F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
February 8, 2006
TENTH CIRCUIT Elisabeth A. Shumaker
Clerk of Court
UNITED STATES OF AMERICA,
Plaintiff-Appellee, No. 05-5032
v. (N.D. Oklahoma)
ANTHONY VINCENT ROBINSON, (D.C. No. 04-CR-102-SEH)
Defendant-Appellant.
ORDER AND JUDGMENT *
Before EBEL, McKAY, and HENRY, Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination of
this appeal. See F ED . R. A PP . P. 34(a)(2); 10 TH C IR . R. 34.1(G). The case is
therefore ordered submitted without oral argument.
On September 24, 2004, Anthony Vincent Robinson pleaded guilty to
possession of child pornography, in violation of 18 U.S.C. § 2252(a)(4)(B) and
(b)(2). As part of the plea agreement, Mr. Robinson expressly waived his right to
*
This order and judgment is not binding precedent, except under the
doctrines of law of the case, res judicata, and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
appeal the district court’s sentence if the sentence was within the guideline range
applicable to the statute of conviction as determined by the district court. Despite
the appellate waiver, Mr. Robinson challenges the district court’s calculation of
his base offense level and criminal history category on appeal. For the reasons
described below, we enforce Mr. Robinson’s waiver of appellate rights and
dismiss his appeal.
I. BACKGROUND
In his September 2004 plea agreement, Mr. Robinson admitted that in
September 2003 he “possessed several graphic image files depicting minors
engaged in sexually explicit conduct. [He] received those images by downloading
them through use of a computer.” Rec. vol. I, doc. 21, at 7 (Plea Agreement, filed
Sept. 24, 2004). He used a computer file-sharing program called “KaZaA” to
download graphic image files “by searching the Internet to find other ‘KaZaA’
users who had graphic image files depicting minors engaged in sexually explicit
conduct.” Id. Between approximately February 2003 and February 2004, he used
the “KaZaA” program to download many of these graphic image files to his
“KaZaA” shared folder. Id. at 7-8. The files in Mr. Robinson’s shared folder
were “immediately . . . available to any individual who was using the ‘KaZaA’
program on a computer and who searched the Internet using certain search terms
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associated with the graphic image files contained in [his] ‘KaZaA’ shared folder.
Id. at 8.
His plea agreement also contained an express waiver of certain rights to a
direct appeal. It stated:
In consideration of the promises and concessions made by the
United States in this plea agreement, the Defendant knowingly and
voluntarily agrees to the following terms:
a. the Defendant waives the right to directly appeal the conviction
and sentence pursuant to 28 U.S.C. § 1291; and,
b. the Defendant waives the right to appeal the sentence when the
sentence is within the guideline range applicable to the statutes
of conviction as determined by the district court. The Defendant
also waives the right to appeal all ex post facto claims related to
the application of the sentencing guidelines used by the district
court; and
c. the Defendant reserves the right to appeal an upward departure
by the district court from the sentencing guideline range under
U.S.S.G. § 5K2; or, when the sentence exceeds the statutory
maximum . . . .
Id. at 3.
In the plea agreement, Mr. Robinson further stipulated that (1) his sentence
would “be determined under the United States Sentencing Guidelines;” (2) he
waived “any right to have the facts that determine his offense level . . . be alleged
in an indictment and found by a jury beyond a reasonable doubt;” and (3) he
waived “all constitutional challenges to the United States Sentencing Guidelines.”
Id. at 5.
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During the plea hearing, the district court informed Mr. Robinson that, by
pleading guilty, he was giving up his rights to a jury under the Sixth Amendment
and consenting to “judicial facts [sic] finding in all respects, both as guilt or
innocence and as to sentencing.” Rec. vol. I, doc. 30, at 5 (Hr’g on Change of
Plea, dated Sept. 24, 2004). The district court specifically directed Mr.
Robinson’s attention to the waivers of constitutional and appellate rights, and Mr.
Robinson stated that he understood the waivers and consulted with his attorney
about them. Id. at 13-14. The court also informed Mr. Robinson that the
maximum statutory penalty for his offense was ten years’ imprisonment and/or a
$250,000 fine. Id. at 9-10.
After reviewing the terms of the plea agreement with Mr. Robinson, the
court accepted his plea and stated:
[B]ased upon your admissions, your sworn petition to enter a plea of
guilty, your demeanor, your clear statements and responsive answers,
the Court finds that there is a factual basis for your plea of guilty;
further that your plea of guilty is made voluntarily and with a full
understanding of the charges against you and with a full knowledge of
the consequences of such plea of guilty. The Court therefore accepts
your plea of guilty and finds that you are guilty as charged.
Id. at 17-18.
The pre-sentence report recommended an offense level of 26 and criminal
history category III, with a sentencing range of 78 to 97 months’ imprisonment.
On February 18, 2005, the district court sentenced Mr. Robinson to 80 months’
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imprisonment, followed by three years’ supervised release. As set forth in the
plea agreement, the government dismissed the remaining eleven counts of the
twelve-count indictment.
II. DISCUSSION
On appeal, Mr. Robinson contends the district court erred by sentencing
him under a base offense level of 17 for “trafficking” materials depicting a minor
engaged in sexually explicit conduct. See U.S.S.G. § 2G2.2. 1 Rather, Mr.
Robinson argues that he should have been sentenced under a base offense level of
15 for “possession” of such materials. See U.S.S.G. § 2G2.4. He also argues that
the district court erred when it (1) added one criminal history point for a deferred
judgment later expunged from his record, and (2) added his prior conviction for
actual physical control of a motor vehicle to his criminal history category’s
calculation.
The government maintains that we should enforce Mr. Robinson’s appellate
waiver and dismiss his appeal. Because the waiver may be dispositive of Mr.
Robinson’s appeals, we first determine whether to enforce the agreement between
him and the government. See United States v. Clayton, 416 F.3d 1236, 1238 (10th
1
The parties do not dispute application of the 2003 edition of the
Guidelines. Effective November 1, 2004, Section 2G2.4 was deleted by
consolidation with Section 2G2.2.
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Cir. 2005) (concluding that the government may enforce a waiver of appellate
rights through its brief on the merits).
This circuit “generally enforce[s] plea agreements and their concomitant
waivers of appellate rights.” United States v. Hahn, 359 F.3d 1315, 1318 (10th
Cir. 2004) (en banc). In considering how to resolve appeals brought by
defendants who have waived certain appellate rights in a plea agreement, we must
determine (1) if an appeal falls within the scope of the appellate waiver; (2)
whether the defendant’s waiver of appellate rights was knowing and voluntary;
and (3) whether enforcement of the appellate waiver would result in a miscarriage
of justice. Id. at 1325. In his reply brief, Mr. Robinson does not challenge the
first two factors under Hahn and only argues that enforcement of the waiver
would constitute a miscarriage of justice. Aplt’s Reply Br. at 1-3.
1. Scope of the appellate waiver
The language of Mr. Robinson’s plea agreement encompasses his appeal.
Under the waiver, he “knowingly and voluntarily waive[d]” his “right to appeal
the sentence when the sentence is within the guideline range applicable to the
statutes of convictions as determined by the district court.” Rec. vol. I, doc. 21,
at 3-4. The waiver contained two exceptions: “the right to appeal an upward
departure by the district court from the sentencing guideline range under U.S.S.G.
§ 5K2; or, when the sentence exceeds the statutory maximum.” Id. Mr.
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Robinson’s claims on appeal–that the district court applied a wrong Guidelines
provision and miscalculated his criminal history category–do not fall within those
exceptions. In addition, the sentence of 80 months’ imprisonment falls within the
“statutory maximum” of ten years’ imprisonment under 18 U.S.C. § 2252(a)(4)(B)
and (b)(2). See United States v. Green, 405 F.3d 1180, 1194 (10th Cir. 2005)
(concluding that the term “statutory maximum,” in a plea agreement permitting an
appeal in the limited circumstance of a sentence exceeding the statutory
maximum, refers to the maximum penalty for the statute of conviction).
2. Knowing and voluntary waiver
In determining whether a defendant’s waiver of his right to appeal is made
knowingly and voluntarily, we consider (1) “whether the language of the plea
agreement states that the defendant entered the agreement knowingly and
voluntarily,” and (2) whether there is “an adequate Federal Rule of Criminal
Procedure 11 colloquy.” Hahn, 359 F.3d at 1325. The defendant bears the
“burden to present evidence from the record establishing that he did not
understand the waiver.” Id. at 1329 (quoting United States v. Edgar, 348 F.3d
867, 872-73 (10th Cir. 2003)).
Mr. Robinson does not contend on appeal that he entered the agreement
unknowingly or involuntarily. As noted above, he stipulated in the plea
agreement that he “knowingly and voluntarily waive[d]” his “right to appeal the
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sentence when the sentence is within the guideline range applicable to the statutes
of convictions as determined by the district court.” Rec. vol. I, doc. 21, at 3-4.
Further, at the plea colloquy, Mr. Robinson stated that he understood the charges,
the factual basis for the plea, and his waiver of constitutional and appellate rights.
Id., doc. 30, at 7-8, 14-15. In light of these acknowledgments, the district court
found that his “plea of guilty [was] made voluntarily and with a full
understanding of the charges against [him] and with a knowledge of the
consequences of such plea of guilty.” Id. at 18. Thus, Mr. Robinson knowingly
and voluntarily waived his appellate rights.
3. Miscarriage of justice
Finally, we consider whether enforcement of Mr. Robinson’s waiver would
result in a miscarriage of justice. Mr. Robinson claims that he “could not
reasonably have been expected to answer in the affirmative if asked when he pled
guilty if he was waiving the rights to appeal use of the wrong guideline or use of
a wrongly-found fact.” Aplt’s Reply Br. at 2.
“[E]nforcement of an appellate waiver does not result in a miscarriage of
justice unless enforcement would result in one of . . . four situations . . . .” Hahn,
359 F.3d at 1327. Those circumstances include (1) “the district court’s reli[ance]
on an impermissible factor such as race;” (2) “ineffective assistance of counsel in
connection with the negotiation of the [appellate] waiver;” (3) “where the
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sentence exceeds the statutory maximum;” or (4) “where the error is otherwise
unlawful.” Id. (quoting United States v. Elliott, 264 F.3d 1171, 1173 (10th Cir.
2001)). For Mr. Robinson to satisfy the fourth circumstance, the error must
seriously affect the fairness, integrity, or public reputation of judicial
proceedings. See United States v. Olano, 507 U.S. 725, 732 (1993); Hahn, 359
F.3d at 1327.
Mr. Robinson offers no arguments under the first two situations. As to the
third exception, the district court’s sentence did not exceed the statutory
maximum of ten years’ imprisonment. See Green, 405 F.3d at 1194.
Further, Mr. Robinson cannot show that the waiver is otherwise unlawful
and seriously affects the fairness, integrity, or public reputation of judicial
proceedings. He “bears the burden of persuasion on this point.” United States v.
Maldonado, 410 F.3d 1231, 1233 (10th Cir. 2005).
The factors we consider include whether the plea agreement stated the
appropriate statutory maximum, informed the defendant that he was
giving up multiple constitutional and appellate rights in exchange for
concessions from the government, and implied that the sentence would
be imposed in accordance with the guidelines then in effect. We also
review whether the defendant’s sentence conforms with the terms of the
plea agreement and the defendant’s understanding of the plea.
Id. at 1234.
We have carefully reviewed the briefs and record on appeal and conclude
that the sentence complies with the terms of the plea agreement and Mr.
Robinson’s understanding at the plea hearing. The plea agreement appropriately
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stated the statutory maximum of ten years’ imprisonment for his offense, and he
recognized under the agreement that “the Court has the final discretion to impose
any sentence up to the statutory maximum.” Rec. vol. I, doc. 21, at 12. His
sentence was below the statutory maximum, and was within the applicable
Guidelines range of 78 to 97 months as determined by the district court. Further,
the plea agreement stipulated that his sentence would be determined under the
Guidelines.
Therefore, we enforce Mr. Robinson’s appellate waiver with respect to the
issues raised on his appeal because (1) his sentencing challenges fall within the
scope of the waiver, (2) he knowingly and voluntarily waived his appellate rights,
and (3) enforcement of the waiver does not result in a miscarriage of justice.
III. CONCLUSION
Accordingly, we ENFORCE Mr. Robinson’s waiver of appellate rights and
DISMISS the appeal.
Entered for the Court,
Robert H. Henry
Circuit Judge
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