United States Court of Appeals
For the First Circuit
Nos. 22-1171
22-1172
UNITED STATES OF AMERICA,
Appellee,
v.
LUIS ÁNGEL COLÓN-CORDERO, a/k/a Luis El Loco, a/k/a El Loco,
Defendant, Appellant.
APPEALS FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Francisco A. Besosa, U.S. District Judge]
Before
Rikelman, Lipez, and Thompson,
Circuit Judges.
Alejandra Bird-López, Research and Writing Attorney, with
whom Eric Alexander Vos, Federal Public Defender, and Franco L.
Pérez-Redondo, Assistant Federal Public Defender, Supervisor,
Appeals Section, were on brief, for appellant.
Julia M. Meconiates, Assistant United States Attorney, with
whom W. Stephen Muldrow, United States Attorney, and Mariana E.
Bauzá-Almonte, Assistant United States Attorney, Chief, Appellate
Division, were on brief, for appellee.
January 19, 2024
THOMPSON, Circuit Judge. When authorities picked up
Luis Ángel Colón-Cordero (Colón) for violating some terms of his
supervised release, they found evidence of other violations as
well as evidence of new criminal conduct. And so, another in a
long line of examples of folks slipping into a criminal-justice-
system spin cycle, Colón found himself back in court for sentencing
hearings regarding the new criminal case against him and revocation
of his supervised release. The parties agreed to request within-
guidelines sentences, but the district court, not bound by the
parties' recommendations, imposed an upwardly variant sentence of
imprisonment for the new criminal conduct and a tip-top-of-the-
guidelines-range term of imprisonment for violating his supervised
release, with those sentences to run consecutively. On appeal,
Colón raises a number of arguments challenging the pronounced
sentences as unreasonable. For reasons we'll explain, we vacate
and remand for resentencing.
BACKGROUND
We begin with the relevant facts and travel, providing
the bulk of the particulars now (bear with us) with plans to add
some more detail later as needed. As usual when a sentencing
appeal follows a plea of guilty, we draw the facts from the
uncontested parts of the probation office's presentence
investigation report (PSR), the plea agreement, and the transcript
- 2 -
of the sentencing hearing. See United States v. Morales-Cortijo,
65 F.4th 30, 32 (1st Cir. 2023).
Colón's History, Supervised Release Term,
Violations, and New Criminal Case
Back in 2017, Colón pleaded guilty to conspiracy to
possess with intent to distribute controlled substances in
violation of 21 U.S.C. § 846, and he was sentenced to 45 months
and 19 days of imprisonment and 8 years of supervised release.
Colón discharged that term of immurement and was released in 2019,
and from there he began his term of supervised release.
Now, it is undisputed that Colón is a person with an
intellectual disability, and, as the record makes pellucid, he has
a history of mental health issues. Some examples: a school
referral prompted him to see a mental health specialist when he
was 15; he heated a car antenna, then used it to burn his forehead
and under his eyes; he has used cigarettes to burn his forearms
and blades to cut himself; and he has visible scars from his self-
inflicted burning and cutting. And, as of his 2017 plea, a then-
25-year-old Colón had a history of substance abuse, including
smoking marijuana (25 joints a day) since he was 18, and, at the
same age, developing a use of non-prescription Xanax, Percocet,
and Klonopin (one or two pills daily), plus occasionally mixing
some of this drug use with alcohol.
- 3 -
And so, as part of his August 2019 supervised release,
Colón was referred to substance abuse and mental health treatment.
The mental health treatment to which Colón was later referred in
January 2020 screeched to a halt with the advent of the global
COVID-19 pandemic and its resulting lockdowns, but Colón continued
his substance abuse treatment, which he reported he liked going to
and found helpful. For 14 months during his supervised release
term (up until he was arrested, anyway), Colón tested positive to
cannabinoids two times out of seventeen tests (more on this later)
and failed to report to the drug-testing program once.
Aside from those two positive drug tests, which were
violations in and of themselves pursuant to the terms of his
release, Colón violated another supervised release condition when
he failed to stay at his address of record (his mother's house).
After being called out for moving out, Colón returned to his mom's
place, but he didn't stay put long: Two days later, probation
reported, he'd again moved out without notice. In response,
probation successfully requested an arrest warrant, and local
authorities searched the place where Colón was thought to be
residing. During the search, officers found under Colón's bed a
loaded AR-style rifle with 30 rounds of ammunition along with an
extra magazine loaded with an additional 30 rounds of ammunition.
Colón admitted ownership of the rifle, nonchalantly observing to
- 4 -
the officers "that he liked rifles." The search team also found
presumptive synthetic marijuana1 and rolling paper in his car.
A federal grand jury indicted Colón on a single count of
violating 18 U.S.C. § 922, which generally proscribes certain
categories of people from possessing firearms or ammunition. Colón
waived his preliminary revocation hearing for the supervised
release violations and on the new charge pleaded guilty to being
a felon in possession of ammunition (60 rounds) pursuant to a plea
agreement.2
The parties proposed in the plea agreement an advisory
guidelines calculation that started with a base offense level of
22, minus three levels for acceptance of responsibility, and
determined a total offense level (TOL) of 19. And the parties
also agreed they'd each request a sentence within the to-be-tallied
guidelines range for the TOL of 19 when combined with the
undetermined Criminal History Category (CHC). The PSR landed on
19 as the TOL, too, then laid out Colón's criminal history,
including his Commonwealth-side drug conviction (possessing
controlled substances and drug paraphernalia) and the federal drug
conviction (conspiracy to possess with intent to distribute
1 The record does not reflect that this substance was ever
tested and confirmed to be synthetic marijuana.
2 The parties agree the agreement's waiver-of-appeal provision
does not operate as a bar to this appeal since the provision was
conditioned on the district court sentencing Colón to a term of 46
months' imprisonment or less -- which condition is not met here.
- 5 -
narcotics). These tabulations dictated a CHC of IV, and, together
with the TOL of 19, yielded a guidelines sentencing range of 46 to
57 months' imprisonment.
Each side then filed a sentencing memorandum in support
of its recommended sentence (a low-end 46 months from Colón; a
high-end 57 months from the government) in anticipation of the
upcoming hearings.
The Sentencing Hearings
Before the district court in February 2022, the first
sentencing matter taken up was Colón's new criminal case (the
ammunition-possession indictment). Counsel for Colón started with
some objections to the PSR, two of which are relevant to today's
analysis. First, counsel argued the district court should append
to the PSR a psychometric evaluation filed by the expert who'd
examined Colón at defense counsel's request and assessed his
intellectual disability; the district court agreed to do so. That
matter squared away, counsel next argued that because the PSR's
drug-use section described Colón's historically heavier use of
substances, the PSR impermissibly suggested that, during his
release period, Colón had been using more than just the marijuana
to which he'd twice tested positive. The court signaled in
response that it would consider these points in sentencing.
- 6 -
Moving to her argument proper, Colón's counsel offered
the following in support of the recommended low-end 46-month
sentence.
Stating what those in the sentencing world should take
as a given, counsel set the stage by pointing out that the
sentencing court must "make[] an individualized assessment . . .
of Colón" when pronouncing sentence. To that end, counsel urged
Colón's offense was not a violent one -- it was possession only,
and his offense could be explained by Colón's intellectual
disability, which was a big part of why, counsel explained, "the
cards have always been stacked against" Colón. That disability
rendered Colón -- who has an IQ equivalent to a third-grade
education, is especially susceptible to peer pressure, and cannot
read or write -- unable to appreciate the amount of ammunition
loaded into the magazines, and his disability also prompted his
comment that he likes guns. Drawing on all of this and more,
counsel beseeched the court to balance this information against
the need to deter and promote respect for the law when crafting an
individualized sentence of imprisonment for his non-violent crime.
The government, on the other hand, sought a 57-month
term of imprisonment plus a term of supervised release. In
support, the government submitted that Colón "needs to take
individual responsibility for his actions," part of which would be
an acknowledgment that the rifle he possessed while on release
- 7 -
wasn't just any gun, it was a "ghost gun" (so called because guns
of that variety have no identifying information, such as a serial
number) loaded with 30 rounds of ammunition, suggesting he "was
ready to use the rifle if he needed it." The government also
pointed to Colón's conduct as "part of a broader [drug-use]
problem" -- the government cited his use of "approximately 25
marijuana cigarettes per day" as well as "daily" use of Xanax,
Percocet, and Klonopin, not to mention his admission to probation
that he sometimes mixed prescription drugs and marijuana with
alcohol use. And, in the government's telling, Colón didn't have
a history of seeking mental health treatment, instead opting to
"channel[]" his anxiety and anger into "destructive" activities.
Citing its review of the 18 U.S.C. § 3553(a) factors,
PSR, sentencing memoranda, and a document the court construed as
Colón's allocution, the court turned to its own take on sentencing.
The court listed then-30-year-old Colón's "history of using
marijuana and Percocet and Xanax pills without prescriptions," and
that he "has never received treatment" for his complained-of
anxiety. The court noted the fact that Colón was found in
possession of a ghost AR loaded with a high-capacity magazine with
30 rounds of ammo, plus another magazine with the same ammo loaded
into it (though, the court noted, Colón was charged and pled guilty
only to possession of 60 rounds of ammo). "[H]e liked rifles,"
the court observed. Concluding the parties' recommended sentences
- 8 -
did not reflect the seriousness of this offense, address the need
for deterrence and punishment, acknowledge the import of
protecting the public, or promote respect for the law, the district
court pronounced an upwardly variant 66-month term of
imprisonment, plus a 3-year term of supervised release.
Colón's counsel objected to the above-guidelines
sentence as unreasonable "given the fact history of [Colón]" and
the consideration of his historical drug use as part of the
§ 3553(a) factors assessment (given "there was a difference of his
drug use," past versus more recent).
Immediately on the heels of that part of the hearing
(same lawyers, same judge, same transcript -- no break in the
action) came the final revocation hearing, where Colón's counsel
noted that his Grade B violation advisory guidelines range was 4
to 10 months, then requested a lower end sentence of 4 months'
imprisonment to run concurrently with the just-imposed criminal-
case sentence. For its part, the government requested a high-end
10-month sentence.
The court revoked the 2017 supervised release term and,
citing its review of the guidelines' policy statements on
supervised release, the § 3553(a) factors, and "the seriousness of
[the] violation," and noting Colón "demonstrated a lack of
commitment and respect to the supervision process, as well as a
disregard to the law, by constantly engaging in the illegal use of
- 9 -
controlled substances," the court imposed a 10-month sentence to
run consecutive to the new-criminal-case sentence, followed by a
5-year term of supervised release.
Colón's counsel requested reconsideration of "the length
of the sentence" and urged that it should run concurrently with
the new-criminal-case sentence. Counsel said the aggregate 76-
month sentence was quite substantial -- particularly with this
being Colón's first revocation. "Denied," was the court's
response.
This timely consolidated appeal followed.
DISCUSSION
Colón's appeal levels a multifaceted challenge at the
procedural and substantive reasonableness of the sentences imposed
by the district court. Before we dive into any of the arguments
he makes in support of that challenge -- or any of the government's
responses thereto -- we first lay out some preliminary method-of-
review guideposts and the reviewing lens we'll be using to examine
Colón's asseverations.
It is axiomatic that our "review of a criminal
defendant's claims of sentencing error involves a two-step
pavane." United States v. Miranda-Díaz, 942 F.3d 33, 39 (1st Cir.
2019). This two-step framework is well established. Under it,
"we first determine whether the sentence imposed is procedurally
reasonable and then determine whether it is substantively
- 10 -
reasonable." United States v. Clogston, 662 F.3d 588, 590 (1st
Cir. 2011). At both steps, preserved claims of error get abuse-
of-discretion review, see United States v. Díaz-Lugo, 963 F.3d
145, 151 (1st Cir. 2020), and, as part of that review, we look at
findings of fact for clear error and scrutinize questions of law
de novo, see United States v. Carrasquillo-Vilches, 33 F.4th 36,
41 (1st Cir. 2022).
Today, we start (and will end, as it turns out) with
Colón's procedural-reasonableness claims. And we need train our
focus on only some of those claims, not all, to reach our outcome.
See, e.g., United States v. Torres-Meléndez, 28 F.4th 339, 340
(1st Cir. 2022) (taking the same approach and nodding to the adage
that "the 'simplest' way to handle a case is often the 'best' way"
(quoting United States v. Cruz-Ramos, 987 F.3d 27, 39 (1st Cir.
2021))).
Specifically, we'll take on Colón's contentions that the
sentencing court committed error: (1) in pronouncing sentence in
the new criminal conduct case when it failed to justify and
adequately explain its upwardly variant sentence, which dovetails
with what Colón says was the court's failure to engage with the
mitigating individual characteristic of Colón's intellectual
disability, which was the primary sentencing argument the defense
advanced; and (2) in erroneously finding during the revocation
- 11 -
sentencing that Colón was "constantly engaging in the illegal use
of controlled substances" "through his supervision period."
We take these arguments, and the government's
protestations to them, in turn, applying the just-recapped abuse-
of-discretion framework -- despite the government's argument that
we should don a different reviewing lens. We'll explain briefly
why we reject the government's request.
Pointing, for instance, to what it characterizes as
Colón's counsel's failure to object below with specificity to
things like the sentencing court's balancing of the sentencing
factors or the adequacy of the sentencing rationale, the government
posits that not all of Colón's appellate contentions were preserved
for our abuse-of-discretion review. The government submits that
we should instead deem some arguments waived for failure to map
them onto the resulting (and demanding) plain-error rubric or, at
best, review those arguments for plain error.
"For a defendant '[t]o preserve a claim of procedural
sentencing error for appellate review, [their] objection need not
be framed with exquisite precision.'" United States v. Reyes-
Correa, 81 F.4th 1, 10 (1st Cir. 2023) (alterations in original)
(quoting United States v. Rivera-Berríos, 968 F.3d 130, 134 (1st
Cir. 2020)). "It must, however, 'be sufficiently specific to call
the district court's attention to the asserted error.'" Id.
- 12 -
(quoting United States v. Soto-Soto, 855 F.3d 445, 448 n.1 (1st
Cir. 2017)).
Having carefully studied the sentencing transcript in
its totality, we conclude it is contextually clear defense
counsel's objections sufficiently called the district court's
attention to the perceived sentencing problems that now form the
basis of the appellate arguments we're about to tackle. Counsel
urged that the new-criminal-case sentence was unreasonable given
Colón's "fact history" -- looking at things holistically, that
objection clearly is a callback to the comprehensive arguments and
urgings Colón's counsel had infused into the hearing, thus
sufficiently encompassing and preserving the argument that the
district court ignored the mitigating history and characteristics
and didn't adequately explain its "above-guidelines sentence."
And after the revocation sentencing, during which the district
court referred to Colón's "constant[]" use of drugs "through his
supervision period" in pronouncing sentence, counsel's reaction
was to protest the length of that sentence, it running consecutive
to rather than concurrent with the other sentence, the
substantiality of the aggregate sentence, and the fact that Colón
hadn't gotten all the help he really needed during the short time
he'd been on release. And, of course, we also know that, at the
very outset of the hearing, counsel had objected to the PSR's
characterization of Colón's drug use historically versus while on
- 13 -
supervised release; counsel argued these same clarifications
several times throughout the hearing.3
This is not a situation where we are faced only with a
record that reflects a general objection to a sentence. Cf. United
States v. Ahrendt, 560 F.3d 69, 76 (1st Cir. 2009) (deeming an
argument on appeal unpreserved because an appellant "never
objected to the particular issues" he raised on appeal -- his
"generic objections [could not] be fairly interpreted as giving
notice to the court" as to those specific issues). Instead, the
thematic protestations and objections here rather bleed together
and certainly operated to make the district court aware of the
defense's claimed errors. See, e.g., Reyes-Correa, 81 F.4th at 10
(finding "[s]ubsumed within" a party's objections "the clearly
implicit charge that the district court's explanation rested on
improper considerations" (quoting United States v. Serrano-
Berríos, 38 F.4th 246, 250 n.1 (1st Cir. 2022))). Requiring more
of defense counsel here would be unwarranted. What actually got
3 We also note that when Colón's counsel objected to the
district court's reliance on the PSR's characterization of Colón's
history of drug use when announcing the 66-month sentence, the
court remarked, "I don't think it's a good idea for you to say
that I should not indicate what his past drug use has been," and
indicated it might rescind its recommendation that Colón
participate in a beneficial drug treatment program if his counsel
pursued that argument further. Given the court's response, Colón's
counsel cannot be faulted for deciding not to trot out the same
just-rejected objection only minutes later at the conclusion of
the revocation sentencing.
- 14 -
said is well in line with our preservation policy (basically,
putting the district court on notice of the error). See Holguín-
Hernández v. United States, 140 S. Ct. 762, 766 (2020) ("The
question is simply whether the claimed error was 'brought to the
court's attention.'" (quoting Fed. R. Crim. P. 52(b))); Fed. R.
Crim. P. 51(b).
Thus, on this record, abuse-of-discretion review it is.
Now, we turn to the appellate contentions and the precedential
landscape against which they appear in this case. First, the new-
conduct sentence; then, the revocation sentence.
New Criminal Conduct Sentence:
The Sentencing Explanation and Mitigating Factors
As we mentioned earlier, we need tackle only some of
Colón's various appellate attacks. Namely, we review Colón's
correlated attacks on the adequacy of the court's explanation for
its upward variance in the new criminal conduct case and its
failure to address the mitigating evidence of Colón's intellectual
disability.4 But we'll lay out the particulars of these arguments
4 We note right off the bat that, "[g]enerally speaking, it
is not abundantly clear whether failure to consider mitigating
factors goes to the procedural or substantive reasonableness of a
sentence." United States v. Santiago-Lozada, 75 F.4th 285, 295
n.11 (1st Cir. 2023). And "[t]he lack of an adequate explanation
can be characterized as either a procedural error or a challenge
to the substantive reasonableness of the sentence." United States
v. Crespo-Rios, 787 F.3d 34, 37 n.3 (1st Cir. 2015). Colón focuses
these arguments on procedural error, and we follow suit.
- 15 -
after we provide a sampling of the wide world of pertinent
sentencing considerations that animates our coming analysis.
The Primer
When it comes to what a court must do when pronouncing
sentence, our jurisprudence has seen quite the evolution. See
United States v. Flores-González, 86 F.4th 399, 417-25 (1st Cir.
2023) (Thompson, J., joined by Barron, C.J. and Montecalvo J., for
a divided en banc court) (tracking and studying in detail the
history and progression of federal sentencing precedent and
parameters). Specific to the adequacy of a court's explanation
grounding a variance from the guidelines range, here are the
basics.
Federal law requires a sentencer to "state in open court
the reasons for its imposition of the particular sentence." 18
U.S.C. § 3553(c); see also Gall v. United States, 552 U.S. 38, 46,
50-52 (2007). Just what kind of explanation is needed depends on
the context of each individual case, Rita v. United States, 551
U.S. 338, 356 (2007) ("The appropriateness of brevity or length,
conciseness or detail, when to write, what to say, depends upon
circumstances."), but sentencing courts must say enough to show an
appellate court they "considered the parties' arguments and ha[d]
a reasoned basis for exercising [their] own legal decisionmaking
authority," id. When a court imposes a sentence above the
guidelines sentencing range, "it must justify the upward
- 16 -
variance." United States v. Del Valle-Rodríguez, 761 F.3d 171,
176 (1st Cir. 2014); see also Rita, 551 U.S. at 357 (directing
that when sentences fall outside the guidelines, sentencing judges
must "explain why" they decided not to follow the commission's
recommendations). "[T]he greater a deviation from the [guidelines
sentencing range], the more compelling the sentencing court's
justification must be." Del Valle-Rodríguez, 761 F.3d at 177.
Of overarching importance in sentencing is that a
sentencing court must always conduct an "individualized
assessment" of the § 3553(a) factors -- which include mitigating
characteristics of the offender -- based on the facts presented in
a particular sentencing case. Gall, 552 U.S. at 50 (reasoning
that any justification for a variance must be "sufficiently
compelling to support the degree of the variance," and in all
sentencing matters a judge is required to provide "adequate[]"
explanations "to allow for meaningful appellate review and to
promote the perception of fair sentencing"); see also United States
v. Booker, 543 U.S. 220, 261 (2005) (explaining that discussion of
"[t]hose factors in turn will guide appellate courts . . . in
determining whether a sentence is unreasonable"). How to weigh
the § 3553(a) factors falls inside a sentencing court's "informed
- 17 -
discretion." United States v. García-Pérez, 9 F.4th 48, 52 (1st
Cir. 2021).
We do not require sentencing courts to deliver a "rote
incantation" of each factor, and we do not expect them to apply
equal weighting across factors. See United States v. Dixon, 449
F.3d 194, 205 (1st Cir. 2006). We likewise do not require a
sentencing court to "address every argument that a defendant
advances in support of his preferred sentence." United States v.
Rivera-Morales, 961 F.3d 1, 19 (1st Cir. 2020). When a sentencing
court explicitly notes that it considered all the § 3553(a)
factors, we will take that into consideration. Clogston, 662 F.3d
at 592 (observing that when a district court says it considered
the § 3553(a) factors, "[s]uch a statement 'is entitled to some
weight'" (quoting United States v. Dávila-González, 595 F.3d 42,
49 (1st Cir. 2010))). And, when it isn't readily apparent in as
many words, we sometimes are able to infer that a sentencing court
weighed relevant factors in explaining its pronouncement. United
States v. Flores-Nater, 62 F.4th 652, 656 (1st Cir. 2023) ("[W]e
have not mandated that a sentencing court follow any particular
format in explaining an upwardly variant sentence. It is enough
if the explanation can be gleaned 'by fair inference' from the
sentencing record." (citation and internal quotation marks
omitted)); see also United States v. Montero-Montero, 817 F.3d 35,
38 (1st Cir. 2016). We resist arguments that are nothing more
- 18 -
than attempts to "substitute [a defendant's] judgment for that of
the sentencing court." United States v. Cahill, 85 F.4th 616, 625
(1st Cir. 2023) (quoting Clogston, 662 F.3d at 593); United States
v. Ruperto-Rivera, 16 F.4th 1, 6 (1st Cir. 2021).
With this legal backdrop in place, we move on.
The Arguments
As we've previewed, Colón's attack on the reasonableness
of the court's pronounced sentence for his new conduct goes like
this: The court erred by failing to consider or address the
mitigating impact of his intellectual disability and, quite
relatedly, the court did not provide an adequate explanation for
the upward variance. Colón all along has presented one principal
mitigating characteristic argument -- his intellectual disability
mitigates his culpability for his new criminal conduct (and the
supervised release violations) in that, for example, it made him
susceptible to being pulled into the criminal activities and
conspiracies in which he was embroiled. He points out that,
despite consistently arguing this mitigating characteristic
throughout the sentencing proceedings, the court did not address
it at all in its sentencing decision. While recognizing, as we
have outlined above, that a sentencing court is not required to
address every factor or every argument in making its sentencing
decision, Colón argues that in his case, the court here cannot
have adequately explained its upwardly varying sentence when it
- 19 -
failed to even mention his disability or the well documented impact
it has had on his life (remember the self-mutilation).
The government relies generally on the fact that the
sentencing court enjoys wide discretion in its consideration of
the sentencing factors and chalks Colón's argument up to being a
complaint about how mitigating factors were weighed, pointing out
too that the court didn't need to address every argument Colón
made. It submits that, because the district court was obviously
very aware of Colón's disability (the government points, for
instance, to the district court telling the parties it had read
and considered Colón's sentencing memorandum, where his disability
was highlighted in detail), its decision simply reflects that it
considered and rejected the defense argument that the mitigating
factor of Colón's disability warranted a lower sentence. The
government contends the district court's explanation was
sufficient because it focused on the offense conduct and relevant
aggravating factors not included in the guidelines calculation to
support the upward variance (like the loaded rifle -- a ghost gun,
remember).
Our Take
Colón's challenge has merit. As we'll lay out, on this
record, the district court's explanation was problematically thin,
and its failure to consider expressly Colón's intellectual
disability as a mitigating characteristic -- not just one of many
- 20 -
mitigating arguments below, but the principally highlighted
argument below -- ultimately compels our conclusion that its
explanation of the upwardly variant sentence was thus inadequate.
As a refresher, the court's sentencing colloquy went
like this. First, the court recited some basic facts about Colón
and his case (his age, offenses, history of drug use, the gun --
more on this in just a moment). Then, it observed that Colón
"requested a sentence of 46 months" while the government sought "a
sentence of 57 months." But it reasoned "that neither sentence
reflects the seriousness of the offense, promotes respect for the
law, protects the public from additional crimes by Mr. Colon, nor
does it address -- do they address the issues of deterrence and
punishment." And then it levied its upwardly variant sentence.
On its face, this boilerplate language is insufficiently
individualized and it is inadequate -- on its own -- to explain
the upwardly variant sentence. See, e.g., Reyes-Correa, 81 F.4th
at 10-11 (collecting some recent examples of similarly inadequate
boilerplate "explanations"). "[I]t simply rehearses -- but,"
emphasis ours, it "does not apply -- certain of the factors that
Congress has instructed courts to consider in imposing sentences."
Id. at 11 (quoting Flores-Nater, 62 F.4th at 656, which in turn is
citing 18 U.S.C. § 3553(a)(2)).
But what else was said? This matters because, as already
mentioned, we readily acknowledge that sometimes a sentence can be
- 21 -
deemed adequately explained by drawing "fair inference[s] from the
sentencing record." Id. (quoting Montero-Montero, 817 F.3d at
38). However, "while 'a court's reasoning can often be inferred
by comparing what was argued by the parties or contained in the
pre-sentence report with what the judge did,' such inferences must
be anchored in 'what the judge did.'" United States v.
Carrasquillo-Sánchez, 9 F.4th 56, 62 (1st Cir. 2021) (quoting
United States v. Jiménez-Beltre, 440 F.3d 514, 519 (1st Cir.
2006)); see also García-Pérez, 9 F.4th at 55.
Having acknowledged that it considered the § 3553(a)
factors, PSR, and sentencing memoranda, and after laying out the
facts of Colón's offenses, the court also mentioned: Colón's age,
10th grade education, and employment info; his history of using
marijuana as well as non-prescription Percocet and Xanax; his
history of anxiety but never getting treatment for it; that he was
found with ammunition and a loaded "ghost AR 15-style assault rifle
with no serial number"; and that he told probation that "he liked
rifles."
In addition to the idea that perhaps this list of
considerations could help explain the sentencing rationale, there
is also an argument to be made -- and the government makes it --
that the mention of the loaded ghost gun ("difficult, if not
impossible," the court noted, for law enforcement to trace)
explains the court's variant sentence. As the government tells
- 22 -
it, the sentencing court identified these main factors as
justification for the variance, with its rationale hinging on being
very troubled by the loaded ghost gun and extended magazine, not
to mention Colón's comment that he likes guns. In the government's
view, all of this is plenty from which we could infer an adequate
sentencing rationale, particularly when the extent of the variance
is so slight at "only 9 months" of extra imprisonment.
Color us unpersuaded. For one thing, as a general
matter, we disagree with the characterization of this upward
variance as insignificant. See Rosales-Mireles v. United States,
138 S. Ct. 1897, 1907 (2018) (Sotomayor, J.) (reasoning, in another
sentencing context, that "'[t]o a prisoner,' th[e] prospect of
additional 'time behind bars is not some theoretical or
mathematical concept[,]'" and "'any amount of actual jail time' is
significant" (first quoting Barber v. Thomas, 560 U.S. 474, 504
(2010) (Kennedy, J., dissenting); then quoting Glover v. United
States, 531 U.S. 198, 203 (2001))). And as a practical matter, 9
months, which represents, for example, the length of an entire
school year or a full-term pregnancy, would readily be understood
as a significant time period by any reasonable measure.
Moreover, the court's statements do not constitute an
application of the factors or an adequate explanation -- this is
another "mere listing of the facts" that has no "emphasis on any
particular circumstance," and thus it is "impossible to tell" what
- 23 -
the court's rationale was for landing on this 9-month upward
variance -- 15% up from the guidelines sentencing range. Cf.
United States v. Muñoz-Fontanez, 61 F.4th 212, 214 (1st Cir. 2023)
(vacating a 20% upward variance there). What we have here, once
again, is the court rehashing some basic identifying information
and the facts that formed the basis of the new-conduct charge that
led to the instant need for sentencing. See Reyes-Correa, 81 F.4th
at 11; id. at 11-12 ("A summary of the events that preceded the
[sentencing] hearing -- without more -- is an impermissible basis
for a large upward variance.").
We need to be able to understand the reasons of the
district court and how it arrived at its sentencing pronouncement:
"When imposing a significant variance, a sentencing court must
make clear which specific facts of the case motivated its decision
and why those facts led to its decision." Muñoz-Fontanez, 61 F.4th
at 215; see also Reyes-Correa, 81 F.4th at 13 ("If the court deemed
the number of revocations, Reyes's behavior, or some other aspect
of the record uniquely unacceptable, it should have so stated.").
We grant that we certainly can conceive of different ways a ghost
gun being in the factual mix (when the gun possession isn't already
encompassed by the guidelines) could affect sentencing. We can
even (speculatively) conceive of specific ways the ghost gun in
this case might've impacted the sentencing court's analysis. But
our point here is that we do not know which reasons -- if any --
- 24 -
were actually what the sentencing court had in mind when
pronouncing sentence. The point, indeed, is that the court didn't
say. See Gall, 552 U.S. at 50 (instructing that sentencing courts
must offer "adequate[]" explanations "to allow for meaningful
appellate review and to promote the perception of fair
sentencing").
Now, it is not sufficiently clear to us that the court's
mention of the ghost gun connects the necessary inferential dots
to reveal a strong justification for the variance. But even if
enough "fair inferences" could carry the day here to divine a
ghost-gun-anchored justification that would pass muster,5 see
Flores-Nater, 62 F.4th at 656 (noting that it is sometimes possible
for us to draw inferences from the sentencing record in concluding
that a district court adequately explained a variance), another
problem with the court's sentencing explanation looms: its failure
to mention, let alone engage with, Colón's intellectual disability
as a mitigating characteristic. The conspicuous absence of any
mention of that characteristic smacks of a failure to make an
individualized assessment of Colón. We explain.
Given where we land analytically today, we need not and do
5
not make any per-se judgment as to the impact possession of a ghost
gun ought to have on a sentencing calculus. As always when it
comes to fashioning a sentence, the role of any given fact -- ghost
gun or otherwise -- in any given sentencing record should be
carefully assessed individual case by individual case.
- 25 -
Some distinctions are helpful as a starting point.
Colón's case is not one in which the district court quite clearly
addressed certain things, but an appellant nonetheless complains
it did not, see, e.g., García-Pérez, 9 F.4th at 52 (rejecting a
defendant's argument that the court failed to consider mitigating
factors of his youth and prior clean record when the court had
expressly mentioned both),6 and (despite the government's
suggestion to the contrary) it is similarly unlike the related
class of cases where a defendant attempts to superimpose his own
preferred weighing of the sentencing factors, see, e.g., Ruperto-
Rivera, 16 F.4th at 6 (rejecting a mitigating-factors challenge
when the appellant's "plaint boil[ed] down to a lament that the
court did not weigh the aggravating and mitigating factors as
counsel would have preferred"). Colón's case is likewise unlike
those where a defendant trains his gaze on a sentencing court's
failure to address one of his arguments -- when our caselaw is
clear that, in fact, it need not "address every argument that a
defendant advances in support of his preferred sentence." Rivera-
Morales, 961 F.3d at 19 (emphasis added).
6 Additional examples for the curious reader: Cahill, 85
F.4th at 625 (rebuffing a defendant's claim of error as to the
district court's dismissal of multiple mitigating factors he'd
argued when the court "expressly consider[ed] those factors"); and
Ruperto-Rivera, 16 F.4th at 6 (finding a court "dealt explicitly
with" a rehabilitation mitigation argument and therefore rejecting
a defendant's accusation that the court had disregarded that
mitigating factor).
- 26 -
Colón's case stands apart from these types of appeals
for the simple reason that he isn't complaining about how a bunch
of important mitigating factors were discarded or weighed wrong;
he isn't arguing that some of his arguments were given short shrift
or misunderstood. His position is that the mitigating individual
characteristic and the argument about it were completely ignored.
And on this record, he has a point.
True, the district court here stated that it considered
the § 3553(a) factors. And while we give "some weight" to that
statement, Dávila-González, 595 F.3d at 49 (citing United States
v. Morales-Machuca, 546 F.3d 13, 26 (1st Cir. 2008)), we still
must decide whether the court applied the factors reasonably.
We conclude the court fell short in this regard. This
is because it is nose-to-face plain from the record that the
district court never engaged with Colón's intellectual disability
as a mitigating characteristic. Colón's steadfast theory
throughout the sentencing proceedings was that his intellectual
disability affects sentencing at many levels, including
culpability, deterrence, and recidivism -- counsel all but jumped
up and down to call attention to all of this. Yes, we are mindful
that the court didn't need to address every argument raised, nor
did it need to weigh the § 3553(a) factors in any particular way.
But "[t]he relative weight of each factor will vary with the
idiosyncratic circumstances of each case," Dixon, 449 F.3d at 205,
- 27 -
and on this record, given Colón's paramount emphasis on this
individual characteristic as the mitigation argument, it is
reasonable to conclude that the sentencing court should have
engaged with it, see, e.g., Rita, 551 U.S. at 357 (teaching that
when a party "presents nonfrivolous reasons for imposing a
different sentence," sentencing courts should "explain why [the
court is] reject[ing] those arguments" -- "[s]ometimes the
circumstances will call for a brief explanation; sometimes they
will call for a lengthier explanation," but "[w]here the
[sentencing court] imposes a sentence outside the Guidelines, the
[court] will explain why [it] has done so" (emphasis added)). See
also United States v. Robles-Alvarez, 874 F.3d 46, 53 (1st Cir.
2017) (deeming a sentence unreasonable when, "despite the
appellant's repeated attempts" to get the sentencing court to
consider a "potentially forceful [sentencing] argument," the court
"fail[ed] to even mention the [sentencing] issue" and "did not
even provide a cursory explanation for its rejection of his
argument").7
In a footnote, the government tells us Robles-Alvarez is
7
neither here nor there because the facts there were unique since
the appellant was sentenced to life in prison while his
coconspirators received significantly lesser sentences, 874 F.3d
at 52, and "Colón's case does not fit within [this] unique
framework." All sentencing cases' facts are unique -- that is
precisely the point of our sentencing jurisprudence that requires
individualized assessment of each and every defendant to be
sentenced. That said, and as Colón points out, we see quite a few
pertinent similarities between Robles-Alvarez and the instant
- 28 -
As for possible inferences here, we run headlong into
the issue we canvassed above -- the court did not say enough from
which we could fairly infer how it felt about Colón's dominant
mitigation argument. The government argues the district court
"acknowledged" the argument by noting that it had reviewed the
PSR, sentencing memos, and expert report that raised the mitigating
characteristic. But on this record, it is simply a bridge too far
for us to say the district court meaningfully considered, let alone
adequately explained, how Colón's specific individual
circumstances impacted the final sentencing decision. Rita, 551
U.S. at 356 (instructing that sentencing courts must say enough to
show an appellate court they "considered the parties' arguments").
Same goes for how the ghost gun fits into any of this, i.e.,
whether the court's recitation of information about the ghost gun
could suggest the court determined that fact and its attendant
circumstances outweighed the mitigating characteristic of Colón's
disability -- the court did not say, and there is insufficient
record material to permit such an inferential leap.
matter (both defense sentencing memos focused on a mitigating
factor to argue for a lower sentence, that argument was a primary
focus at the sentencing hearing, and the sentencing court said
nothing about the argument when pronouncing sentence). Id. The
fact that the substance of the ignored "potentially forceful"
argument might differ from case to case does not alter our
reasoning today.
- 29 -
Here's where all of this leaves us: The district court
abused its discretion as it relates to the sentencing imperatives
of individualized review of the § 3553(a) factors and the adequacy
of the explanation for its upwardly variant sentence.
Revocation Sentence: "[C]onstantly engaging" in drug use
"through his supervision period"
Our remaining task is to examine Colón's contention that
the district court erroneously found during the revocation
sentencing that, "through his supervision period," Colón was
"constantly engaging in the illegal use of controlled substances."
According to Colón, this finding is clearly erroneous -- recall
from many pages ago that the record reflects that Colón tested
negative for cannabinoids fifteen times during his release,
otherwise testing positive only twice (in December 2019 and June
2020, and for cannabinoids only) in the 14-month testing window.
Colón notes that the PSR certainly (and misleadingly, he says)
delved into his historical and more consistent abuse of harder
drugs, but that prior use in no way reflected Colón's behavior
during his supervised release period. Colón also points out that
at the sentencing hearing the government may have further muddied
the waters by using the present tense to describe his prior drug
use -- stating that he "smokes approximately 25 marijuana
cigarettes per day . . . as well as taking Xanax, Percocet, and
- 30 -
Klonopins on a daily basis" and that he "mixes the prescription
drugs and . . . marijuana with . . . alcohol."
The government's rebuttal is that the record supports a
conclusion that the district court was well aware Colón had only
two positive tests, but also knew Colón missed a drug test and
purported synthetic marijuana and rolling paper were found in his
car when he was arrested. The court had before it the PSR and
defense counsel's many arguments about it. So, the government
says, the district court fully appreciated the evidence of Colón's
drug use during his supervised release, and its statement about
"constant[]" use "is best characterized as an inartful slip of the
tongue."
"[S]electing a sentence based on clearly erroneous
facts" is an example of a "significant procedural error," United
States v. Navarro-Santisteban, 83 F.4th 44, 55 (1st Cir. 2023)
(alteration in original) (quoting Gall, 552 U.S. at 51), and such
an error "warrant[s] 'revers[al] unless the government shows the
mistake did not affect the sentence,'" id. (second alteration in
original) (quoting United States v. Colón-Maldonado, 953 F.3d 1,
4 (1st Cir. 2020)). But "[c]lear-error review is demanding: this
standard will be satisfied only if, upon whole-record-review, an
inquiring court forms a strong, unyielding belief that a mistake
has been made." United States v. Rivera-Nazario, 68 F.4th 653,
658 (1st Cir. 2023) (quoting United States v. Nuñez, 852 F.3d 141,
- 31 -
144 (1st Cir. 2017)). "As long as the district court's decision
is based on reasonable inferences drawn from adequately supported
facts, we will not find clear error." Id.
Here, it is very clear a mistake has been made: This
record does not reliably support a finding that Colón was
"constantly engaging in the illegal use of controlled substances"
"through his supervision period." As Colón quite aptly
crystallizes it, the district court "either misunderstood that the
information in the PSR did not apply to Mr. Colón's current
conduct, or it otherwise mistakenly believed the record supported
a finding of 'constant' 'use'" -- "[e]ither way, the court
irreversibly erred." As we'll unpack, he is correct.
To the extent the district court misunderstood that
Colón was using drugs during his supervised release period the
same way he had many years earlier, that was, simply put and on
this record, clear error. The record evidence shows the only time
Colón "constantly"8 used drugs was years earlier (back when he
smoked 25 joints a day and took Xanax, Percocet, and Klonopin
8"Constantly" is defined as "without variation, deviation,
or change" and "with regular occurrence." Constantly, Merriam-
Webster Online Dictionary (Jan. 5, 2024)
http://www.merriam-webster.com/dictionary/constantly
[https://perma.cc/T6XX-METW]; see also Constantly, Oxford English
Dictionary Online (Jan. 5, 2024)
https://www.oed.com/dictionary/constantly_adv?tab=meaning_and_us
e&tl=true#8389233 [https://perma.cc/E7NX-T3LM] (defining
"constantly" as "[i]nvariably, uniformly, regularly, in every
case, always"; "[c]ontinually, perpetually, incessantly, always").
- 32 -
daily, sometimes even mixing prescription drugs with alcohol).
The government does not dispute this; it just insists the district
court was well aware that Colón's past use was just that -- past
-- because the court indicated that it had read Colón's objections
to the PSR and Colón's counsel labored to clarify the PSR's
freewheeling narrative of Colón's drug use. This would be a
reasonable reading of things but for what the court actually said
when imposing the revocation sentence. The court quite clearly
stated (emphases are ours) that Colón's drug use "through his
supervision period" was "constant[]." We cannot reconcile that
characterization with what the record actually reflects, nor are
we willing to chalk it up to "an inartful slip of the tongue" as
the government suggests we should.
To the extent the district court was drawing inferences
to find the drug use during Colón's term of supervised release was
constant, that approach meets the same clear-error fate. A
"constantly" using inference is wholly implausible on this record
because there are no adequately supported facts to permit it.
Instead, what the record clearly reflects is that fifteen of
seventeen tests came back negative, the two positives (for
cannabinoids only, remember) were 6 months apart, Colón had been
engaged in his drug treatment program, and the presumptive pot
found in Colón's car was never even tested. These are not
- 33 -
"constantly" using facts, nor do they even approach a set of facts
that would permit such an inference.
And so, either reading of the district court's finding
would yield the same clear-error conclusion for us.
Resisting this conclusion and trying to show us any
mistake in this regard didn't affect Colón's sentence, the
government reasons that the court's reliance on the drug tests
wasn't an instance of the proverbial tail wagging the dog since
the tests were just one of several violations the court relied on
when imposing sentence. True enough, the court had before it
evidence of Colón's other violations. But on this record, we do
not know precisely to what degree the court relied on its erroneous
constant-use fact, whether based on a misunderstanding of the
record or extrapolated from the record, in fashioning the resulting
sentence. See, e.g., Navarro-Santisteban, 83 F.4th at 56
(remanding when it was not possible to "extricate the influence"
of the court's erroneous reliance on tainted hearsay evidence "from
the court's broader sentencing rationale"). We thus cannot
conclude that the procedural error here did not affect the
selection of the imposed sentence.9
9Before we go, a quick word on the Bureau of Prisons' 500-
hour drug and alcohol treatment program, which was recommended by
the court as part of Colón's sentence. The government suggests
the court mentioned these past-drug-use facts so Colón could
benefit from the 500-hour program. This doesn't track for the
- 34 -
CONCLUSION
We vacate Colón's sentence and remand to the district
court for resentencing consistent with this opinion. In light of
this disposition, we leave untouched and intimate no view on
Colón's other appellate challenges to his sentences. On remand,
the parties may pursue the other issues raised in their briefs we
need not reach today, to the extent those other issues remain
relevant.
The Clerk of the District Court is directed to assign
this case to a different judge on remand for prompt resentencing.
See 28 U.S.C. § 2106; see also United States v. Muniz, 49 F.3d 36,
41 (1st Cir. 1995) (remanding to a different judge where the
original sentence was grounded on unsupported findings of fact);
revocation sentence rationale. For one thing, the court mentioned
the 500-hour treatment program much earlier in the sentencing --
for the new conduct, not as part of the revocation sentence
rationale. For another, the court could've referred Colón to the
500-hour program without stating he "constantly" used drugs during
his supervision period -- or it could have been more clear that it
was saying so for the purpose of anchoring the order for the
treatment program (though again, this still doesn't square with
characterizing Colón's prior use as "constant[]" use "through his
supervision period"). What's more, the record bears out that the
treatment program may have been ordered because the defense imbued
its sentencing arguments with the importance of substance abuse
treatment (of note, defense counsel below suggested Colón might
not qualify specifically for the 500-hour program because it
requires a GED (which Colón does not have); and even then, we note
there is no guarantee the Bureau of Prisons will be able to
accommodate such a referral).
All to say, this point does not move the analytical needle
for us.
- 35 -
Mawson v. United States, 463 F.2d 29, 31 (1st Cir. 1972) ("It is
difficult for a judge, having once made up his mind, to resentence
a defendant, and both for the judge's sake, and the appearance of
justice, we remand this case to be redrawn."). The district court
will base resentencing on the existing factual record,
supplemented if appropriate by evidence of events that occurred
after the date of the most recent prior sentencing.
- 36 -