United States v. Hing Shing Lau

508 F. App'x 461
CourtCourt of Appeals for the Sixth Circuit
DecidedDecember 13, 2012
Docket12-3557
StatusUnpublished

This text of 508 F. App'x 461 (United States v. Hing Shing Lau) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Hing Shing Lau, 508 F. App'x 461 (6th Cir. 2012).

Opinion

PER CURIAM.

Hing Shing Lau appeals his conviction and sentence for violating the export control laws. We affirm.

Lau, a Hong Kong national, attempted to export twelve thermal imaging cameras from the United States to Hong Kong without first obtaining the required export licenses from the Department of Commerce. When Lau arrived in Canada to complete the transaction on June 3, 2009, he was apprehended by Canadian law enforcement authorities pursuant to an arrest warrant issued by the district court. A federal grand jury subsequently returned an indictment charging Lau with two counts of violating the export control laws, in violation of 50 U.S.C. § 1705(a), (c) and 15 C.F.R. §§ 736.2, 764.2, and 774, and four counts of money laundering, in violation of 18 U.S.C. § 1956(a)(2)(A). Lau was extradited to the United States in October 2010.

After multiple continuances and substitution of defense counsel, the district court scheduled a jury trial for May 14, 2012. Two weeks before the scheduled trial date, the district court received a fifteen-page handwritten letter from Lau. Lau apologized for writing directly to the district court, stating that he had decided to write the letter “[ajfter the negotiations finally broke down last Friday.” After expressing his doubts about his appointed counsel, Lau then addressed “the reasons of reaching a deadlock in plea negotiations.” Lau wrote: “A reasonable compromise is my first goal. To be honest, I’m very want to settle this case as soon as possible because I already have been detained 3 years straightly [sic].” Lau raised three objections to the government’s proposed plea agreement, which he attached to his letter. First, Lau objected to a provision regarding waiver of the statute of limitations if the plea agreement or his conviction was voided. Lau next asserted that the plea agreement purported to be an agreement for a specific sentence pursuant to Federal Rule of Criminal Procedure 11(c)(1)(C), but contained a provision in which the parties reserved the right to argue and offer evidence regarding additional specific offense characteristics, adjustments, and departures as well as the sentencing factors under 18 U.S.C. § 3553(a). Finally, Lau raised an objection to the statement of facts attached to the plea agreement. In concluding his discussion of the plea negotiations, Lau stated that “I only fully trust Your Honor” and that “I really want to plea to the court and ask Your Honor’s equity if I need to plea guilty instead to accept a ‘dummy’ agreement that may lure me into another trap. Or if the prosecutor can make some real concessions, it might also can break the deadlock.”

The attached plea agreement, pursuant to which Lau would plead guilty to two counts of violating the export control laws, contained handwritten edits made by Lau. One paragraph provided that the parties agreed to recommend a 46-month sentence pursuant to Rule 11(c)(1)(C), but “46” was marked out and replaced in handwriting with “10.” In paragraphs addressing the applicable guidelines range, handwritten edits changed which guideline would apply, lowered the resulting base offense level from 26 to 14, and lowered the corresponding guidelines range from forty-six to fifty-seven months to ten to sixteen months.

The district court addressed Lau’s letter at an in-court status conference. The district court stated that it had given a copy of Lau’s letter to defense counsel, who had provided the district court with a copy of *463 the plea agreement that was “currently ... on the table.” The district court noted that the current plea agreement incorporated most of Lau’s suggested changes, including the lower offense level of 14 and the lower corresponding guidelines range of ten to sixteen months. When the district court asked Lau if he had seen the newest plea agreement, Lau responded: “Yes. I already go for the new agreement.” The district court stated: “[I]t’s my understanding that if the plea was entered, nobody would have an objection to an imposition of the minimum term of imprisonment, which would be the ten months. If you got credit for time served, as far as your relationship with me, that would be over. You would be finished.” The district court asked the attorneys about Lau’s likely offense level if he proceeded to trial and was convicted as charged, with the prosecutor responding that the offense level could rise to 26. The district court stated:

So the potential, if you go to trial, Mr. Lau, is 63 months to 78 months. The original Plea Agreement was less than that, and the one that’s on the table is 10 to 16 months. So you’ve got to make a decision about whether or not you want to risk exposure to possibly being sent to jail for more than five years or if you want to accept the Plea Agreement and conclude the proceedings that are in front of me.

When Lau expressed concern that the Rule 11(c)(1)(C) plea agreement would not bind the government, the district court said that “once the plea is entered, I don’t care what they say. I’m going to do what I’m going to do.... Which, I can tell you as of right now, is going to be the ten-month sentence.” When asked what he wanted to do, Lau responded that he wanted to “[a]ecept a plea.”

Due to Lau’s concerns with the statement of facts attached to the plea agreement, the district court decided to begin the plea colloquy with the facts supporting Lau’s plea. After the district court reviewed the facts with Lau and the parties prepared a revised statement of facts, the district court completed the Rule 11 colloquy and accepted Lau’s guilty plea to two counts of violating the export control laws. Because Lau waived the right to a presen-tence investigation, the district court proceeded to sentencing and sentenced Lau to ten months of imprisonment, with credit for time served, and two years of supervised release.

This timely appeal followed. Lau asserts that the district court (1) improperly involved itself in the plea agreement process and (2) improperly imposed a term of supervised release in light of his imminent deportation.

Because Lau did not object to the district court’s participation in the plea agreement process, we review for plain error. United States v. Sammons, 918 F.2d 592, 601 (6th Cir.1990). To prevail under the plain-error standard, Lau must demonstrate: (1) that an error occurred, (2) that the error was “clear or obvious,” and (3) that the error affected his substantial rights. Puckett v. United States, 556 U.S. 129, 135, 129 S.Ct. 1423, 173 L.Ed.2d 266 (2009). If these three prongs are satisfied, we have “the discretion

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Related

Puckett v. United States
556 U.S. 129 (Supreme Court, 2009)
United States v. Battaglia
624 F.3d 348 (Sixth Circuit, 2010)
United States v. Michael Lee Sammons
918 F.2d 592 (Sixth Circuit, 1990)
United States v. Gary Ebel
299 F.3d 187 (Third Circuit, 2002)

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Bluebook (online)
508 F. App'x 461, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-hing-shing-lau-ca6-2012.