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No. 9997268
United States Court of Appeals for the Ninth Circuit
United States v. Keith Atherton
No. 9997268 · Decided July 3, 2024
No. 9997268·Ninth Circuit · 2024·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
July 3, 2024
Citation
No. 9997268
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 21-30266
Plaintiff-Appellee, D.C. No. 6:18-cr-
00351-AA-1
v.
KEITH ATHERTON, AKA Keith OPINION
James Atherton, AKA John Doe,
Defendant-Appellant.
Appeal from the United States District Court
for the District of Oregon
Ann L. Aiken, District Judge, Presiding
Argued and Submitted December 8, 2023
Portland, Oregon
Filed July 3, 2024
Before: Marsha S. Berzon, Jacqueline H. Nguyen, and Eric
D. Miller, Circuit Judges.
Opinion by Judge Berzon;
Dissent by Judge Miller
2 USA V. ATHERTON
SUMMARY *
Criminal Law
The panel affirmed a sentence imposed on Keith
Atherton, whose plea agreement contained an appeal waiver
with certain exceptions.
Atherton contends that the district court violated his due
process rights during sentencing by relying upon false or
unreliable information.
The panel held that a due process challenge to
sentencing, like Atherton’s, falls within the appeal waiver
limitation set forth identified in United States v. Wells, 29
F.4th 580 (9th Cir. 2022), for “a challenge that the sentence
violates the Constitution.” The panel rejected the
government’s contention that the Wells exception is limited
to constitutional claims targeting the substantive terms of the
sentence.
Reviewing for plain error, the panel held that Atherton’s
due process rights were not violated. The panel concluded
that Atherton did not demonstrate that it is clear or obvious
that the challenged information was patently false or
unreliable or that the court relied upon the information in
imposing sentence.
Dissenting, Judge Miller would hold Atherton to his
agreement and dismiss the appeal. Judge Miller wrote that
the phrase “any grounds” in Atherton’s appeal waiver
encompasses alleged due-process violations at sentencing;
*
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
USA V. ATHERTON 3
and that under the rule adopted by the majority, routine
challenges to factual findings at sentencing can be recast as
due-process arguments that can go forward in the face of an
appellate waiver, at least if the waiver does not contain a
sufficiently explicit reference to due-process claims.
COUNSEL
Sarah Barr (argued), Assistant United States Attorney;
Suzanne Miles, Assistant United States Attorney, Criminal
Appeals Section Chief; Natalie K. Wight, United States
Attorney, United States Department of Justice, Office of the
United States Attorney, Portland, Oregon; Jeffrey S. Sweet,
Assistant United States Attorney, United States Department
of Justice, Office of the United States Attorney, Eugene,
Oregon; for Plaintiff-Appellee.
Elizabeth G. Daily (argued), Assistant Federal Public
Defender, Federal Public Defender’s Office, Portland
Oregon, for Defendant-Appellant.
4 USA V. ATHERTON
OPINION
BERZON, Circuit Judge:
Defendant Keith Atherton pleaded guilty pursuant to a
plea agreement to one count of using or attempting to use a
minor to produce a visual depiction of sexually explicit
conduct. In the plea agreement, Atherton waived his appeal
rights, with certain exceptions. The district court imposed a
statutory maximum sentence of 30 years. On appeal,
Atherton contends that the district court violated his due
process rights during sentencing by relying upon false or
unreliable information. Our primary question is whether a
due process challenge to sentencing, like Atherton’s, falls
within the appeal waiver limitation identified in United
States v. Wells for “a challenge that the sentence violates the
Constitution.” 29 F.4th 580, 587 (9th Cir. 2022). We hold
that it does. Here, however, Atherton’s due process rights
were not violated and so we affirm the district court.
I. Factual and Procedural Background
In July 2018, a federal agent discovered that Atherton
was sharing and distributing child pornography and child
exploitation material on a video conferencing platform. The
content included sexually explicit images and videos of
Atherton and a male toddler, referred to throughout the
proceedings as “Male Victim 1” or “MV1.” Pursuant to a
warrant, investigators seized Atherton’s electronic devices,
including his computer.
A forensic analysis of Atherton’s devices revealed
thousands of videos and more than 10,000 images depicting
child sexual exploitation, as well as a guide on how to groom
and sexually abuse children. Law enforcement agents also
USA V. ATHERTON 5
recovered sexually exploitative images and videos Atherton
had produced of MV1, and videos in which Atherton
expressed his desire to sexually abuse the child. Atherton’s
chat history contained messages describing the abuse he had
inflicted on MV1.
MV1’s parents were Atherton’s long-time friends.
Atherton moved in with the family when he needed a place
to live. Occasionally, he babysat the child, who was three at
the time. Atherton used methamphetamine on a daily basis
from 2012 to the time of his arrest.
After the discovery of the material on his electronic
devices, Atherton was indicted on several charges. He
pleaded guilty pursuant to a plea agreement to one count of
using or attempting to use a minor to produce a visual
depiction of sexually explicit conduct, in violation of 18
U.S.C. §§ 2251(a) and (e). The government agreed to
dismiss the remaining counts. 1 The plea agreement
contained the following appeal waiver:
Defendant knowingly and voluntarily waives
the right to appeal from any aspect of the
conviction and sentence on any grounds,
except for a claim that: (1) the sentence
imposed exceeds the statutory maximum, or
(2) the Court arrives at an advisory
sentencing guideline range by applying an
1
The Coos County District Attorney’s Office agreed that it would not
prosecute Atherton for charges arising from the investigation, provided
that he pleaded guilty and received a sentence of at least 15 years
imprisonment.
6 USA V. ATHERTON
upward departure under the provisions of
Guidelines Chapters 4 or 5K.
Atherton’s pre-sentence report (PSR) calculated a
Guidelines recommended term of 360 months, reflecting the
statutory maximum sentence. 18 U.S.C. § 2251(e). But for
the statutory maximum, the recommended Guidelines
sentence would have been life. U.S.S.G. § 5G1.1(a). The
government sought a statutory maximum sentence of 360
months, pointing to Atherton’s “strong sexual interest in
children, his preoccupation with child pornography, his
compulsive behavior and long-term addiction to
methamphetamine,” and the consequent need to protect the
community. The defense requested the mandatory minimum
sentence, 15 years. 18 U.S.C. § 2251(e).
Before the hearing, the defense submitted a Psycho-
Sexual Evaluation and Risk Assessment report authored by
an expert in the field, Katherine Gotch. Gotch reviewed
Atherton’s personal history and the results of multiple risk
assessments. She concluded that Atherton “currently
presents as a medium risk for general criminal recidivism
and above average risk for future sexual crimes.” The report
identified certain factors influencing his “amenability” and
“responsivity” to treatment. It also indicated that “Mr.
Atherton would likely be managed adequately in the
community with continued sobriety and the appropriate
supports,” but stated that “this is not an option for Mr.
Atherton at this time.”
After hearing testimony by Gotch, statements by the
victim’s father and the defendant, and argument from both
parties, the district court imposed a sentence. Commenting
upon the expert testimony, the court acknowledged the
importance of evidence-based sentencing, but stated that
USA V. ATHERTON 7
“we are in an area of neuroscience and behavioral sciences
with issues related to sex offenses that I would say is
embryotic.” The court then noted that resources and support
for community-based programs to assist sex offenders were
“dwindling,” and that “the community right now does not
have the adequate needs to manage” Atherton’s treatment,
especially in light of his longstanding addiction. Finally, the
court commented upon “[t]he betrayal of trust” inherent in
Atherton’s abusing a child placed in his care, noting that the
court and also the defendant—who was using
methamphetamine at the time—“may not even know” what
happened “while [MV1’s parents] were gone.”
After recounting the goals of sentencing under 18 U.S.C.
§ 3553(a), the court imposed a 360-month sentence, with
lifetime supervision upon release. She noted that the
sentence reflected the need to incapacitate Atherton while
his risk of reoffending was high, to account for the “lifetime
effect[s]” upon the victim, and to protect the community.
She also expressed hope that “[w]e will have better resources
and better technologies to address these issues” when
Atherton is released.
Atherton appealed, arguing that the district court violated
his due process rights by relying on false or unreliable
information during sentencing. 2
2
Atherton filed his notice of appeal outside the 14-day window provided
by Federal Rule of Appellate Procedure 4(b), and outside the extended
window granted by the district court. Under the circumstances—
including the withdrawal of appointed counsel and the failure of the
district court to file the appeal notice on the defendant’s behalf—the
government does not object to the timeliness of the appeal. Federal Rule
of Appellate Procedure 4(b), which imposes timeliness requirements for
8 USA V. ATHERTON
II. Discussion
a. Appeal Waiver
We must first address whether a due process challenge
to a sentence falls within an exception to an otherwise valid
appeal waiver. We review de novo whether a defendant has
waived his right to appeal. United States v. Spear, 753 F.3d
964, 967 (9th Cir. 2014). 3
Atherton does not dispute that his plea agreement,
including its appeal waiver, was knowing and voluntary. See
id. Nor does he assert that his appeal falls within one of the
two exceptions identified in the waiver itself, for sentences
exceeding the statutory maximum or based upon a guideline
range resulting from the application of an upward departure
under Guidelines Chapters 4 or 5K. Atherton’s contention,
instead, is that because he raises a constitutional challenge
to his sentence, his appeal falls within the exception
described in United States v. Wells to an otherwise valid
appeal waiver. 29 F.4th at 584–85.
i. The Wells Exception
Wells clarified the scope of an earlier case, United States
v. Bibler, which held that “[a]n appeal waiver will not apply
if . . . the sentence violates the law.” 495 F.3d 621, 624 (9th
Cir. 2007). Bibler defined an illegal sentence as one that
“exceeds the permissible statutory penalty for the crime or
violates the Constitution.” Id. (emphasis added).
criminal appeals, is not jurisdictional and therefore “forfeitable if not
invoked.” United States v. Sadler, 480 F.3d 932, 934 (9th Cir. 2007).
3
United States v. Jacobo Castillo held that an appeal waiver contained
within “a valid guilty plea does not deprive the court of jurisdiction” to
hear an appeal. 496 F.3d 947, 949–50 (9th Cir. 2007) (en banc).
USA V. ATHERTON 9
Synthesizing our post-Bibler opinions addressing the
applicability of appeal waivers to constitutional challenges,
Wells concluded that:
a waiver of the right to appeal a sentence does
not apply if (1) the defendant raises a
challenge that the sentence violates the
Constitution; (2) the constitutional claim
directly challenges the sentence itself; and
(3) the constitutional challenge is not based
on any underlying constitutional right that
was expressly and specifically waived by the
appeal waiver as part of a valid plea
agreement.
Id. at 587. 4
The government contends that the Wells exception is
limited to constitutional claims targeting the substantive
terms of the sentence, and that Atherton’s due process
challenge does not fall within that category. Wells does
4
The dissent in Wells argued that Bibler was “entirely irreconcilable”
with an earlier case, United States v. Joyce, 357 F.3d 921 (9th Cir. 2004).
Joyce dismissed a First Amendment challenge to special conditions of
release, relying for the dismissal on a valid appeal waiver. Wells, 29 F.4th
at 593 (Bea, J., dissenting). But, as the Wells majority noted, Joyce “did
not address the issue of whether an appeal waiver applies to challenges
that a sentence is unconstitutional,” because the issue was not raised by
the parties. Id. at 585. Instead, the defendant in Joyce argued that the
special conditions of release were not part of the sentence, and therefore
not subject to the waiver. Id. at 585–86 (citing Joyce, 357 F.3d at 922).
The Wells majority concluded on that basis that Joyce is not “clearly
irreconcilable” with Bibler, or with later decisions directly addressing
the constitutional exception to appeal waivers. Id. at 586 (quoting Lair
v. Bullock, 697 F.3d 1200, 1207 (9th Cir. 2012)).
10 USA V. ATHERTON
contain language stating that “the Bibler exception [is]
limited to challenges that the terms of the sentence itself are
unconstitutional,” 5 a locution that, in isolation, could
perhaps be understood as indicating that the constitutional
challenge must be substantive rather than procedural. Id. at
587. But a challenge to a sentence that was imposed
unconstitutionally—for example, an argument that the
defendant was not represented by counsel, or that the
sentence was chosen for racially discriminatory reasons—is
also a challenge to the terms of the sentence. Such a
challenge asserts that the terms of the sentence are entirely
invalid because they were unconstitutionally imposed and
must be reconsidered in a constitutionally proper
proceeding.
Notably, in the key language summarizing its holding,
quoted above, Wells did not refer to the “terms of the
sentence,” but instead stated that the exception encompasses
any situation in which “the constitutional claim directly
challenges the sentence itself.” Id. That language includes a
procedural constitutional challenge to a sentence, as opposed
to a contest to the sentence on the ground that the conviction
was invalid.
Examples given in the Wells opinion confirm that
understanding of the opinion. Wells stated that “[t]he
exception does not allow any constitutional challenges per
se, such as the Sixth Amendment rights to a speedy and
public trial or right to confront witnesses, which are not
challenges that the sentence is unconstitutional.” Id. at 587
(emphasis added). Wells also pointed to United States v.
5
The constitutional challenges raised in Wells challenged certain special
conditions of the defendant’s sentence on vagueness, First Amendment,
and nondelegation grounds. Wells, 29 F.4th at 588.
USA V. ATHERTON 11
Shehadeh as an example of a case that properly enforced an
appeal waiver when a defendant raised a constitutional
challenge based upon the Sixth Amendment right to a public
trial. 962 F.3d 1096, 1102 (9th Cir. 2020). 6
Wells drew a dividing line between constitutional
violations affecting only the sentence and those affecting the
conviction, not between violations concerning the substance
of a sentence and those involving the procedure via which it
was imposed.
ii. Waiver of Procedural Challenges
Consistent with that understanding, we have repeatedly
permitted defendants to raise due process challenges to their
sentence despite the existence of a valid appeal waiver. For
example, in United States v. Odachyan, we held that a due
process and equal protection challenge to the judge’s alleged
anti-immigrant bias at sentencing was not precluded by an
appeal waiver. 749 F.3d 798, 801 (9th Cir. 2014). Although
the plea agreement “by its terms [did] not preclude an
argument that the sentence is unconstitutional,” we specified
that “we have jurisdiction to consider a claim of
constitutional error in any event.” Id. (citing Bibler, 495 F.3d
at 624). Similarly, United States v. Baramdyka stated that
appeal waivers are inapplicable where the defendant
contends “that the sentence was the result of discriminatory
animus or any other similar form of due process violation.”
95 F.3d 840, 844 (9th Cir. 1996). And again, in United States
v. Ornelas, we assessed the defendant’s constitutional due
process challenge to being sentenced in absentia, a challenge
6
There is no indication in Shehadeh that the public trial appeal was
limited to the sentencing hearing.
12 USA V. ATHERTON
directed at the sentencing process, not its terms. See 828 F.3d
1018, 1020–21 (9th Cir. 2016).
We have also allowed other types of constitutional
arguments to proceed on appeal despite the existence of an
appeal waiver, including those challenging informational
inputs to the court’s sentencing decision. For example, in
United States v. Torres, we declined to enforce an appeal
waiver where the district court enhanced the defendant’s
offense level under an unconstitutionally vague provision of
the Sentencing Guidelines. 828 F.3d 1113, 1123, 1125 (9th
Cir. 2016).
More recently, in Crespin v. Ryan, 46 F.4th 803, 809–10
(9th Cir. 2022), we held that a defendant had not waived his
right to pursue a post-conviction, Eighth Amendment
challenge to his sentence, predicated on Miller v. Alabama,
567 U.S. 460 (2012). Crespin clarified that Miller and its
progeny require the district court to “follow a certain
process—considering an offender’s youth and attendant
characteristics—before imposing” a life without parole
sentence for a juvenile offender. Id. at 808 (quoting Jones v.
Mississippi, 593 U.S. 98, 101 (2021)). The defendant in
Crespin had been sentenced without an individualized
hearing because the plea agreement stipulated a life without
parole sentence. Id. at 810–11. Concluding that the appeal
waiver did not apply to the defendant’s constitutional claim,
Crespin quoted the conditions set out in Wells. Id. at 809.
Crespin thus recognized that the Wells exception includes
constitutional challenges to the process by which a sentence
is imposed, and is not limited to appeals challenging the
substance of a sentence.
Other Circuits similarly decline to enforce appeal
waivers where the defendant appeals on the ground that the
USA V. ATHERTON 13
sentencing court relied on a constitutionally impermissible
procedure or factor. For example, the D.C. Circuit has held
that “a waiver [should not] be enforced if the sentencing
court’s failure in some material way to follow a prescribed
sentencing procedure results in a miscarriage of justice.”
United States v. Guillen, 561 F.3d 527, 531 (D.C. Cir. 2009).
Such procedural deficiencies exist if “the district court
utterly fails to advert to the factors in 18 U.S.C. § 3553(a),”
or if it relies on “constitutionally impermissible factor[s]”
such as race or religion. Id.; see also United States v. Teeter,
257 F.3d 14, 25 n.9 (1st Cir. 2001) (noting that an appeal
waiver would not be applied if it was a miscarriage of justice,
for example, where an appellant argues that their sentence
was based on race or ethnicity); United States v. Johnson,
347 F.3d 412, 415 (2d Cir. 2003) (allowing the defendant to
raise, despite a valid appeal waiver, a due process argument
that the district court extended his term of probation on
account of the defendant’s indigency); United States v.
Brown, 232 F.3d 399, 403 (4th Cir. 2000) (excluding from
appeal waivers challenges that the sentence was “based on a
constitutionally impermissible factor such as race”); United
States v. Hicks, 129 F.3d 376, 377 (7th Cir. 1997)
(impermissible factors such as race or gender); United States
v. Michelsen, 141 F.3d 867, 872 n.3 (8th Cir. 1998)
(“constitutionally impermissible factor such as race”);
United States v. Hahn, 359 F.3d 1315, 1327 (10th Cir. 2004)
(“impermissible factor such as race”).
One additional conceptual point justifies applying the
Wells exception to procedural violations occurring during
sentencing. There is a key difference between a waiver of the
right to appeal aspects of sentencing and a waiver of trial or
pre-trial rights. Where a defendant waives a trial right—
including the right to a jury trial, to confront witnesses, to
14 USA V. ATHERTON
remain silent, and to testify—“the act of waiving the right
occurs at the moment the waiver is executed.” United States
v. Melancon, 972 F.2d 566, 571 (5th Cir. 1992) (Parker, D.J.,
specially concurring). With regard to waiving the right to a
jury trial, for example, there can be no constitutional
violation arising from the trial, because it will not occur.
Furthermore, what is waived is a known concept—“[the
defendant] knows the nature of the crime to which he or she
pleads guilty,” as well as the trial rights he is foregoing. Id.
When waiving the right to appeal a sentence in a plea
agreement entered into before sentencing, on the other hand,
the defendant waives the right to appeal constitutional
violations that may—but hopefully will not—happen in the
future. “This right cannot come into existence until after the
judge pronounces sentence; it is only then that the defendant
knows what errors the district court has made—i.e., what
errors exist to be appealed, or waived.” Id. at 572 (emphasis
omitted). A wholesale waiver of the right to appeal a
sentence would therefore allow a court unpredictably to
violate a defendant’s constitutional rights with impunity. See
also Teeter, 257 F.3d at 25 (cautioning that because waivers
of the right to appeal a sentence “are made before any
manifestation of sentencing error emerges, appellate courts
must remain free to grant relief from them in egregious
cases”). 7
7
In United States v. Navarro-Botello, the defendant argued that “his plea
was involuntary because it is logically impossible to make a knowing
and intelligent waiver of unknown rights, and a defendant cannot know
or understand what appellate issues may arise until after sentencing.” 912
F.2d 318, 320 (9th Cir. 1990). We rejected that argument, concluding
that Navarro-Botello had voluntarily given up the right to appeal in
USA V. ATHERTON 15
Another way of looking at the matter is that, given that
the sentencing proceeding has not yet occurred at the time
an appeal waiver is entered, a presentencing waiver should
not be taken as waiving the right to a constitutionally
imposed sentence absent a clear statement to that effect,
including specifying the constitutional rights waived. That,
in essence, is what Wells held, as it permitted enforcement
of an appeal waiver of “any underlying constitutional right
that was expressly and specifically waived.” 29 F.4th at 587.
That limitation to clearly enunciated, specific waivers avoids
providing carte blanche to sentencing courts to trample
constitutional rights during the all-important sentencing
proceedings, and at the same time assures that the
defendant’s quid pro quo for the prosecutor’s plea agreement
concessions is limited to specific circumstances
contemplated in advance.
The concern that a defendant should not—absent a clear
statement to the contrary—be taken to waive the right to
unknown and unanticipated constitutional violations
occurring during sentencing applies equally to procedural
and substantive violations. There is no basis for limiting the
Wells exception to one and not the other.
iii. Whether Atherton’s Challenge Falls Within
the Wells Exception
Atherton’s appeal meets all three conditions identified in
Wells. First, his assertion that the district court violated his
due process rights by relying upon false or unreliable
exchange for the certainty derived from a plea agreement with a set
sentence. Id. at 320–21. That outcome does not control here. Atherton
concedes that his appellate waiver was voluntary. Still, Bibler and its
progeny make clear that there are exceptions to the enforcement of
knowing and voluntary appeal waivers.
16 USA V. ATHERTON
information at sentencing is “a challenge that the sentence
violates the Constitution.” Wells, 29 F.4th at 587. Second,
the claim “directly challenges the sentence itself,” rather
than any features of the trial or pre-trial proceedings. Id. And
third, the challenge is not based on a constitutional right that
Atherton expressly waived. See id. Similar to the waiver in
Wells, Atherton’s plea agreement waived the right to appeal
from any aspect of the conviction and sentence on any
grounds, subject to two exceptions not applicable here. Id. at
584. Atherton’s due process challenge to the information
relied upon in sentencing therefore falls within the Wells
exception.
b. Due Process in Sentencing
i. Order of Analysis
Before reaching the merits of the due process issue
raised, an explanation as to the order of the discussion is in
order. Our cases have frequently analyzed the merits of the
constitutional challenge before determining whether the
appeal waiver applies. In Ornelas, for example, we first
addressed whether the sentence was lawful and, concluding
that it was, enforced the appeal waiver. 828 F.3d at 1021–
23. In Torres, we concluded that the sentence was “illegal,”
and then stated that the waiver did not bar the appeal. 828
F.3d at 1125; see also United States v. Lo, 839 F.3d 777,
790–95 (9th Cir. 2016) (rejecting four arguments as to why
the forfeiture order constituted an illegal sentence before
upholding the appeal waiver); United States v. Watson, 582
F.3d 974, 981, 985–88 (9th Cir. 2009) (assessing the merits
of the defendant’s sentencing challenge before concluding
that the exception for illegal sentences did not apply). This
habit may trace back to thinking of appeal waivers as
depriving the appellate court of jurisdiction, even though we
USA V. ATHERTON 17
have held that is not so. See Jacobo Castillo, 496 F.3d at
949–50. 8
In Wells, however, we stated that a waiver does not apply
if the defendant raises a constitutional challenge, and
concluded that three of Wells’s constitutional challenges
“survive[d] the appeal waiver.” 29 F.4th at 587–88; see also
United States v. Schopp, 938 F.3d 1053, 1058 (9th Cir. 2019)
(stating that because the defendant’s “appeal goes to the
legality of his sentence, it is permitted despite his appeal
waiver”). Because an appeal waiver is not jurisdictional, see
supra note 3, it is a purely formalistic difference whether we
say that the appeal waiver does not apply but the defendant
loses on the merits or that, because he loses on the merits,
the waiver applies.
8
Decisions issued before Jacobo Castillo generally dismissed the appeal
after enforcing a valid waiver. See, e.g., United States v. Cardenas, 405
F.3d 1046, 1048 (9th Cir. 2005) (dismissing an appeal after concluding
that the sentence was not illegal); United States v. Jeronimo, 398 F.3d
1149, 1157 (9th Cir. 2005) (enforcing an appeal waiver and dismissing
for lack of jurisdiction); Joyce, 357 F.3d at 925 (dismissing for lack of
jurisdiction after concluding that the defendant validly waived his appeal
rights). But see United States v. Martinez, 143 F.3d 1266, 1272 (9th Cir.
1998) (affirming after concluding that the defendant was bound by an
appeal waiver). Notably, in the same month Jacobo Castillo was filed,
the Bibler opinion was amended to remove a reference to the court
lacking jurisdiction to consider the appeal unless an exception to the
appeal waiver applied and to alter the disposition of the case from
dismissal to affirmance. Bibler, 495 F.3d at 622. Opinions issued after
Jacobo Castillo nevertheless continued to dismiss an appeal after
rejecting arguments concerning the illegality of a sentence on the merits
and enforcing an appeal waiver. See, e.g., Ornelas, 828 F.3d at 1023; Lo,
839 F.3d at 795; Watson, 582 F.3d at 988. We follow the approach of the
Bibler court in affirming the district court on the merits, rather than
dismissing for lack of jurisdiction.
18 USA V. ATHERTON
We note as well that as we are applying plain error
review, see infra p. 18–19, it would be especially backwards
to leave the waiver question until the end of our analysis.
Our holding that there was no plain error does not establish
that the procedure used was constitutional, and so cannot
itself be a predicate for declining to enforce the waiver of
appeal. Instead, the basis for not enforcing the waiver of
appeal is that a constitutional challenge was raised, whatever
the outcome of that challenge.
Here, we have already concluded that Atherton’s due
process challenge to his sentence falls within the exception
to a valid appeal waiver for unconstitutional sentences. For
clarity, to avoid circularity, and to conform the form to
reality, we prefer, as in Wells, to recognize at this juncture
that the appeal waiver is inapplicable and resolve the case on
the merits. See Wells, 29 F.4th at 587 (“[W]e must address
the constitutional challenges on the merits.”).
ii. Standard of Review
Atherton had an opportunity to object to the grounds of
his sentence before the conclusion of the hearing and did not
do so. 9 So we review his constitutional challenge to his
sentence for plain error. United States v. Johnson, 979 F.3d
632, 636 (9th Cir. 2020); see also United States v.
Vanderwerfhorst, 576 F.3d 929, 934–36 (9th Cir. 2009)
(applying plain error review to a claim that the district court
violated a defendant’s due process rights by basing its
9
Contrary to Atherton’s assertions, he did not preserve his objection
simply by presenting what he considers to be reliable information to the
court. Notably, defense counsel did raise a different objection at the close
of sentencing—that the court had inaccurately characterized search
results identified in Atherton’s internet history as search terms—and
equally could have objected on the grounds raised here.
USA V. ATHERTON 19
sentence upon unreliable information). To establish plain
error, Atherton must show that “(1) there was an error,
(2) the error is clear or obvious, (3) the error affected his
substantial rights, and (4) the error seriously affected the
fairness, integrity, or public reputation of judicial
proceedings.” Johnson, 979 F.3d at 636.
“To succeed on a claim that a district court violated the
Due Process Clause by imposing a ‘sentence founded at least
in part upon misinformation of constitutional magnitude,’ a
defendant ‘must establish the challenged information is
(1) false or unreliable, and (2) demonstrably made the basis
for the sentence[.]’” United States v. Hill, 915 F.3d 669, 674
(9th Cir. 2019) (citations omitted) (first quoting United
States v. Tucker, 404 U.S. 443, 447 (1972), and then quoting
Vanderwerfhorst, 576 F.3d at 935–36). The first factor is met
if the challenged information is “improper, inaccurate, or
mistaken,” or if the district court makes “unfounded
assumptions or groundless inferences.” United States v.
Borrero-Isaza, 887 F.2d 1349, 1352 (9th Cir. 1989). “For the
second factor, the court must have ‘made it abundantly clear
that (the challenged information) was the basis for its
sentence.’” Hill, 915 F.3d at 674 (quoting Farrow v. United
States, 580 F.2d 1339, 1359 (9th Cir. 1978)).
In contending that the district court violated his due
process rights by relying on false or unreliable information
in imposing his sentence, Atherton points to: (1) the court’s
statements concerning the state of research on sex offenses;
(2) the availability of community-based treatment resources;
and (3) the possibility that the defendant committed other
offenses against MV1. Examining each category of
information identified, we conclude that Atherton has not
demonstrated that it is “clear or obvious” that the challenged
20 USA V. ATHERTON
information was patently false or unreliable or that the court
relied upon the information in imposing sentence.
iii. Sex Offense Research
First, it is not plain that the district court relied on false
or unreliable information when it commented on the efficacy
of sex offense recidivism treatment.
After considering the defense expert’s report and
testimony, the court stated:
[W]e are in an area of neuroscience and
behavioral sciences with issues related to sex
offenses that I would say is embryotic. We
don’t have that much information. I listened
very carefully, and I have all the reports. I
strongly suggest that your . . . expert in this
case has great commitment to being a part of
getting better information, better solutions,
but I think she would even have to
acknowledge that we are at the very
beginning stage of trying to add[ress] these
issues.
After imposing the thirty-year sentence, the court expressed
“hope” that “when [Atherton is] eventually released from
custody that we will have progressed as a criminal justice
system, neuroscience, behavioral science using
contemporary sciences and neurosciences to figure out how
to best address this issue.” 10 Atherton contends that these
10
Contrary to the defendant’s argument, there is no indication that the
court “impos[ed] or lengthen[ed] [his] prison term to promote [his]
rehabilitation” in violation of Tapia v. United States, 564 U.S. 319, 332
USA V. ATHERTON 21
statements contradict the expert report and testimony and
lack a foundation in the record.
Not so, or at least, not plainly so. Gotch, the defense
expert, made only general comments concerning the efficacy
of treatment for sex offenders. Her report indicated that
Atherton’s amenability to treatment was “good,” but, in
context, that comment referred to his willingness to
participate rather than the likelihood of the treatment’s
success. Gotch also testified that “once caught, the majority
of individuals convicted of sexual crimes desist with
appropriate intervention,” but she did not indicate precisely
what “interventions” are “appropriate,” nor how reliably sex
offense treatment reduces recidivism for individuals with
Atherton’s specific characteristics. Gotch also did not
suggest that the research provides any method for
determining whether Atherton himself would respond to
specific treatments. Given the general nature of Gotch’s
report and testimony, the district court’s observations
concerning the state of research on sex offenses and
offenders are not contradicted by the expert’s statements—
or, again, at least not obviously so.
Nor did the court “make unfounded assumptions or
groundless inferences in imposing sentence.” Borrero-Isaza,
887 F.2d at 1352. In United States v. Autery, we affirmed the
substantive reasonableness of a sentence, including the
court’s evaluation of the efficacy of out-patient psychiatric
treatment, where the district court applied its “unique
(2011) (citing 18 U.S.C. § 3582(a)). Unlike in Tapia, the district court
did not calculate the defendant’s sentence to ensure that he could
complete an in-prison treatment program. Id. at 335. Rather, the district
court considered the absence of rehabilitative resources outside of prison
as one factor in its sentencing decision.
22 USA V. ATHERTON
familiarity with the defendant, the case’s circumstances, and
numerous other cases like it.” 555 F.3d 864, 877 (9th Cir.
2009). The judge here, it appears, was similarly justified in
evaluating the expert report and recommendations in light of
her extensive experience with sex-offense cases and the
impacts upon victims of sexual assault, developed while
practicing family law and serving on a state juvenile court,
and sitting for more than twenty years as a federal judge.
iv. Community-Based Treatment Resources
Second, the district court did not plainly implicate
Atherton’s due process rights by observing that there were
insufficient community-based treatment resources to meet
his needs outside of prison.
The expert report stated that:
While Mr. Atherton would likely be managed
adequately in the community with continued
sobriety and the appropriate supports (e.g.,
community supervision in conjunction with
specialized treatment programming and other
forms of external monitoring), despite his
above average risk profile, it is understood
this is not an option for Mr. Atherton at this
time.
The defendant contends that, in stating that community
treatment was “not an option . . . at this time,” Gotch merely
acknowledged that Atherton faced a mandatory minimum
15-year sentence. At sentencing, however, Gotch noted that
Atherton’s behavior was “exacerbated by the
methamphetamine use,” and that while the drug use was “not
an excuse, . . . it is an inhibitor . . . which is why in the report
USA V. ATHERTON 23
one of the recommendations I stated was, while he could
likely be managed in the community . . . with adequate
so[br]iety and appropriate controls, what I also noted is
that’s not an option for him at this point.”
In response to Gotch’s testimony, the district noted the
closure of a nearby residential reentry center and stated that
“the community right now does not have the adequate needs
to manage [the defendant], especially with an addiction that
goes back as long as [his].” Those statements are entirely
consistent with Gotch’s testimony, which did not attest to the
availability of the necessary community resources and
acknowledged that successful treatment for Atherton was
conditioned on his sobriety. Nor was it unreasonable for the
district court judge to rely on her familiarity with the re-entry
process in concluding that in the federal system “resources
have been dwindling, unraveling, and not funded to the
extent we have a demand and a need for it.”
v. Additional Sex Offenses
Third, Atherton has not shown that the district court
based his sentence upon speculation that he had committed
additional, unreported sex offenses against MV1.
In discussing Atherton’s relationship to MV1’s parents,
the court stated:
I’m actually confident that there is no
certainty that when they were entrusting you
with his behavior and his supervision, when
they ran those little errands, only God knows
what happened while they were gone. They
have what was captured. You may not even
24 USA V. ATHERTON
know because you were using meth during
that period of time.
To the extent that such statements indicate that the district
court thought that Atherton may have committed other acts
of abuse against MV1 than those recorded in the videos
found, there is no indication that the court “demonstrably
relied” on those speculations in imposing sentence. United
States v. Ibarra, 737 F.2d 825, 827 (9th Cir. 1984) (internal
quotation marks omitted). 11
In the cases Atherton relies upon, the district court
unambiguously based its sentence upon unsupported
allegations of other crimes. In United States v. Weston, for
example, we concluded that the district court improperly
relied upon unsubstantiated allegations in the PSR that the
defendant was a distributor of narcotics. 448 F.2d 626, 628,
634–35 (9th Cir. 1971). There, the district court initially
indicated that a 5-year sentence was appropriate but later
imposed a statutory maximum 20-year sentence, after
accepting the allegations of other crimes in the PSR as true
absent contrary evidence from the defendant. Id. at 628–30.
Similarly, in United States v. Safirstein, the district court
abused its discretion when it explicitly relied upon an
unsubstantiated inference that the defendant was involved in
drug trafficking in sentencing him to the statutory maximum.
827 F.2d 1380, 1386 (9th Cir. 1987). There, the court
repeatedly stated that it was sentencing the defendant “as a
11
The court also noted that it could be “just the tip of the iceberg, about
what kind of videos, what kind of chat rooms, what kind of other
behavior” Atherton engaged in. That statement did not suggest additional
abuse of MV1 in particular.
USA V. ATHERTON 25
drug trafficker,” despite defense counsel’s repeated
objections. Id.
Here, the district court’s comments concerning “what
happened” between MV1 and Atherton were made in the
context of assessing whether his actions were predatory or
opportunistic. There is no evidence that the court increased
the defendant’s sentence based upon the assumption that the
abuse extended beyond the charged acts. Instead, the court
pointed to the need for accountability and community safety,
proportionality to a comparable defendant the judge had
previously sentenced, and the hope that Atherton would have
access to better treatment resources upon release, as the
justification for the 30-year sentence. The court’s “passing
reference” to possible other acts does not make it
“abundantly clear” that the court imposed a sentence based
on unsubstantiated allegations of more serious behavior.
Hill, 915 F.3d at 674 (citation omitted).
In sum, Atherton has not shown that his 30-year sentence
“was demonstrably based on false or unreliable
information.” Vanderwerfhorst, 576 F.3d at 937. If there was
any error, it was certainly not “plain.” Id. at 934.
Accordingly, neither of the first two elements of the plain
error test are met.
III. Conclusion
Atherton failed to show that the district court
unconstitutionally relied upon false or unreliable
information in sentencing. His sentence is therefore not
unconstitutional.
AFFIRMED.
26 USA V. ATHERTON
MILLER, Circuit Judge, dissenting:
Keith Atherton recorded videos of himself sexually
abusing a three-year-old child. When he distributed the
videos online, federal agents obtained a warrant to search his
electronic devices, where they discovered more than 10,000
images and videos of child sexual exploitation, several
depicting torture. Atherton faced a three-count federal
indictment—for production, distribution, and possession of
child pornography—as well as possible state charges, with a
total potential prison term longer than his likely life span. He
sensibly negotiated a plea agreement: He pleaded guilty to a
single count of production of child pornography; federal
prosecutors dismissed the other counts in the indictment; and
state prosecutors promised not to bring charges of their own.
In exchange, Atherton waived the right to appeal his
sentence.
Today, the court relieves Atherton of his end of the
bargain by allowing him to appeal based on purported due-
process violations at his sentencing. Although the court is
correct that no due-process violation occurred, it errs in
reaching the merits of Atherton’s appeal. I would instead
hold him to his agreement and dismiss the appeal.
We have repeatedly held that “[a] defendant’s waiver of
his appellate rights is enforceable if the language of the
waiver encompasses his right to appeal on the grounds
raised, and if the waiver was knowingly and voluntarily
made.” United States v. Wells, 29 F.4th 580, 583 (9th Cir.
2022) (quoting United States v. Joyce, 357 F.3d 921, 922 (9th
Cir. 2004)); accord United States v. Minasyan, 4 F.4th 770,
777–78 (9th Cir. 2021). Atherton does not dispute that he
USA V. ATHERTON 27
agreed to an appellate waiver knowingly and voluntarily.
And by its terms, the waiver covers this appeal. It provides:
Defendant knowingly and voluntarily waives
the right to appeal from any aspect of the
conviction and sentence on any grounds,
except for a claim that: (1) the sentence
imposed exceeds the statutory maximum, or
(2) the Court arrives at an advisory
sentencing guideline range by applying an
upward departure under the provisions of
Guidelines Chapters 4 or 5K.
Neither of those exceptions applies: Atherton’s sentence
does not exceed the statutory maximum, and the district
court chose it without applying an upward departure under
Chapters 4 or 5K of the Sentencing Guidelines.
The plain text of the waiver should therefore resolve this
case. But Atherton alleges that the district court violated the
Due Process Clause by relying on what he calls “false or
unreliable information” in determining his sentence. And he
argues that, under our case law, “a general appeal waiver
does not waive a defendant’s right to raise a constitutional
challenge to the sentence.” Atherton’s interpretation of the
waiver is inconsistent with the text of his agreement and the
law governing appellate waivers.
It is important to be clear about what Atherton is not
arguing. He does not suggest that the Constitution, or any
other source of law, imposes a substantive limit on the ability
of a defendant to waive his right to appeal based on an
alleged due-process violation at sentencing like the one
Atherton now asserts. Such an argument would lack merit:
If a defendant can waive his right to appeal—and it is well
28 USA V. ATHERTON
settled that he can—then there is no reason why that waiver
cannot encompass the right to appeal on such a ground. After
all, any plea agreement waives important constitutional
rights, including the right to trial by jury and the panoply of
other trial rights guaranteed by the Fifth and Sixth
Amendments.
Moreover, what a defendant bargains away in an
appellate waiver is not the underlying right itself, but rather
the ability to appeal based on an alleged violation of that
right. The right to appeal is statutory, not constitutional, and
it is routinely subject to waiver or even forfeiture. Abney v.
United States, 431 U.S. 651, 656 (1977). As Judge
Easterbrook has observed, “[o]ur legal system makes no
appeal the default position. A defendant who finds this
agreeable need do nothing.” United States v. Wenger, 58 F.3d
280, 282 (7th Cir. 1995). An appellate waiver in a plea
agreement simply “make[s] that outcome a part of the
parties’ bargain, so that a defendant inclined against appeal
or willing to forgo it . . . may obtain a concession from the
prosecutor.” Id.
To be sure, a due-process violation at sentencing will not
yet have happened when the plea agreement is signed. But
the same is true of any sentencing error, such as a
miscalculation of the Guidelines range or the imposition of
a substantively unreasonable sentence. Nevertheless, we
routinely apply appellate waivers to bar appeals asserting
such errors. See, e.g., United States v. King, 985 F.3d 702,
710 (9th Cir. 2021); United States v. Medina-Carrasco, 815
F.3d 457, 459 (9th Cir. 2016); United States v. Schuman, 127
F.3d 815, 817 (9th Cir. 1997). We have emphatically rejected
the suggestion that an appellate waiver is involuntary simply
because “a defendant cannot know or understand what
appellate issues may arise until after sentencing.” United
USA V. ATHERTON 29
States v. Navarro-Botello, 912 F.2d 318, 320 (9th Cir. 1990);
see also United States v. Lo, 839 F.3d 777, 784 (9th Cir.
2016). After all, “[w]hen a defendant waives his appellate
rights, he knows that he is giving up all appeals, no matter
what unforeseen events may happen.” United States v.
Goodall, 21 F.4th 555, 562 (9th Cir. 2021). As we have
explained, “[a] plea agreement is no different in this respect
from any other contract in which someone may have buyer’s
remorse after an unforeseen future event—the contract
remains valid because the parties knowingly and voluntarily
agreed to the terms.” Id. Accordingly, even when later
developments in the law make clear that the offense of
conviction is unconstitutional, the appellate waiver remains
valid and enforceable. Id. at 562–63. If an appellate waiver
can bar a constitutional challenge to the conviction, it can
also bar a constitutional challenge to the sentence.
Atherton therefore concedes that a defendant can waive
the right to appeal based on a due-process argument like the
one he now asserts. In his plea agreement, Atherton did just
that. Because “[p]lea agreements are essentially contracts
between the government and a defendant,” they are
construed according to ordinary principles of contract
interpretation. United States v. Farias-Contreras, No. 21-
30055, 2024 WL 2809369, at *4 (9th Cir. June 3, 2024) (en
banc). “In construing an agreement, the court must
determine what the defendant reasonably understood to be
the terms of the agreement when he pleaded guilty.” Id.
(quoting United States v. De la Fuente, 8 F.3d 1333, 1337
(9th Cir. 1993)). Here, “what the defendant reasonably
understood” is unmistakable. With only two enumerated
exceptions, Atherton’s waiver expressly prohibits an “appeal
from any aspect of the conviction and sentence on any
grounds.” (emphasis added). “Read naturally, the word ‘any’
30 USA V. ATHERTON
has an expansive meaning, that is, ‘one or some
indiscriminately of whatever kind.’” United States v.
Gonzales, 520 U.S. 1, 5 (1997) (quoting Webster’s Third
New International Dictionary 97 (1976)). The phrase “any
grounds” thus encompasses alleged due-process violations
at sentencing. The agreement could not have been clearer.
For Atherton to prevail, we must apply not merely a
clear-statement rule but rather a hyper-specific-statement
rule requiring an express enumeration of the specific
constitutional claims that are covered. In allowing
Atherton’s appeal to proceed, the court adopts just such a
rule, stating that, to be enforced, an appellate waiver must
“specify[] the constitutional rights waived.” But see Lac du
Flambeau Band of Lake Superior Chippewa Indians v.
Coughlin, 599 U.S. 382, 388 (2023) (explaining that a
normal clear-statement rule “is not a magic-words
requirement”).
Tellingly, neither Atherton nor the court explains what
purpose such a rule might possibly serve. To satisfy the
express-enumeration requirement, the government and
Atherton could presumably have followed the phrase “on
any grounds” with something like “including the First
Amendment, or the Second Amendment, or the Third
Amendment . . . .” Alternatively, they could have included
the text of the Constitution as an addendum to the agreement.
Either approach, it seems, would “specify the constitutional
rights” covered by the waiver. Neither would be
meaningfully clearer than waiving “the right to appeal from
any aspect of the conviction and sentence on any grounds,”
as Atherton did. The benefit to defendants of the court’s
approach is therefore impossible to discern.
USA V. ATHERTON 31
Rather than trying to justify its approach as a matter of
first principles, the court relies primarily on its interpretation
of our prior cases. But our cases do not support the result
reached today.
The leading case is United States v. Wells, 29 F.4th 580
(9th Cir. 2022). There, we recognized that certain earlier
decisions—among them, United States v. Bibler, 495 F.3d
621 (9th Cir. 2007)—had established “that an exception to
an appeal waiver applies to sentences that are unlawful or
violate the Constitution.” Wells, 29 F.4th at 585.
Acknowledging that “our caselaw has not been entirely clear
on when the exception based on constitutional challenges
applies or on the scope of the exception,” we set out to
“clarify the Bibler rule by addressing our various circuit
precedent.” Id. After surveying our decisions, we held “that
constitutional challenges to a sentence surviving an appeal
waiver under the Bibler exception are limited to challenges
that the terms of the sentence itself are unconstitutional.” Id.
at 587 (emphasis added). In the next sentence, we repeated
that limitation: “The exception does not allow any
constitutional challenges per se, such as the Sixth
Amendment rights to a speedy and public trial or right to
confront witnesses, which are not challenges that the
sentence is unconstitutional.” Id. (second emphasis added).
The court today acknowledges Wells’s statement that
challenges surviving an appeal waiver are “limited to
challenges that the terms of the sentence itself are
unconstitutional.” 29 F.4th at 587. And the court grudgingly
admits that the statement “could perhaps be understood” to
mean what it says—that is, that an appellate waiver bars all
challenges except those directed to the terms of the sentence.
But the court insists that a constitutional challenge to the
32 USA V. ATHERTON
process by which a sentence was imposed “is also a
challenge to the terms of the sentence.”
An argument that the sentencing process was improper
is not the same as an argument that the sentence itself is
unlawful. As Wells itself illustrates, many defendants do
bring constitutional challenges to the terms of their
sentences. We have, for example, entertained First
Amendment challenges to conditions of supervised release
that restrict a defendant from accessing the Internet. See
Wells, 29 F.4th at 590–92. We have also invalidated certain
conditions of supervised release as unconstitutionally vague.
See, e.g., United States v. Evans, 883 F.3d 1154 (9th Cir.
2018). In those cases, the sentence itself was unlawful
because it subjected the defendant to a form of punishment
that the Constitution prohibits. Under Wells, those kinds of
challenges are still permissible notwithstanding a waiver.
Atherton’s challenge is different. His sentence was 30
years of imprisonment, to be followed by a life term of
supervised release. Atherton does not argue that there is
anything illegal about 30 years of imprisonment, or a life
term of supervised release, as a punishment for a violation
of 18 U.S.C. § 2251(a) and (e). He does not, in other words,
challenge “the terms of the sentence” he received. Wells, 29
F.4th at 587. His challenge therefore does not fall within the
exception recognized in Wells.
It is true that, in a handful of pre-Wells cases, we declined
to enforce a valid appeal waiver when the defendant raised
due-process objections to sentencing procedures—although
none of them involved a due-process claim based on the
district court’s consideration of allegedly inaccurate
information. See United States v. Odachyan, 749 F.3d 798,
801 (9th Cir. 2014) (judge’s alleged anti-immigrant bias);
USA V. ATHERTON 33
United States v. Ornelas, 828 F.3d 1018, 1020–21 (9th Cir.
2016) (sentencing in absentia); United States v. Rivera, 682
F.3d 1223, 1227–28 (9th Cir. 2012) (sentencing proceedings
closed to the public). On the other hand, as Judge Bea
observed in dissent in Wells, some of our earlier cases could
be read to be even more parsimonious than the rule adopted
in Wells. See 29 F.4th at 593 (9th Cir. 2022) (Bea, J.,
dissenting) (citing Joyce, 357 F.3d at 925, 927). The court in
Wells sought to “clarify” some of the tensions in our case
law; on the evidence of today’s decision, its attempt appears
regrettably to have failed. Wells, 29 F.4th at 585.
The court makes much of the concern that an appellate
waiver might bar a claim of racially discriminatory
sentencing. It does not suggest that such sentencing practices
are common in the District of Oregon—or, that if they
became common, defendants would continue to agree to
appellate waivers without demanding greater concessions
from the government on other terms of the plea agreement.
But if concerns regarding racially discriminatory sentencing
are thought to justify a special rule for interpreting appellate
waivers, that rule should be limited to situations in which
those concerns are actually present. The Supreme Court has
adopted similarly tailored rules in other contexts. See, e.g.,
Peña-Rodriguez v. Colorado, 580 U.S. 206, 221 (2017)
(“The Constitution requires an exception to the no-
impeachment rule when a juror’s statements indicate that
racial animus was a significant motivating factor in his or
her finding of guilt.”); United States v. Armstrong, 517 U.S.
456, 464 (1996) (recognizing that the exercise of
prosecutorial discretion is generally unreviewable, but
allowing claims of selective prosecution based on race).
A more tailored approach would also be consistent with
that taken by other courts of appeals. The court cites several
34 USA V. ATHERTON
decisions from other circuits, but none holds that procedural
due-process challenges based on what the court calls
unreliable “informational inputs” are sufficient to void a
valid appeal waiver. In fact, today’s decision places us at
odds with several courts of appeals that have enforced
similar appeal waivers to bar due-process challenges to the
information that district courts considered at sentencing. See,
e.g., United States v. McGrath, 981 F.3d 248, 250 (4th Cir.
2020); United States v. Meirick, 674 F.3d 802, 806 (8th Cir.
2012); United States v. Rubbo, 396 F.3d 1330, 1335 (11th
Cir. 2005).
Other circuits “have refused to enforce valid appeal
waivers for a ‘narrow class of claims.’” United States v.
Blick, 408 F.3d 162, 171 (4th Cir. 2005) (emphasis added)
(quoting United States v. Lemaster, 403 F.3d 216, 220 n.2
(4th Cir. 2005)). That class is limited to sentences “based on
a constitutionally impermissible factor such as race.” United
States v. Marin, 961 F.2d 493, 496 (4th Cir. 1992); accord
United States v. Candelario-Ramos, 45 F.4th 521, 524 (1st
Cir. 2022); United States v. Riggi, 649 F.3d 143, 147 (2d Cir.
2011); United States v. Hicks, 129 F.3d 376, 377 (7th Cir.
1997). In some circuits, it also extends to a deprivation of the
Sixth Amendment right to counsel at sentencing. See In re
Sealed Case, 901 F.3d 397, 402–03 (D.C. Cir. 2018)
(distinguishing ineffective-assistance claims “from other
sorts of claims”); but see United States v. Williams, 81 F.4th
835, 839 (8th Cir. 2023) (rejecting any exception to appeal
waivers for ineffective-assistance claims). Atherton’s appeal
does not fall within any of those categories.
Some courts have located the right to appeal
notwithstanding a waiver in the principle that the Due
Process Clause provides a non-waivable guarantee of “some
minimum of civilized procedure.” United States v. Adkins,
USA V. ATHERTON 35
743 F.3d 176, 192 (7th Cir. 2014) (quoting United States v.
Bownes, 405 F.3d 634, 637 (7th Cir. 2005)). But that
guarantee is violated only in extreme cases: As the First
Circuit has put it, waiver may be excused in those “hen’s-
teeth rare” circumstances “when doing so is necessary in
order to avoid a clear and gross injustice.” United States v.
Miliano, 480 F.3d 605, 608 (1st Cir. 2007). Atherton does
not suggest that his challenge could proceed under that
demanding standard.
In entertaining Atherton’s challenge to his sentence, the
court today adopts a rule far more permissive than that of
any other court of appeals. Sentencing courts routinely make
factual findings about matters such as the quantity of drugs
a defendant possessed, the financial loss caused by the
crime, or the nature and extent of injuries to victims.
Defendants routinely challenge those findings. Until today,
such challenges would have been barred by an appellate
waiver. But as Atherton admitted at oral argument—and as
the decision today confirms—all of those challenges can be
recast as due-process arguments based on the district court’s
purported consideration of information that is “inaccurate,”
“mistaken,” or the product of erroneously “unfounded
assumptions.” United States v. Borrero-Isaza, 887 F.2d 1349,
1352 (9th Cir. 1989). Such challenges can now go forward
in the face of an appellate waiver, at least if the waiver does
not contain a sufficiently explicit reference to due-process
claims.
By refusing to enforce the unambiguous terms of
Atherton’s freely negotiated bargain, the court adds
uncertainty and confusion to the plea-negotiation process.
Although the court says that a waiver is enforceable so long
as it specifies the constitutional claims that it covers, those
negotiating a plea agreement will be hard-pressed to know
36 USA V. ATHERTON
what constitutes adequate specificity—only that a waiver
covering challenges to “any aspect of the conviction and
sentence on any grounds” is not good enough. And if no one
can be sure whether an appellate waiver will be honored,
prosecutors will be less willing to offer concessions—like
the significant benefits they gave Atherton—in exchange for
a waiver. Neither defendants nor prosecutors will be better
off as a result.
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
02KEITH ATHERTON, AKA Keith OPINION James Atherton, AKA John Doe, Defendant-Appellant.
03Aiken, District Judge, Presiding Argued and Submitted December 8, 2023 Portland, Oregon Filed July 3, 2024 Before: Marsha S.
04ATHERTON SUMMARY * Criminal Law The panel affirmed a sentence imposed on Keith Atherton, whose plea agreement contained an appeal waiver with certain exceptions.
Frequently Asked Questions
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
FlawCheck shows no negative treatment for United States v. Keith Atherton in the current circuit citation data.
This case was decided on July 3, 2024.
Use the citation No. 9997268 and verify it against the official reporter before filing.