Lead Opinion
Defendant-Appellant Christopher Clements was indicted on January 16, 2008, in the Western District of Tennessee for one count of conspiracy to manufacture methamphetamine and one count of attempt to manufacture methamphetamine in violation of 21 U.S.C. § 846, and one count of aiding and abetting the possession of equipment, chemicals, products and materials used to manufacture methamphetamine in violation of 21 U.S.C. § 843(a)(6) and 18 U.S.C. § 2. Defendant was arrested on January 29, 2003. Defendant was arraigned on February 5, 2003, and an order of detention pending trial was entered. On November 18, 2003, defendant entered a plea of guilty to the conspiracy charge, Count 1 of the indictment.
During the preparation of the presentence report, defendant objected to the probation officer’s determination of the quantity of drugs used as relevant conduct to establish the defendant’s offense level. In a sentencing memorandum filed on March 17, 2004, the defendant withdrew his objection to the amount of drugs utilized to calculate his base offense level. At the sentencing hearing held on March 18,
Defendant made objections to the probation officer’s conclusions that two levels should be added for obstruction of justice under § 3C1.1 of the United States Sentencing Guidelines (“U.S.S.G.”), and that defendant was not entitled to a reduction for acceptance of responsibility pursuant to U.S.S.G. § 3E1.1. The court granted defendant’s objection to the enhancement for obstruction of justice.
The probation officer’s conclusion that defendant was not entitled to a reduction for acceptance of responsibility was based on information that on February 24, 2003, subsequent to his indictment and arrest for the offense in this case, defendant was involved in the transmission of a recipe for manufacturing narcotics. A recipe for the manufacture of LSD was found in the apartment of Scott Pecukonis. The letter containing the recipe was found with an envelope which indicated that it had been mailed by the defendant from the West Tennessee Detention Facility, Mason, Tennessee, on February 24, 2003. Defendant’s wife, Tonya Clements, confirmed that defendant had sent the letter. The probation officer also relied on information that on March 19, 2003, defendant was involved in a scheme to smuggle marijuana into the detention facility. The probation officer received a summary of phone calls pertaining to the scheme, and defendant’s wife admitted that defendant had asked her to smuggle marijuana to him.
At the sentencing hearing, defense counsel stated that defendant did not dispute the above information. He also conceded that the defendant’s actions indicated that defendant had not accepted responsibility at that point, and that his actions were contrary to a finding of acceptance of responsibility. However, counsel noted that an entire year had passed since these incidents, during which the defendant had not engaged in any similar conduct. Counsel further argued that the defendant had admitted his responsibility for the offense of conviction when he pleaded guilty, and that he had done everything he could to cooperate with the government. The government argued that defendant’s behavior was inconsistent with acceptance of responsibility, and further noted that defendant’s lack of involvement in any further drug activity could be explained by the fact that after these incidents, defendant was transferred to a more secure federal facility.
The district court agreed with the government’s position and concluded that defendant was not entitled to a reduction for acceptance of responsibility in light of his involvement with drug activity on two occasions following his arrest. Defendant was sentenced to a term of imprisonment of one hundred and thirty-five months. Defendant now pursues the instant appeal. Acceptance of Responsibility
In his first assignment of error, defendant argues that the district court erred in not granting him a three-level reduction for acceptance of responsibility under U.S.S.G. § 3E1.1. We first note that during the pendency of this appeal, the United States Supreme Court rendered a decision in United States v. Booker, 543 U.S.-,
The determination of the sentencing judge on the issue of acceptance of responsibility “is entitled to great deference on review.” U.S.S.G. § 3E1.1, app. note 5. While the district court’s factual findings for purposes of sentencing under the Guidelines are reviewed for clear error, a deferential standard of review is applied to the district court’s application of the guidelines to the facts. United States v. Webb,
Section 3E1.1(a) of the Guidelines provides that a defendant’s offense level should be decreased by two levels if he “clearly demonstrates acceptance of responsibility for his offense.” U.S.S.G. § 3E1.1(a). The defendant has the burden of proving by a preponderance of the evidence that he merits a reduction for acceptance of responsibility. United States v. Hughes,
The entry of a guilty plea combined with truthfully admitting the conduct comprising the offense of conviction constitutes significant evidence of acceptance of responsibility under U.S.S.G. § 3E1.1, app. note 3. However, a defendant is not entitled to this reduction as a matter of right, and the fact that the defendant entered a guilty plea may be outweighed “by conduct of the defendant that is inconsistent with such acceptance of responsibility.” Id.; Webb,
Under § 3El.l(b), a defendant whose offense level is level sixteen or greater prior to the adjustment for acceptance of responsibility may qualify for an additional one-level decrease if he has timely notified authorities of his intention to enter a plea of guilty, thereby permitting the government to avoid preparing for trial and permitting the court to allocate its resources efficiently. U.S.S.G. § 3El.l(b). In order to qualify for the additional reduction under § 3El.l(b), the defendant must also qualify for a decrease under § 3El.l(a). U.S.S.G. § 3E1.1, app. note 6.
The district court declined to grant defendant a reduction for acceptance of responsibility on the ground that defendant’s drug activities after his indictment and arrest but prior to his guilty plea were inconsistent with a finding of acceptance of responsibility. Defendant argues that his plea of guilty in this ease entitles him to the reduction. He contends that since the incidents involving the LSD recipe and the attempt to smuggle marijuana occurred
Defendant relies on United States v. Jeter,
Defendant also cites United States v. Tilford, in which this court concluded that, despite the fact that Tilford was alerted to the IRS agents’ interest in his affairs in 1993 when he was informed of the IRS investigation, the relevant time period for measuring Tilford’s acceptance of responsibility began with the entry of Tilford’s guilty plea in 1998. Tilford,
However, in United States v. Harper,
Defendant relies on United States v. Hakley,
The district court did not err in considering the defendant’s post-indictment conduct in deciding whether the defendant was entitled to a reduction for acceptance of responsibility. The district court reasonably concluded that defendant’s admitted continuing drug activities, which indicated the defendant’s failure to voluntarily terminate or withdraw from criminal conduct or associations, was inconsistent with a finding of acceptance of responsibility.
Quantity of Controlled Substance
In his second assignment of error, defendant, citing Blakely v. Washington,
In Blakely, the Supreme Court held that the determinate sentencing system in effect in the state of Washington was invalid on Sixth Amendment grounds. During the pendency of this appeal, the United States Supreme Court issued a decision in United States v. Booker, in which the Supreme Court extended the reasoning in Blakely to the federal Guidelines. The Court in Booker held: “Any fact (other than a prior conviction) which is necessary to support a sentence exceeding the maximum authorized by the facts established by a plea of guilty or a jury verdict must be admitted by the defendant or proved to a jury beyond a reasonable doubt.” Booker,
Defendant did not make an argument under Blakely or Booker before the district court, as neither of those cases had been decided at the time of the defendant’s sentencing. Typically, where a defendant fails to assert an argument before the district court, that argument is deemed to be forfeited and is reviewed on appeal for plain error. United States v. Milan,
Waiver is distinguishable from forfeiture. Forfeiture is the failure to make a timely objection or assertion of a right, whereas waiver is the intentional relinquishment or abandonment of a known right. United States v. Olano,
In United States v. Stafford,
Although the above decisions stand for the proposition that the failure to object to the probation officer’s calculations of drug quantity constitutes an admission of that quantity, they do not specifically address whether that failure to object constitutes a waiver precluding plain error review of the district court’s quantity determinations on appeal. In United States v. Treadway,
However, such an issue is not before us here. Regardless of whether a Stafford admission results in a waiver or a forfeiture of any objection to the accuracy of the probation officer’s drug quantity findings, that is not the nature of defendant’s claim in this appeal. Rather, the defendant’s argument is that his Sixth Amendment rights as defined under Blakely and Booker were violated by the sentencing procedure employed by the district court.
In Stafford and Roper, this court employed a plain error analysis in addressing an analogous argument that the sentences in those cases were invalid under Apprendi v. New Jersey,
As in Stines, the defendant here could not have intentionally relinquished or abandoned his Blakely and Booker claims, since those cases were decided after he was sentenced. Therefore, we will address the defendant’s claim under Blakely and Booker using a plain error analysis.
Under the plain error test, “before an appellate court can correct an error not raised at trial, there must be (1) ‘error,’ (2) that is ‘plain,’ and (3) that ‘affeet[s] substantial rights.’ ” Johnson v. United States,
First, we must consider whether there was error under current law. United States v. Rogers,
However, the extent of defendant’s rights under Booker does not end there. Defendant was sentenced under the preBooker mandatory Sentencing Guidelines. Because 18 U.S.C. § 3553(b)(1) has been excised and severed under Booker, the district court erred by treating the Guidelines as mandatory when it sentenced defendant. United States v. Barnett,
The second issue is whether the error was “plain.” A “plain” error is one that is “clear” or “obvious.” Olano,
The third prong is whether the error affects the defendant’s substantial rights. Generally, for an error to affect a defendant’s substantial rights, the error must have been prejudicial, such as error that caused the defendant to receive a more severe sentence. Olano,
The Barnett court noted that the presumption of prejudice could be rebutted in a rare case where “the trial record contains clear and specific evidence that the district court would not have, in any event, sentenced the defendant to a lower sentence under an advisory Guidelines regime.” Id. at 529. However, no such evidence exists in the instant case. Defendant was sentenced prior to the decisions in Blakely and Booker, and the district court did not indicate what sentence would be imposed if the Guidelines were regarded as advisory rather than mandatory. The case for remand is particularly strong where, as here, the district court sentenced defendant at the low end of the Guidelines range. See United States v. Hamm,
Because defendant was sentenced under the Sentencing Guidelines as a mandatory, rather than advisory, sentencing scheme, defendant’s substantial rights have been affected, and the third prong of the plain error test has been satisfied.
Finally, we must determine whether this case warrants the exercise of our discretion. Rogers,
Conclusion
For the foregoing reasons, we AFFIRM the district court’s denial of a reduction for acceptance of responsibility under the Guidelines. In addition, we VACATE defendant’s sentence and REMAND for re-sentencing consistent with this opinion and with the Supreme Court’s decision in Booker.
Notes
. Judge Clay states in his concurring opinion that it is inconsistent to hold that plain error review of defendant’s Booker claim is available when defendant’s Stafford admission forecloses any argument that his Sixth Amendment rights were violated. However, the starting point for determining the availability of plain error review is not whether the claim has merit. Stines indicates that where the defendant could not have intentionally relinquished or abandoned a constitutional claim first recognized after sentencing, a forfeiture, rather than a waiver, results, even if the plain error analysis ultimately reveals that the district court committed no error. See Stines,
Concurrence Opinion
concurring in the judgment only.
I fully agree that Clements’ sentence must be remanded to the district court in light of our holding in United States v. Barnett,
In United States v. Stafford,
Furthermore, in addition to disagreeing with the way in which the majority applies Stafford, I am not at all convinced that Stafford and the other cases cited by the majority actually survive Booker. Once again, because Barnett conclusively resolves Clements’ sentencing claim, I believe it is entirely unnecessary to rely on pre-Booker precedent such as Stafford and its progeny.
Because the majority’s conclusion that Clements’ failure to raise a Sixth Amendment argument before the district court constitutes a forfeiture that may be reviewed for plain error is illogical in light of the conclusion that Clements’ failure to object to the PSIR constituted an admission under Stafford, and is superfluous dicta, I respectfully decline to join the majority’s opinion.
