United States v. CorsoUnited States v. Corso
OPINION OF THE COURT
Pursuant to a written plea agreement, John D. Corso, III pleaded guilty to one count of theft of mail, in violation of
I.
A.
John Corso worked as a driver for T. Wilson Trucking, a private company that contracted with the United States Postal Service to transport mail along certain “highway contract routes” between Postal Service facilities in Pennsylvania. In January 2005, postal inspectors determined
The inspectors covertly watched Corso collect the bundle containing the test letter, but by the time he unloaded his cargo in Pittsburgh the test letter was missing. After stopping Corso before he could leave the distribution center, the inspectors found the test letter, as well as four other stolen letters, in the cab of his truck. When confronted, Corso first denied any wrongdoing, but eventually admitted that he had stolen mail on three or four occasions and that he had taken between five and twenty-five pieces of mail each time.
B.
1.
On November 8, 2006, an indictment was returned in the Western District of Pennsylvania charging Corso with five counts of theft of mail in violation of
The plea agreement also contained an appellate-waiver provision, which read as follows:
“8. John D. Corso, III waives the right to take a direct appeal from his conviction or sentence under28 U.S.C. § 1291 or18 U.S.C. § 3742 , subject to the following exceptions:
(a) If the United States appeals from the sentence, John D. Corso, III may take a direct appeal from the sentence.
(b) If (1) the sentence exceeds the applicable statutory limits set forth in the United States Code, or (2) the sentence unreasonably exceeds the guideline range determined by the Court under the' Sentencing Guidelines, John D. Corso, III may take a direct appeal from the sentence.
John D. Corso, III further waives the right to file a motion to vacate sentence, under28 U.S.C. § 2255 , attacking his conviction or sentence, and the right to file any collateral proceeding attacking his conviction or sentence.”
Corso and his attorney signed the plea agreement. By signing, Corso acknowledged that he had read the agreement, had discussed it with his attorney, and had accepted it.
2.
On June 1, 2007, the District Court held a change-of-plea hearing, during which it engaged Corso in a colloquy intended to ensure that he was knowingly and voluntarily entering his guilty plea and that he
At the District Court’s request, the prosecutor “outlined” the substance of the plea agreement. But the prosecutor made only one brief allusion to the agreement’s appellate-waiver provision, mentioning that the agreement contained “the standard language regarding waiver of appeal in that it sets forth the only exceptions to it.” The District Court declined to expand on the prosecutor’s synopsis, and at no point in the colloquy did it explain to Corso the implications of the appellate-waiver provision or inquire if he understood that he was waiving his right to appeal.
Following the colloquy, Corso pleaded guilty to one count of mail fraud. The District Court accepted Corso’s guilty plea, finding that Corso was competent and capable of entering an informed plea and that he was knowingly and voluntarily pleading guilty.
3.
After the District Court accepted Cor-so’s guilty plea, the United States Probation Office prepared a presentence report (PSR) using the November 2006 Sentencing Guidelines. Beginning with a base offense level of 6 under Guidelines § 2B1.1, the Probation Office recommended a four-level enhancement under § 2Bl.l(b)(2)(B) for an offense involving between 50 and 250 victims, a two-level enhancement under § 3B1.3 for abuse of a position of trust, and a two-level reduction under § 3E1.1 for acceptance of responsibility. The resulting total offense level of 10, combined with Corso’s criminal history category of V, yielded an advisory Guidelines range of twenty-one to twenty-seven months of imprisonment.
On September 7, 2007, the District Court held a sentencing hearing, at which Corso objected to both of the PSR’s recommended sentencing enhancements. Corso objected to the number-of-victims enhancement on the grounds that his offense did not involve fifty or more victims (because the stipulated total loss was $300) and that the Probation Office erroneously relied on the “special rule” described in Application Note 4(C)(ii)(I) to § 2B1.1 to justify presuming the contrary.
1
The special rule was inapplicable, Corso argued, because the delivery truck involved in his offense belonged to T. Wilson Trucking, not the United States Postal Service, and thus was not a “Postal Service delivery vehicle” within the meaning of the application note. Corso objected to the abuse-of-trust enhancement on a similar ground, arguing that he was an employee of a private trucking company, not of the Postal Service, and, as such, was not in a
The District Court rejected Corso’s arguments and, again emphasizing that it understood that the Guidelines were advisory in nature, accepted the PSR’s recommendations, including the proposed enhancements and Guidelines range. After reviewing the sentencing factors set forth in
“Sir, you have a right to appeal this sentence. If you want to appeal this sentence, you must do so within ten days. If you cannot afford the costs of appeal, you may apply for leave to appeal in forma pauperis. If you cannot afford an attorney, I’ll appoint one to represent you free of charge. Do you understand what your appeal rights are?”
Corso responded in the affirmative, and the government did not object to, or otherwise attempt to correct, the District Court’s statement.
Corso filed a timely notice of appeal, challenging his sentence. On appeal, Cor-so argues that the District Court committed procedural error by (1) erroneously applying the number-of-victims and abuse-of-trust enhancements in calculating his Guidelines range, (2) treating the Guidelines as mandatory, and (3) failing to adequately consider the
The government argues that Corso’s appeal is barred by the appellate-waiver provision contained in his plea agreement. Corso responds that the waiver is inapplicable to this appeal because his grounds for appeal fall within one of the waiver’s exceptions. He also maintains that he did not knowingly and voluntarily agree to the waiver because the District Court failed during the colloquy at the change-of-plea hearing to adequately inform him of the waiver’s terms and to ensure his understanding of those terms, as required by Federal Rule of Criminal Procedure ll(b)(l)(N).
II.
The District Court had subject matter jurisdiction under
Generally, our review of the validity and scope of appellate waivers is plenary.
United States v. Jackson,
III.
A.
We will decline to exercise our jurisdiction to review the merits of Corso’s appeal if we conclude (1) that the issues he pursues on appeal fall within the scope of his appellate waiver and (2) that he knowingly and voluntarily agreed to the appellate waiver, unless (3) enforcing the waiver would work a miscarriage of justice.
Goodson,
B.
In determining the scope of a plea agreement’s appellate-waiver provision, we are guided by the “well-established principle that ‘plea agreements, although arising in the criminal context, are analyzed under contract law standards.’ ”
Goodson,
Here, the language of Corso’s appellate waiver is broad in scope and clear: Corso agreed to waive the right to take a direct appeal from his conviction or sentence under
Instead, Corso asserts that the appellate waiver’s third exception contains an implicit “presumption” that the District Court would “correctly” apply the Guidelines in calculating his Guidelines range, and argues that we may consider his appeal because his twenty-one-month sentence unreasonably exceeds “the correct sentencing range of 4-10 months,” i.e., the Guidelines range that results if the num
Corso looks for support to the First Circuit’s decision in
United States v. McCoy,
which he cites for the proposition that “a waiver forgoing ‘any appeal ... if the sentence imposed herein is within the guidelines’ does
not
waive the right to appeal an alleged misapplication of the guidelines.”
Moreover, Corso ignores the plain text of his waiver’s third exception which, unlike the language at issue in McCoy, permits appeal only if “the sentence unreasonably exceeds the guideline range determined by the Court under the Sentencing Guidelines.” (Emphasis added). That language explicitly lodges broad discretion in the District Court to determine the applicable Guidelines range; it certainly does not permit an appeal challenging the District Court’s application of the Guidelines. We conclude, therefore, that Corso’s appeal falls within the scope of his appellate waiver.
C.
1.
We must next consider Corso’s argument that his waiver was not knowing and voluntary because the District Court violated Federal Rule of Criminal Procedure ll(b)(l)(N), which requires a court, before accepting a guilty plea, to “address the defendant personally in open court. During this address, the court must inform the defendant of, and determine that the defendant understands ... the terms of any plea-agreement provision waiving the right to appeal or to collaterally attack the sentence.” Corso contends that the District Court failed during its colloquy with him at the change-of-plea hearing both to adequately inform him of the terms of his appellate waiver and to ensure that he understood those terms.
Because Corso did not object before the District Court to its purported
2.
Corso has unquestionably met his burden under the first two prongs of the plain-error analysis. Our review of the record indicates that the District Court did not personally discuss the appellate waiver with Corso, or even mention the waiver at any point, depending instead on the prosecutor to “outline” the plea agreement during the change-of-plea hearing. But nothing in the plain language of
3.
We then turn to the third prong of the plain-error analysis, which requires Corso to show that his substantial rights were affected by these errors. The Supreme Court has held that, in order to demonstrate that substantial rights were affected, “a defendant who seeks reversal of his conviction after a guilty plea, on the ground that the district court committed plain error under
In
Goodson,
we addressed some of the considerations that inform our inquiry into whether an inadequate
In this case, the record demonstrates that Corso, like the defendant in
Goodson,
signed his plea agreement, confirming that he had read the agreement and discussed it with his attorney. But “[t]he point of Rule 1 l(b)(l)(N) is that a signed piece of paper is not enough,”
Sura,
4.
But a clear error affecting substantial rights cannot, “without more,” satisfy the fourth prong of the plain-error analysis,
Olano,
Corso also argues that we should exercise our remedial discretion to set aside his appellate waiver because the District Court’s application of the number-of-victims and abuse-of-trust enhancements in calculating his Guidelines range constitutes a “miscarriage of justice.” But Corso’s focus on alleged procedural errors in the determination of his sentence is misplaced, and demonstrates “ ‘the logical failing of focusing on the result of the proceeding, rather than on the right relinquished, in analyzing whether an appeal waiver is valid.’ ”
United States v. Smith,
IV.
For the foregoing reasons, we will affirm the judgment of the District Court.
Notes
. Application Note 4(C)(ii)(I) provides in relevant part: "Special Rule. — A case [involving the theft or attempted theft of United States mail from] a United States Postal Service relay box, collection box, delivery vehicle, satchel, or cart, shall be considered to have involved at least 50 victims.” U.S.S.G. § 2B1.1 cmt. n. 4(C)(ii)(I).
. As Corso indicates in his brief, the District Court later compounded these clear errors when it unequivocally told Corso at the end of the sentencing hearing that he had a "right to appeal” his sentence. We acknowledge that the District Court may have felt obligated to make those statements due to
. We note that it is an open question whether, or the extent to which, our analysis under the fourth prong of the plain-error rule overlaps our other inquiry, guided by the non-exclusive list of factors identified in
United States v. Khattak,