Opinion ID: 695253
Heading Depth: 3
Heading Rank: 1

Heading: Sec. 3B1.1(a) Enhancement

Text: 73 Joseph Aflleje challenges the district court's decision to increase his offense level four levels under Sec. 3B1.1(a) 12 of the Sentencing Guidelines because he was a leader in a criminal organization that involved five or more participants and was otherwise extensive. He contends the evidence presented to the district court was insufficient to support a finding that he was a leader or organizer. We review the district court's factual findings only for clear error, giv[ing] due deference to the district court's application of the guidelines to the facts. 13 See United States v. Reed, 1 F.3d 1105, 1110 (10th Cir.1993) (quoting 18 U.S.C. Sec. 3742(e)). Because the government is seeking to increase the defendant's sentence, it bears the burden of persuading the district court, by a preponderance of the evidence, of the propriety of an increase. See United States v. Hagedorn, 38 F.3d 520, 522 (10th Cir.1994) (citations omitted). 74 To support an enhancement under this Guideline, the sentencing court must find, first, that defendant is an organizer or leader; and, second, that the criminal activity involved five or more participants or was otherwise extensive. Roberts, 14 F.3d at 523; see also United States v. Reid, 911 F.2d 1456, 1464 (10th Cir.1990), cert. denied, 498 U.S. 1097, 111 S.Ct. 990, 112 L.Ed.2d 1074 (1991). We believe the district court committed clear error in finding Mr. Aflleje was a leader. 75 The Commentary to Sec. 3B1.1 lists various considerations the sentencing court should take into account in assessing the defendant's leadership role, including 76 the ... exercise of decision making authority, the nature of participation in the commission of the offense, the recruitment of accomplices, the claimed right to a larger share of the fruits of the crime, the degree of participation in planning or organizing the offense, the nature and scope of the illegal activity and the degree of control and authority exercised over others. 77 USSG Sec. 3B1.1, comment. (n. 3), quoted in United States v. Hanif, 1 F.3d 998, 1004 (10th Cir.), cert. denied, --- U.S. ----, 114 S.Ct. 573, 126 L.Ed.2d 472 (1993). In considering these factors, the sentencing court should remain conscious of the fact that the gravamen of this enhancement is control, organization, and responsibility for the actions of other individuals, see Reed, 1 F.3d at 1110-11; Reid, 911 F.2d at 1464, because Sec. 3B1.1(a)  'is an enhancement for organizers or leaders, not for important or essential figures.'  Roberts, 14 F.3d at 523 (quoting United States v. Litchfield, 959 F.2d 1514, 1523 (10th Cir.1992)). 78 In this case, the district court stated it believed this adjustment was applicable: 79 both on the grounds that it involved five or more participants and that it was otherwise extensive, that Mr. Aflleje was the manager of the criminal activity, such as described in [Sec. 3B1.1(a) ]. Over the period of this conspiracy, there was Raymond and Barbara Torres, there was Joe McLemore, there was Irene Aflleje, there was Judy Ford [and Shirley Brown].... There were numerous persons that I'm satisfied your client drug [sic] into this conspiracy and I am going to deny your motion in that regard.... 80 ... 81 I'm just satisfied that he was an organizer, as I described, and that it was otherwise extensive and that he was the engine that made this train run and I'm going to overrule your objection. 82 The presentence report simply contains the conclusion that [t]he investigation revealed that the defendant was a leader in a criminal organization that involved five or more participants and was otherwise extensive. Pursuant to Sec. 3B1.1(a), 4 levels are added. 83 Initially, we observe the commentary to this guideline does not mandate that sentencing courts expressly consider each and every factor listed therein, but rather, it merely encourages it. See USSG Sec. 3B1.1, comment. (n. 4). Nonetheless, while we do not fault the sentencing court for not explicitly considering the concerns listed therein, appellate review of the propriety of applying this serious 14 enhancement is hindered by the absence of a clear picture of the reasoning employed by the sentencing court. In this case, the sentencing court may very well have been correct in concluding Mr. Aflleje was an important figure who was integral to the success of this conspiracy; but this fact does not warrant application of Sec. 3B1.1(a). Because we believe the evidence in the record does not demonstrate how the relationship between Mr. Aflleje and the other participants amounted to something more than a wholesaler/retailer or buyer/seller relationship, we hold the government failed to carry its burden of showing that a Sec. 3B1.1(a) enhancement was proper. See United States v. Moore, 919 F.2d 1471, 1477-78 (10th Cir.1990); Reid, 911 F.2d at 1465. 84 In this case, there was no evidence in the record the other coconspirators worked for Mr. Aflleje, nor was there evidence they received any type of remuneration from him for their efforts. The record does not contain evidence of any of the indicia we have previously recognized as bearing on the presence or absence of control. For example, there was no evidence Mr. Aflleje restricted the people to whom the other coconspirators could sell their drugs to, see United States v. Evans, 985 F.2d 497, 500 (10th Cir.), cert. denied, --- U.S. ----, 113 S.Ct. 2942, 124 L.Ed.2d 690 (1993), or that he controlled the manner or the place of delivery, see United States v. Hernandez, 967 F.2d 456, 458 (10th Cir.1992), or that he set the prices at which the methamphetamine could be sold. There is also no evidence that Mr. Aflleje specifically recruited accomplices or that he claimed right to a larger share of the fruits of the crime. See USSG Sec. 3B1.1, comment. (n. 4). In the absence of some evidence of control, we are compelled to conclude the district court's finding that Mr. Aflleje was a leader or organizer is not supported by the record and is therefore clearly erroneous. While the district court may have properly categorized Mr. Aflleje as the engine that made this operation run, that fact bears on his relative importance to the organization, and not on whether he was a leader or organizer who exhibited control over those other individuals. See Roberts, 14 F.3d at 523.