United States v. Vasquez

• Court: Court of Appeals for the Sixth Circuit
• Decided: December 19, 2003
• Docket: 02-5181
• Status: Published

Opinion

RECOMMENDED FOR FULL-TEXT PUBLICATION 2 United States v. Vasquez No. 02-5181 Pursuant to Sixth Circuit Rule 206

ELECTRONIC CITATION: 2003 FED App. 0448P (6th Cir.) ATTORNEY, Chattanooga, Tennessee, for Appellee. File Name: 03a0448p.06 ON BRIEF: John Allen Brooks, Chattanooga, Tennessee, for Appellant. Paul W. Laymon, Jr., ASSISTANT UNITED UNITED STATES COURT OF APPEALS STATES ATTORNEY, Chattanooga, Tennessee, for Appellee. FOR THE SIXTH CIRCUIT _________________ _________________ OPINION UNITED STATES OF AMERICA , X _________________ Plaintiff-Appellee, - - KAREN NELSON MOORE, Circuit Judge. The - No. 02-5181 Defendant-Appellant, Ralph Vasquez (“Vasquez”), appeals v. - the district court’s determination of his base offense level > under United States Sentencing Guideline (“U.S.S.G.”) , RALPH VASQUEZ, - § 2D1.1(c)(4) for conspiring to distribute 1.3608 kilograms Defendant-Appellant. - (three pounds) of a mixture or substance containing a N detectable amount of methamphetamine, in violation of 21 U.S.C. §§ 846 and 841(b)(1)(B). On appeal, Vasquez Appeal from the United States District Court argues that the district court erred in determining his base for the Eastern District of Tennessee at Chattanooga. offense level due to that court’s misapplication of U.S.S.G. No. 01-00061—Curtis L. Collier, District Judge. § 2D1.1, Application Note 12 (“Note 12”), regarding the quantity of controlled substance to be used in determining the Argued: September 9, 2003 offense level for an offense involving an agreement to sell a controlled substance. Vasquez argues that under Note 12, the Decided and Filed: December 19, 2003 additional two pounds of methamphetamine that Charlie Rose (“Rose”), a co-defendant, and Vasquez agreed to deliver Before: MOORE and GILMAN, Circuit Judges; MILLS, should not have been considered in determining Vasquez’s District Judge.* base offense level because Vasquez was not reasonably capable of providing the additional two pounds due to his _________________ imminent arrest. For the reasons discussed below, we AFFIRM the sentence imposed by the district court. COUNSEL I. BACKGROUND ARGUED: John Allen Brooks, Chattanooga, Tennessee, for Appellant. Perry H. Piper, ASSISTANT UNITED STATES The facts of this case are not in dispute. In March 2001, agents with the Tennessee Bureau of Investigation (“TBI”) * received information from a confidential informant (“CI”) The Hon orable R ichard M ills, United States District Judge for the that Rose could deliver methamphetamine. The CI arranged Central District of Illinois, sitting by designation.

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to purchase one pound of methamphetamine from Rose and with knowingly and intentionally carrying a firearm in to have it delivered in Meigs County, Tennessee. On relation to the drug trafficking offenses set out in Counts One March 19, 2001, the CI and an undercover TBI agent met and Two, in violation of 18 U.S.C. §§ 2 and 924(c). On Rose at a designated residence in Meigs County. Additional September 6, 2001, Vasquez pleaded guilty to Counts One TBI agents monitored the transaction. and Three of the Superseding Indictment pursuant to a written plea agreement. Count Two was dismissed upon motion by When Rose arrived at the residence, he was accompanied the government. On January 4, 2002, Vasquez was sentenced by Vasquez. Previously, in Dalton, Georgia, Eric Estrada to 101 months’ imprisonment (forty-one months on Count (“Estrada”) had “fronted” the methamphetamine that Rose One and sixty months on Count Three) and four years of was to deliver in Meigs County. Estrada had sent his supervised release. At the sentencing hearing, Vasquez associate, Vasquez, along with Rose on the March 19, 2001 objected to the amount of methamphetamine used to transaction to ensure that Rose delivered the determine his base offense level, arguing that he was not methamphetamine and that Estrada received payment. reasonably capable of delivering the additional two pounds of methamphetamine due to his imminent arrest. At the residence in Meigs County, Rose and Vasquez negotiated to sell an additional two pounds of In response to Vasquez’s objection, the government argued methamphetamine to the CI. Rose and Vasquez told the CI that under Note 12, the additional two pounds of that they would deliver the additional two pounds of methamphetamine that Rose and Vasquez agreed to deliver methamphetamine for $20,000 at a later date. Then, Rose and should be considered in determining Vasquez’s base offense Vasquez delivered the original one pound of level because Vasquez agreed to deliver, intended to deliver, methamphetamine in exchange for $11,500. Immediately and was reasonably capable of delivering the additional two thereafter, TBI agents arrested Rose and Vasquez. When TBI pounds of methamphetamine. The government supported its agents searched the car that Rose and Vasquez used to travel argument that Vasquez was reasonably capable of obtaining to Meigs County, they found a loaded Colt .45 in plain view. and delivering the additional methamphetamine by showing that during the same month, Estrada, Rose’s and Vasquez’s On April 11, 2001, Vasquez and two co-conspirators were supplier, engaged in transactions for one-half of a pound, one charged in a three-count Indictment. On May 22, 2001, a pound, and two pounds of methamphetamine.1 Superseding Indictment added three additional co- conspirators. In Count One of the Superseding Indictment, Vasquez and five co-conspirators were charged with conspiring to distribute five hundred grams or more of a mixture or substance containing a detectable amount of 1 methamphetamine, in violation of 21 U.S.C. §§ 846, During March 2001, the Georgia Bureau of Investigation (“GBI”) 841(a)(1), and 841(b)(1)(A). In Count Two, Vasquez and two investigated Estrada and Hector Garnica (“Garnica”). On March 12, 2001, Estrada sold one-half of a pound of methamphetamine to a Ge orgia co-conspirators were charged with distributing fifty grams or CI. Then, on March 16, 2001, Estrada and Braulio Garnica (“Braulio”) more of a mixture or substance containing a detectable delivered an additional one pound of methamphetamine to the CI. On amount of methamphetamine on or about March 19, 2001, in March 18, Estrada arranged to deliver two pounds of methamphetamine violation of 21 U.S.C. §§ 841(a)(1) and 841(b)(1)(B). In to the same CI for $19,000 . On M arch 24, 2001 , Braulio delivered the Count Three, Vasquez and two co-conspirators were charged two pounds of methamphetamine to the CI for Estrada. Estrada, Garnica, and Melinda Knight were also present at that delivery. No. 02-5181 United States v. Vasquez 5 6 United States v. Vasquez No. 02-5181

The district court overruled Vasquez’s objection and II. ANALYSIS accepted the calculations contained in the Presentence Report (“PSR”). The PSR used the additional two pounds of A. Jurisdiction methamphetamine that Rose and Vasquez agreed to deliver and the one pound of methamphetamine that Rose and The district court had jurisdiction pursuant to 18 U.S.C. Vasquez actually delivered to determine Vasquez’s base § 3231 because Vasquez was charged with offenses against offense level. In accordance with the PSR, the district court the laws of the United States. This court has jurisdiction over set Vasquez’s base offense level for Count One at level thirty- the appeal under 28 U.S.C. § 1291 and 18 U.S.C. two. Vasquez received a minor role reduction of two levels, § 3742(a)(2) because Vasquez is appealing the district court’s making his adjusted offense level thirty for Count One. final sentence on the ground that it was imposed through an Additionally, Vasquez received a three-level adjustment for incorrect application of the guidelines. acceptance of responsibility, making his total offense level a twenty-seven for Count One. The district court also granted B. Standard of Review downward departures of four levels for the government’s § 5K1.1 motion and three levels for Vasquez’s testimony at This court reviews for clear error “the district court’s the sentencing hearing. These downward departures reduced determination of the quantity of drugs attributable to Vasquez’s offense level to twenty and resulted in a sentencing defendant for sentencing purposes.” United States v. guideline range of forty-one to fifty-one months for Count Ukomadu, 236 F.3d 333, 341 (6th Cir. 2001). “[A] finding is One. The district court sentenced Vasquez at the lower end clearly erroneous when although there is evidence to support of the range, to forty-one months’ imprisonment on Count it, the reviewing court on the entire evidence is left with the One. In his brief, Vasquez points out that if the additional definite and firm conviction that a mistake has been two pounds of methamphetamine were not used to determine committed.” Anderson v. City of Bessemer City, 470 U.S. Vasquez’s base offense level, Vasquez’s offense level would 564, 573 (1985) (quoting United States v. United States have been eighteen, with a sentencing guideline range of Gypsum Co., 333 U.S. 364, 395 (1948)) (internal quotation thirty-three to forty-one months. marks omitted). A reviewing court may not reverse a finding of the trier of fact merely because it would have decided the Vasquez timely appealed his sentence. On appeal, matter differently. Id. Rather, “[i]f the district court’s Vasquez’s only argument is that the district court erred in its account of the evidence is plausible in light of the record determination of his base offense level due to that court’s viewed in its entirety, the court of appeals may not reverse it misapplication of Note 12. Vasquez argues that he was not even though convinced that had it been sitting as the trier of reasonably capable of delivering the additional two pounds of fact, it would have weighed the evidence differently.” Id. at methamphetamine due to his imminent arrest and thus that 573-74. Note 12 requires the exclusion of the additional two pounds from the determination of his base offense level. C. Determination of Vasquez’s Base Offense Level Under Note 12 In this case, determination of the quantity of drugs attributable to Vasquez turns upon proper application of Note 12, which provides: No. 02-5181 United States v. Vasquez 7 8 United States v. Vasquez No. 02-5181

In an offense involving an agreement to sell a controlled Vasquez has the burden of proving that he was not substance, the agreed-upon quantity of the controlled reasonably capable of providing the additional two pounds of substance shall be used to determine the offense level methamphetamine. Munoz, 233 F.3d at 415. Vasquez relies unless the sale is completed and the amount delivered on the following facts in an effort to demonstrate that he was more accurately reflects the scale of the offense. . . . If, not reasonably capable of providing the additional two however, the defendant establishes that he or she did not pounds: (1) two TBI agents were inside the residence in intend to provide, or was not reasonably capable of Meigs County when the transaction occurred; (2) TBI agents providing, the agreed-upon quantity of the controlled installed listening devices in the house prior to the substance, the court shall exclude from the offense level transaction; (3) TBI agents arranged to have Vasquez and determination the amount of controlled substance that the Rose arrested immediately after they brought the defendant establishes that he or she did not intend to methamphetamine mixture into the home (demonstrated by provide or was not reasonably capable of providing. the fact that a TBI agent exchanged a bag with no money in it for the methamphetamine); (4) Rose and Vasquez were not U.S.S.G. § 2D1.1, cmt. n.12 (2001). The parties agree that permitted to leave the residence; and (5) the CI negotiated the for an offense involving an agreement to sell a controlled transaction with “full knowledge” that Vasquez would be substance that is not completed, Note 12 requires that courts unable to complete the transaction. In essence, Vasquez use the agreed-upon quantity to determine the offense level, argues that he was not reasonably capable of providing the unless the defendant did not intend to provide or was not additional methamphetamine because TBI agents planned to, reasonably capable of providing the agreed-upon quantity. and did, arrest Vasquez immediately after the agreement; Although Vasquez correctly points out that there is a circuit therefore, he had no opportunity to obtain or deliver the split regarding which party has the burden of proof under additional methamphetamine. Note 12, the Sixth Circuit places the burden on the defendant. United States v. Munoz, 233 F.3d 410, 415 (6th Cir. 2000). The government counters that the district court did not err “The Sixth Circuit has held that ‘once the government when it included the additional two pounds of satisfies its burden in establishing a negotiated amount, the methamphetamine in its determination of Vasquez’s base defendants have the burden of proving they were not capable offense level. To demonstrate that Vasquez was reasonably of producing that amount.’” Id. (quoting United States v. capable of providing the additional two pounds, the Christian, 942 F.2d 363, 368 (6th Cir. 1991)). government points to the fact that during the same month as Vasquez’s arrest, Vasquez’s supplier engaged in monitored In this case, Vasquez does not dispute that he agreed to sell transactions of one-half of a pound, one pound, and two the additional two pounds of methamphetamine and that he pounds of methamphetamine.2 The government argues that intended to do so. Vasquez only disputes the district court’s finding that he was reasonably capable of providing the additional two pounds of methamphetamine. Thus, Vasquez 2 The government also points to Vasquez’s admission at the argues that the district court committed clear error when it sentencing hearing that there is evidence showing that V asquez could included the additional two pounds in the determination of his com plete the transaction. Sp ecifically, the government cites V asquez’s base offense level. counsel’s statement that “[t]here is no evidence to show that [defendant and Rose] couldn’t have provided the two pound s. In fact, there is evidence to show that they could have p rovid ed two pounds.” App ellee’s Br. at 11 (quoting Joint Appendix (“J.A.”) at 65 (Sentencing Hr’g Tr.)). No. 02-5181 United States v. Vasquez 9 10 United States v. Vasquez No. 02-5181

Vasquez was reasonably capable of providing the additional apply the principle embodied in Note 12, the focus must shift methamphetamine because during the same month Vasquez’s according to a defendant’s role in the offense.” Id. The court supplier was engaging in transactions of up to two pounds. further explained that “[w]hen the defendant is a drug buyer, Thus, if Vasquez had not been arrested, Vasquez could have Note 12 would address the quantity of drugs that the obtained and delivered the additional methamphetamine. defendant intended to purchase and was reasonably capable of purchasing. And where . . . a defendant has been convicted We are aware that in cases such as this, when the of conspiring to transport drugs, the proper focus is the government conducts an undercover operation and makes a quantity of drugs the defendant intended to transport and was suggestion to the defendant about future transactions, reasonably capable of transporting.” Id. at 437. (internal increasing a defendant’s sentence based upon an agreement to citations omitted). Thus, in cases such as this, where the sell a controlled substance might tempt law enforcement to defendant acted as an emissary for a particular drug supplier, suggest additional transactions involving large quantities of the fact that the supplier was engaging in transactions drugs merely to escalate the defendant’s potential sentence. involving similar quantities of the drug at issue during the In an extreme case, law enforcement officials could suggest same time period can be probative evidence that the defendant additional sales of drug quantities so out of proportion to the was reasonably capable of providing that amount. defendant’s normal course of dealings that it would be unfair to sentence the defendant based upon that amount. The Additionally, there are some factors that are indicative of a language of Note 12, however, protects defendants from this defendant’s intent and capability regardless of his or her role possible abuse. Note 12 instructs the sentencing court to in the transaction. When applying Note 12, other circuits “exclude from the offense level determination the amount of have considered factors such as: whether the defendant controlled substance that the defendant establishes that he or engaged in serious negotiations rather than mere “idle talk,” she did not intend to provide or was not reasonably capable of whether the defendant participated in similar transactions on providing.” U.S.S.G. § 2D1.1, cmt. n.12 (2001). prior occasions, and whether the defendant hesitated before agreeing to the transaction. United States v. Wash, 231 F.3d We have clearly articulated that once the government 366, 373 (7th Cir. 2000), cert. denied, 532 U.S. 1057 (2001); establishes the agreed-upon quantity, the defendant has the United States v. Hazut, 140 F.3d 187, 193 (2d Cir. 1998); burden of proving that he or she either did not intend to United States v. Williams, 109 F.3d 502, 512 (8th Cir.), cert. provide or was not reasonably capable of providing that denied, 522 U.S. 917 (1997); United States v. Hendrickson, amount. Munoz, 233 F.3d at 415. However, we have not yet 26 F.3d 321, 337 (2d Cir. 1994), further proceedings at, No. given the district courts much guidance regarding what 95-1483, 1996 WL 508453 (Sept. 9, 1996), cert. denied, 520 factors they should consider when deciding whether the U.S. 1129 (1997). Although increasing a defendant’s defendant has met his or her burden. sentence based upon an agreement to sell a controlled substance might tempt law enforcement to suggest additional We agree with the Third Circuit’s conclusion that the sales of large quantities of drugs merely to escalate the factors that district courts should consider when deciding defendant’s potential sentence, district courts can ensure that whether a defendant has met his or her burden vary somewhat defendants are not sentenced based upon quantities far outside according to the role the defendant was expected to play in of their normal course of dealings by carefully evaluating the the future transaction. United States v. Raven, 39 F.3d 428, evidence pertaining to the defendant’s intent and capability. 436 (3d Cir. 1994). In Raven, the Third Circuit stated that “to No. 02-5181 United States v. Vasquez 11 12 United States v. Vasquez No. 02-5181

Applying the factors articulated above, we conclude that the upon the entire 293.3 grams, noting that intervention by law district court did not commit clear error when it determined enforcement should not alter the amount for which the that Vasquez was reasonably capable of providing the defendant is held responsible. Id. at 341. Similarly, in additional two pounds of methamphetamine. Vasquez was to Christian, the defendant engaged in a transaction involving act as an emissary for his supplier in the agreed-upon cocaine that was monitored by law enforcement agents, and transaction; therefore, the fact that Vasquez’s supplier was the defendant was arrested immediately thereafter.4 942 F.2d engaging in transactions of up to two pounds of at 365. During the transaction, the defendant discussed the methamphetamine demonstrates that Vasquez could have possibility of future deals and stated that for the first two or obtained the additional methamphetamine. Furthermore, the three weeks, he would purchase about five kilograms per factual background contained in the PSR, which was adopted week. Id. We upheld an offense level determination based by the district court, indicates that Vasquez engaged in upon ten kilograms, the amount negotiated for the future serious negotiations rather than mere idle talk and that deals, rejecting the defendant’s contention that there was no Vasquez did not hesitate before agreeing to the transaction. evidence that he was capable of purchasing the two, five- The only circumstance that prevented Vasquez from obtaining kilogram amounts he had negotiated. Id. at 368. and delivering the additional methamphetamine was his own arrest immediately after he agreed to provide the additional In Ukomadu, we articulated our rationale for basing the two pounds. In the context of applying Note 12, however, offense level determination on the entire drug quantity. We this court has held that when the fortuitous intervention of law sought to avoid forcing officials enforcement alters the drug quantity, the defendant should still be held responsible for the entire amount. Ukomadu, 236 to choose between securing appropriately significant F.3d at 341. sentences for captured drug offenders and alternatively reducing the quantity of illegal drugs in the stream of In Ukomadu, customs officials intercepted a package containing 293.3 grams of heroin and removed all but six grams. Id. at 340.3 When the package came into the 4 Christian was decided under an earlier version of this application possession of the defendant, it contained only six grams of note, which read: “[W]here the court finds that the defendant did not heroin. Id. We upheld an offense level determination based intend to produce and was not reasonably capable of producing the negotiated amo unt, the court shall exclude from the guideline calculation the amount that it finds the d efendant did not intend to produce and was not reaso nably capable of producing.” United States v. Christian, 942 3 F.2d 363, 368 (6th Cir. 1991) (quoting then applicable U.S.S.G. § 2D1.4, In Ukomadu, the determination of the quantity of drugs attributable cmt. n.1) (emphases added) (internal quo tation marks om itted). Thus, to the defendant for sentencing purposes was controlled by a different under the earlier version, the defendant was required to prove both that he provision of the U .S.S.G . than is invo lved in the pre sent case. United or she did not intend to provide and that he or she wa s not reasonably States v. Ukomadu, 236 F.3d 333 , 340 (6th C ir. 200 1). In Ukomadu, the capable of pro viding the negotiated amo unt. Id. In 1995, the Guidelines parties disputed the quantity of drugs attributable to a defendant for were amended and the prerequisites for exclusion of the negotiated jointly undertaken crimina l activity, which turns on U.S.S.G. § 1B1.3, amount were changed from the conjunctive to the disjunctive. U.S.S.G. Application No te 2. Id. Despite the difference in application notes, the § 2D 1.1, cmt. n.12 (2001). Thus, under the current version, the defendant policy rationale underlying this court’s decision in Ukomadu – to need only prove either that he o r she did not intend to provide or that he disregard the intervention by law enforcement when determining the or she was not capab le of providing the ne gotiated am ount. Id. In spite quantity of drugs attributable to a defendant – is eq ually applicab le in this of this alteration, the showing a d efendant must make to satisfy the case. “reasonably capable” prong remains the same. No. 02-5181 United States v. Vasquez 13

commerce. It is better policy to permit officials to remove dangerous drugs from the market without jeopardizing significant sentences for offenders where it is clear that the original amount of drugs was within the scope of activity that the defendant jointly undertook. Ukomadu, 236 F.3d at 341. As the government points out, this same rationale applies in this case because the defendant failed to prove that, but for the intervention by law enforcement, Rose and Vasquez would not have been reasonably capable of delivering the additional two pounds. We agree with the government that “it is untenable to require law enforcement agents to permit the conspirators to continue doing business before defendant may be held accountable for the full scope of his criminal conduct.” Appellee’s Br. at 13. III. CONCLUSION Because the district court did not commit clear error when it included the additional two pounds of methamphetamine that Vasquez agreed to deliver in calculating his base offense level, we AFFIRM the sentence imposed by the district court.