1 

 IN THE UNITED STATES DISTRICT COURT 

 FOR THE SOUTHERN DISTRICT OF OHIO 

 EASTERN DIVISION 

UNITED STATES OF AMERICA 

 vs. Criminal Action 2:18-cr-166 

 JUDGE GEORGE C. SMITH 

THOMAS J. ALLEN 

 

REPORT AND RECOMMENDATION 

 The United States of America and defendant Thomas J. Allen 

entered into a plea agreement, executed pursuant to the provisions of 

Rule 11(c)(1)(A) of the Federal Rules of Criminal Procedure, whereby 

defendant agreed to enter a plea of guilty to an information that 

charges him with being a felon in possession of firearms in violation 

of 18 U.S.C. § 922(g) (Count 1), possession with intent to distribute 

heroin in violation of 21 U.S.C. § 841 (Count 2), and possession with 

intent to distribute marijuana in violation of 21 U.S.C. § 841 (Count 

3).1 Information, ECF No. 17. The Information also contains a 

forfeiture count. Id. On September 27, 2018, defendant, accompanied by 

his counsel, appeared for an arraignment and entry of guilty plea 

proceeding. Defendant consented, pursuant to 28 U.S.C. §636(b)(3), to 

enter a guilty plea before a Magistrate Judge. See United States v. 

Cukaj, 2001 WL 1587410 at *1 (6th Cir. 2001)(Magistrate Judge may 

accept a guilty plea with the express consent of the defendant and 

where no objection to the report and recommendation is filed). 

Defendant also waived his right to an indictment in open court and 

after being advised of the nature of the charge and of his rights. 

See Fed. R. Crim P. 7(b). 

 1 Under the Plea Agreement, ECF No. 18, defendant agreed to the 

forfeiture provision contained in the Information. The Plea Agreement also 

includes an appellate waiver provision which preserves only certain claims 

for appeal or collateral challenge. 
 During the plea proceeding, the undersigned observed the 

appearance and responsiveness of defendant in answering questions. 

Based on that observation, the undersigned is satisfied that, at the 

time he entered his guilty pleas, defendant was in full possession of 

his faculties, was not suffering from any apparent physical or mental 

illness, and was not under the influence of narcotics or alcohol. 

 Prior to accepting defendant’s pleas, the undersigned addressed 

defendant personally and in open court and determined his competence 

to plead. Based on the observations of the undersigned, defendant 

understands the nature and meaning of the charges in the Information 

and the consequences of his pleas of guilty to those charges. 

Defendant was also addressed personally and in open court and advised 

of each of the rights referred to in Rule 11 of the Federal Rules of 

Criminal Procedure. 

 Having engaged in the colloquy required by Rule 11, the Court 

concludes that defendant’s pleas are voluntary. Defendant 

acknowledged that the plea agreement signed by him, his attorney and 

the attorney for the United States and filed on August 9, 2018, 

represents the only promises made by anyone regarding the charges in 

the Information. Defendant was advised that the District Judge may 

accept or reject the plea agreement and that, even if the Court 

refuses to accept any provision of the plea agreement not binding on 

the Court, defendant may nevertheless not withdraw his guilty pleas. 

 Defendant confirmed the accuracy of the statement of facts 

supporting the charges, which is attached to the Plea Agreement. He 

confirmed that he is pleading guilty to Counts 1, 2, and 3 of the 

Information because he is in fact guilty of those offenses. The Court 

concludes that there is a factual basis for the pleas. 

 The Court concludes that defendant’s pleas of guilty to Counts 1, 

2, and 3 of the Information are knowingly and voluntarily made with 

understanding of the nature and meaning of the charges and of the 

consequences of the pleas. 
3 

 It is therefore RECOMMENDED that defendant’s guilty pleas to 

Counts 1, 2, and 3 of the Information be accepted. Decision on 

acceptance or rejection of the plea agreement was deferred for 

consideration by the District Judge after the preparation of a 

presentence investigation report. 

 In accordance with S.D. Ohio Crim. R. 32.1, and as expressly 

agreed to by defendant through counsel, a written presentence 

investigation report will be prepared by the United States Probation 

Office. Defendant will be asked to provide information; defendant’s 

attorney may be present if defendant so wishes. Objections to the 

presentence report must be made in accordance with the rules of this 

Court. 

 If any party seeks review by the District Judge of this Report 

and Recommendation, that party may, within fourteen (14) days, file 

and serve on all parties objections to the Report and Recommendation, 

specifically designating this Report and Recommendation, and the part 

thereof in question, as well as the basis for objection thereto. 28 

U.S.C. §636(b)(1); F.R. Civ. P. 72(b). Response to objections must be 

filed within fourteen (14) days after being served with a copy 

thereof. F.R. Civ. P. 72(b). 

 The parties are specifically advised that failure to object to 

the Report and Recommendation will result in a waiver of the right to 

de novo review by the District Judge and of the right to appeal the 

decision of the District Court adopting the Report and Recommendation. 

See Thomas v. Arn, 474 U.S. 140 (1985); Smith v. Detroit Federation of 

Teachers, Local 231 etc., 829 F.2d 1370 (6th Cir. 1987); United States 

v. Walters, 638 F.2d 947 (6th Cir. 1981). 

September 27, 2018 s/ Norah McCann King 

 Date Norah McCann King 

 United States Magistrate Judge