In Re Sealed Case (Sentencing Guidelines' "Safety Valve")

105 F.3d 1460, 323 U.S. App. D.C. 128, 1997 U.S. App. LEXIS 2019, 1997 WL 47181
CourtCourt of Appeals for the D.C. Circuit
DecidedFebruary 7, 1997
Docket95-3206
StatusPublished
Cited by57 cases

This text of 105 F.3d 1460 (In Re Sealed Case (Sentencing Guidelines' "Safety Valve")) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Sealed Case (Sentencing Guidelines' "Safety Valve"), 105 F.3d 1460, 323 U.S. App. D.C. 128, 1997 U.S. App. LEXIS 2019, 1997 WL 47181 (D.C. Cir. 1997).

Opinion

Opinion for the Court filed by Circuit Judge TATEL.

TATEL, Circuit Judge:

Relying on the Federal Sentencing Guidelines’ “safety valve” provision, appellant sought a departure from the mandatory minimum sentence for the drug trafficking offense to which he had pled guilty. The district court refused to apply the safety valve because it found, based on either co-conspirator liability or constructive possession, that appellant had possessed a firearm in connection with the offense. Holding that co-conspirator liability cannot establish possession under the safety valve and concluding that the record contains insufficient evidence to support the district court’s finding of constructive possession, we vacate appellant’s sentence and remand for resentencing pursuant to the safety valve.

I

Acting to prevent the mandatory minimum sentences for certain drug trafficking offenses from causing the “least culpable offenders [to] receive the same sentences as their relatively more culpable counterparts,” H.R.Rep. No.103-460, at 4 (1994), Congress added the so-called “safety valve” provision to the Sentencing Guidelines in 1994, Mandatory Minimum Sentencing Reform Act of 1994, Pub.L. No.103-322, tit. VIII, 108 Stat. 1796, 1895-96 (codified at 18 U.S.C. § 3553(f)). The safety valve requires district courts to disregard these statutory minimum sentences and instead to sentence pursuant to the Guidelines when a defendant satisfies five indicators of reduced culpability: 1) the defendant has no more than one criminal history point; 2) the defendant “did not use violence or credible threats of violence or possess a firearm or other dangerous weapon (or induce another participant to do so) in connection with the offense”; 3) the offense did not result in death or serious bodily injury; 4) the defendant was not a leader or organizer of the offense; and 5) the defendant has fully cooperated with the government. U.S.S.G. § 5C1.2 (1995); 18 U.S.C. § 3553(f)(2) (1994). The second indicator— possession of a firearm — is the focus of this case.

Count One of a three-count information charged appellant and his brother with conspiracy to distribute and to possess with intent to distribute 500 grams or more of cocaine in violation of 21 U.S.C. § 846. Counts Two and Three charged appellant’s brother with using and carrying a firearm during a drug trafficking crime in violation of 18 U.S.C. § 924(c) and with possession of an unregistered firearm in violation of 26 U.S.C. § 5861(d). Appellant pled guilty to the first count. His brother pled guilty to all three counts. Because appellant and his brother cooperated with the government in the investigation of other suspects, the records of this case are sealed to protect the brothers’ identities.

The drug conspiracy count to which appellant pled guilty rested on four sales to an undercover government agent that took place over the course of two and a half months. The district court rejected the safety valve because of the presence of a gun at the fourth sale. That sale occurred outside a fast food restaurant. Appellant’s brother, sitting in his ear parked near the restaurant, waited for the buyer, i.e., the undercover agent. When the agent arrived, the brother made a telephone call. Shortly thereafter, another person delivered to the brother approximately a kilogram of cocaine. The brother in turn gave the cocaine to the undercover agent in exchange for approximately $21,000 in cash. During .the entire transaction, appellant remained in the restaurant. Immediately after the sale, law enforcement officers arrested appellant and his brother. Searching the brother’s ear, the officers found a revolver under the driver’s seat.

If the district court had sentenced appellant under the Sentencing Guidelines, he would have faced a prison term in the range of 46 to 57 months. Conspiracy to distribute 500 grams or more of cocaine, however, carries a statutory minimum prison sentence of five years, .i.e., 60 months. 21 U.S.C. §§ 841(b)(l)(B)(ii), 846 (1994). Relying on the safety valve, appellant sought sentencing *1462 under the Guidelines rather than for the statutory minimum. The Government conceded that appellant met four of the safety valve’s five criteria, but contended that he failed to qualify for the safety valve because he had possessed a .firearm during the crime. Agreeing with the Government, the district court refused to apply the safety valve and sentenced appellant to the statutory .minimum of five years.

II

The sole issue on appeal is the. propriety of the district court’s refusal to sentence pursuant to the safety valve. We review the district court’s legal conclusions de novo, its factual findings under the clearly erroneous standard, and its application of the Guidelines to the facts with due deference. United States v. Kim, 23 F.3d 513, 517 (D.C.Cir.1994); see 18 U.S.C. § 3742(e) (1994).

At the sentencing hearing, the district judge explained the basis for her finding that appellant had possessed the gun found in his brother’s car as follows:

... Let me just say this with respect to the legal issues that have been argued to me. I conclude, based upon what has been presented to me, that [appellant] is not entitled to the safety valve. I mean, you know, just common sense tells me that he and his brother, who have gone up from a few gram deliveries to a kilogram delivery, fully recognized how much drugs they had with them, they recognized the profit they would make from those drugs, and the two of them conspired to sell those drugs, and the two of them, as far as I’m concerned, are both responsible for having a gun to protect the drugs and/or the money that they would get.
Now, you say they didn’t bring the drugs with them. That’s true. But they knew they were dealing illegally, they knew that somebody was going to come and bring the drugs, they didn’t know who they were dealing with, and they stood prepared to protect those drugs or to protect the income from those drugs, and I— there’s just no question in my mind but he and his brother conspired together to do this, and they were using this gun to protect themselves, to protect the drugs, protect the money, and as such, ... I find that he is not entitled to the safety valve.

Tr. (Dec. 13, 1995) at 33-34. The judge’s statement is consistent with two possible rationales for finding that appellant possessed the gun discovered in his brother’s car: co-conspirator liability and constructive possession. In our view, neither approach is appropriate in this case — the first as a matter of law, the second because of insufficient evidence.

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Bluebook (online)
105 F.3d 1460, 323 U.S. App. D.C. 128, 1997 U.S. App. LEXIS 2019, 1997 WL 47181, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-sealed-case-sentencing-guidelines-safety-valve-cadc-1997.