United States v. Raymond Joseph Lopez

26 F.3d 512, 1994 U.S. App. LEXIS 16521, 1994 WL 317912
CourtCourt of Appeals for the Fifth Circuit
DecidedJuly 5, 1994
Docket93-1254
StatusPublished
Cited by106 cases

This text of 26 F.3d 512 (United States v. Raymond Joseph Lopez) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth 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. Raymond Joseph Lopez, 26 F.3d 512, 1994 U.S. App. LEXIS 16521, 1994 WL 317912 (5th Cir. 1994).

Opinion

PER CURIAM:

This appeal from a judgment of the district court resentencing a defendant who had previously been granted a downward departure for substantial assistance, but who thereafter refused to testify for the government at the trial of his codefendants, presents the question whether the district court had authority to modify the first sentence. Because we hold that none of the bases permitted by 18 U.S.C. § 3582(e) applies in this case, we reverse and remand for reinstatement of the original sentence.

I

Defendant Raymond J. Lopez (“Lopez”) pleaded guilty to one count of a 61-count multi-defendant indictment charging him with a violation of 21 U.S.C. § 841(a)(1), conspiracy to possess with intent to distribute and distribution of five kilograms or more of cocaine; conspiracy to possess with intent to distribute and distribution of 50 grams or more of crack cocaine; and conspiracy to possess with intent to distribute and distribution of 100 kilograms or more of marihuana. Lopez entered the plea pursuant to a written plea agreement that provided, in pertinent part, that Lopez would “cooperate with the Government by giving truthful and complete information and/or testimony concerning his participation in and knowledge of criminal activities.” The agreement also stated that if the government “deem[ed] any cooperation provided by [Lopez] as rising to that of ‘substantial assistance’ the government agree[d] to file a 5K1.1 Motion for Downward Departure.”

Lopez entered his guilty plea on July 31, 1992. The government filed a written motion for downward departure pursuant to U.S.S.G. § 5K1.1. On December 4, 1992 the district court convened a sentencing hearing. The court accepted the presentence report after sustaining an objection to a two-level weapon enhancement and awarding an additional one level decrease for acceptance of responsibility. As adjusted pursuant to rulings by the district court, the sentencing range was 188 to 235 months, based upon a total offense level of 36 and a criminal history category of I. The district court granted the government’s motion for downward departure, departed downward six levels, and within the new range of 97 to 121 months, imposed a custody sentence of 121 months. 1 The district judge determined that a six-level departure was appropriate, notwithstanding the greater reduction for which Lopez’s counsel argued, and stated:

I want to leave it open for the Government to file another Motion for Downward Departure if they agree. If there’s additional assistance, or if there are additional factors that the Government thinks should warrant a downward departure, then I will take those into consideration at a later time. So I want Mr. Lopez to understand that that is still available.

In imposing a 121-month sentence, the judge noted that he had “tak[en] into consideration the specific cooperation in the two specific matters that I’ve mentioned, not additional matters, and I think that sentence is appropriate subject to review again when I get additional information about the other Defendants.”

On February 1, 1993 the government proceeded to trial against six of the codefend- *514 ants indicted with Lopez. Pursuant to the plea agreement, the government expected Lopez to testify, but he refused. On February 19, 1993 the government filed a motion asking the district court to resentence Lopez based upon his refusal to testify, which the government contended had caused it to significantly alter its trial strategy. The government advised the court that had it known Lopez would decline to testify, it would not have moved for a downward departure at the time of sentencing. The government urged the court to resentence Lopez within the range of 188 to 235 months, “as if there had been no motion for downward departure.”

The district court granted the motion and convened a resentencing hearing on March 12, 1993. The government argued on the basis of United States v. DiFrancesco, 449 U.S. 117, 101 S.Ct. 426, 66 L.Ed.2d 328 (1980), that the court could recall Lopez and increase his sentence so long as he had not begun to serve the sentence because “[s]uch resentencing does not violate any double jeopardy principles.” The government also relied on this court’s decision in United States v. Crawford, 769 F.2d 253 (5th Cir.1985), ce rt. denied, 474 U.S. 1103, 106 S.Ct. 887, 88 L.Ed.2d 922 (1986), pointed out that Lopez had not yet begun to serve his sentence, and urged that it would “undermine the guidelines at this point for [Lopez] to receive any sort of a motion for substantial assistance because [he] simply doesn’t meet the criteria for that.”

The district court agreed with the government that there were no double jeopardy problems because Lopez was being resen-tenced before he actually started serving his sentence. After considering testimony and argument concerning the circumstances underlying Lopez’s refusal to testify, the court determined that it should not have given Lopez a six-level decrease for substantial assistance “and that it was a mistake based upon the fact that [Lopez] was going to cooperate and that he was going to testify.” Because the court had decreased the total offense level six levels based on the assumption that Lopez would cooperate, and because he had not testified, the court held that Lopez “should not receive the 6 levels.” Based upon the original guideline range of 188 to 235 months, the court sentenced Lopez to a period of imprisonment of 205 months. In so doing, the court stated that it had sentenced him at mid-range “because the Defendant has provided some assistance, and I think it’s appropriate for me to go to the mid-range to recognize that assistance.”

From the district court’s second sentence, Lopez brings this appeal, asking that we vacate the second sentence and reinstate the first sentence of 121 months. 2

II

Lopez seeks reinstatement of his first sentence on the single ground that the district court lacked jurisdiction to impose the second sentence. He maintains that the district court essentially reconsidered its first sentence in a post-sentencing context, or effectively postponed a ruling on the government’s § 5K1.1 motion, acting without jurisdiction in either event.

The government relies before us on a somewhat expanded version of its DiFran-cesco argument. According to the government, because Lopez had not yet begun to serve the sentence originally imposed by the district court, the court could lawfully resen-tence Lopez based upon DiFrancesco’s recognition of “the established practice in the federal courts that the sentencing judge may recall the defendant and increase his sentence, at least ... so long as he has not yet begun to serve that sentence.” 449 U.S. at 134, 101 S.Ct. at 436.

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Bluebook (online)
26 F.3d 512, 1994 U.S. App. LEXIS 16521, 1994 WL 317912, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-raymond-joseph-lopez-ca5-1994.