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Chief Judge Marsha J. Pechman

UNITED STATES DISTRICT COURT

WESTERN DISTRICT OF WASHINGTON

AT SEATTLE

UNITED STATES OF AMERICA,

Plaintiff,

v.

HENRY ROSENAU,

Defendant.

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NO. CR06-157MJP

GOVERNMENT’S

MEMORANDUM AND

RECOMMENDATION FOR 

SENTENCING 

Scheduled for November 7, 2012 

The United States of America, by and through Jenny A. Durkan, United States

Attorney for the Western District of Washington, and Susan M. Roe and Marc A. Perez,

Assistant United States Attorneys for said District, files this Memorandum and

Recommendation for Sentencing.

I. INTRODUCTION

Defendant Henry Rosenau comes before the Court for sentencing on his guilty

plea entered on the first day of his re-trial. Given that this case went through an

extensive pre-trial process and a two-week jury trial, the Court possesses a great deal of

factual information about the defendant’s criminal conduct and a strong sense of who the

defendant is as a person. 

II. FACTS OF OFFENSE

In the Plea Agreement, Defendant Rosenau admitted to conspiring with others to

export more than 100 kilograms of marijuana from Canada into the United States. 

Although the agreed facts within the Plea Agreement are a summary of the defendant’s

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 1

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 1 of 18
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criminal conduct, his admissions at the plea hearing, his trial testimony, and the evidence

admitted at trial provide a more complete picture of the defendant. 

Defendant Rosenau is an experienced and able helicopter pilot who was part and

parcel of a long-standing, successful cross-border drug trafficking organization. He

worked with people in every aspect of the business -- growers, dealers, transporters,

catchers, blockers, and other helicopter pilots. 

During the early and mid-2000’s, Defendant Rosenau made dozens of illegal

flights, smuggling thousands of pounds of drugs. He ferried hockey bags full of

marijuana across the international border into Washington State and as far east as

Montana. He flew many types of helicopters, whether properly licensed or not, including

a Bell Jet Ranger and Robinson 22 and Robinson 44 helicopters. Defendant Rosenau

was such a skillful pilot that he flew with weighted contraband in the cockpit, strapped to

skids, hanging by short lines, and swinging by long lines. He flew before dawn, without

lights and using night vision goggles. He landed in wooded areas or on rough and

inadequate sites, and he skillfully landed his helicopters, sometimes bringing an aircraft

within a couple of yards of a waiting vehicle. He flew under the radar, through narrow

valleys, and over mountains and wilderness. 

In addition to smuggling drugs, Defendant Rosenau surreptitiously flew drug

traffickers, such as Zachary Miraback and Dustin Haugen, into the United States because

they were felons and could not legally enter the country. As he admitted in the Plea

Agreement, he was “important because he . . . could fly people and marijuana across the

United States - Canadian border.” When co-conspirators needed to flee back to Canada,

the defendant flew them north. He flew some co-conspirators across the border simply

because it was a more expedient method than having them stop at a Port of Entry. 

Defendant Rosenau owned, possessed, controlled, stored, and flew several

different helicopters in furtherance of the conspiracy. According to Transport Canada 

records, on various dates, Defendant Rosenau owned at least three of the helicopters

involved in smuggling drugs: the Robinson R-44 (tail identifier C-FRKM); the Robinson

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 2

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 2 of 18
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R-22 (C-GZAR); and the Robinson R-22 (C-GRIA). He controlled, maintained, and

flew two other aircraft used in smuggling: the Bell Jet Ranger (C-FALQ) and the

Robinson R-22 (C-FNMM). 

Defendant Rosenau camouflaged his involvement in this conspiracy by

maintaining and using an aircraft hangar in a remote area close to the international

border where he hid helicopters that might have been seen or identified during

smuggling runs. He avoided detection by altering the tail identifiers on helicopters when

flying them over the border (e.g., Bell Jet Ranger and Robinson 44 (C-FRKM)), or by

leaving his residence in one helicopter and switching aircraft before crossing the border. 

As discussed above, he avoided detection by flying different aircraft, at low altitudes,

over the mountains, sometimes in the dark, and landing in various remote sites in the

United States (with the help of handheld GPS devices, which were then rather new

technology). 

Other precautionary and unlawful conduct included his failing to file flight plans,

failing to seek permission to cross the border (with people or contraband), failing to land

at airports or designated landing strips in the United States, and flying in and out of the

United States with a loaded handgun and ammunition. 

Defendant Rosenau is lucky that only an occasional load of marijuana was

intercepted, surveilled, or photographed by law enforcement officers. At trial, the

government established, and since then the defendant has essentially admitted, that of the

seized marijuana loads, the defendant personally smuggled a total of approximately 945

kilograms (2,085 pounds) of marijuana into the United States. The seizures that should

be considered representative of the defendant’s criminal conduct occurred on June 9,

2005 (485 pounds); August 4, 2005 (500 pounds); and September 21, 2005 (1,100

pounds). Defendant Rosenau’s involvement in the criminal conspiracy, however, is

more extensive.

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 3

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 3 of 18
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III. CERTAIN RELEVANT TERMS OF THE PLEA AGREEMENT 

In the Plea Agreement, the parties agreed that the defendant faced a base offense

level “of at least Level 30,” and that the government reserved the right to argue for a

higher base offense level based on relevant conduct. Plea Agreement (docket entry

no. 174), ¶ 8(a). The government acknowledged that if the defendant qualified for an

acceptance of responsibility adjustment by “clearly” demonstrating his acceptance of

responsibility for his offense, then the defendant’s total offense level should be

decreased by two levels. Id. at ¶ 10.

The parties agreed that the defendant would not be prosecuted on any additional

charges and that the prosecution, including the dismissed charges, were “substantially

justified in light of the evidence available to the United States, were not vexatious,

frivolous or taken in bad faith,” and could not be a basis for a claim under the “Hyde

Amendment[.]” Id. at ¶ 9. 

Defendant Rosenau filed three separate Canadian lawsuits against witnesses and

attorneys involved in this prosecution. The first civil suit, Rosenau v. Whelpley, was

filed in January 2011 with the intent to prevent essential prosecution witness Kip

Whelpley from testifying at any subsequent hearing or trial. The default judgment

entered in that case prohibited Mr. Whelpley from coming to the United States to testify. 

The second civil suit, Regina v. Rosenau, filed on October 25, 2011, days before

the November trial date, was intended to prevent several RCMP witnesses (essential to

the prosecution’s case) from testifying at trial. That lawsuit was one of the bases for this

Court’s trial continuance from November 2011 until April 2012. The third civil suit,

Rosenau v. Roe, et al., was against Canadian Crown Counsel, an important RCMP

witness, and the undersigned federal prosecutor. That lawsuit, which was filed on

April 24, 2011, was designed to stop the trial from proceeding. 

During his change of plea hearing, and as a sign of his acknowledgment of his

criminal conduct, Defendant Rosenau agreed to dismiss, and not to file again in the

future, “any lawsuit(s) in courts in Canada or the United States against law enforcement

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 4

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 4 of 18
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officers or prosecutors stemming from this case and his extradition.” He agreed that his

lawsuits were “frivolous” and that he would undertake “finally” dismissing “all such

suits” before sentencing. Id. at ¶ 9. 

Defendant Rosenau’s lawsuit against the RCMP has been dismissed. A copy of

the voluntary dismissal of the lawsuit filed mid-trial against the prosecutor and Canadian

officials is attached. Gov’t’s Attachment 1 (Notice of Discontinuance). There is no

indication whatsoever that Defendant Rosenau has voluntarily dismissed his lawsuit or

sought to vacate the default judgment order against witness Kip Whelpley. 

The United States Attorney’s Office agreed to “take no position” if the defendant

requests a treaty transfer to Canada. Id.

Defendant Rosenau has waived his right to appeal. Id. at ¶ 12.

IV. GUIDELINE CALCULATIONS

Determining the Accurate Base Offense Level

Defendant Rosenau’s base offense level should be at least 32, if not higher. The

total weight of the seized marijuana he and his co-conspirators smuggled was no less

than approximately 1,185 kilograms and therefore his base offense level is 32. See

United States Sentencing Commission, Guidelines Manual, § 2D1.1 (Nov. 2005) (stating

that level 32 corresponds to “[a]t least 1,000 KG but less than 3,000 KG”). 

In the Plea Agreement, the defendant agreed that only “a fraction of the marijuana

loads smuggled by this group was seized” and that those seized loads weighed 945

kilograms. Plea Agreement at ¶ 7. At trial, however, the government established, both

by video and testimonial evidence, that several additional smuggling loads were flown

by the defendant and his co-conspirators.

At trial, Kip Whelpley testified that he assisted with several marijuana loads

during 2004 (the year prior to the seizures noted above) while he was in the

United States, that the defendant was part of a group of smugglers, and that the

defendant later identified himself as the person who held Kip Whelpley’s illegal earnings

from that summer. Kip Whelpley testified that, in 2005, prior to the June 9 seizure, he

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 5

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 5 of 18
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caught marijuana loads directly from the defendant and others in northeastern

Washington. Kip Whelpley also testified that, based on the weight of successful

marijuana loads which he helped deliver, he made about $50,000 in the summer. None

of those marijuana loads were detected or seized by law enforcement agencies. 

Lastly, Kip Whelpley testified that, after June 9, he returned to Canada and

worked off his debt for the seized drug load by assisting the defendant with more

smuggling loads. Kip Whelpley testified that he moved hockey bags full of marijuana

from a motor home onto a helicopter rack, that he coordinated the pick-up of the loads

with co-conspirator Jonathan Senecal who had remained in the U.S., and that he helped

put the equipment away after successful smuggling runs. He estimated that the

defendant flew several smuggles between June 9 and August 4 (the day of the David

Mendoza seizure). None of these flights were intercepted; all loads were at least 350

pounds. 

At trial, the government also introduced evidence from trail cameras that showed

a red and white Bell Jet Ranger helicopter associated with the defendant delivering loads

of marijuana during the summer of 2005. Notably, a trail camera videotape from July 21

through July 27 showed the Bell Jet Ranger helicopter (which the defendant admitted he

owned, possessed, controlled or flew) making two deliveries, each of at least eight or

nine hockey bags full of marijuana. One delivery was to co-conspirator David Mendoza

and the other delivery was made to co-conspirator Jonathan Senecal. The hockey bags in

the video were of the same size and shape as the seized bags that were presented at trial. 

Based on trial testimony from federal agents and Kip Whelpley, each hockey bag

contained approximately 50 pounds of marijuana. These loads were not intercepted or

seized, but they should be considered when determining the defendant’s base offense

level. 

Defendant Rosenau agrees that 945 kilograms of marijuana was seized, yielding a

base offense level of 30. The relevant question before the Court, however, is whether

the trial evidence demonstrated that the conspiracy to which the defendant pled involved

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 6

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 6 of 18
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more than 1,000 kilograms of marijuana. As discussed above, at trial, the government

introduced video and testimonial evidence establishing that Defendant Rosenau was

responsible for smuggling hundreds of additional kilograms of marijuana into the U.S. 

At trial, the government introduced video and photographic evidence of the

August 12, 2005, seizure of 522 pounds (237 kilograms) of marijuana, which had been

flown into the United States on a Robinson R-44 (C-FNMM) helicopter, an aircraft

connected to the defendant. (At trial, the government never contended that the defendant

flew this helicopter into the U.S. on either August 11 or 12. However, the government

showed that on both days this helicopter ferried loads of marijuana across the border,

leading to a seizure of 522 pounds (237 kilograms) on August 12, 2005, and that this

aircraft was seen parked on the defendant’s property less than a month later in September

2005.)

Additionally, as discussed above, the government introduced video evidence of

the Bell Jet Ranger (C-FALQ) delivering 800 - 900 pounds (363 - 409 kilograms) of

marijuana on two separate days in July 2005 (each day consisting of 8-9 hockey bags at

50 pounds per bag). Moreover, the government introduced witness testimony that the

defendant was responsible for smuggling hundreds of additional pounds/kilograms of

marijuana. While the government may not be able to prove that Defendant Rosenau

smuggled more than 3,000 kilograms of marijuana (threshold for a base offense level of

34), the government has presented clear and uncontested evidence that he smuggled in

excess of 1,000 kilograms of marijuana. Therefore, the correct base offense level in this

case is at least 32. 

Other Appropriate Guideline Adjustments

1. Assuming the defendant has “clearly” demonstrated his acceptance of

responsibility, and assuming his frivolous civil lawsuits have been dismissed, he is

entitled to a two level reduction for his acceptance of responsibility. 

2. Certain enhancements specified in Section 2D1.1 of the sentencing

guidelines apply to the defendant. He should receive a two level enhancement for

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 7

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 7 of 18
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possessing a firearm during the crime. See USSG § 2D1.1(b)(1). This enhancement

“reflects the increased danger of violence when drug traffickers possess weapons” and it

“should be applied if the weapon was present, unless it is clearly improbable that the

weapon was connected with the offense.” USSG § 2D1.1, comment. (n.3). During his

September 21, 2005, smuggling run, in his helicopter cockpit together with other

smuggling aids, the defendant possessed a loaded Smith and Wesson handgun with extra

ammunition. He knew about the firearm because he admitted to having it in the cockpit

when he was confronted by RCMP after landing his helicopter following his smuggling

run on September 21, 2005. 

One of the leading Ninth Circuit cases on this issue is United States v. LopezSandoval, 146 F.3d 712, 714 (9th Cir. 1998). There, the Court of Appeals noted that a

two level enhancement for weapons possession is appropriate even if there is no

connection between the firearm and the offense. Quoting the sentencing guidelines, the

court noted: “[If] defendant possessed the weapon during the commission of the offense,

the enhancement is appropriate.” Id. at 714 (affirming gun enhancement where not

clearly improbable that handguns found in residence were connected with drug

conspiracy); see also United States v. Highsmith, 268 F.3d 1141, 1142 (9th Cir. 2001)

(gun enhancement reversed where defendant unaware of gun found in cohort’s

bedroom); United States v. Kelso, 942 F.2d 680, 682 (9th Cir. 1991) (gun enhancement

not warranted where no evidence he was aware of its presence); United States v. Gillock,

886 F.2d 220, 222-23 (9th Cir. 1989) (loaded firearm found in close proximity to drugs

justified gun enhancement).

Based on these cases, if this Court finds that Defendant Rosenau was aware of the

handgun in his helicopter, and that it is not “clearly improbable” that the firearm was

connected to his drug smuggling activity, then a two point enhancement for the firearm

possession is applicable.

3. The defendant should receive a two level enhancement for his role as a

pilot. See USSG § 2D1.1(b)(2) (“If the defendant unlawfully imported a controlled

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 8

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 8 of 18
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substance under circumstances in which . . . (B) the defendant acted as a pilot, copilot,

captain, navigator, . . . or any other operation officer aboard any craft or vessel carrying a

controlled substance, increase by 2 levels.”). 

4. The defendant should receive a two level enhancement for obstructing

justice and engaging in witness tampering in connection with the investigation or

prosecution of the offense. See USSG § 3C1.1 (defining Obstruction or Impeding the

Administration of Justice). Section 3C1.1 states:

If (1) the defendant willfully obstructed or impeded, or attempted to

obstruct or impede, the administration of justice with respect to the

investigation, prosecution, or sentencing of the instant offense of

conviction, and (2) the obstructive conduct related to (A) the defendant’s

offense of conviction and any relevant conduct; or (B) a closely related

offense, increase the offense level by 2 levels.

Commentary and Application Notes 3 and 4 to Section 3C1.1 further explain

conduct that impedes or obstructs. Examples of conduct to which this adjustment applies

include:

(a) threatening, intimidating, or otherwise unlawfully influencing a . . .

witness . . . directly or indirectly, or attempting to do so;

(b) committing, suborning, or attempting to suborn perjury . . . ; 

. . . 

(f) providing materially false information to a judge or magistrate [judge]; 

. . .

(h) providing materially false information to a probation officer in respect

to a presentence or other investigation for the court[.]1

At least two separate bases for the obstruction of justice enhancement are present. 

 Application Note 2 cautions: “In applying this provision in respect to alleged 1

false testimony or statements by the defendant, the court should be cognizant that

inaccurate testimony or statements sometimes may result from confusion, mistake, or

faulty memory and, thus, not all inaccurate testimony or statements necessarily reflect a

willful attempt to obstruct justice.” USSG § 3C1.1, comment. (n.2). This cautionary note

is inapplicable here. 

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 9

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 9 of 18
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Defendant Rosenau repeatedly made false representations to the Court

1. At trial, Defendant Rosenau testified that he did not fly helicopters with

marijuana loads across the international border and, in fact, that he never possessed the

smuggling helicopter with tail identifier C-FRKM during the summer of 2005. He

testified that a helicopter pilot named Richard Long had the helicopter that summer; that

Long was buying it from him in “a handshake deal;” that Long had given him $20,000

cash toward the purchase; and that he saw Long fly and land it at The Shop on the

morning of September 21, 2005. That testimony, in its entirety, was false. At the plea

hearing, the defendant admitted to the Court that he flew the helicopter with the

marijuana smuggles that day and during that summer. See Gov’t’s Attachment 2

(Transcript of July 11, 2012, change of plea hearing). 

Even without Defendant Rosenau’s admission that he testified falsely at trial, the

Court can be assured that the testimony was untrue. According to Transport Canada,

only one Richard Long was a licensed helicopter pilot in 2005. See Gov’t’s

Attachment 3 (Affidavit of Ross Bertram; Transport Canada). Richard Long lived in

British Columbia, flew for Bel Aire, and died in a helicopter crash on September 26,

2005. Richard Long was unavailable to testify at trial and correct the defendant’s

falsehoods, but his family and personal records are available.

In September 2005, Richard Long and his adult son, Brennan Long, were building

a residence on property he and his wife owned near Hope, B.C. In the few days before

Mr. Long’s accidental death, he and Brennan Long were installing a pump on their

property. The men were obtaining supplies for the pump installation at the time that the

Robinson 44 (C-FRKM) helicopter was filmed smuggling marijuana into the

United States and returning to The Shop in Canada. See Gov’t’s Attachment 4 (Affidavit

of Special Agent Jesse Miller); and Gov’t’s Attachment 5 (Affidavit of Brennan Long

and sales receipts).

2. Magistrate Judge Brian Tsuchida held a detention review hearing on

October 28, 2012. At that hearing, Pretrial Services Officer Julie Busic testified that, as

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 10

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

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part of her supervision duties, she reviewed the list of possible government witnesses

with Defendant Rosenau and advised him to have no contact with anyone on the list,

which included Kip Whelpley. As Officer Busic testified, Defendant Rosenau worried

aloud whether he could inadvertently violate this provision as he did not know any of the

people and did not recognize the names on the list.2

In truth, as Defendant Rosenau knew then and as he testified under oath at the

plea hearing, he knew Kip Whelpley, the Miraback brothers, and others on the witness

list. The defendant conspired with them to commit these crimes.

3. When, mid-trial on April 25, 2012, the Defendant filed his third civil

lawsuit, this Court questioned him about the lawsuit. In response to the Court’s

questions, the Defendant said that he did not authorize anyone to sue the undersigned

federal prosecutor and that he did not intend to stop or hinder the trial. However, in

recorded telephone calls to Paddy Roberts and Judi Rosenau beginning on April 22,

2012, Defendant Rosenau reaffirmed that his electronic signature was at Paddy Roberts’

disposal. The defendant and Paddy Roberts also discussed the civil lawsuit against the

undersigned prosecutor and that the lawsuit would stop the trial. Of great concern here

is that the defendant, working with Paddy Roberts and others, did try to thwart the trial

and that Defendant Rosenau was less than candid with the Court when directly asked

about it. 

3

Ineligibility for Reduction Pursuant to USSG § 5K1.1

Defendant Rosenau is ineligible to receive a reduction for either a safety valve

proffer or for substantially assisting the United States. His possession of a firearm

eliminated the possibility of a safety valve proffer. Although a motion pursuant to

 Greater detail is set out in the Government’s Response to Defendant’s Motion for 2

Revocation of Detention Order (docket entry no. 63; p. 9 - 11; and incorporated herein). 

This Court heard the motion on November 9, 2011. 

 This was more fully addressed in the Government’s Response to Motion for 3

Release Pending Retrial (docket entry no. 157, and the attachments therein which are

incorporated herein by this reference). 

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 11

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

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USSG § 5K1.1 was at one time theoretically possible, it is no longer a possibility in this

case. Section 5K.1.1, Substantial Assistance, states:

Upon motion of the government stating that the defendant has provided

substantial assistance in the investigation or prosecution of another person

who has committed an offense, the court may depart from the guidelines. 

(a) The appropriate reduction shall be determined by the court for reasons stated

that may include, but are not limited to, consideration of the following:

(1) the court’s evaluation of the significance and usefulness of the

defendant’s assistance, taking into consideration the government’s

evaluation of the assistance rendered;

(2) the truthfulness, completeness, and reliability of any information or

testimony provided by the defendant;

(3) the nature and extent of the defendant’s assistance;

(4) any injury suffered, or any danger or risk of injury to the defendant or

his family resulting from his assistance;

(5) the timeliness of the defendant’s assistance. 

USSG § 5K1.1.

The defendant has not participated in a proffer interview, although at one time he

had requested that the government arrange a date, time, and place for such an interview. 

Arrangements were made and were modified as requested. A proffer interview was

scheduled for August 21, 2012. A few days before the scheduled interview, Defendant

Rosenau cancelled. It had taken nearly a month to arrange the interview. See Gov’t’s

Attachment 6 (E-mail).

More recently, defense counsel inquired whether the defendant could provide

information and receive the benefit of a substantial assistance motion. At least one of

the people about whom Defendant Rosenau volunteered information has already been

extradited from Canada, has been sentenced, and is serving a prison term in the

United States. Clearly, supplying old information about that defendant’s pre-extradition

activities cannot be of substantial assistance to the government. Defendant Rosenau has

expressed an interest in supplying information on another man who has already been

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 12

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 12 of 18
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arrested in Canada on a U.S. extradition request, and who, on the Internet, is associated

with Paddy Roberts. The government is not willing to entertain these offers.

Defendant Rosenau’s list of other requirements prior to participating in a proffer

interview has rendered the process unworkable. See Gov’t Attachment 7 (E-mail).

Final Guideline Calculations

Defendant Rosenau has a total base offense level of 36 (32; plus two levels for the

firearm; plus two levels for being a pilot; plus two levels for obstruction/perjury; minus 2

levels for acceptance of responsibility, if he qualifies). Defendant has no known

criminal history. A total offense level of 36, with a criminal history category of I, results

in an advisory guideline range of 188 months to 235 months. 

V. CONSIDERATION OF 18 U.S.C. § 3553 SENTENCING FACTORS 

In addition to the Guidelines, the Court must analyze the following: (1) the nature

and circumstances of the offense; (2) the history and characteristics of the defendant;

(3) the need for the sentence to reflect the seriousness of the offense, to promote respect

for the law, and to provide just punishment for the offense; (4) the need for the sentence

to afford adequate deterrence to criminal conduct; (5) the need for the sentence to protect

the public from further crimes of the defendant; (6) the need to provide the defendant

with educational and vocational training, medical care, or other correctional treatment in

the most effective manner; (7) the types of sentences available; (8) the need to provide

restitution to victims; and (9) the need to avoid unwarranted sentence disparity among

defendants involved in similar conduct who have similar records. 18 U.S.C.§ 3553(a).

The nature and circumstances of this continuing and financially successful

offense have been discussed in detail above. The history and characteristics of the

defendant reveal a man who skirts the law when he believes doing so will benefit him,

who prevaricates when asked what he did and why, and who believes dealing with

governments (from pilot and aircraft regulations to police investigations to court matters)

is some sort of a game. The defendant has shown that he will say whatever he thinks is

expedient, whether it’s misleading Transport Canada about aircraft ownership and his

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 13

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

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medical status, or testifying that a dead man committed his crimes. With some

shrewdness, the defendant dealt well in the world of drug smugglers. He flew for some

of the bigger and well-known drug traffickers, such as David Mendoza and Canadian

Trevor Armstrong. He occupied an important position within that world as a top-notch

pilot who could issue orders to those below him. The defendant made a good income

from his crimes, as evidenced by his large home on an expensive and expansive view lot,

his purchase of additional river-front acreage, and his several aircraft. More recently,

Defendant Rosenau has played his lawyers, advisors, and family members against each

other, looking to benefit from some imagined angle, then protesting to each that the

others acted without his knowledge. 

Of particular importance in this sentencing is the need for the sentence to reflect

the seriousness of the offense, to promote respect for the law, to provide just

punishment, and to afford adequate deterrence to criminal conduct. These factors rarely

play as meaningful of a role as they do in this case. The defendant and his cronies have

been public and vocal in their contempt for the law, as evidenced by their blatant

disregard of the United States’ international border and their attempted manipulations of

the court systems in both countries. One result of their actions is that they have a

significant audience in the press, on the Internet, and within the drug trafficking

subculture. Although the Court would not impose a sentence in order to simply send a

message, a lengthy prison term is in order here to deter future criminal conduct on both

sides of the border. 

There is no basis for believing that the defendant will live a law-abiding life in the

future. However, it is unlikely that he will live in the United States after his release from

prison. He is not known to be violent although he countenanced violence when Kip

Whelpley was threatened with a firearm by Trevor Armstrong and his thugs. The

defendant has good job skills and has no need for educational or vocational training. He

has received a medical diagnosis of diabetes, which is manageable in prison. 

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 14

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 14 of 18
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The defendant faces a minimum mandatory term of five years imprisonment and

an advisory range three times as long. No sentence other than prison is available. The

government anticipates that the defendant will apply for a treaty transfer to Canada. The

government believes that such a transfer is likely in the next few years, based on the

defendant’s non-violent history, the controlled substance at issue is marijuana (not

cocaine), and the defendant’s age. No restitution is requested. 

No other defendant in the related cases is similarly situated to Defendant

Rosenau. He is the only senior pilot and aircraft owner who was prosecuted in this

investigation. Other pilots were young men with few flight hours who flew aircraft

belonging to others in hopes of obtaining flight time and some quick cash. The other

pilots were caught fairly quickly, and the government did not have evidence that they

flew dozens of trips over the course of two or more years, that they supervised others, or

that they stored money or helicopters on behalf of the co-conspirators. Defendant

Rosenau is the only pilot and aircraft owner who went to trial and who committed

perjury.

 The younger pilots generally entered guilty pleas rather quickly and made either

safety valve proffers or substantially assisted the government. Those who cooperated

received relatively short terms; those who did not received longer terms.4

David Mendoza is a defendant similarly situated to Defendant Rosenau in scope,

duration, and importance within the criminal organization in this case. Both Defendant

Rosenau and Mr. Mendoza were middle-aged men who engaged in drug trafficking as

their primary occupation. Each of them was responsible for a transportation unit --

Defendant Rosenau transported the drugs across the border and Mendoza transported the

drugs within the United States. They both directed others, generally younger recruits, to

 In this District, inexperienced cooperative pilots Timothy Smith and Shane 4

Menzel received terms of one year and a day. Dustin Haugen was sentenced to time

served in the Eastern District of Washington. After giving a safety valve proffer only, 

Jeremy Snow was sentenced to 46 months. 

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 15

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 15 of 18
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do the heavy lifting. Neither Mendoza nor Defendant Rosenau owned the product or

were end-line distributors, but both were involved in moving thousands of pounds of

marijuana over multiple years. Extradited from Spain after a lengthy hearing,

Mr. Mendoza entered a negotiated guilty plea prior to litigating pre-trial motions or

proceeding to trial. He had prior drug felony convictions, but, at sentencing, he did not

face enhancements for possessing a firearm, maintaining a special skill, obstructing

justice or committing perjury; in turn, he was sentenced to 14 years in prison. 

VI. RECOMMENDATION

After considering the sentencing guidelines and statutory sentencing factors, the

government recommends a sentence of 188 months, which is the lowest end of the

applicable guideline range. The government takes no joy recommending this stiff

sentence, but the recommendation reflects the predictable legal consequences of

Defendant Rosenau’s criminal conduct over the course of at least two years in 2004 and

2005 and his continued unlawful conduct by repeatedly lying to this Court and

///

///

///

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 16

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

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obstructing the American and Canadian justice systems. The defendant’s term of

imprisonment should be followed by five years of supervised release. He is responsible

for the $100 assessment. 

DATED this 25th day of October, 2012. 

Respectfully submitted,

JENNY A. DURKAN

United States Attorney

s/Susan M. Roe 

SUSAN M. ROE

Assistant United States Attorney

United States Attorney’s Office

700 Stewart Street, Suite 5220

Seattle, WA 98101-1271

Telephone: (206) 553-1077

Fax: (206) 553-0755

E-mail: susan.roe@usdoj.gov

 s/Marc A. Perez 

Marc A. Perez

United States Attorney's Office

1201 Pacific Avenue, Suite 700

Tacoma, Washington 98402

Telephone: (253) 428-3822

Fax: (253) 428-3826

Email: Marc.Perez@usdoj.gov

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 17

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 17 of 18
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CERTIFICATE OF SERVICE

I hereby certify that on October 25, 2012, I electronically filed the foregoing with

the Clerk of Court using the CM/ECF system which will send notification of such filing

to the attorneys of record for the defendant. 

s/ Kathleen M. McElroy 

KATHLEEN M. McELROY

Paralegal Specialist

United States Attorney’s Office

700 Stewart, Suite 5220

Seattle, Washington 98101-1271

Phone: 206-553-7970

Fax: 206-553-0755

E-mail: Katie.McElroy@usdoj.gov 

GOVERNMENT’S MEMORANDUM AND

SENTENCING RECOMMENDATION - 18

CR06-157MJP; HENRY ROSENAU

UNITED STATES ATTORNEY

700 Stewart Street, Suite 5220

Seattle, Washington 98101-1271

(206) 553-7970

Case 2:06-cr-00157-MJP Document 176 Filed 10/25/12 Page 18 of 18