d 1, 2008 U.S. App. LEXIS 3757, 2008 WL 451813, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-vega-santiago-ca1-2008.