F ILED United States Court of

Appeals Tenth Circuit



### J ul y 2 4 , 2 0 1 9

Elisabeth A. Shum aker
Clerk of Court U N I T E D S T A T E S C O U R T O F A P P E A L S

T E N T H C I R C U I T

U N I T E D S T A T E S O F A M E R I C A

,

P l a i n t i f f

- A p p e l l e e ,

v

.

P A U L R U B I O

- S E P U L V E D A

, a / k / a P e l o n ,

D e f

e n d a n t

- A p p e l l a n t

. N o

. 1 8

- 1 0 5 5 ( D

. C

. N o

. 1 : 1 4

- C R

- 0 0 1 4 4

- C M A

- 5 )

( D

. C o l o

. )

O R D E R A N D J U D G M E N T *

B e f o r e H O L M E S

, M c K A Y

, a n d K E L L Y

, C i r c u i t J u d g e s

.

D e f e n d a n t

- a p p e l l a n t P a u l R u b i o

- S e p u l v e d a a p p e a l s f r o m t h e s e n t e n c e h e

r e c e i v e d a f

t e r p l e a d i n g g u i l t y t o t w o c o u n t s r e l a t i n g t o h i s r o l e i n a d r u g a n d

m o n e y

- l a u n d e r i n g c o n s p i r a c y

. H e a r g u e s t h a t t h e d i s t r i c t c o u r t p r o c e d u r a l l y

e r r e d i n a p p l y i n g a f

o u r

- l e v e l “ o r g a n i z e r o r l e a d e r ” e n h a n c e m e n t p u r s u a n t t o

§ 3 B 1

. 1 ( a ) o f t h e U n i t e d S t a t e s S e n t e n c i n g G u i d e l i n e s ( “ U

. S

. S

. G

. ” o r

“ G u i d e l i n e s ” )

, t h a t h i s s e n t e n c e w a s s u b s t a n t i v e l y u n r e a s o n a b l e , a n d t h a t t h e

* T h i s o r d e r a n d j u d g m e n t i s n o t b i n d i n g p r e c e d e n t e x c e p t u n d e r t h e d o c t r i n e s o f l a w o f t h e c a s e , r e s j u d i c a t a , a n d c o l l a t e r a l e s t o p p e l

. I t m a y b e

c i t e d

, h o w e v e r , f

o r i t s p e r s u a s i v e v a l u e c o n s i s t e n t w i t h F e d

. R

. A p p

. P

. 3 2

. 1 a n d

1 0 t h C i r

. R

. 3 2

. 1

.d i s t r i c t c o u r t e r r e d i n p r o c e e d i n g w i t h h i s s e n t e n c i n g h e a r i n g e v e n t h o u g h h i s

c o u n s e l h a d s t a t e d t h a t s h e w a s n o t r e a d y

. F o r t h e r e a s o n s e x p l a i n e d b e l o w , w e

c o n c l u d e t h a t t h e d i s t r i c t c o u r t c l e a r l y e r r e d i n a p p l y i n g t h e § 3 B 1

. 1 ( a )

e n h a n c e m e n t i n c o m p u t i n g M r

. R u b i o

- S e p u l v e d a ’ s s e n t e n c e

. O n t h i s b a s i s ,

e x e r c i s i n g j u r i s d i c t i o n u n d e r 2 8 U

. S

. C

. § 1 2 9 1 a n d 1 8 U

. S

. C

. § 3 7 4 2

, w e r e v e r s e

a n d r e m a n d f

o r r e s e n t e n c i n g

.

I

I n S e p t e m b e r 2 0 1 7

, M r

. R u b i o

- S e p u l v e d a p l e a d e d g u i l t y t o t w o c o u n t s

r e l a t i n g t o h i s i n v o l v e m e n t i n a d r u g a n d m o n e y

- l a u n d e r i n g c o n s p i r a c y

. 1 P r i o r t o

s e n t e n c i n g , h e o b j e c t e d t o t h e r e c o m m e n d a t i o n o f t h e p r e s e n t e n c e r e p o r t

( “ P S R ” ) 2 t h a t h e s h o u l d r e c e i v e a f o u r

- l e v e l s e n t e n c i n g e n h a n c e m e n t u n d e r

U

. S

. S

. G

. § 3 B 1

. 1 ( a ) f

o r b e i n g a n “ o r g a n i z e r o r l e a d e r ” o f a c r i m i n a l a c t i v i t y

i n v o l v i n g f

i v e o r m o r e p a r t i c i p a n t s

. I n s t e a d

, M r

. R u b i o

- S e p u l v e d a a r g u e d

, h e

1 T h e f

i r s t c h a r g e d o f

f e n s e w a s c o n s p i r a c y t o d i s t r i b u t e a n d p o s s e s s

w i t h i n t e n t t o d i s t r i b u t e o n e k i l o g r a m o r m o r e o f a m i x t u r e o r s u b s t a n c e

c o n t a i n i n g a d e t e c t a b l e a m o u n t o f h e r o i n , a n d 5 0 0 g r a m s o r m o r e o f a m i x t u r e o r

s u b s t a n c e c o n t a i n i n g a d e t e c t a b l e a m o u n t o f c o c a i n e , i n v i o l a t i o n o f 2 1 U

. S

. C

. § 8 4 1 ( a ) ( 1 )

, ( b ) ( 1 ) ( A ) ( i )

, ( b ) ( 1 ) ( B ) ( i i ) ( I V )

, a n d 1 8 U

. S

. C

. § 2 ; t h e s e c o n d

c h a r g e d o f

f e n s e w a s m o n e y l a u n d e r i n g t o c o n c e a l i l l e g a l p r o c e e d s , i n v i o l a t i o n

o f 1 8 U

. S

. C

. § 1 9 5 6 ( a ) ( 1 ) ( B ) ( i )

.

2 T h e U

. S

. P r o b a t i o n O f f i c e u s e d t h e 2 0 1 6 e d i t i o n o f t h e G u i d e l i n e s i n

c a l c u l a t i n g M r

. R u b i o

- S e p u l v e d a ’ s s e n t e n c e

. B e c a u s e h e d o e s n o t c h a l l e n g e t h i s d e c i s i o n , w e a l s o r e l y o n t h i s e d i t i o n o f t h e G u i d e l i n e s i n o u r a n a l y s i s

.

2h a d m e r e l y b e e n a “ m a n a g e r o r s u p e r v i s o r ” o f t h e c o n s p i r a c y a n d

, t h u s , s h o u l d

o n l y r e c e i v e a t h r e e

- l e v e l e n h a n c e m e n t u n d e r U

. S

. S

. G

. § 3 B 1

. 1 ( b )

.

T h e d i s t r i c t c o u r t d i s a g r e e d

. S p e c i f i c a l l y , a t t h e s e n t e n c i n g h e a r i n g , t h e

c o u r t n o t e d t h a t M r

. R u b i o

- S e p u l v e d a h a d w o r k e d a s a “ d i s p a t c h e r ” f o r t h e

c o n s p i r a c y , w i t h i n t e r c e p t e d c o m m u n i c a t i o n s s h o w i n g t h a t h e h a d “ s e r v [ e d ]

a p p r o x i m a t e l y 2 5 s t r e e t

- l e v e l d i s t r i b u t o r s a d a y w i t h h e r o i n a t a h a l f o u n c e , a n

o u n c e , o r m u l t i p l e

- o u n c e l e v e l s

. ” R

. , V o l

. I X

, a t 2 9 9 ( T r

. o f S e n t e n c i n g H r ’ g ,

d a t e d F e b

. 5

– 6

, 2 0 1 8 )

. T h e c o u r t a l s o c i t e d e v i d e n c e r e v e a l i n g t h a t M r

. R u b i o

S e p u l v e d a w a s “ c o o r d i n a t i n g r u n n e r s a n d s t r e e t

- l e v e l d e a l e r s , w h o m e t t h e

r u n n e r s t o o b t a i n n a r c o t i c i n v e n t o r y

. ” I d

. M r

. R u b i o

- S e p u l v e d a , t h e c o u r t

c o n t i n u e d

, s o m e t i m e s “ s e t [ ] t e r m s o f p a y m e n t a n d p r i c e s ” t o s t r e e t

- l e v e l d e a l e r s

.

I d

. F i n a l l y , t h e c o u r t n o t e d t h a t t h e e v i d e n c e s h o w e d t h a t M r

. R u b i o

- S e p u l v e d a

w a s “ a c t i v e l y i n v o l v e d i n l a u n d e r i n g t h e m o n e y f r o m t h e [ c o n s p i r a c y ’ s ] d r u g

s a l e s

. ” I d

. a t 3 0 0

. T h e s e f

a c t s , t h e c o u r t c o n c l u d e d

, w e r e s u f f i c i e n t t o e s t a b l i s h

t h a t M r

. R u b i o

- S e p u l v e d a q u a l i f i e d f o r t h e f o u r

- l e v e l “ o r g a n i z e r o r l e a d e r ”

e n h a n c e m e n t u n d e r § 3 B 1

. 1 ( a )

.

I n c l u d i n g t h e § 3 B 1

. 1 ( a ) e n h a n c e m e n t

, M r

. R u b i o

- S e p u l v e d a ’ s t o t a l

o f f e n s e l e v e l w a s t h i r t y

- s i x , c o n t r i b u t i n g t o a G u i d e l i n e s s e n t e n c i n g r a n g e o f 1 8 8

t o 2 3 5 m o n t h s ’ i m p r i s o n m e n t

. A f t e r r e c e i v i n g a s e n t e n c e a t t h e t o p o f t h a t

r a n g e , M r

. R u b i o

- S e p u l v e d a t i m e l y a p p e a l e d

. O n a p p e a l

, h e a r g u e s t h a t t h e

3d i s t r i c t c o u r t p r o c e d u r a l l y e r r e d i n a p p l y i n g t h e § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ”

e n h a n c e m e n t t o h i s s e n t e n c e , s p e c i f i c a l l y c o n t e n d i n g t h a t h i s r o l e a s a

c o o r d i n a t o r a n d d i s p a t c h e r f o r t h e c o n s p i r a c y w a r r a n t e d o n l y a t h r e e

- l e v e l

“ m a n a g e r o r s u p e r v i s o r ” e n h a n c e m e n t u n d e r § 3 B 1

. 1 ( b )

. M r

. R u b i o

- S e p u l v e d a

f u r t h e r a r g u e s t h a t h i s s e n t e n c e w a s s u b s t a n t i v e l y u n r e a s o n a b l e a n d t h a t t h e

d i s t r i c t c o u r t e r r e d b y p r o c e e d i n g w i t h h i s s e n t e n c i n g h e a r i n g e v e n t h o u g h h i s

c o u n s e l h a d s t a t e d t h a t s h e w a s n o t r e a d y f o r t h a t h e a r i n g

.

I I

W e a g r e e w i t h M r

. R u b i o

- S e p u l v e d a t h a t t h e d i s t r i c t c o u r t c l e a r l y e r r e d i n

a p p l y i n g t h e § 3 B 1

. 1 ( a ) e n h a n c e m e n t i n c a l c u l a t i n g h i s s e n t e n c e , a n d w e r e v e r s e

a n d r e m a n d o n t h i s b a s i s

. A c c o r d i n g l y , w e n e e d n o t a n d d o n o t o p i n e o n M r

.

R u b i o

- S e p u l v e d a ’ s o t h e r s e n t e n c i n g

- b a s e d a p p e l l a t e c h a l l e n g e s

.

A

A d i s t r i c t c o u r t ’ s c o n c l u s i o n t h a t a d e f e n d a n t q u a l i f

i e s f o r a n e n h a n c e m e n t

u n d e r U

. S

. S

. G

. § 3 B 1

. 1 ( a ) i s a f a c t u a l d e t e r m i n a t i o n t h a t w e r e v i e w f o r c l e a r

e r r o r

. S e e U

n i t e d S t a t e s v

. C r u z C a m a c h o , 1 3 7 F

. 3 d 1 2 2 0

, 1 2 2 3

– 2 4 ( 1 0 t h C i r

.

1 9 9 8 )

. “ F a c t u a l f

i n d i n g s a r e c l e a r l y e r r o n e o u s o n l y i f t h e y a r e w i t h o u t f a c t u a l

s u p p o r t i n t h e r e c o r d o r i f t h i s c o u r t

, c o n s i d e r i n g a l l t h e e v i d e n c e , i s l e f t w i t h a

d e f i n i t e a n d f

i r m c o n v i c t i o n t h a t a m i s t a k e h a s b e e n m a d e

. ” U n i t e d S t a t e s v

.

L o z a n o , 9 2 1 F

. 3 d 9 4 2

, 9 4 6 ( 1 0 t h C i r

. 2 0 1 9 )

.

4T h e g o v e r n m e n t b e a r s t h e b u r d e n a t s e n t e n c i n g t o e s t a b l i s h t h e e v i d e n t i a r y

b a s i s f o r a § 3 B 1

. 1 ( a ) e n h a n c e m e n t b y a p r e p o n d e r a n c e o f t h e e v i d e n c e

. S e e
,

e

. g

. , U n i t e d S t a t e s v

. S a l l i s , 5 3 3 F

. 3 d 1 2 1 8

, 1 2 2 4 ( 1 0 t h C i r

. 2 0 0 8 ) ; U n i t e d S t a t e s

v

. T o r r e s , 5 3 F

. 3 d 1 1 2 9

, 1 1 4 2 ( 1 0 t h C i r

. 1 9 9 5 )

.

B

U

. S

. S

. G

. § 3 B 1

. 1 p r o v i d e s f o r a s e n t e n c i n g e n h a n c e m e n t w h e r e t h e

d e f e n d a n t h a d a n “ [ a ] g g r a v a t i n g [ r ] o l e ” i n t h e o f f e n s e

. U

. S

. S

. G

. § 3 B 1

. 1 ; s e e
,

e

. g

. , U n i t e d S t a t e s v

. G a l l a n t

, 5 3 7 F

. 3 d 1 2 0 2

, 1 2 4 0 ( 1 0 t h C i r

. 2 0 0 8 )

. I n

p a r t i c u l a r , a n d a s i s r e l e v a n t h e r e , § 3 B 1

. 1 ( a ) c a l l s f o r a f o u r

- l e v e l e n h a n c e m e n t

“ [ i ] f t h e d e f

e n d a n t w a s a n o r g a n i z e r o r l e a d e r o f a c r i m i n a l a c t i v i t y t h a t

i n v o l v e d f

i v e o r m o r e p a r t i c i p a n t s [ 3 ] o r w a s o t h e r w i s e e x t e n s i v e , ” w h e r e a s

§ 3 B 1

. 1 ( b ) c a l l s f

o r a t h r e e

- l e v e l e n h a n c e m e n t “ [ i ] f t h e d e f e n d a n t w a s a m a n a g e r

o r s u p e r v i s o r ( b u t n o t a n o r g a n i z e r o r l e a d e r ) a n d t h e c r i m i n a l a c t i v i t y i n v o l v e d

f i v e o r m o r e p a r t i c i p a n t s o r w a s o t h e r w i s e e x t e n s i v e

. ” 4 U

. S

. S

. G

. § 3 B 1

. 1

( e m p h a s e s a d d e d ) ( f

o o t n o t e a d d e d )

.

T o h e l p d i s t i n g u i s h “ a l e a d e r s h i p a n d o r g a n i z a t i o n a l r o l e f r o m o n e o f m e r e

m a n a g e m e n t o r s u p e r v i s i o n , ” A p p l i c a t i o n N o t e 4 t o § 3 B 1

. 1 e x p l a i n s t h a t :

3 T h e p a r t i e s d o n o t d i s p u t e t h a t t h e c o n s p i r a c y M r

. R u b i o

- S e p u l v e d a

p a r t i c i p a t e d i n i n v o l v e d f i v e o r m o r e p a r t i c i p a n t s

.

4 U

. S

. S

. G

. § 3 B 1

. 1 ( c ) c a l l s f o r a t w o

- l e v e l e n h a n c e m e n t “ [ i ] f t h e d e f e n d a n t w a s a n o r g a n i z e r , l e a d e r , m a n a g e r , o r s u p e r v i s o r i n a n y c r i m i n a l

a c t i v i t y o t h e r t h a n d e s c r i b e d i n [ § 3 B 1

. 1 ] ( a ) o r ( b )

. ”

5[ T ] i t l e s s u c h a s “ k i n g p i n ” o r “ b o s s ” a r e n o t c o n t r o l l i n g

. F a c t o r s

t h e c o u r t s h o u l d c o n s i d e r i n c l u d e t h e e x e r c i s e o f d e c i s i o n

m a k i n g a u t h o r i t y , t h e n a t u r e o f p a r t i c i p a t i o n i n t h e c o m m i s s i o n

o f t h e o f f e n s e , t h e r e c r u i t m e n t o f a c c o m p l i c e s , t h e c l a i m e d r i g h t

t o a l a r g e r s h a r e o f t h e f r u i t s o f t h e c r i m e , t h e d e g r e e o f

p a r t i c i p a t i o n i n p l a n n i n g o r o r g a n i z i n g t h e o f f e n s e , t h e n a t u r e

a n d s c o p e o f t h e i l l e g a l a c t i v i t y , a n d t h e d e g r e e o f c o n t r o l a n d

a u t h o r i t y e x e r c i s e d o v e r o t h e r s

.

U

. S

. S

. G

. § 3 B 1

. 1 c m t

. n

. 4

. O u r c a s e l a w e l a b o r a t e s t h a t

, “ [ i ] n c o n s i d e r i n g t h e s e

f a c t o r s [ l i s t e d i n A p p l i c a t i o n N o t e 4 t o § 3 B 1

. 1 ]

, t h e s e n t e n c i n g c o u r t s h o u l d

r e m a i n c o n s c i o u s o f t h e f a c t t h a t t h e g r a v a m e n o f [ t h e § 3 B 1

. 1 ( a ) ] e n h a n c e m e n t

i s c o n t r o l

, o r g a n i z a t i o n
, a n d r e s p o n s i b i l i t

y f o r t h e a c t i o n s o

f o t h e r i n d i v i d u a l s

. ”

S a l l i s , 5 3 3 F

. 3 d a t 1 2 2 3 ( f i r s t a l t e r a t i o n i n o r i g i n a l ) ( e m p h a s i s a d d e d ) ( q u o t i n g

T o r r e s , 5 3 F

. 3 d a t 1 1 4 2 ) ; s e e C r u z C a m a c h o , 1 3 7 F

. 3 d a t 1 2 2 4 ( s t a t i n g t h a t a

§ 3 B 1

. 1 ( a ) e n h a n c e m e n t r e q u i r e s p r o o f “ t h a t D e f e n d a n t e x e r c i s e d l e a d e r s h i p

c o n t r o l o v e r a t l e a s t o n e p e r s o n ” ( e m p h a s i s a d d e d ) ) ; c f

. T o r r e s , 5 3 F

. 3 d a t 1 1 4 3

( “ I n t h e a b s e n c e o f s o m e e v i d e n c e o f c o n t r o l

, w e a r e c o m p e l l e d t o c o n c l u d e t h e

d i s t r i c t c o u r t ’ s f

i n d i n g t h a t [ t h e d e f

e n d a n t ] w a s a l e a d e r o r o r g a n i z e r i s n o t

s u p p o r t e d b y t h e r e c o r d a n d i s t h e r e f o r e c l e a r l y e r r o n e o u s

. ” )

.

F u r t h e r m o r e , w e h a v e i d e n t i f i e d v a r i o u s “ i n d i c i a

. . . a s b e a r i n g o n t h e

p r e s e n c e o r a b s e n c e ” o f t h e l e v e l o f l e a d e r s h i p a n d c o n t r o l r e q u i r e d f o r a

§ 3 B 1

. 1 ( a ) e n h a n c e m e n t

. T o r r e s , 5 3 F

. 3 d a t 1 1 4 3

. T h e s e i n d i c i a , a s w e h a v e

s t a t e d b e f

o r e i n c a s e s i n v o l v i n g d r u g c o n s p i r a c i e s , i n c l u d e t h a t “ o t h e r s e l l e r s

w o r k e d f o r [ t h e d e f

e n d a n t ]

, w e r e r e c r u i t e d b y h i m , o r h a d t h e i r a c t i v i t i e s

6c o n t r o l l e d b y h i m ; ‘ [ t h e d e f e n d a n t ] p a i d o t h e r s f

o r t h e i r e f

f o r t s o n b e h a l f o f t h e

c o n s p i r a c y ’ ; ‘ [ t h e d e f

e n d a n t ] r e s t r i c t e d t h e p e o p l e t o w h o m o t h e r c o c o n s p i r a t o r s

c o u l d s e l l t h e i r d r u g s ’ ; a n d ‘ [ t h e d e f e n d a n t ] c o n t r o l l e d t h e m a n n e r o f s a l e s , s e t

p r i c e s , o r c l a i m e d t h e r i g h t t o a l a r g e r s h a r e o f p r o c e e d s

. ’ ” S a l l i s , 5 3 3 F

. 3 d a t

1 2 2 3 ( q u o t i n g U

n i t e d S t a t e s v

. A n d e r s o n , 1 8 9 F

. 3 d 1 2 0 1

, 1 2 1 2 ( 1 0 t h C i r

. 1 9 9 9 ) ) ;

s e e a l s o U

n i t e d S t a t e s v

. O w e n s , 7 0 F

. 3 d 1 1 1 8

, 1 1 2 9 ( 1 0 t h C i r

. 1 9 9 5 ) ( d i s c u s s i n g

t h e s e “ r e c o g n i z e d i n d i c i a o f l e a d e r s h i p a n d c o n t r o l ” r e l e v a n t t o a § 3 B 1

. 1 ( a )

d e t e r m i n a t i o n )

.

W e h a v e a l s o m a d e c l e a r t h a t a d e f e n d a n t ’ s “ r o l e a s a s u p p l i e r o f d r u g s t o

o t h e r s , s t a n d i n g a l o n e , i s n o t e n o u g h ” t o e s t a b l i s h t h e b a s i s f o r a § 3 B 1

. 1 ( a )

e n h a n c e m e n t

. A n d e r s o n , 1 8 9 F

. 3 d a t 1 2 1 2 ; s e e O w e n s , 7 0 F

. 3 d a t 1 1 2 9

. A n d

,

m o r e g e n e r a l l y , w e h a v e s t r e s s e d t h a t a d e f e n d a n t ’ s “ r e l a t i v e i m p o r t a n c e t o t h e

o r g a n i z a t i o n ” i s d i s t i n c t f r o m “ w h e t h e r h e w a s a l e a d e r o r o r g a n i z e r w h o

e x h i b i t e d c o n t r o l o v e r

. . . o t h e r i n d i v i d u a l s , ” a s r e q u i r e d f o r a § 3 B 1

. 1 ( a )

e n h a n c e m e n t

. T

o r r e s , 5 3 F

. 3 d a t 1 1 4 3 ; s e e i d

. ( s t a t i n g t h a t t h e f a c t t h a t a

d e f e n d a n t w a s t h e “ ‘ e n g i n e ’ t h a t m a d e [ t h e ] o p e r a t i o n r u n ” d i d n o t b e a r o n

w h e t h e r h e w a s a § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ” ) ; S a l l i s , 5 3 3 F

. 3 d a t 1 2 2 3

( “ [ S e c t i o n ] 3 B 1

. 1 ( a ) i s a n e n h a n c e m e n t f o r o r g a n i z e r s o r l e a d e r s , n o t f o r

i m p o r t a n t o r e s s e n t i a l f i g u r e s

. ” ( q u o t i n g T

o r r e s , 5 3 F

. 3 d a t 1 1 4 2 ) )

.

7C

W e c o n c l u d e t h a t t h e d i s t r i c t c o u r t c l e a r l y e r r e d i n a p p l y i n g t h e § 3 B 1

. 1 ( a )

e n h a n c e m e n t i n c a l c u l a t i n g M r

. R u b i o

- S e p u l v e d a ’ s s e n t e n c e

. S p e c i f i c a l l y ,

t h o u g h M r

. R u b i o

- S e p u l v e d a h a d s o m e c o n t r o l o r a u t h o r i t y o v e r o t h e r s i n t h e

c o n s p i r a c y , t h e g o v e r n m e n t c i t e s n o r e c o r d e v i d e n c e , n o r h a v e w e i n d e p e n d e n t l y

f o u n d a n y , t h a t w o u l d s u p p o r t a f i n d i n g t h a t t h e i n d i c i a o f a § 3 B 1

. 1 ( a )

“ o r g a n i z e r o r l e a d e r ” a r e p r e s e n t o r t h a t M r

. R u b i o

- S e p u l v e d a o t h e r w i s e h a d a

h e i g h t e n e d d e g r e e o f “ c o n t r o l

, o r g a n i z a t i o n , a n d r e s p o n s i b i l i t y f o r t h e a c t i o n s o f

o t h e r i n d i v i d u a l s ”

— s u c h t h a t w e c o u l d p e r m i s s i b l y c o n c l u d e t h a t t h e d i s t r i c t

c o u r t d i d n o t c l e a r l y e r r h e r e i n a p p l y i n g § 3 B 1

. 1 ( a ) ’ s e n h a n c e m e n t

. S a l l i s , 5 3 3

F

. 3 d a t 1 2 2 3 ( q u o t i n g T o r r e s , 5 3 F

. 3 d a t 1 1 4 2 )

.

1

A s t h e d i s t r i c t c o u r t n o t e d

, a n d a s t h e g o v e r n m e n t p o i n t s o u t o n a p p e a l

,

M r

. R u b i o

- S e p u l v e d a h a d s o m e c o n t r o l o r a u t h o r i t y o v e r o t h e r s i n t h e

c o n s p i r a c y

. F o r i n s t a n c e , a s a “ c o o r d i n a t o r [ o r ] d i s p a t c h e r , ” h e o p e r a t e d a

“ s o u r c e p h o n e ” t h r o u g h w h i c h h e r e c e i v e d d r u g d e l i v e r y r e q u e s t s f r o m v a r i o u s

d e a l e r s i n t h e c o n s p i r a c y a n d e i t h e r f u l f i l l e d t h o s e r e q u e s t s h i m s e l f o r e l s e

“ d i s p a t c h e d ” s o m e o n e t o m a k e t h o s e d e l i v e r i e s a t m e e t i n g s h e s c h e d u l e d

. R

. ,

V o l

. V I I

, a t 9 1

– 9 2 ( T r

. o f M o t s

. H r ’ g , d a t e d J a n

. 5

, 2 0 1 7 ) ; i d

. a t 3 0 4

– 0 5 ( T r

. o f

M o t s

. H r ’ g

– V o l

. 1

, d a t e d F e b

. 2 1

, 2 0 1 7 )

. A d d i t i o n a l l y , a n o t h e r m e m b e r o f t h e

8c o n s p i r a c y , J a c k i e M e n d o z a , o n c e g r a n t e d M r

. R u b i o

- S e p u l v e d a ’ s r e q u e s t 5 t o

c r e a t e f i c t i t i o u s e m p l o y m e n t l e t t e r s f o r c o

- c o n s p i r a t o r s s o t h a t t h e y c o u l d r e n t

a p a r t m e n t s

. S e e i d

. a t 6 0 0

– 0 2 ( T r

. o f M o t s

. H r ’ g

– V o l

. 2

, d a t e d M a r

. 9

, 2 0 1 7 )

.

B u t t h e m e r e f

a c t t h a t M r

. R u b i o

- S e p u l v e d a h a d s o m e a u t h o r i t y t o

c o o r d i n a t e o r c o n t r o l o t h e r s i s n o t e n o u g h t o q u a l i f y h i m a s a § 3 B 1

. 1 ( a )

“ o r g a n i z e r o r l e a d e r

. ” A f t e r a l l

, w e h a v e s t a t e d t h a t a § 3 B 1

. 1 ( b ) “ m a n a g e r o r

s u p e r v i s o r ”

— w h o i s , b y d e f i n i t i o n , n o t a § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ”

— m u s t

h a v e “ d e c i s i o n

- m a k i n g a u t h o r i t y o r c o n t r o l o v e r a s u b o r d i n a t e

. ” U n i t e d S t a t e s v

.

R o b e r t s , 1 4 F

. 3 d 5 0 2

, 5 2 4 ( 1 0 t h C i r

. 1 9 9 3 ) ( e m p h a s i s o m i t t e d ) ; s e e a l s o U n i t e d

S t a t e s v

. P e n a

- H

e r m o s i l l o , 5 2 2 F

. 3 d 1 1 0 8

, 1 1 1 9 ( 1 0 t h C i r

. 2 0 0 8 ) ( e x p l a i n i n g t h a t

a “ s u p e r v i s o r ” u n d e r § 3 B 1

. 1 ( b ) “ i s o n e w h o e x e r c i s e d s o m e d e g r e e o f c o n t r o l

o v e r o t h e r s i n v o l v e d i n t h e c o m m i s s i o n o f t h e o f f e n s e o r

. . . [ w a s ] r e s p o n s i b l e

f o r o r g a n i z i n g o t h e r s f

o r t h e p u r p o s e o f c a r r y i n g o u t t h e c r i m e ” ( q u o t i n g U n i t e d

S t a t e s v

. A l l e m a n d

, 3 4 F

. 3 d 9 2 3

, 9 3 1 ( 1 0 t h C i r

. 1 9 9 4 ) ) )

. I n o t h e r w o r d s , w h a t

d i s t i n g u i s h e s a § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ” f r o m a § 3 B 1

. 1 ( b ) “ m a n a g e r o r

s u p e r v i s o r ” i s n o t t h e m e r e e x i s t e n c e o f “ c o n t r o l a n d a u t h o r i t y e x e r c i s e d o v e r

o t h e r s ” b u t r a t h e r “ t h e d e g r e e ” o f t h a t c o n t r o l a n d a u t h o r i t y

. U

. S

. S

. G

.

5 T h e g o v e r n m e n t a s s e r t s t h a t M r

. R u b i o

- S e p u l v e d a “ d i r e c t e d ” M s

. M e n d o z a t o c r e a t e t h e f i c t i t i o u s l e t t e r s

. A p l e e

. ’ s R e s p

. B r

. a t 2 7

. H o w e v e r , t e c h n i c a l l y , a n d i n s o f

a r a s i t m a t t e r s , t h e r e c o r d s u g g e s t s i t w a s a “ r e q u e s t ”

r a t h e r t h a n a d i r e c t i v e

. R

. , V o l

. V I I

, a t 6 0 1

– 0 2 ( T r

. o f M o t s

. H r ’ g

– V o l

. 2

, d a t e d

M a r

. 9

, 2 0 1 7 )

.

9§ 3 B 1

. 1 c m t

. n

. 4 ( e m p h a s i s a d d e d )

. A n d t h e “ o r g a n i z e r o r l e a d e r ” m u s t p o s s e s s

m o r e o f s u c h c o n t r o l a n d a u t h o r i t y t h a n w o u l d b e r e q u i r e d t o q u a l i f y a s a

“ m a n a g e r o r s u p e r v i s o r

. ”

T h u s , t o d e t e r m i n e w h e t h e r M r

. R u b i o

- S e p u l v e d a q u a l i f i e s a s a n

“ o r g a n i z e r o r l e a d e r , ” w e m u s t l o o k b e y o n d w h e t h e r h e s i m p l y h a d s o m e c o n t r o l

o r a u t h o r i t y o v e r o t h e r s i n t h e c o n s p i r a c y a n d i n s t e a d e x a m i n e w h e t h e r t h e r e i s

e v i d e n c e o f t h o s e “ i n d i c i a

. . . b e a r i n g o n t h e p r e s e n c e ” o f t h e h e i g h t e n e d l e v e l

o f l e a d e r s h i p a n d c o n t r o l r e q u i r e d f o r a § 3 B 1

. 1 ( a ) e n h a n c e m e n t

, T o r r e s , 5 3 F

. 3 d

a t 1 1 4 3 ; c

f

. A n d e r s o n , 1 8 9 F

. 3 d a t 1 2 1 2 ( h o l d i n g t h a t a l a c k o f e v i d e n c e o f t h e s e

i n d i c i a r e n d e r e d § 3 B 1

. 1 ( a ) e n h a n c e m e n t c l e a r l y e r r o n e o u s ) ; O w e n s , 7 0 F

. 3 d a t

1 1 2 9 ( s a m e ) ; T

o r r e s , 5 3 F

. 3 d a t 1 1 4 3 ( s a m e )

, o r , r e l a t e d l y b u t m o r e b r o a d l y ,

w h e t h e r t h e r e i s e v i d e n c e t h a t o t h e r w i s e d e m o n s t r a t e s t h a t M r

. R u b i o

- S e p u l v e d a

h a d a h e i g h t e n e d d e g r e e o f “ c o n t r o l

, o r g a n i z a t i o n , a n d r e s p o n s i b i l i t y f o r t h e

a c t i o n s o f o t h e r i n d i v i d u a l s

. ” S a l l i s , 5 3 3 F

. 3 d a t 1 2 2 3 ( q u o t i n g T o r r e s , 5 3 F

. 3 d

a t 1 1 4 2 )

. W e n o w c o n s i d e r t h e s e q u e s t i o n s

.

2

T u r n i n g t o t h e r e c o r d

, w e f i n d n o e v i d e n c e t h a t M r

. R u b i o

- S e p u l v e d a

q u a l i f i e s a s a § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ” u n d e r o u r r e c o g n i z e d i n d i c i a

.

T h a t i s

— c o n s i s t e n t w i t h M r

. R u b i o

- S e p u l v e d a ’ s a r g u m e n t o n a p p e a l

— t h e r e c o r d

c o n t a i n s n o e v i d e n c e t h a t “ o t h e r s e l l e r s w o r k e d f o r [ M r

. R u b i o

- S e p u l v e d a ]

, w e r e

1 0r e c r u i t e d b y h i m , o r h a d t h e i r a c t i v i t i e s c o n t r o l l e d b y h i m , ” t h a t M r

. R u b i o

S e p u l v e d a “ p a i d o t h e r s f o r t h e i r e f

f o r t s o n b e h a l f o f t h e c o n s p i r a c y , ” t h a t M r

.

R u b i o

- S e p u l v e d a “ r e s t r i c t e d t h e p e o p l e t o w h o m o t h e r c o c o n s p i r a t o r s c o u l d s e l l

t h e i r d r u g s , ” o r t h a t M r

. R u b i o

- S e p u l v e d a “ c o n t r o l l e d t h e m a n n e r o f s a l e s , s e t

p r i c e s , o r c l a i m e d t h e r i g h t t o a l a r g e r s h a r e o f p r o c e e d s

. ” S a l l i s , 5 3 3 F

. 3 d a t

1 2 2 3 ( q u o t i n g A n d e r s o n , 1 8 9 F

. 3 d a t 1 2 1 2 )

.

T h e g o v e r n m e n t n e a r l y c o n c e d e s t h a t t h e r e c o r d d o e s n o t s u p p o r t m a n y o f

t h e s e i n d i c i a

. S e e
, e

. g

. , A p l e e

. ’ s R e s p

. B r

. a t 3 0 ( “ a s s u m i n g , ” w i t h o u t o f f e r i n g

a n y s u b s t a n t i a l a r g u m e n t i n t h e a l t e r n a t i v e , t h a t “ R u b i o

- S e p u l v e d a i s c o r r e c t

. . .

t h a t h e d i d n o t r e s t r i c t t h e p e o p l e t o w h o m t h e o t h e r c o

- c o n s p i r a t o r s c o u l d s e l l

t h e i r d r u g s , s p e c i f

i c a l l y r e c r u i t a c c o m p l i c e s , n o r c l a i m a r i g h t t o a l a r g e r s h a r e o f

t h e f r u i t s o f t h e c r i m e ” )

. A n d t h o u g h t h e g o v e r n m e n t

— t r a c k i n g t h e r e a s o n i n g

t h a t t h e d i s t r i c t c o u r t o f f e r e d

— m a k e s v a r i o u s a s s e r t i o n s t h a t t h e r e c o r d d o e s

s u p p o r t s o m e o f t h e r e m a i n i n g i n d i c i a , w e f i n d t h e s e a s s e r t i o n s u n p e r s u a s i v e

.

F i r s t

, t h e g o v e r n m e n t a s s e r t s t h a t t h e r e i s “ a b u n d a n t e v i d e n c e t h a t [ c o

c o n s p i r a t o r s ] w o r k e d f

o r R u b i o

- S e p u l v e d a

. ” A p l e e

. ’ s R e s p

. B r

. a t 3 0

. I t c i t e s ,

f o r e x a m p l e , p o r t i o n s o f t h e t r a n s c r i p t o f a M a r c h 2 0 1 7 h e a r i n g t h a t c o n c e r n t h e

r e l a t i o n s h i p b e t w e e n M r

. R u b i o

- S e p u l v e d a a n d o n e o f t h e c o n s p i r a c y ’ s d e a l e r s ,

O r l i n C e r r a t o

. T h o s e p o r t i o n s o f t h e t r a n s c r i p t s t a t e t h a t M r

. R u b i o

- S e p u l v e d a

s u p p l i e d M r

. C e r r a t o w i t h h e r o i n a n d c o c a i n e “ j u s t a b o u t e v e r y d a y d u r i n g t h e

1 1w e e k ” o v e r a c e r t a i n p e r i o d

, R

. , V o l

. V I I

, a t 4 1 1

, a n d t h a t M r

. C e r r a t o o n c e

r e q u e s t e d d r u g s f

r o m M r

. R u b i o

- S e p u l v e d a b y t e l l i n g h i m t h a t h e ( M r

. C e r r a t o )

h a d “ a b u n c h o f g u y s l i n e d u p ” t h a t w e r e r e q u e s t i n g d r u g s , i d

. a t 6 6 2

. S e e a l s o

i d

. a t 4 0 9

– 1 0 ( s i m i l a r l y s t a t i n g t h a t M r

. R u b i o

- S e p u l v e d a w a s “ a s u p p l i e r o f

h e r o i n a n d c o c a i n e ” t o M r

. Y o n g e r M a t u t e

- V e n e g a s , a c o

- c o n s p i r a t o r ) ; 6 6 0

( f i n d i n g t h a t a c o

- c o n s p i r a t o r , M r

. J o s e N e m e c i a

- G a r c i a , “ r e q u e s t [ e d ] a n d

r e c e i v e [ d ] n u m e r o u s d r u g d e l i v e r i e s f r o m M r

. R u b i o

- S e p u l v e d a ” )

.

T h e s e s t a t e m e n t s , h o w e v e r , o n l y s u g g e s t t h a t M r

. R u b i o

- S e p u l v e d a

d e l i v e r e d d r u g s o n d e m a n d t o M r

. C e r r a t o , a s w e l l a s o t h e r c o

- c o n s p i r a t o r s ; t h e y

d o n o t s u g g e s t t h a t t h e s e i n d i v i d u a l s w o r k e d f o r M r

. R u b i o

- S e p u l v e d a

.

M o r e o v e r , o t h e r p o r t i o n s o f t h e r e c o r d s t r o n g l y s u g g e s t t h a t M r

. R u b i o

S e p u l v e d a s i m p l y w o r k e d a s a s u p p l i e r t o

— b u t n o t a b o s s f o r

— M r

. C e r r a t o a n d

o t h e r s i n t h e c o n s p i r a c y

. S e e
, e

. g

. , i d

. , V o l

. I I

, a t 4 0 5 ( G o v ’ t R e p l y t o D e f

.

R u b i o

- S e p u l v e d a ’ s O b j s

. t o P S R

, A t t a c h m e n t 6

, f i l e d J a n

. 2 3

, 2 0 1 8 )

( s u m m a r i z i n g p h o n e c o n v e r s a t i o n w h e r e M r

. C e r r a t o t o l d M r

. R u b i o

- S e p u l v e d a

t o “ c o m e b y ” f

o r a d e l i v e r y ) ; i d

. a t 4 2 0 ( s i m i l a r ) ; i d

. , V o l

. V I I

, a t 3 0 4

– 0 5 ( “ [ M r

.

R u b i o

- S e p u l v e d a ] w a s t h e g u y t h a t w a s a n s w e r i n g w h a t w e l a b e l e d a s t h e s o u r c e

p h o n e a t t h a t p o i n t i n t i m e

. A l s o , h e w a s t h e g u y w h o w a s g o i n g a n d d e l i v e r i n g

a m o u n t s o f w h a t e v e r d r u g s w e r e b e i n g a s k e d f o r t o d i f f e r e n t p e o p l e t h a t c a l l e d

t h a t p h o n e

. ” )

. A n d

, a s w e p r e v i o u s l y h a v e m a d e c l e a r , a d e f e n d a n t ’ s “ r o l e a s a

1 2s u p p l i e r o f d r u g s t o o t h e r s , s t a n d i n g a l o n e , i s n o t e n o u g h t o e s t a b l i s h h i s r o l e a s

a l e a d e r o r o r g a n i z e r

. ” A n d e r s o n , 1 8 9 F

. 3 d a t 1 2 1 2

. 6

S e c o n d

, a n d c o n s i s t e n t w i t h s t a t e m e n t s m a d e b y t h e d i s t r i c t c o u r t a t

s e n t e n c i n g , t h e g o v e r n m e n t a s s e r t s t h a t t h e r e i s e v i d e n c e s h o w i n g t h a t M r

.

R u b i o

- S e p u l v e d a “ i n d i v i d u a l l y s e t d r u g q u a n t i t i e s , p r i c e s a n d p a y m e n t f o r t h e

d r u g s h e d i s t r i b u t e d t o l o w e r

- l e v e l d e a l e r s

. ” A p l e e

. ’ s R e s p

. B r

. a t 2 6

. B u t t h e

e v i d e n c e t h e g o v e r n m e n t p o i n t s t o c a n n o t w i t h s t a n d s c r u t i n y

. S p e c i f i c a l l y , t h e

g o v e r n m e n t c i t e s a p o r t i o n o f M r

. R u b i o

- S e p u l v e d a ’ s d e c l a r a t i o n i n s u p p o r t o f

h i s g u i l t y p l e a w h i c h s t a t e s t h a t “ M r

. R u b i o

- S e p u l v e d a d i r e c t l y c o m m u n i c a t e d

w i t h [ d e a l e r s i n t h e c o n s p i r a c y ] a s t o d r u g q u a n t i t i e s , p r i c e s , a n d p a y m e n t

. ” R

. ,

V o l

. I I

, a t 2 9 0 ( D e f

. ’ s D e c l

. i n S u p p o r t o f G u i l t y P l e a , f i l e d S e p t

. 1 3

, 2 0 1 7 )

( e m p h a s i s a d d e d )

. B u t

, a s M r

. R u b i o

- S e p u l v e d a a r g u e s p e r s u a s i v e l y , “ a n y

6 B e c a u s e t h e r e c o r d d o e s n o t s u p p o r t t h a t c o

- c o n s p i r a t o r s w o r k e d f o r
M r

. R u b i o

- S e p u l v e d a , t h e g o v e r n m e n t ’ s r e f e r e n c e t o U

n i t e d S t a t e s v

. C h a n d l e r , 5 F

. A p p ’ x 8 3 9 ( 1 0 t h C i r

. 2 0 0 1 ) ( u n p u b l i s h e d )

, i s i n a p p o s i t e

. I n C h a n d l e r , a

p a n e l o f t h i s c o u r t d e t e r m i n e d t h a t t h e d e f e n d a n t q u a l i f

i e d f o r a § 3 B 1

. 1 ( a )

e n h a n c e m e n t i n p a r t b e c a u s e h e “ h a d o t h e r s s e l l i n g c r a c k f o r h i m , ” w h i c h

a l l o w e d t h e p a n e l t o “ p r e s u m e t h a t [ t h e d e f e n d a n t ]

. . . p o s s i b l y d e f i n e [ d ]

t e r r i t o r i e s [ f

o r t h o s e w o r k e r s ] a n d s e t s e l l i n g p r i c e s a n d c o m m i s s i o n s

. ” 5 F

. A p p ’ x a t 8 5 1 ( e m p h a s i s a d d e d )

. B u t w e c a n m a k e n o s u c h p r e s u m p t i o n h e r e :

u n l i k e i n C h a n d l e r

— w h e r e t h e r e w a s e v i d e n c e t h a t p o t e n t i a l l y “ f i f t e e n p e o p l e

w o r k [ e d ] f

o r [ t h e d e f

e n d a n t ] i n h i s d r u g o p e r a t i o n , ” i d

. a t 8 4 4

— t h e r e i s n o

s u p p o r t i n t h e r e c o r d f

o r a f i n d i n g t h a t M r

. R u b i o

- S e p u l v e d a s e r v e d a s a n y t h i n g

o t h e r t h a n a s u p p l i e r f

o r t h o s e h e d e l i v e r e d d r u g s t o

.

1 3e v i d e n c e t h a t [ h e ] ‘ c o m m u n i c a t e d

. . . a s t o d r u g q u a n t i t i e s , p r i c e s a n d p a y m e n t ’

d o e s n o t m e a n h e i s t h e o n e t h a t s e t t h o s e p r i c e s a n d q u a n t i t i e s a s o p p o s e d t o

r e l a y i n g t h e m

. ” A p l t

. ’ s R e p l y B r

. a t 9 ( e m p h a s e s a d d e d ) ( q u o t i n g A p l e e

. ’ s R e s p

.

B r

. a t 2 7 ) ; s e e
, e

. g

. , C o m m u n i c a t e , T H E N E W O X F O R D A M E R I C A N D I C T I O N A R Y

3 4 4 ( 2 d e d

. 2 0 0 5 ) ( “ [ T o ] i m p a r t o r p a s s o n ( i n f o r m a t i o n , n e w s , o r i d e a s )

. ” )

.

I n a n a t t e m p t t o f

u r t h e r s u p p o r t t h e n o t i o n t h a t M r

. R u b i o

- S e p u l v e d a s e t

t h e s e l l i n g q u a n t i t i e s f

o r l o w e r

- l e v e l d e a l e r s , t h e g o v e r n m e n t a g a i n n o t e s t h a t

M r

. C e r r a t o o n c e r e q u e s t e d d r u g s f r o m M r

. R u b i o

- S e p u l v e d a b e c a u s e M r

.

C e r r a t o h a d “ a b u n c h o f g u y s l i n e d u p ” t h a t w a n t e d d r u g s

. R

. , V o l

. V I I

, a t

6 6 1

– 6 2

. H o w e v e r , t h i s l a n g u a g e o n l y s u g g e s t s t h a t M r

. C e r r a t o h a d h i g h d e m a n d

f o r d r u g s a n d w a s t h u s a s k i n g f o r a d e l i v e r y o f d r u g s f r o m M r

. R u b i o

- S e p u l v e d a ;

i t d o e s n o t s u g g e s t t h a t M r

. R u b i o

- S e p u l v e d a d e c i d e d t h e a m o u n t t h a t M r

.

C e r r a t o c o u l d s e l l

. 7 R e l a t e d l y , w h i l e t h e g o v e r n m e n t c o n t e n d s t h a t M r

. R u b i o

7 T h e g o v e r n m e n t

, i n i t s e f f o r t t o s h o w t h a t M r

. R u b i o

- S e p u l v e d a s e t

t h e s e l l i n g q u a n t i t i e s f

o r l o w e r

- l e v e l d e a l e r s , a d d i t i o n a l l y c i t e s a p o r t i o n o f t h e
M a r c h 2 0 1 7 h e a r i n g t h a t d i s c u s s e s h o w t w o c o

- c o n s p i r a t o r s t h a t r e c e i v e d d r u g d e l i v e r i e s f

r o m M r

. R u b i o

- S e p u l v e d a o n c e c o m p l a i n e d t o h i m t h a t t h e y d i d n o t
l i k e t h e “ c u t ” o f t h e “ w o r k

. ” R

. , V o l

. V I I

, a t 6 6 0

. A l t h o u g h a l a w e n f o r c e m e n t

a g e n t t e s t i f

i e d a t a n e a r l i e r h e a r i n g t h a t “ w o r k ” i s “ v e r y c o m m o n s l a n g ” r e l a t e d

t o t h e “ c u t t i n g o f t h e p r o d u c t ” ( i

. e

. , t h e n a r c o t i c s )

, i d

. a t 2 1 3

, t h e g o v e r n m e n t
d o e s n o t e x p l a i n , n o r c a n w e o u r s e l v e s d i s c e r n , h o w t h i s f a c t s u p p o r t s a f

i n d i n g

t h a t M r

. R u b i o

- S e p u l v e d a r e g u l a t e d t h e d r u g q u a n t i t i e s t h a t o t h e r s i n t h e

c o n s p i r a c y c o u l d s e l l

. F o r e x a m p l e , i n s o f a r a s M r

. R u b i o

- S e p u l v e d a w a s

e n g a g e d i n c u t t i n g t h e n a r c o t i c s , t h e g o v e r n m e n t d o e s n o t s h o w t h a t h e w a s i n ( c o n t i n u e d

. . . )

14S e p u l v e d a “ d e t e r m i n e d t h e a m o u n t s o f d r u g s [ s t r e e t d e a l e r s ] w o u l d r e c e i v e , ”

A p l e e

. ’ s R e s p

. B r

. a t 2 9

, w e f i n d n o i n d i c a t i o n i n t h e r e c o r d t h a t M r

. R u b i o

S e p u l v e d a h a d t h e a u t h o r i t y t o r e j e c t d r u g r e q u e s t s f

r o m M r

. C e r r a t o o r a n y o t h e r

d e a l e r i n t h e c o n s p i r a c y

.

I n s u m , w e d e t e r m i n e t h a t

— n o t w i t h s t a n d i n g t h e g o v e r n m e n t ’ s v a r i o u s

a s s e r t i o n s

— o u r s t a t e d i n d i c i a o f a § 3 B 1

. 1 ( a ) “ o r g a n i z e r o r l e a d e r ” a r e n o t f o u n d

i n t h e r e c o r d

. I n p a r t i c u l a r , w h i l e t h e e v i d e n c e t h a t t h e d i s t r i c t c o u r t r e f e r e n c e d

a t s e n t e n c i n g a n d t h e g o v e r n m e n t p o i n t s t o o n a p p e a l p e r h a p s s u p e r f i c i a l l y

s u g g e s t s t h e e x i s t e n c e o f s u c h i n d i c i a , a c l o s e r e x a m i n a t i o n o f t h a t e v i d e n c e

s t r o n g l y s u g g e s t s o t h e r w i s e

.

3

M o r e g e n e r a l l y , w e u n d e r s c o r e h e r e t h a t t h e r e i s n o e v i d e n c e i n t h e r e c o r d

t h a t o t h e r w i s e w o u l d m e a n i n g f u l l y s u p p o r t a f

i n d i n g t h a t M r

. R u b i o

- S e p u l v e d a

h a d t h e s o r t o f e l e v a t e d “ c o n t r o l

, o r g a n i z a t i o n , a n d r e s p o n s i b i l i t y f o r t h e a c t i o n s

o f o t h e r i n d i v i d u a l s ” r e q u i r e d f o r a § 3 B 1

. 1 ( a ) e n h a n c e m e n t

. S a l l i s , 5 3 3 F

. 3 d a t

1 2 2 3 ( q u o t i n g T

o r r e s , 5 3 F

. 3 d a t 1 1 4 2 )

.

T h e r e c o r d s u g g e s t s t h a t M r

. R u b i o

- S e p u l v e d a r e g u l a r l y d e l i v e r e d d r u g s t o

c o

- c o n s p i r a t o r s a n d o f

t e n d i s p a t c h e d r u n n e r s t o m e e t w i t h s t r e e t

- l e v e l d e a l e r s a t

7 (

. . . c o n t i n u e d )

c h a r g e o f d e t e r m i n i n g t h e e x t e n t t o w h i c h t h e d r u g s w o u l d b e c u t o r d i l u t e d

.

15m e e t i n g s h e s c h e d u l e d

. S e e
, e

. g

. , R

. , V o l

. V I I

, a t 9 1

– 9 2 ; i d

. a t 3 0 4

– 0 5

. B u t t h e

e v i d e n c e i s t h o r o u g h l y c o n s i s t e n t w i t h a n a r r a n g e m e n t w h e r e M r

. R u b i o

S e p u l v e d a , r a t h e r t h a n p o s s e s s i n g s i g n i f i c a n t i n d e p e n d e n t d e c i s i o n

- m a k i n g

a u t h o r i t y , w a s a s s i g n e d t o m a k e t h o s e d e l i v e r i e s a n d s c h e d u l e t h o s e m e e t i n g s

a n d w a s s i m p l y c o n s t r a i n e d t o f o l l o w o r d e r s

. T h e e x i s t e n c e o f s u c h a n

a r r a n g e m e n t w o u l d h e l p a c c o u n t

, f o r i n s t a n c e , f

o r t h e f a c t t h a t

— a s t h e d i s t r i c t

c o u r t m e n t i o n e d a t s e n t e n c i n g

— t h e r e c o r d d o e s n o t s u p p o r t a f i n d i n g t h a t M r

.

R u b i o

- S e p u l v e d a h a d “ f r e e a c c e s s ” t o t h e c o n s p i r a c y ’ s d r u g “ s t a s h h o u s e

. ” R

. ,

V o l

. I X

, a t 2 9 7

– 9 8

. S u c h a n a r r a n g e m e n t w o u l d a l s o e x p l a i n w h y

— a s t h e

g o v e r n m e n t c o n c e d e d a t o r a l a r g u m e n t

— t h e r e c o r d o f f e r s n a r y t h e s l i g h t e s t h i n t

t h a t M r

. R u b i o

- S e p u l v e d a h a d a n y d i s c i p l i n a r y a u t h o r i t y o v e r a n y c o

c o n s p i r a t o r s , w h i c h w o u l d i n c l u d e r u n n e r s t h a t f a i l e d t o f o l l o w i n s t r u c t i o n s

c o m m u n i c a t e d b y M r

. R u b i o

- S e p u l v e d a

. S e e O r a l A r g

. a t 2 4 : 1 5

– 2 5 : 1 1

.

T h e r e c o r d d o e s m a k e e v i d e n t

— a s t h e d i s t r i c t c o u r t n o t e d a n d a s t h e

g o v e r n m e n t h i g h l i g h t s o n a p p e a l

— t h a t M r

. R u b i o

- S e p u l v e d a w a s “ a c t i v e l y , ” o r

e v e n h e a v i l y , “ i n v o l v e d ” i n t h e c o n s p i r a c y ’ s m o n e y l a u n d e r i n g o p e r a t i o n s

. R

. ,

V o l

. I X

, a t 3 0 0 ; s e e A p l e e

. ’ s R e s p

. B r

. a t 2 8 ( “ D o c u m e n t s p r e s e n t e d t o t h e

d i s t r i c t c o u r t d e p i c t e d 1 5 9 w i r e t r a n s f e r s c o n n e c t e d t o R u b i o

- S e p u l v e d a

. . . . ” )

.

B u t t h i s f

a c t s a y s n e x t t o n o t h i n g a b o u t t h e e x t e n t

, i f a n y , t o w h i c h M r

. R u b i o

1 6S e p u l v e d a d e s i g n e d t h o s e o p e r a t i o n s , f o r e x a m p l e , o r w i e l d e d c o n t r o l o v e r c o

c o n s p i r a t o r s i n v o l v e d i n m o n e y l a u n d e r i n g

.

T h u s , t h o u g h t h e r e c o r d u n a s s a i l a b l y e s t a b l i s h e s t h a t M r

. R u b i o

- S e p u l v e d a

w a s a n i m p o r t a n t f

i g u r e i n t h e c o n s p i r a c y , i t e s t a b l i s h e s , a s r e l e v a n t f o r o u r

p u r p o s e s , l i t t l e m o r e t h a n t h a t

. A n d b e i n g a n i m p o r t a n t

— o r e v e n a n

i n d i s p e n s a b l e

— f

i g u r e i s n o t e n o u g h t o s u p p o r t a § 3 B 1

. 1 ( a ) e n h a n c e m e n t

. S e e
,

e

. g

. , S a l l i s , 5 3 3 F

. 3 d a t 1 2 2 3 ( “ [ S e c t i o n ] 3 B 1

. 1 ( a ) i s a n e n h a n c e m e n t f o r

o r g a n i z e r s o r l e a d e r s , n o t f o r i m p o r t a n t o r e s s e n t i a l f i g u r e s

. ” ( q u o t i n g T

o r r e s ,

5 3 F

. 3 d a t 1 1 4 2 ) )

. T h a t i s , w i t h o u t e v i d e n c e t h a t c a n e s t a b l i s h t h a t M r

. R u b i o

S e p u l v e d a h a d a h e i g h t e n e d d e g r e e o f “ c o n t r o l

, o r g a n i z a t i o n , a n d r e s p o n s i b i l i t y

f o r t h e a c t i o n s o f o t h e r i n d i v i d u a l s , ” i d

. ( q u o t i n g T o r r e s , 5 3 F

. 3 d a t

1 1 4 2 )

— e v i d e n c e w h i c h w e d o n o t d e t e c t i n t h e r e c o r d

— M r

. R u b i o

- S e p u l v e d a ’ s

v a r i o u s r o l e s i n t h e c o n s p i r a c y “ b e a r [ ] [ o n l y ] o n h i s r e l a t i v e i m p o r t a n c e t o t h e

o r g a n i z a t i o n , a n d n o t o n w h e t h e r h e w a s a l e a d e r o r o r g a n i z e r

. ” T o r r e s , 5 3 F

. 3 d

a t 1 1 4 3

.

* * *

T h o u g h M r

. R u b i o

- S e p u l v e d a h a d s o m e c o n t r o l o r a u t h o r i t y o v e r o t h e r s i n

t h e c o n s p i r a c y , a n d t h o u g h h e p l a y e d a n i m p o r t a n t r o l e i n t h e c o n s p i r a c y , w e

d i s c e r n n o e v i d e n c e i n t h e r e c o r d o f o u r r e c o g n i z e d i n d i c i a o f a § 3 B 1

. 1 ( a )

“ o r g a n i z e r o r l e a d e r ” o r e v i d e n c e t h a t o t h e r w i s e c a n e s t a b l i s h t h a t M r

. R u b i o

1 7S e p u l v e d a p o s s e s s e d t h e s o r t o f e l e v a t e d “ c o n t r o l

, o r g a n i z a t i o n , a n d

r e s p o n s i b i l i t y f

o r t h e a c t i o n s o f o t h e r i n d i v i d u a l s ” t h a t i s t h e “ g r a v a m e n ” o f a

§ 3 B 1

. 1 ( a ) e n h a n c e m e n t

. S a l l i s , 5 3 3 F

. 3 d a t 1 2 2 3 ( q u o t i n g T o r r e s , 5 3 F

. 3 d a t

1 1 4 2 )

. P u t a n o t h e r w a y , w e d o n o t d i s c e r n e v i d e n c e i n t h e r e c o r d t h a t w o u l d

d i s t i n g u i s h M r

. R u b i o

- S e p u l v e d a f r o m a “ m a n a g e r o r s u p e r v i s o r ” u n d e r

§ 3 B 1

. 1 ( b ) a n d q u a l i f

y h i m f o r t h e “ o r g a n i z e r o r l e a d e r ” e n h a n c e m e n t

. T h e

d i s t r i c t c o u r t t h e r e f

o r e c l e a r l y e r r e d i n a p p l y i n g t h e § 3 B 1

. 1 ( a ) e n h a n c e m e n t i n

c a l c u l a t i n g M r

. R u b i o

- S e p u l v e d a ’ s s e n t e n c e

. A n d b e c a u s e t h e g o v e r n m e n t

o f f e r s n o a r g u m e n t t h a t t h i s e r r o r w a s h a r m l e s s , w e a r e b o u n d t o r e v e r s e

. S e e
,

e

. g

. , U n i t e d S t a t e s v

. L e n t e , 6 4 7 F

. 3 d 1 0 2 1

, 1 0 3 7

– 3 8 ( 1 0 t h C i r

. 2 0 1 1 )

( “ H a r m l e s s n e s s m u s t b e p r o v e n b y a p r e p o n d e r a n c e o f t h e e v i d e n c e , a n d t h e

b u r d e n o f m a k i n g t h i s s h o w i n g f a l l s o n t h e b e n e f

i c i a r y o f t h e e r r o r

— i n t h i s c a s e ,

t h e g o v e r n m e n t

. ” ( q u o t i n g U n i t e d S t a t e s v

. C e r n o , 5 2 9 F

. 3 d 9 2 6

, 9 3 9 ( 1 0 t h C i r

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1 9No. 18-1055, United States v. Rubio-Sepulveda

KELLY , Circuit Judge, dissenting.

The court concludes that the dis trict court clearly erred in ap plying the U.S.S.G.

§ 3B1.1(a) enhancement for being an organizer or leader in a dr ug conspiracy. Because

the record plausibly supports the district court’s finding to t he contrary, I respectfully

dissent.

This case calls into focus the di stinction between organizers o r leaders and

managers or supervisors. Sentenc ing courts must engage in this line-drawing to

determine whether a defendant’s “control, organization, and res ponsibility for the actions

of other individuals” was of suc h a degree to merit a four-leve l enhancement under

U.S.S.G. § 3B1.1(a). United St ates v. Sallis, 533 F.3d 1218, 1 223 (10th Cir. 2018)

(quoting United States v. Torres, 53 F.3d 1129, 1142 (10th Cir. 1995)). In doing so, they

are guided by a mosaic of factors and “indicia” of leadership. See U.S.S.G. § 3B1.1 cmt.

n.4; Torres, 53 F.3d at 1143. T heir ultimate determination is one of fact, and one we

review for clear error. Torres, 53 F.3d at 1142. Only if the sentencing court’s finding is

wholly implausible in light of t he entire record should we reje ct it. United States v.

Halliday, 665 F.3d 1219, 1223 (1 0th Cir. 2011). Though we migh t have weighed the

evidence differently h ad we been sitting as t riers of fact, whe n there are two permissible

views of the evidence, the trie r of fact’s selection of one or the other cannot be clearly

erroneous. Anderson v. City of B essemer City, 470 U.S. 564, 57 3–74 (1985).

The court concludes the record i s entirely devoid of indicia of leadership as

required by § 3B1.1(a) for the enh ancement. It notes there is no evidence that “other2 sellers worked for [Mr. Rubio-Sepul veda], were recruited” or “c ontrolled by him,” that

he “paid others . . . on behalf of the conspiracy” or “restrict ed the people to whom other

coconspirators could sell their d rugs,” or that he “controlled the manner of sales, set

prices, or claimed the right to a larger share of the proceeds. ” Sallis, 533 F.3d at 1223

(quoting United States v. Anderso n, 189 F.3d 1201, 1212 (10th C ir. 1999)). Be that as it

may as to some indicia, the cour t has substituted the district court’s assessment of the

facts with its own as to the re maining indicia. For example, i n support of its

enhancement, the district court found Mr. Rubio-Sepulveda “coor dinat[ed] runners and

street-level dealers, who met the runners to obtain narcotic in ventory.” 9 R. 299. The

court’s examination of the record led it to attribute this to M r. Rubio-Sepulveda’s

“supplier” role. But the distric t court could just as readily find that, when sellers

“request[ed] and receiv[ed] num erous drug deliveries from Mr. R ubio-Sepulveda,” he

was performing an organizer o r leadership role. 7 R. 660. Ind eed, the court all but

admits the evidence is equivocal when it notes the record “stro ngly suggests,” but does

not definitively conclude, Mr. Rub io-Sepulveda was a mere suppl ier.

I also disagree that the distric t court clearly erred in findin g Mr. Rubio-Sepulveda

set drug prices, a critical det ermination on review. The plea agreement states, “Mr.

Rubio-Sepulveda directly communi cated with his customers as to drug quantities, prices

and payment.” 2 R. 290. The co urt, relying on a dictionary, a rgues Mr. RubioSepulveda’s admission has but o ne reasonable construction: he d id not set drug prices,

but instead merely imparted inf ormation as to drug prices. Yet “communication” need

not be construed so narrowly. U nder the definition relied upon by the court — to “impart3 or pass on (information, news, o r ideas)” — one could arguably either impart one’s own

orders or convey messages from ot hers. At oral argument, even Mr. Rubio-Sepulveda’s

counsel could only speculate tha t his admission meant “he may h ave relayed the prices,

he may have negotiated . . . [h]e m ay have gotten [the prices] from somebody else, he

may have said, ‘this is what we ’re going to sell it for.’” Ora l Arg. at 8:53–9:09 (emphasis

added). At best then, Mr. Rubio-S epulveda’s admission that he “communicated” prices

is ambiguous. Certainly, his adm ission could have meant he was but a middle-man,

transmitting prices set from on hi gh. But it is not beyond the pale to understand him, as

the district court did, as adm itting to setting resale prices. See 9 R. 299. Our court

should not second-guess the dist rict court’s choice of inferenc es derived from the

evidence. See United States v. P ikyavit, 527 F.3d 1126, 1130 ( 10th Cir. 2008).

This case is readily distinguisha ble from previous cases in whi ch we have held

§ 3B1.1(a) enhancements were cl early erroneous. For example, i n United States v.

Anderson, the district court its elf noted it lacked a clear und erstanding of the various

roles in the criminal conspiracy, and that there was very littl e evidence as to how the

drugs were distributed on the street. 189 F.3d at 1212. On re view, all we could glean

from the record was that the de fendant was, without question, a mere drug supplier. Id.

Furthermore, in United States v . Owens, the district court supp orted its § 3B1.1(a)

enhancement with a finding that t he defendant supplied large qu antities of drugs and

claimed a larger share of the p rofits. 70 F.3d 1118, 1128 (10t h Cir. 1995). Yet on

appeal, we found no evidence tha t the defendant in fact receive d a larger share of the

profits, leaving only evidence of his role as a drug supplier. Id. at 1129. And in United4 States v. Torres, we noted the p resentence report simply stated the defendant was “a

leader in a criminal organizatio n that involved five or more pa rticipants,” and that while

the defendant was an important m ember of the criminal conspirac y, there was no

evidence as to his control ove r the manner or place of delivery or, relevant here, his

setting drug prices. 53 F.3d at 1143.

To be sure, this court’s view o f the evidence is plausible. Bu t on clear error

review we should defer to the di strict court’s findings absent a firm conviction it has

erred. United States v. Loza no, 921 F.3d 942 , 946 (10th Cir. 2 019). The record’s

ambiguity cautions against second- guessing the district court’s determinations. Finding

no clear error, I would affirm. 1

1 I would also hold that Mr. Rubio-Sepulveda’s other sentencing-b ased appellate challenges — that his sentence wa s substantively unreasonable a nd that the sentencing
court should have continued the sentencing hearing to allow for more time to prepare —
are without merit.