NOT FOR PUBLICATION FILED
UNITED STATES COURT OF APPEALS JUN 29 2017
MOLLY C. DWYER, CLERK
U.S. COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 16-50095
Plaintiff-Appellee, D.C. No. 2:15-cr-00067-DSF-1
v.
ANDRE FRANKLIN, MEMORANDUM*
Defendant-Appellant.
Appeal from the United States District Court
for the Central District of California
Dale S. Fischer, District Judge, Presiding
Argued and Submitted May 11, 2017
Pasadena, California
Before: PREGERSON and FRIEDLAND, Circuit Judges, and DONATO,**
District Judge.
Defendant Andre Franklin appeals his 60-month sentence following a guilty
plea to distributing cocaine base in the form of crack cocaine, in violation of 21
U.S.C. §§ 841(a)(1) and 841(b)(1)(B)(iii). Franklin argues that the district court
*
This disposition is not appropriate for publication and is not precedent
except as provided by Ninth Circuit Rule 36-3.
**
The Honorable James Donato, United States District Judge for the
Northern District of California, sitting by designation.
erred by not recognizing that it could adjust the five-year mandatory minimum
sentence prescribed by § 841(b)(1)(B) to account for the 18 months he served in
state custody for related conduct. His guilty plea in this case, however, was
entered pursuant to a plea agreement with the Government which contained a
waiver of Franklin’s right to appeal his sentence. We conclude that Franklin’s
appellate waiver bars this appeal, and we dismiss it on that basis.
Cognizant of the appellate waiver in his plea agreement, Franklin argues that
he has been freed to appeal because the Government breached the plea agreement
at the sentencing phase of this case. Because Franklin did not make this argument
to the district court, we review it under a plain error standard. See United States v.
Hernandez-Castro, 814 F.3d 1044, 1045-46 (9th Cir. 2016) (reviewing argument
that appellate waiver was unenforceable due to the government’s plea agreement
breach for plain error where defendant had not objected to the breach in the district
court (citing Puckett v. United States, 556 U.S. 129, 135 (2009)).1 “Relief for plain
1
Franklin argues that his unpreserved plea agreement claim should be reviewed de
novo under United States v. Gonzalez, 16 F.3d 985 (9th Cir. 1993), but this
argument is foreclosed by Puckett and Hernandez-Castro. Although Hernandez-
Castro did not expressly state that Gonzalez is clearly irreconcilable with Puckett,
there is no other way to understand Hernandez-Castro, which cited Gonzalez in the
very paragraph that applied Puckett’s plain error standard. 577 F.3d at 1045-46;
see also United States v. Lovelace, 565 F.3d 1080, 1086 (8th Cir. 2009)
(“Following Puckett, this court holds that when a defendant seeks to avoid an
appellate waiver contained in a plea agreement by arguing, for the first time on
appeal, that the government breached the plea agreement, this court will review the
2
error is available if there has been (1) error; (2) that was plain; (3) that affected
substantial rights; and (4) that seriously affected the fairness, integrity, or public
reputation of the judicial proceedings.” United States v. Whitney, 673 F.3d 965,
970 (9th Cir. 2012) (quoting United States v. Cannel, 517 F.3d 1172, 1176 (9th
Cir. 2008)).
We conclude as an initial matter that the Government breached the plea
agreement in this case. The Government agreed to recommend a base offense
level of 24 in the plea agreement, but took the position in its sentencing
memorandum that a base offense level of 26, as calculated by the United States
Probation Office (“USPO”), was “technically accurate.”2 The Government
emphasizes that it simultaneously entreated the court to “vary downward from the
forfeited claim (and related claims) under the plain error test of Fed. R. Crim. P.
52(b).”).
2
The Government claims it was merely providing complete and accurate
sentencing information to the district court, relying on United States v. Maldonado,
215 F.3d 1046 (9th Cir. 2000). But Maldonado and similar cases, which stand for
the proposition that the Government must correct factual inaccuracies relevant to
sentencing and respond truthfully to the district court’s questions, have no
application here. The Government was neither correcting a factual error in the plea
agreement nor responding to an inquiry from the district court; rather, the
Government offered an unsolicited opinion about the USPO’s position on relevant
conduct. Nothing precluded the Government from staying silent about the USPO’s
analysis “and then performing as promised under the plea agreement,” namely, by
recommending that the district court anchor its sentencing calculations on a base
offense level of 24. Cf. United States v. Manzo, 675 F.3d 1204, 1211-12 (9th Cir.
2012) (holding that the Government’s obligation to honestly answer the district
court’s questions “did not preclude” doing so and then recommending the sentence
agreed upon in the plea agreement).
3
USPO’s total offense level of 26 and impose a sentence consistent with the parties’
plea agreement by applying a base offense level of 24.” But the Government did
not promise in the plea agreement to seek a variance on Franklin’s behalf; it agreed
to a base offense level of 24 and obligated itself to “abide by all agreements
regarding sentencing contained in [the plea] agreement.” The Government clearly
contravened those guarantees by representing that the higher base offense level
was correct and recommending that the court vary downward from it. See United
States v. Mondragon, 228 F.3d 978, 980 (9th Cir. 2000) (“[T]he government is
held to the literal terms of the [plea] agreement.”).
Nonetheless, we conclude that the Government’s breach did not affect
Franklin’s substantial rights because he himself argued for a base offense level of
26 at the sentencing hearing and, for reasons explained infra, that level actually
lowered his sentencing range. It thus does not appear that the Government affected
his sentence, at least not in a way detrimental to Franklin, by agreeing (in breach of
the plea agreement) that a base offense level of 26 was the correct starting point.
Because Franklin cannot show that the Government’s breach affected his
substantial rights, we hold that Franklin has not shown plain error and is bound by
his appellate waiver. See Whitney, 673 F.3d at 970.
But that conclusion is purely the result of the unusual, and frankly
concerning, facts of this case. The higher base offense level calculated by the
4
USPO reflected its determination that the controlled substances and gun seized on
January 15, 2013 -- seven days after the sale underlying Franklin’s offense of
conviction -- should be considered “relevant conduct” for sentencing purposes.
That conclusion inured to Franklin’s benefit in that it enabled him to seek a
departure for time served in state prison for the same conduct.
Franklin’s counsel thus found himself between Scylla and Charybdis: He
could object to the USPO’s relevant conduct determination and the Government’s
breach, continuing to advocate for the lower, agreed-upon base offense level, or he
could assent to the USPO’s calculations in the hope of obtaining a better overall
sentencing outcome for his client. Franklin’s attorney opted for the latter course
but, in doing so, left unchallenged the Government’s compliance with the plea
agreement and by extension, the validity of the appellate waiver in that agreement.
The procedural hurdle barring our review of Franklin’s appeal thus resulted from
the same concern that animates his merits argument -- his desire to avoid serving
more time in prison based on crimes for which he has already been convicted and
incarcerated.
Both problems could have been avoided by the exercise of prosecutorial
discretion. At the time of the federal indictment -- seven months after he was
released from state prison early for good behavior and service in a fire camp --
Franklin had obtained gainful employment and had, by all accounts, successfully
5
reintegrated into society. Today, he is behind bars again for essentially the same
activity for which he already served a state prison sentence. Franklin served 18
months in state custody for conduct that the district court took into account in
fashioning his federal sentence. He used that time to prepare himself for a
constructive life after prison. We fail to see how the goals of the criminal justice
system are furthered by the prosecution and reincarceration of an individual who
has already been punished and rehabilitated.
But the fact remains that in his plea agreement, Franklin gave up the right to
appeal the procedures and calculations used to determine and impose any portion
of his sentence, and the term of imprisonment imposed by the district court, so
long as the district court did not impose a term of imprisonment higher than 60
months. The district court did not impose more than 60 months of imprisonment.
And although the Government did breach the plea agreement, because the breach
did not amount to a plain error, Franklin remains bound by the appellate waiver in
his agreement, and we must therefore dismiss this appeal. See Hernandez-Castro,
814 F.3d at 1046.
DISMISSED.
6
FILED
JUN 29 2017
United States v. Franklin, No. 16-50095
Pregerson, J., dissenting: MOLLY C. DWYER, CLERK
U.S. COURT OF APPEALS
I agree that the Government breached the plea agreement. But I do not agree
that the Government’s breach is protected by plain error review because breach of
the plea agreement affected Defendant Andre Franklin’s substantial rights.
Using the Government’s higher base offense level of 26 (which accounted
for the related conduct underlying Franklin’s state conviction), Franklin
successfully argued for a sentence reduction of 18 months based on time served in
state prison. The majority supposes that Franklin would not have ended up with a
more favorable sentence had the court used the lower base offense level of 24. But
I am not so sure. Franklin likely would have made a comparable sentence
reduction argument had the court used the lower base offense level of 24. See
United States v. Sanchez-Rodriguez, 161 F.3d 556, 563-64 (9th Cir. 1998) (en
banc) (holding that a sentencing court is not categorically barred from departing
downward based on time served in state custody, or on the lost opportunity to serve
more of one’s state term concurrently with one’s federal term). The Government’s
breach of the plea agreement led the district court to use a higher offense level,
which unfairly established a higher starting point for the court’s sentencing
calculations. Because I believe that the higher starting point ultimately impacted
Franklin’s sentence, I would hold that the breach affected Franklin’s substantial
rights.
1
Like the majority, I seriously doubt whether the goals of the criminal justice
system were furthered by the prosecution and reincarceration of Franklin, who had
already served significant time in prison, had obtained steady and successful
employment, and had turned his life around.
I also write separately to point out another concerning aspect of this case—
the appellate waiver. Prosecutors are powerful officials in our criminal justice
system. They wield substantial control over the levers of justice through their
charging and plea bargaining powers. They decide whether, when, and what
criminal charges should be brought. Mix in the threat of unnecessarily harsh
mandatory minimums, and it is no wonder that criminal defendants bargain away
everything they have, including, as in this case, the right to appeal. With the deck
stacked against a criminal defendant, an appellate waiver only serves to make an
unjust result even more likely because the waiver undermines a reviewing court’s
role in examining a sentence for fairness and consistency. See Robert K. Calhoun,
Waiver of the Right to Appeal, 23 Hastings Const. L. Q. 127 (1995); Alexandra W.
Reimelt, An Unjust Bargain: Plea Bargains and Waiver of the Right to Appeal, 51
B. C. L. Rev. 871 (2010); Kevin Bennardo, Post-Sentencing Appellate Waivers, 48
U. Mich. J.L. Reform 347 (2015).
For these reasons, I dissent.
2