*2 MOORE, Before TIMBERS GUR- FEIN, Judges. Circuit MOORE, Judge: Circuit Robin, Raymond age forty-eight at the sentence, a former and then retired time of bailbondsman, police officer and a licensed appeals jail (30) from a sentence of thirty plus probation imposed fines upon him after his a three him, (June 1974) against count indictment (1) conspiring to distribute narcot- charging of Title ics in violation U.S.C. §§ 841(b)(1)(A), (2) illegally 841(a)(1) and possessing distributing heroin on two separate March, occasions in in viola- During the fence tion Title U.S.C. Count Three § to run consecutively, totalling month that indicted in thirty (30) same years’ incarceration. Court for the $75,000 Federal District Southern totalling Fines imposed, also York, an indictment con- a special three'year District of special parole term substantially the taining same accusations was ordered to follow thirty-year term *3 narcotics violations was handed down in of imprisonment. New York State Courts. Prior a sentencing, State Assistant being of his fully After warned constitu- Attorney District (Cunningham), who had rights, appellant arraignment investigated tional waived State charges against appel- understanding lant, indictments on the both on submitted letter to the Federal Dis- cooperate he with the federal Judge that would the subject trict on of the state in- (the Government) authorities perhaps and vestigation.3 A copy was sent to appel- agreement disposition reach lant’s privately-retained counsel.4 On the The federal indictment1 was morning case. ordered of sentencing, January year. and remained so for almost a sealed sought counsel access to the pre- unsealed, May, ap- In was ordered report5 which had been ordered after the became dis- parently Government prepared after appellant’s guilty plea. type cooperation with the of- satisfied permitted Counsel was to see the report appellant. Appellant was ar- fered before the commencement of proceedings at raigned June on A.M., in 1975 and released bail 10:00 prohibited but was taking from plea guilty. after not it out of judge’s chambers and from showing it to his client. November, appellant in petitioned In Federal District Court before District The proceeding was marked Judge Motley to withdraw his previously by repeated disputes between the Govern- guilty plead of not entered ment the appellant on underlying charged. The guilty plea was facts of case. Appellant offered a tape accepted objection over the court certain State Court exhibits to the Government, which wished to nolle to rebut the Government’s version of prosequi case, the case.2 surrounding facts but the Court refused to consider them.6
Appellant
January 9,
was sentenced on
prison
fifteen
in
on each
The
posture
Government’s
count, with the sentences in Counts
appellant
One was
major
was a
heroin traf-
concurrently
Two to run
and the sen-
The
ficker.
Government did not rest this
All
5.
precise
1.
references hereafter
“indictment”
There
some confusion as to the
occurred;
indictment,
however,
to the federal
hour when
are
unless otherwise
apparently
dispute
Government
does not
noted.
permitted
defense
counsel
to examine the
report only
period
brief
of time immedi-
apparently
permit
The
Government
wished to
2.
ately preceding
sentencing proceeding.
Court,
appellant
prosecution
in State
proceedings which would be barred under state
grounds
clearly
The
for this refusal
appellant
if
were tried
federal
law
in
court on
stated
the record.
charges
relating to the same
transactions
[Appellant’s
“MR. COHEN
.
Counsel]:
.
subject
incidents which were
of the state
your
ought
I think
to have this before
indictment.
court
you
.
you referring
THE COURT: What are
to?
appellant
maintains
letter was
tape
COHEN: A
MR.
was made when
9, 1975. The
dated December
Government
arrested,
this defendant
and an exhibit in
any conflicting
not offer
date.
does
Judge
the case
held
Denzer.
COURT: What
THE
about
it?
Appellant’s trial
counsel maintains
MR. COHEN:
indicates that before there
office until De-
letter was
received
thought
being
this defendant
sen-
tenced,
cember
did not see it until he
Drug
that officers of
Administra-
January
very
returned from a vacation on
tion indicated
this defendant had a
Sentencing
place
January
part
drug
took
on
small
traffic in New York.
Legislature
York
went
State
into
charges
appel-
which
effect
on
conclusion
anybody
but rather on
which means that
involved in
guilty,7
pleaded
actually
lant
the narcotics
traffic
after
that date is
was summarized
material
extrinsic
a major
on
scale
he is
involved
because
Cunningham
major
you
taking
obviously
risk
to outline what
letter,
served
of which
both
willing to
in view of
large
take
“expected
prove”
at tri-
the Government
money
involved
narcotics traf-
sums
Judge disclaimed
District
Although the
al.
fic.” Tr. at
crimes
allegations
reliance
could re-
she
concluded that
she
proven,8
Appellant
timely
appeal
filed a
notice of
of the facts
version
ceive
Government’s
challenging
Following
the sentence.
oral
When the
sentencing proceeding.9
argument,
ordered
sentence, she addressed
pronounced
part
ap-
be made
of the record on
as follows:
part
*4
peal.10 Having
examined the
as well
indicated,
record,
Robin,
I have
we
“Mr.
as
the rest of
believe that
your involvement
is
that
error
committed
the course
Court
convinced
serious
scale,
major
sentencing
procedures
was on a
which man-
narcotics
after
dates vacatur
the sentence and resen-
crime was committed
this
judge.
before a different
tencing
very
penalties enacted
severe
else,
Judge,
something
Move on to
I
THE COURT:
[Government]:
MR. AMOROSA
procedure.
have
Mr.
object
We
not had
Cohen.
to this
course, your Honor.”
MR. COHEN: Of
opportunity to look at this.
an
9,
proceedings
January
Transcript
1976
seen it either.
I
not
THE
have
COURT:
“Tr.”),
(hereinafter
cited
8-10.
your Honor
see
I want
to
MR. COHEN:
time he was
then. At the
said
what
your
It is
contention
“THE COURT:
transcript of the
a
Police
is
arrested —this
heroin,
actually possessed the
is that it?
produc-
Department
This was
York.
of New
major
A
trafficker in her-
MR. AMOROSA:
hearings
the New York
held
under
ed
oin.
indictment.
is shown
to
THE COURT: That
his
what,
this
To show
MR. AMOROSA:
and 3.
2
counts
culpability?
to
does
have
What
man’s
AMOROSA: He did
admit he was
MR.
knowledge
respect to
now with
our
do with
major
a
dealer.
that defendant?
selling
don’t
THE COURT: You
think
your
if
I
show
Honor
will
MR. COHEN:
major?
kilo of heroin is
half a
question.
is the
Judge, it is
We
MR. AMOROSA:
relative.
Judge, this is in
na-
MR.
AMOROSA:
people that
sold
kilos of
have
140
have
summation,
your
I
Honor
heroin,
ask
ture
and we consider those violators.
government
be allowed to
consider it
to have
admitted in substance
[sic]
defendant
heroin,
selling
facilitating
look
it.
or
a kilo
right,
Mr.
I think that
THE COURT:
the sale of multiki-
this defendant facilitated
this
not know what
document
I do
Cohen.
los—
now,
you
is,
going
read it
so
I cannot sentence him for
and I am
THE COURT:
of.
he has not
convicted
it back.
matters
can take
that,
your
I
AMOROSA: We understand
But
tell
Honor that
MR.
MR. COHEN:
your
like
Honor to take into con-
transcript
we would
that this defendant
indicates
say
what we have to
also.”
sideration
time of
that he was
at the
his arrest
was told
drug
Tr.
part
being
arrested
traffic.
7, supra.
8. Note
to do with these
THE
That has
COURT:
charges?
Tr. at
does, ma’am, absolutely.
MR. COHEN:
posture
within the
Delaney,
U.S.App.
it
to do
And
United States v.
drug
(1971).
much has been
about which so
traffic
442 F.2d
Since
D.C.
report
appellant personal-
the memorandum.
made in
was not disclosed
compelled
ly,
preserve
ask
I am
camera
MR. AMOROSA:
have examined it in
disregard
confidentiality.
opinion,
your
express
this unless
no
how-
ever,
government
respecting
the district court’s refusal
a full
permit appellant
it, assuming
it.
explain
to examine
is so.
behalf and to present any
not gener
information
Criminal sentences
mitigation
punishment.”
However,
ally
in this Circuit.11
reviewable
authority
does have the
to re
this
We have held
defendant
cir
under certain limited
sentences
view
be permitted
must
to state his version of
court;
is a possibility12
Where there
the facts to the
where the
cumstances.
possibility
shown,
reliance on
imposed on
misinformation is
the basis of
that sentence
right must
permit
be extended to
pre
assumptions
or false
con
information
false
sentation
defendant which will en
defendant,
appeal
cerning the
will lie to
able the
judge
grasp
the rele
will
Court and
be vacated.
correctly.
vant facts
United States v. Nee
misunderstanding
or
“Misinformation
dles,
(2d
472 F.2d
1973);
Cir.
see
regarding
pri-
that is
untrue
materially
also,
Rollerson,
record,
or material
as
criminal
false
United States v.
as to
facts relevant
sumptions
Powell,
325, 329 (4th
In
entire
sentencing,
renders the
circumstances,
appropriate
this may mean
procedure invalid as a violation
due
permitted
will
that a defendant
to sub
Burke,
process.”
Townsend
U.S.
documents,13
mit affidavits or
supply oral
L.Ed. 1690.
S.Ct.
statements,14 or even participate in an evi
Malcolm,
dentiary hearing;15 alternatively,
further
(2d
of sentencing
corroboration
may
data
required.16 And while in such cases the
Accord,
Herndon,
*5
procedure to be followed lies within the
(2d
1975);
Cir.
United States v. Nee-
208
sound discretion of the sentencing judge, a
dles,
652,
(2d
1973).
657
472 F.2d
Cir.
court’s failure to take appropriate steps to
32(a)(1)
Rule
of the Federal Rules of
ensure
fairness
accuracy
and
of the
Procedure (Rule) provides in perti-
Criminal
sentencing process must be held to
plain
be
part
nent
that:
error and an abuse of that discretion.
imposing
“Before
sentence the court shall
reports,
Presentence
prepared by proba
speak
afford counsel an
on
tion officers for use at sentencing,17 often
behalf of the defendant and shall address
call for an exercise of the Court’s discretion
personally
the defendant
and ask him if
regard.
in this
reports
contents of the
he wishes to make a statement
in his own
subject
are not
to the rules
evidence,18
13. United States v.
11.
12.
542
judge’s remarks in
whether he
taint after
the far more serious count
vacated
However, certain factors indicate that
process
illegally brought.
“Here
quite probable.
setting
[Accordingly], we have
Actual reliance need not be shown:
See,
(2d
some
243,
[vacated]
improbable
Cir.
e.
s};
States,
g.,
248
sentence on counts 2
extent affected
is
1975);
Counts
impossible
[*]
(2d
respect
conviction
fact
cause remanded.”
Cir.
McGee v. United
Needles, supra,
[*]
least
v.
imposing
To
to the valid counts was
1972).
the initial
determined
purge
[*]
determine from the
under count
part
States,
[*]
conviction
influenced
the order
which was
through
States,
McGee
that it
527 F.2d
possible
[*]
this
.
462
is
16. United States v.
14.
15.
implicitly
Cal.
395 U.S.
States,
S.Ct.
Farrow v. United
ed
procedure.
Ibid.
In United
See,
States
evidentiary hearing upon resentencing
(2d
497 F.2d
Gregg
F.R.Crim.P.
Cir.
acknowledged
tence recommendation—
only
adequate to afford the
defendant;
may be withheld
defendant his
disclosure
1230 (quotation
due.”
the defendant will
if rehabilitation
original).
marks
likely
or harm is
thereby jeopardized,
or others.
to the defendant
result
present
Much
same can be said in the
respect
to the
case with
effectively
enable a defendant
To
prosecuting
The Government and
itself.
court
of the facts
his version
present
urging
authorities
state
presen-
out inaccuracies
pointing
permits,22
law
harshly
be treated
defendant
have held that a
report, we
tence
largely
alleged
on the basis of
information
adequate
prepare
time to
given
must
appellant’s guilty
was extrinsic to
a rebuttal to information
present
plea. A memorandum letter form from
Rosner, 485
In United
contests.21
Cunningham had been
the sen-
submitted
(2d
1973), defense counsel
court, and defense
tencing
counsel unsuc-
shown)
copy
(and was
requested
adjournment of
cessfully sought an
sentenc-
morning of sen-
ing
prepare
a rebuttal.23
in order
On
time,
also
tencing.
same
the court
At the
day
sentencing, appellant’s
counsel was
prosecutor’s
to counsel a
available
made
presentence report.
We have ex-
in aid
prepared
memorandum
camera,
report in
need
amined
ade-
the defendant
lacked
held that
say
lengthy
it contains
detailed
*6
prepare
a rebuttal and
opportunity
quate
by
appellant
of activities
the
recital
attempts
well-meant
counsel’s
defense
others,
extensive
in addition to
information
sentencing could not cure
at
rebut
personal life. It
appellant’s
would
about
defect.
impossible for counsel to have read
virtually
sentencing]
very
when
within a
short
morning
report carefully
“[The]
[of
time,
digested
let alone to have
space
defense counsel
. chief
satisfactory
prepared a
rebuttal.
prosecutor’s memoran-
was shown the
dum,
adjournment so that
he asked for an
importance
presentence report
The
have ‘an
answer
he could
Cunningham memorandum in this
and the
had
Although defense counsel
them.’
overemphasized
particular case cannot be
possibly
time to review or
even
had no
plea
guilty.
appellant’s
view of
hith-
separate
seventeen
incidents
absorb
prevented
judge
trial
from
absence
him,
request
for an
unfamiliar to
erto
familiarity
with the case
acquiring
adjournment of sentence
denied.
frequently
aids im-
the defendant
Attorney
Moreover,
measurably
United States
The Assistant
deprived
‘Mr.
of the benefit of
strong
judge
Rosner
also
then made a
Malcolm,
States,
1103;
See,
v. United
Shelton
at 524 F.2d
supra
F.2d 818.
F.2d 159-160.
g.,
Compare,
32(c)(3)
e.
F.R.Crim.P.
g., Tr. at 41.
e.
and as amended in
amended
counsel,
23. Affidavit of defendant’s
trial
Mr.
Rosner, supra at 485 F.2d
21. Cohen,
appellant’s reply brief.
submitted
Hermann,
Cir.,
supra, 2
defense
of wit
counsel’s cross-examination
counsel’s
failure
adjournment
seek an
trial,
presentation of
of sentencing.28
nesses and
evidence at
But such is not the case
here,
cor
and we
both of which
invaluable means of
believe that
the repeated ob-
jections
may
pro
recting
inaccuracies that
later be
to every
cing.24
major allegation
court,
raised
pounded at
senten
Government,
and the State prosecutors
trial,
Without
of a
the sen-
benefit
(who appeared at the sentencing proceeding
tencing judge necessarily
heavily
leaned
actually
addressed
court),
should
report
Cunningham
and the
have alerted the sentencing judge to the
concerning
letter as sources of information
necessity of permitting a further and more
appellant’s
alleged
behavior and
crimi-
capable explication by the appellant. This
acts.
nal
This
borne out
the court’s
especially
true in view of the harsh sen-
concerning appellant’s major
conclusions
in-
tence obviously contemplated by
court,
trafficking25
volvement
in narcotics
a factor which should have made the court
which the
profits
court believed he de-
still more sensitive to the need for a careful
Appellant’s
rived therefrom.
blanket deni-
into
inquiry
accuracy
the information
als of financial affluence were given no
before it.29 The Court’s failure to address
consideration, and his counsel’s similar deni-
any serious consideration to appellant’s ob-
proof
als and affirmative
regarding
offer
jections and
proof
offer
was,
in the spe-
degree
appellant’s
of involvement26 with
cial
case,
circumstances of this
an abuse of
similarly
narcotics were
met
summary
discretion amounting
plain
error.
rejection.27 Throughout
the sentencing
The court presumably
in posses
proceeding, appellant’s counsel
con-
vainly
sion of
time
veracity
picture
tested
of the overall
appellant’s
requested
counsel
an ad
appellant’s involvement as chronicled
journment on the basis of the Cunningham
presentence report
Cunningham
letter.
Appellant
letter.
maintains that
the court
question
can
There
be no
refused
discuss the matter
coun
time allotted to
counsel was in-
sel and instead denied the request summaril
permit
sufficient
adequate
study of
y.30 In view of the contents of
report,
presentence report, particularly in view of
unique
importance to the sentenc
the fact
permitted
that counsel was not
ing process of both the letter and the re
show the
client.
Had the
port, we believe that
this summary denial
preceded by
a trial on the was reversible error. Appellant was enti
merits, this error might have been waived
tled to
preparation
reasonable
time to rebut
argument
“Williams’
second
is that
sentence was based on incorrect
facts is
*7
provide
meaningful
clearly
court failed to
‘a
chance
therefore
rebutted.” United States v.
Battle,
reliability
to test
(5th
of
the information
467
1972) (em-
F.2d
Cir.
sentencing’
phasis supplied).
which is to be used in
because
evidentiary hearing.
there was no
But
opinion
supra.
25. See
counsel had earlier cross-examined
of
two
witnesses,
government’s
trial
and Wil-
7, supra.
26. Note
request
gave
hearing
liams’ failure to
a
suspect
court no reason to
that he wished
Ibid.
opportunity.”
United States Wil-
such an
v.
liams,
(1st
1974) (foot-
499 F.2d
Cir.
See,
Green,
United States v.
483 F.2d
omitted).
*8
Moody,
F.2d
United States v.
Robin for
same
narcotics
offenses
for
688,
which he was indicted in the federal court.
it,
although giving lip
majority,
service to
2. The
Partridge,
Circuit Sentenc-
The Second
See
totally
ignore
proceeds
to
the rule which
then
Orland,
A-18;
(1974)
Study
in
ing
Justice
public policy
deeply
in
and has been
rooted
(1974)
Sentencing
at 157-198.
by
Supreme
uniformly
adhered
imposed
a federal
that “a sentence
and ours
limits,
judge,
statutory
hearing began
gen-
if within
A.M. on
The sentence
subject
erally
9,
January
until
review.” United States v.
It continued
the noon
Tucker,
accord,
(1972);
404 U.S.
2 P.M.
continued
It resumed at
recess.
States,
Dorszynski v. United
418 U.S.
imposed
later in
after-
was
until sentence
States,
(1974);
v. United
357 U.S.
Gore
noon.
during
lengthy
client
given sufficient
time to
sentence
was not
hearing.5
defense
Fourth, Judge Motley made
presentence
report.
crystal
examine
clear
hearing
outset of the
throughout
squarely
record is
to the contrary.
imposing
in
sentence she would confine
charges
to the
in the
herself
indictment
place,
objection
no
was made
In the first
pleaded guilty;
specifical-
had
which Robin
Judge Motley of insufficient
time
judge repeatedly
stated that
report and no re-
ly,
she
presentence
examine
take into
consideration other
would
adjournment
of
was
for an
quest
set forth in the presentence report,
matters
purpose
examining
made for
it.3
including “other crimes which may have
was made
Second,
presentence
report
committed
the defendant
....
available
entirety
in
its
Robin’s
crimes,
If he is
of some other
Third,
presentence
attorney.4
report
this,
me.”6
used
not before
To
defense
extensively by
attorney
Robin’s
in
was
responded,
glad
“I’m
Judge
your
counsel
hear
Motley on behalf of his
plea to
munti,
nied,
counsel
States,
Indeed
Cunningham
(1958);
In ma- to none. points jority jority’s decision is based must be viewed inescapable The conclusion therefore precisely ground for what it is: a never be resen- direction by appellant or claimed his counsel in the judge before a different further con- tenced or on appeal; district court ground totally my belief stated above that the true firms of any record; devoid support in the but a majority's vacating decision reason for ground nevertheless relied major- majority simply is that this sentence ity as a vehicle not expressing its particular severity like “the does not “concern” particular for “the severity imposed”. With which was defer- sentence vacating sentence” it. ence, precisely me as the sort of strikes appel- which is none of our review sentence enough were not compel If this me to business. late dissent, there is one other matter. Without emphat- but most respectfully slightest it, basis I therefore justify record to ically dissent. majority has directed that “resentenc- judge”. 545 be before a different ing will majority characterizes
F.2d preferred practice “the
this as in such “preferred” What is Id. course
cases”. subjective judgment. I supposed had
is a extraordinary remedy directing proceedings place on remand take be- judge another should be reserved for
fore
extraordinary
my view,
case.
In
imposi-
such a case.
In
context of
York,
(1949);
U.S. 241
pleaded
v.
Williams
had
to which Robin
the indictment
prior
which the defendant
crimes of
ruling
of course was more
Cifarelli,
convicted,
States v.
United
to which he
to him than
favorable
denied,
Cir.),
(2
cert.
