United States v. Pena

598 F.3d 289, 2010 U.S. App. LEXIS 5600, 2010 WL 957777
CourtCourt of Appeals for the Sixth Circuit
DecidedMarch 18, 2010
Docket09-3073
StatusPublished
Cited by4 cases

This text of 598 F.3d 289 (United States v. Pena) 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. Pena, 598 F.3d 289, 2010 U.S. App. LEXIS 5600, 2010 WL 957777 (6th Cir. 2010).

Opinion

OPINION

MARTHA CRAIG DAUGHTREY, Circuit Judge.

In this appeal, the defendant challenges the district court’s decision denying application of the “safety valve” sentencing provision in U.S.S.G. § 5C1.2 that permits a two-level reduction for certain defendants who cooperate fully with the government prior to sentencing. The defendant admittedly did not give the prosecutors all the information he had about the drug-trafficking offense for which he was convicted. He nevertheless argues on appeal, as he did below, that we should permit safety-valve sentencing in his case principally because he feared retaliation if he made a full disclosure and also because the government had already obtained from another source the information they demanded from him. As the district court noted, *291 however, the sentencing guidelines do not recognize such exceptions, and the defendant’s proposals have been rejected consistently by other circuits and in the unpublished opinions of this circuit. As did the district court, we conclude that the remedy the defendant seeks is simply unavailable. We therefore affirm the court’s sentencing order.

FACTUAL AND PROCEDURAL BACKGROUND

According to the presentence report filed in this case, defendant Pena participated in a scheme to transport several hundred kilograms of marijuana from Texas to Ohio concealed in inflatable “fun castles” and other containers. Law enforcement agents intercepted one such shipment in North Carolina and arranged for a controlled delivery to the intended recipient in Wellston, Ohio, where it was later recovered, along with several similar shipments. They had been sent by a Texas-based supplier to Mike Morelock, an Ohio-based distributor. Pena and co-defendant Armando Gonzales worked for the Texas supplier and traveled from Texas to Ohio to collect the proceeds and take the currency back to Texas. Agents found Pena and Gonzales at a Red Roof Inn near the Ohio delivery site with shipping numbers and the “COD” cost for two shipments of marijuana.

Along with two of his co-conspirators, Pena was indicted for various offenses related to the transport and distribution of marijuana. Under an agreement reached with government prosecutors, Pena entered a guilty plea to conspiracy to distribute and to possess with intent to distribute one hundred kilograms or more of marijuana. In exchange, the government dismissed the remaining charges against him. The parties agreed that Pena had neither a supervisory role nor a minor or minimal role in the conspiracy and, therefore, that there should be no adjustment to his sentence based on his role. The parties also agreed that Pena had accepted responsibility and, accordingly, should receive a three-level reduction in his base offense level under U.S.S.G. § 3El.l(b).

The presentence report contained the probation officer’s calculation that Pena’s proper range under the sentencing guidelines was 70 to 87 months, based on a total offense level of 27 and a criminal history category of I. The report also noted that Pena’s offense, a violation of 21 U.S.C. § 841(b)(B)(vii), carried a mandatory minimum term of five years. Although Pena met all the other criteria for the safety-valve two-level reduction, the probation officer concluded that Pena was ineligible for a section 501.2(a) reduction because he had failed to provide the government with all of the information he had concerning the offense, as required by section 501.2(a)(5). Specifically, the government wanted Pena to provide more detailed information about the Texas supplier than he had given the government under his plea agreement.

At sentencing, Pena’s attorney conceded that his client knew but refused to provide the government with the requested information, explaining that Pena “[wa]s concerned about retribution against his family, his mother and his wife” if he made a full disclosure. He also contended that the Government had already discovered the identity of the defendant’s source in Texas through Pena’s co-defendants. When asked whether the government did, in fact, already have the information it sought from Pena about the Texas supplier, counsel for the government conceded that “Mr. Morelock ha[d] cooperated” and had provided some information about contacts in Texas, but maintained that the prosecution “[was] clearly missing quite a bit of infor *292 mation because [Morelock] only knew the [Texas supplier] on an infrequent basis.” Based on this proffer, the district court concluded that although the prosecution might have some information about the Texas supplier, the government “still [didn’t] have all of the information that [it] needed from Mr. Pena.”

After considering the factors outlined in 18 U.S.C. § 3558(a), the district court sentenced Pena to 70 months’ imprisonment and four years of supervised release, a sentence at the low end of the advisory guideline range. The district court declined to apply the safety-valve reduction, a decision that Pena now challenges on appeal.

DISCUSSION

A defendant who was not an “organizer, leader, manager, or supervisor of others in the offense” of conviction is eligible for the safety-valve reduction if, among other requirements, he “truthfully provide[s] to the Government all information and evidence the defendant has concerning the offense or offenses that were part of the same course of conduct or of a common scheme or plan.” U.S.S.G. § 5C1.2(a)(1-5). The guidelines require a defendant seeking the safety-valve reduction to provide all such information even if it is not “relevant or useful” or “the Government is already aware of the information.” § 501.2(a)(5). In addition, the burden of proving entitlement is on the defendant. See United States v. Adu, 82 F.3d 119, 123-24 (6th Cir.1996) (citing United States v. Rodriguez, 896 F.2d 1031, 1032 (6th Cir.1990)). “Where the government challenges a defendant’s claim of complete and timely disclosure and the defendant does not produce evidence that demonstrates such a disclosure, a district court’s denial of a motion under § 3553(f) and § 5C1.2[(a)](5) is not clearly erroneous.” Id. at 125.

In essence, the defendant now asks this court to carve out public-policy exceptions to the safety valve provision’s requirement of full and truthful disclosure both when disclosure is likely to trigger retribution against the defendant or third parties and when the government has access from another source to the information that the defendant could provide. We have no authority to do so, however, given that the development of sentencing policy is controlled by Congress, not the courts. Moreover, the safety-valve criteria are “stringent” because Congress intended the provision “to benefit only those defendants who truly cooperate.” United States v. O’Dell, 247 F.3d 655, 675 (6th Cir.2001).

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Cite This Page — Counsel Stack

Bluebook (online)
598 F.3d 289, 2010 U.S. App. LEXIS 5600, 2010 WL 957777, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-pena-ca6-2010.