Source: http://openjurist.org/287/f3d/609
Timestamp: 2016-02-08 04:05:26
Document Index: 479722403

Matched Legal Cases: ['§ 841', '§ 841', '§ 841', '§ 841', '§ 841', '§ 841', '§ 841', '§ 841', '§ 2', '§ 3', '§ 3', '§ 3']

287 F3d 609 United States v. Martin | OpenJurist
287 F. 3d 609 - United States v. Martin HomeFederal Reporter, Third Series287 F.3d
287 F3d 609 United States v. Martin 287 F.3d 609
UNITED STATES of America, Plaintiff-Appellee,v.Douglas MARTIN, Melvin Alicea, Hector Carrasco, Victor Alicea, and Victor Matias, Jr., Defendants-Appellants.
No. 00-3519.
No. 00-3520.
No. 00-3747.
No. 00-3781.
No. 01-1929.
Argued March 1, 2002.*
Douglas N. Dutch (argued), Montie, Youngerman & Dutch, Madison, WI, for Defendant-Appellant in No. 00-3519.
Ralph A. Kalal (argued), Kalal & Associates, Madison, WI, for Defendant-Appellant in No. 01-1929.
The defendants were engaged in a conspiracy to distribute cocaine in Sauk County, Wisconsin.1 Several defendants elected to go to trial and were found guilty by their respective juries; others chose to plead guilty. The district court imposed sentences on each defendant. Almost all of the five defendants before this court appeal some aspect of their sentences, and the others raise a litany of additional issues related to their trials. For the following reasons, we affirm the verdicts and sentences for all five defendants.
The defendants did not timely raise Apprendi objections below, thus the arguments were forfeited and we review only for plain error. See, e.g., United States v. Cooper, 243 F.3d 411, 415-16 (7th Cir. 2001), cert. denied, ___ U.S. ___, 122 S.Ct. 64, 151 L.Ed.2d 31 (2001). To determine if there was plain error we apply a four-part test: "(1) whether there was error at all, (2) if so, whether it was plain, (3) whether the error affected ... substantial rights, and (4) whether it seriously affected the fairness, integrity, or public reputation of the proceedings." United States v. Robinson, 250 F.3d 527, 529 (7th Cir.2001), cert. denied, ___ U.S. ___, 122 S.Ct. 215, 151 L.Ed.2d 153 (2001). The defendants don't make it over the first hurdle: "whether there was an error at all." Robinson, 250 F.3d at 529.
Since it was decided, Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000), has spawned an endless number of appeals by defendants seeking to determine and expand its scope. These defendants contend Apprendi requires the amount of cocaine they conspired to distribute be charged in the indictment and proven to the jury beyond a reasonable doubt. In this case, the district court in the sentencing phase found Carrasco accountable for 1,443.35 grams of cocaine and Victor Alicea accountable for 1,626 grams of cocaine by a preponderance of the evidence. Carrasco accurately notes that the penalty provisions in section 841(b) are based on drug quantity. See 21 U.S.C. § 841(b) (providing for penalties ranging from five years to life depending on the type and amount of drugs involved and if serious injury or death resulted from the use of the substances). Thus, possessing different types and amounts of drugs can alter the sentence a defendant faces. Id. Carrasco also correctly observes that drug quantity under Apprendi is an element — though not in the technical sense of the word — of the offense in section 841(b) that the government should specify and prove. Apprendi, 530 U.S. at 490, 120 S.Ct. 2348; United States v. Mietus, 237 F.3d 866, 874 (7th Cir.2001); United States v. Bjorkman, 270 F.3d 482, 490-92 (7th Cir.2001) (per curiam) (holding that "Apprendi does not rewrite or change the elements of any federal offense; its does, however, determine who must make particular decisions, and what the burden of persuasion must be."); but see United States v. Sheppard, 219 F.3d 766, 767-69 & n. 3 (8th Cir.2000) (noting that quantity is an element of a § 841 offense, but there is likely no Apprendi problem if the sentence received is within the "statutory maximum penalty for § 841 offenses involving any quantity of a Schedule II controlled substance") (emphasis in original). In any event, Carrasco and Victor Alicea's arguments in this situation are unavailing.
Apprendi only requires "any fact that increases the penalty for a crime beyond the statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt." Apprendi, 530 U.S. at 490, 120 S.Ct. 2348 (emphasis added). If a drug amount is not charged in the indictment and proven beyond a reasonable doubt, "the statutory maximum under § 841(b) is to be determined without making any reference to drug amount." United States v. Jones, 245 F.3d 645, 647-48 (7th Cir.2001); United States v. Westmoreland, 240 F.3d 618, 632 (7th Cir.2001). Thus, "when a defendant's sentence does not exceed 20 years imprisonment — the maximum under § 841(b) for possessing/distributing the smallest amount of cocaine — Apprendi is irrelevant." Robinson, 250 F.3d at 529. There is no error, plain or otherwise, if the defendants' sentences do not exceed twenty years. Id.
Hector Carrasco received just over 8 years and Victor Alicea drew two concurrent sentences of 10 years. Neither of the sentences exceed the maximum sentence allowed (20 years) under section 841(b) when an amount of cocaine is not charged and proven. See, e.g., id.; Jones, 245 F.3d at 648-50. Could the indictment have listed the amounts? Certainly, but it is not required under Apprendi. See, e.g., Robinson, 250 F.3d at 527; Jones, 245 F.3d at 648-50. Should the indictment have listed the amounts? Probably, because it would have undoubtedly reduced the defendants' avenues of appeal and allowed their sentences to be increased (based on drug amounts).2 See United States v. Brough, 243 F.3d 1078, 1079-80 (7th Cir.2001), cert. denied, ___ U.S. ___, 122 S.Ct. 203, 151 L.Ed.2d 144 (2001) (noting that "a post-Apprendi indictment should specify ... the events listed in § 841(b) [amount and type of drugs] on which the prosecutor relies to establish the maximum sentence.") (emphasis added); see also Bjorkman, 270 F.3d at 491-92 (explaining the difference between the "must" prove elements in § 841(a) and "should" prove drug quantity in § 841(b)). Must the indictment list the amounts and the government prove them beyond a reasonable doubt? No, not when the sentence a defendant receives does not exceed the statutory maximum of 20 years for possessing or distributing the smallest amount of a Schedule II controlled substance. See, e.g., Robinson, 250 F.3d at 527; Jones, 245 F.3d at 648-50.
We review a district court's factual findings in applying the Sentencing Guidelines for clear error. United States v. Williams, 272 F.3d 845, 851-52 (7th Cir.2002), cert. denied, ___ U.S. ___, 122 S.Ct. 1339, 152 L.Ed.2d 243 (2002); United States v. Joiner, 183 F.3d 635, 640 (7th Cir.1999). Under this familiar standard, we review the district court's findings to determine if there is any evidence in the record to support the findings, and will reverse only if we have a "`firm and definite conviction that a mistake has been made.'" E.g., United States v. Miner, 127 F.3d 610, 614-15 (7th Cir.1997) (citation omitted). Reasonable estimates of drug amounts based on the Presentence Investigation Report (PSR), testimony, and other evidence are permissible, while speculation is not. Westmoreland, 240 F.3d at 630-32; Joiner, 183 F.3d at 640; United States v. Jarrett, 133 F.3d 519, 530 (7th Cir.1998).
The district court's application of a sentencing guidelines enhancement is also reviewed for clear error. See United States v. Smith, 280 F.3d 807, 810 (7th Cir.2002); Bjorkman, 270 F.3d at 493; United States v. Berthiaume, 233 F.3d 1000, 1002 (7th Cir.2000); United States v. Cain, 155 F.3d 840, 843 (7th Cir.1998). Substantial deference is accorded to findings based on credibility, which are almost never clear error. See, e.g., United States v. Hickok, 77 F.3d 992, 1007 (7th Cir.1996).
U.S.S.G. § 2D.1.1, Application Note 3. Based upon the language in section 2D1.1, we have held that the government need only demonstrate, by a preponderance of the evidence, that the defendant possessed the weapon during the relevant period of drug activity. Bjorkman, 270 F.3d at 492-93. And "once the Government meets its burden, the defendant must demonstrate that it was clearly improbable that the weapon was connected to the offense." United States v. Booker, 248 F.3d 683, 689 (7th Cir.2001); Bjorkman, 270 F.3d at 492-93.
To the government's knowledge the drug conspiracy began in 1994 and lasted until 1999. Bureau of Alcohol Tobacco & Firearms (ATF) records established that Melvin Alicea purchased fourteen firearms (thirteen handguns and one rifle) between 1995 and 1997. Melvin Alicea showed one of his customers, Perry Zubeck, one of the handguns he owned. Melvin also threatened another customer, who he heard had been talking to the police, stating, "[talking] was a good way to get a bullet in the head."
The defendants' arguments misapprehend the government's burden; the government need only demonstrate that the defendant possessed a weapon during the drug conspiracy. See, e.g., Booker, 248 F.3d at 689. Then it is up to the defendant to refute this claim by establishing that it was clearly improbable that the weapon was connected to the offense. Bjorkman, 270 F.3d at 493. Although the gun was not found loaded or next to drugs at the time it was recovered, that does not establish that the weapon had no connection to the conspiracy. See United States v. Adams, 125 F.3d 586, 596 (7th Cir.1997) (holding "the government is not required to show that the weapon was present during a specific drug trafficking offense."); Cain, 155 F.3d at 843-44 (rejecting the defendant's argument that his possession of "the gun was unrelated to the drug conspiracy"); see also United States v. Cantero, 995 F.2d 1407, 1412 (7th Cir.1993) (noting that "drug dealers often carry weapons to protect themselves and their large amounts of drugs and cash."). The district court found that both Victor Alicea and Melvin Alicea did possess weapons during the relevant period of conduct and it was not clearly improbable that the weapons were connected with the drug conspiracy. There is no clear error in these findings.
In determining if the sentencing enhancement was properly applied we review the district court's findings of fact for clear error. E.g., United States v. Carrera, 259 F.3d 818, 831 (7th Cir.2001). The prosecution must establish that the enhancement is applicable by a preponderance of the evidence. United States v. Ewing, 129 F.3d 430, 434 (7th Cir.1997). Section 3C1.1 provides:
Melvin argues that in order for the guideline to apply he would have to know or believe than an investigation is underway, otherwise there is no "willful" violation. For support he cites United States v. Oppedahl, 998 F.2d 584, 586 (8th Cir.1993), which held the term "`willfully' [in U.S.S.G. § 3C1.1(A)] should be reserved for the more serious case, where misconduct occurs with knowledge of an investigation, or at least with a correct belief that an investigation is probably underway." However, this circuit has already ruled that knowledge of an investigation is not required for a "willful" violation to occur. United States v. Snyder, 189 F.3d 640, 648 (7th Cir.1999) ("It is clear, however, that a defendant need not know that he is under investigation at the time of the obstructive conduct."); United States v. Schmidt, 47 F.3d 188, 192 n. 3 (7th Cir.1995); United States v. Polland, 994 F.2d 1262, 1269 (7th Cir.1993); accord United States v. Jenkins, 275 F.3d 283, 288-89 (3d Cir.2001). The term "willful" does not mean "knowing" or "aware," it means "intentionally" or "deliberately." Jenkins, 275 F.3d at 287-88 (holding that "[i]n view of the language, structure, and context of U.S.S.G. § 3C1.1, we believe the ordinary meaning of `willfully' is `deliberately or intentionally'"); cf. Ewing, 129 F.3d at 434-35. Thus, a defendant does not need to "know" or be "aware" that an investigation is underway, rather he need only "intentionally" or "deliberately" impede or attempt to obstruct justice for the enhancement to apply. Jenkins, 275 F.3d at 287-88.
Moreover, Oppedahl provides little support for Melvin Alicea's proposition considering the district court's finding that Melvin made the threat because he believed an investigation was underway. Oppedahl, 998 F.2d at 586 (conceding "misconduct occurs [when a defendant obstructs or attempts to obstruct justice] ... with a correct belief that an investigation is probably underway"). As the district court noted, Melvin Alicea made a threat to "the confidential informant, [or] at least the person to whom Mr. Alicea believed to be a confidential informant." The district court's findings fully support the imposition of the enhancement and are not clearly erroneous.
The enhancement may be imposed for: "providing materially false information to a judge or magistrate." U.S.S.G. § 3C1.1, Application Note 4(f). In the perjury context, which is akin to providing false information to a judge, we have required the district court to find the three elements of: (1) falsity; (2) willfulness; and (3) materiality. E.g., United States v. Brimley, 148 F.3d 819, 823 (7th Cir.1998); see also United States v. Dunnigan, 507 U.S. 87, 94, 113 S.Ct. 1111, 122 L.Ed.2d 445 (1993). Whether the district court made the appropriate findings is reviewed de novo, and the district court's factual findings supporting the enhancement are reviewed for clear error. United States v. Gage, 183 F.3d 711, 715 (7th Cir.1999).
The district court made the requisite findings, determining Victor Alicea "did provide his consent [to search], it was voluntary, and the Court believes that it was willfully false and certainly material to the issue at hand." Nevertheless, Victor argues that there was "no indication that Victor Alicea willfully sought to mislead the court," therefore the enhancement should not have been imposed. However, a district court's determination that a defendant's testimony was false is adequate to support the enhancement. United States v. Turner, 203 F.3d 1010, 1020 (7th Cir.2000); Brimley, 148 F.3d at 822-24. The application of the sentencing enhancement based on Victor Alicea's false testimony was not clear error.
A district court's limitation of cross-examination is reviewed for an abuse of discretion, unless it directly implicates the core values of the Sixth Amendment right of confrontation which we review de novo. E.g., United States v. Neely, 980 F.2d 1074, 1080 (7th Cir.1992). Cross-examination in order to establish credibility, veracity, bias, or motivation is a core concern; at the same time, continuous, cumulative, or repeated exploration of such issues is a peripheral concern which the trial court may curb at its discretion. E.g., United States v. Nelson, 39 F.3d 705, 707-08 (7th Cir.1994). "So long as cross-examination elicits adequate information to allow a jury to assess a witness's credibility, motives, or possible bias, the Sixth Amendment is not compromised." United States v. Scott, 145 F.3d 878, 888 (7th Cir.1998) (emphasis added); United States v. Saunders, 166 F.3d 907, 919 (7th Cir.1999).
A district court's decision to accept or reject a plea agreement is reviewed for an abuse of discretion. United States v. Sandles, 80 F.3d 1145, 1147 (7th Cir.1996); United States v. Greener, 979 F.2d 517, 518 (7th Cir.1992). The district court, exercising its discretion, may accept or reject a guilty plea since there is "no absolute right to have a guilty plea accepted." Santobello v. New York, 404 U.S. 257, 262, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971); United States v. Delegal, 678 F.2d 47, 50 (7th Cir.1982); Greener, 979 F.2d at 519-20. Plea agreements are contracts between the parties, and like stipulations, do not bind the court. See Sandles, 80 F.3d at 1147-48.
At the outset, Matias, Jr. seeks to treat the dismissal of the other counts as separate from the plea agreement. In the context of a plea agreement, the dismissal of specific charges is contingent on the defendant's guilty plea to other charges; in sum the dismissal and guilty plea are two parts of one agreement. Cf. United States v. Peterson, 268 F.3d 533, 534 (7th Cir.2001). A plea agreement is a unified document, and even if the district court wanted to it could not accept part and reject part. See id. ("The whole plea agreement stands, or the whole thing falls.").
Matias, Jr. cites a number of cases in which a district court refused to grant a prosecutor's motion to dismiss the indictment under FED.R.CRIM.P. 48 and were reversed on appeal. The decision to indict, allege specific charges, or dismiss charges is inherently an exercise of executive power, and the prosecutor has broad discretion in these matters. See, e.g., Newman v. United States, 382 F.2d 479, 480-82 (D.C.Cir.1967) (Burger, J.). The executive can choose not to prosecute one case, yet prosecute vigorously another involving the same issues. See id. (citing cases and stating that "[t]wo persons may have committed what is precisely the same legal offense but the prosecutor is not compelled by law, duty or tradition to treat them the same as to charges."). The judiciary cannot compel prosecutions, nor can a judge refuse to grant the prosecution's voluntary motion to dismiss charges absent a specific finding of bad faith. See United States v. Palomares, 119 F.3d 556, 558 (7th Cir.1997); United States v. Smith, 55 F.3d 157, 158-59 (4th Cir.1995). Rule 48 of the Federal Rules of Criminal Procedure, requiring "leave of court" to dismiss an indictment, checks the discretionary power of the prosecutor to seek a nolle prosequi and later reindict on the same charges. Rule 48 allows a court to ensure the fair administration of justice and prevent harassment of a defendant. Smith, 55 F.3d at 158-59. The leave of court requirement does not allow the judiciary to exercise executive powers; rather the condition protects the justice system judges oversee from misuse after proceedings have been initiated by the executive. See United States v. Goodson, 204 F.3d 508, 512-15 (4th Cir.2000) (noting a court may dismiss charges under Rule 48(b) to "preserve the integrity of the judicial process.").
Since the judicial check on the prosecutorial power is a very limited one, a prosecutor's motion to dismiss must be granted unless "clearly contrary to manifest public interest." Smith, 55 F.3d at 158-59; United States v. Hamm, 659 F.2d 624, 628-30 (5th Cir., Unit A, Oct.1981) (en banc); see also Rinaldi v. United States, 434 U.S. 22, 30, 98 S.Ct. 81, 54 L.Ed.2d 207 (1977). Judicial discretion becomes extremely limited in circumstances where the prosecutor seeks to dismiss the indictment with prejudice and the defendant joins the motion.
Case No. 3747,United States of America v. Hector Carrasco, was submitted on the briefs without oral argument. See FED. R.APP. P. 34; CIR. R. 34.
In total, eight defendants were indicted and convicted, but only five have appealed aspects of their convictions or sentences. Johnny Alicea, Victor Matias, Sr., and Jefferson Selje did not appeal
An example of a better indictment is provided by another defendant in this appeal. Count one of the superceding indictment against Victor Matias, Jr. specifically charged Matias, Jr. with conspiring to distribute in excess of 500 grams of cocaine. The jury found that Matias, Jr. did conspire to distribute more than 500 grams of cocaine. This more comprehensive indictment probably accounts for Matias, Jr. not appealing his sentence based onApprendi.