United States v. Caballero

93 F. Supp. 3d 209, 2015 U.S. Dist. LEXIS 24853, 2015 WL 865478
CourtDistrict Court, S.D. New York
DecidedFebruary 24, 2015
DocketNo. 13-cr-261 (PKC)
StatusPublished
Cited by1 cases

This text of 93 F. Supp. 3d 209 (United States v. Caballero) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Caballero, 93 F. Supp. 3d 209, 2015 U.S. Dist. LEXIS 24853, 2015 WL 865478 (S.D.N.Y. 2015).

Opinion

MEMORANDUM AND ORDER

CASTEL, District Judge.

Defendant Saul Caballero entered a plea of guilty to participating in two drug conspiracies. He now awaits sentencing and objects to an aggravating role enhancement under section 3B1.1 of the Sentencing Guidelines. Caballero argues that because a leadership or managerial enhancement under the Sentencing Guidelines would render him ineligible for the “safety valve” of 18 U.S.C. § 3553(f)(4), a finding that he had such a role has the effect of increasing his mandatory-minimum sentence. He argues that his role enhancement must be proven beyond a reasonable doubt to the satisfaction of a jury, because under Alleyne v. United States, “any fact that increases the mandatory minimum is an ‘element’ that must be submitted to the jury.” — U.S. -, 133 S.Ct. 2151, 2155, 186 L.Ed.2d 314 (2013).

Caballero challenges the government’s assertion, adopted in the Presentence Report (the “PSR”), that he was a leader or organizer of the two conspiracies. This Court conducted a two-day hearing pursuant to United States v. Fatico, 603 F.2d 1053 (2d Cir.1979), at which the government endeavored to prove the enhancement by a preponderance of the evidence to the. The parties submitted memoranda of law prior to the hearing, and, at the request of the Court, supplemental briefing thereafter.

For the reasons explained, this Court concludes that the government has proved by a preponderance of the evidence that Caballero acted as a manager or supervisor of the underlying heroin distribution conspiracy.- As to the conspiracy to distribute crystal methamphetamine, the government has not proved that Caballero had a leadership or managerial role. Finally, this Court joins other courts that have concluded that a jury does not need to make the findings of fact necessary to determine the defendant’s eligibility for the “safety valve.”

BACKGROUND

On March 26, 2014, Caballero pleaded guilty to two counts of conspiracy to distribute narcotics in violation of 21 U.SlC. §§ 846, 841(a)(1) and 841(b)(1)(A), as charged in an S15 indictment. (Docket # 108.) On Count One, Caballero pleaded guilty to participating in a conspiracy to distribute, or to possess with intent to distribute, 500 grams and more of methamphetamine. (Docket # 108 at 14-15, 23.) On Count Two, Caballero pleaded guilty to participating in a conspiracy to distribute, or to possess with intent to distribute, one kilogram and more of heroin. (Docket # 108 at 15-17, 23.)

The PSR identifies Caballero as “the leader of this drug conspiracy.” (PSR ¶ 18.) It recommends a four-level increase to his offense level based on his leadership status, U.S.S.G. § 3Bl.l(a), and groups the two conspiracy counts pursuant to U.S.S.G. § 3D1.2(d). (PSR ¶¶70, 74.) Caballero objects to portions of the PSR that purport to describe his leadership role, specifically as set forth in paragraphs 18, 29 and 64." (Nov. 14 Tr. 4-6.) Paragraph 18 of the PSR asserts: “Saul Caballero was the leader of this drug conspiracy. He was the main target of the investigation due to his involvement in the distribution of methamphetamine and heroin.” Paragraph 29 states that Caballero asked a co-conspirator to purchase him a plane ticket from California to Des Moines, Iowa. Paragraph 64 states in part that Caballero’s co-defendants “were sub[212]*212ordinate to” Caballero, “who was responsible for obtaining the heroin directly from Mexico, and who organized the various workers who helped him distribute the heroin in the Bronx, New York.” The same paragraph also states that Caballero “was responsible for” flying heroin couriers into the United States, and “then relied on his workers to distribute the heroin in the Bronx, New York.” It also states that Caballero “played a similar leadership role in the crystal methamphetamine conspiracy.” According to paragraph 64, as leader of the crystal methamphetamine conspiracy, Caballero “led” Juan Paulino, Hector Mena and Jose Hinojosa in the drug’s distribution.

At the Fático hearing held on November 14 and December 17, 2014, the government called three witnesses: Special Agent Moisés Walters of the Drug Enforcement Agency, and alleged co-conspirators Juan Paulino and Nancy Castaneda. The defendant called no witnesses. The Court adopted as its findings of fact all portions of the PSR to which neither side objected. (Nov. 14 Tr. at 7.) Its further findings of fact are set forth in Sections 1(B) and (C) of this Memorandum and Order, and its conclusions of law are in the balance of the Memorandum and Order.

DISCUSSION

I. The Government Has Proved that Caballero Was a Manager or Supervisor of the Heroin Conspiracy, But Has Not Proved that He Had a Leadership or Managerial Role in the Crystal Methamphetamine Conspiracy.

A. The Statute Requires the Court to Make Findings of Fact Under the Guidelines and Apply Those Findings to the Safety-Valve Determination.

In determining a defendant’s sentence, a court must consider the applicable advisory sentencing guidelines range, together with the policy statements and official commentary of the United States Sentencing Commission. 18 U.S.C. § 3553(a)(4) & (5), 3553(b). The Court is not relieved of that obligation merely because of the existence of a mandatory minimum sentence, although the mandatory minimum may influence the calculation of the guidelines range. The determination of whether a defendant had an aggravating or mitigating role in an offense is a required part of a court’s determination of the advisory guidelines range. U.S.S.G. § lBl.l(a)(3).

As will be discussed, in Section II of this Memorandum and ' Order, the “safety valve” permits a court to sentence without regard to the mandatory minimum “if the court finds at the time of sentencing” certain facts “as determined under the sentencing guidelines.... ” 18 U.S.C. § 3553(f). Those facts include that “the defendant was not an organizer, leader, manager, or supervisor of others in the offense, as determined under the sentencing guidelines....” Id. § 3553(f)(4).

There is no dispute that it is the government’s burden to prove a sentencing enhancement under the Guidelines. United States v. Archer, 671 F.3d 149, 161 (2d Cir.2011). It is also not disputed that the defendant bears the burden of proving his safety-valve eligibility. United States v. Jimenez, 451 F.3d 97, 102 (2d Cir.2006). The Second Circuit has noted ambiguity as to whether the government or the defendant has the ultimate burden under section 3553(f)(4), but declined to “resolve this burden issue ... because assuming ar-guendo that it is the government’s burden, that mere fact does not change the quantum of proof required.” United States v. Holguin, 436 F.3d 111, 119 (2d Cir.2006). Each side is held to a preponderance-of-the-evidence standard, and “[wjhether it is [213]

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Related

United States v. Caballero
672 F. App'x 72 (Second Circuit, 2016)

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Bluebook (online)
93 F. Supp. 3d 209, 2015 U.S. Dist. LEXIS 24853, 2015 WL 865478, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-caballero-nysd-2015.