Opinion ID: 71503
Heading Depth: 2
Heading Rank: 4

Heading: challenges to the sentence imposed

Text: 67 The Presentencing Investigation Report (PSI) prepared on Brenson assigned an initial offense level for the two offenses of 12 based on grouping under § 3D1.2(b) and § 2J1.2 of the United States Sentencing Guidelines (the Guidelines). Then, the PSI suggested that Brenson's base offense level should be increased to 30 by consideration of the offense level of 42 in the Fernandez case, based on the cross-referencing under § 2J1.2(c)(1) to § 2X3.1. The PSI recommended a two level increase in the offense level for abuse of trust under § 3B1.3 and another two level increase for obstruction of justice under § 3C1.1. The PSI provided no suggestion of a downward adjustment based on acceptance of responsibility. 68 The government submitted a memorandum to the district court requesting the offense level of 30 based on Brenson being sentenced pursuant to § 2X3.1 and its relation to the crimes charged in the Fernandez indictment. (R1-67-4 to 5.) A two level increase in the offense level based on abuse of trust under § 3B1.3 was also requested by the government, as well as an additional two level increase for obstruction of justice under § 3C1.1 related to efforts by Brenson to get word to DeMaria that Brenson had been arrested and that he was cooperating. (R1-67-5 to 6.) Additionally, the government asked for a three level upward departure for disruption of governmental functions under § 5K2.7 based on the government's assertion that the grand jury of which Brenson had been a member had to be disbanded and a new jury heard some of the investigations heard by Brenson's grand jury. (R1-67-6 to 7.) Finally, the government asked for another five level upward departure under § 5K2.14 under public welfare, for a total offense level of 42 after all requested increases. (R1-67-7 to 9.) 69 Brenson submitted a memorandum to the trial court in which he argued that the appropriate maximum base offense level was 12 and that both § 2J1.2 and § 2X3.1 were inapplicable to this case. (R1-68-2, 4.) Brenson also objected to the use of the abuse of trust, obstruction of justice and disruption of government functions adjustments because he argued that these elements were inherent in the offense. (R1-68-3 to 5.) Brenson requested a reduction for acceptance of responsibility based on his attempt to plead guilty. (R1-68-6.) 70 At the initial sentencing hearing on October 31, 1994, the district court: (1) applied the cross reference in § 2J1.2 and under § 2X3.1 assigned an offense level of 30; (2) provided a two level increase in the offense level for abuse of trust pursuant to § 3B1.3; (3) declined to provide an increase in the offense level for obstruction of justice under § 3C1.1, as requested by the government; (4) declined a reduction for acceptance of responsibility pursuant to § 3E1.1, as requested by Brenson; and (5) declined to give a three level upward enhancement or departure under § 5K2.7 based on endangerment to public welfare. (R13-52 to 55.) During the hearing, Brenson's counsel requested that the district court provide a downward departure for his role in the offense. (R13-49, 56 to 58.) The trial court provided Brenson additional time to brief the issue of a downward departure for Brenson's minor role in the offense. (R13-58 to 61.) 71 The final sentencing hearing was held on November 28, 1994. (R14-1.) At that time, the court declined to depart downward based on Brenson's role in the offense, despite the fact that judge expressed great personal concern because he believed the sentence required by the Guidelines in this case to be unfair. (R14-9 to 11.) The district court sentenced Brenson to 120 months imprisonment, followed by two years of supervised release, with no fine imposed. (R14-11.)
72 Brenson challenges the district court's determinations as to the following: (1) the application of the cross-reference to § 2X3.1 based on those offenses committed by Fernandez; (2) the denial of a downward departure for his role in the offenses by Fernandez; (3) the imposition of an upward adjustment for abuse of trust under § 3B1.3 of the Sentencing Guidelines; and (4) the district court's denial of a downward adjustment for acceptance of responsibility. 73
74 Brenson challenges the district court's assignment of an offense level of 30, based on the cross-reference in § 2J1.2(c)(1) to § 2X3.1 of the Guidelines. 8 According to Brenson, cross-referencing his sentence to those offenses to which Fernandez pled guilty is in error because: (1) § 2J1.2(c)(1) requires an actual obstruction of justice and Brenson's conviction for unsuccessfully endeavoring to obstruct justice renders this provision inapplicable; and (2) Brenson was not an accessory after the fact. 75 Initially, Brenson argues that § 2J1.2(c)(1) cannot be utilized in determining his sentence because the provision deals only with an actual obstruction and not simply endeavoring to obstruct justice. In this case Brenson has been convicted of conspiring to obstruct justice in violation of 18 U.S.C. § 371 and endeavoring to obstruct the due administration of justice in violation of 18 U.S.C. § 1503. We believe that each of these offenses is encompassed in § 2J1.2(c)(1) as an offense that involved obstructing the investigation or prosecution of a criminal offense. We are not alone in our analysis that § 2J1.2(c)(1) applies to a conviction for endeavoring to obstruct the due administration of justice under § 1503. See United States v. Aragon, 983 F.2d 1306, 1315 (4th Cir.1993). 9 We agree with the Fourth Circuit Court of Appeals' analysis and determination in Aragon. 76 Brenson then argues that the district court erred in applying § 2X3.1 as a cross-reference for determining his base offense level. The argument concerning the inapplicability of § 2X3.1 appears to be based on a lack of understanding as to how § 2X3.1 is applied in these types of cases. This court recently stated that [t]he language of the cross-referencing provision [§ 2J1.2] is mandatory when the offense involves 'obstructing the investigation or prosecution of a criminal offense' without any qualification and without regard to whether defendant or anybody else was convicted of the underlying offense, or whether an offense could be shown to have been committed at all. United States v. McQueen, 86 F.3d 180, 182 (11th Cir.1996). Pursuant to § 2J1.2, a sentencing court must apply the cross-reference provision, when applicable. McQueen, 86 F.3d at 182 (emphasis added). 77 In United States v. McQueen, the district court erroneously declined to apply the cross-referencing provision when sentencing the defendant as to his obstruction of justice offense because the defendant had been acquitted of the underlying offense (money laundering). 86 F.3d at 182-84. This court pointed out that the district court erroneously focused on the definition of 'underlying offense' in § 2X3.1, which applies to a conviction as an accessory after the fact and [t]hat definition does not apply for cross-reference purposes. Id. at 183. Based on this same rationale, Brenson need not be proven to be an accessory after the fact, because the application of § 2X3.1 is due to the cross-referencing requirement in § 2J1.2(c)(1) and not based on Brenson being treated as an accessory after the fact. 78 The application notes to § 2J1.2 of the Guidelines 10 , in the relevant part, state as follows: 79 The specific offense characteristics reflect the more serious forms of obstruction. Because the conduct covered by this guideline is frequently part of an effort to avoid punishment for an offense that the defendant has committed or to assist another person to escape punishment for an offense, a cross reference to § 2X3.1 (Accessory After the Fact) is provided. Use of this cross reference will provide an enhanced offense level when the obstruction is in respect to a particularly serious offense, whether such offense was committed by the defendant or another person. 80 These notes indicate that the use of § 2X3.1 is intended not to treat the defendant as having committed the underlying offense, but to weigh the severity of one's actions in obstructing justice based on the severity of the underlying offense that was the subject of the judicial proceeding sought to be obstructed, impeded or influenced. This court has recognized that the purpose of the cross-referencing to § 2X3.1 is to provide proportionality in the sentencing of such offenses. United States v. Pompey, 17 F.3d 351, 352 (11th Cir.1994). 81 Application of section 2X3.1 and viewing the underlying offense is not commensurate with conviction of the underlying offense or a sentence for the underlying offense but merely a measure or point of reference for the severity of offenses involving the administration of justice. United States v. Roderick, 974 F.2d 1270, 1272 (11th Cir.1992) (dealing with § 2X3.1 in a sentence for a perjury offense). Thus, Brenson's argument that the government has the burden of proving that he qualifies as an accessory after the fact to the crimes committed by Fernandez is incorrect. 82 Brenson relies on this court's opinion in United States v. Huppert, 917 F.2d 507 (11th Cir.1990) as supporting his arguments, but the holding in Huppert is inapplicable to this case. The decision in Huppert dealt with the court's refusal to apply § 2X3.1 where the defendant obstructed an investigation only to assist himself, rather than others. United States v. McQueen, 86 F.3d 180, 182 (11th Cir.1996). In this case the facts demonstrate that the disclosures by Brenson were intended to assist others in obstructing or impeding the judicial proceedings related to offenses committed by persons other than himself. Furthermore, the language at issue in the Huppert was part of the commentary which has been amended to now include attempts to avoid punishment for an offense either committed by the defendant or to assist another person in escaping punishment for an offense. See U.S.S.G. § 2J1.2(c)(1), commentary (backg'd) (Nov. 1, 1991). 83 Even assuming that the government was required to prove that Brenson was an accessory after the fact to the offenses committed by Fernandez, sufficient evidence was presented. The determination of whether an individual is an accessory after the fact is a legal conclusion subject to de novo review. United States v. Huppert, 917 F.2d 507, 510 (11th Cir.1990). The gist of being an accessory after the fact lies essentially in obstructing justice by rendering assistance to hinder or prevent the arrest of the offender after he has committed the crime. Huppert, 917 F.2d at 510 (quoting United States v. Willis, 559 F.2d 443, 444 (5th Cir.1977)). The evidence presented at trial established that prior to any indictment being returned, Brenson provided the target of the grand jury investigation, Fernandez, and DeMaria with information regarding witnesses who appeared before the grand jury, names of those who could possibly be indicted and the possible charges, the proposed forfeiture of certain assets and the anticipated date of the indictment. This information once disclosed provided assistance to Fernandez and DeMaria in a way capable of hindering or preventing the arrest of Fernandez and/or the forfeiture of certain property. Relying on the evidence presented, the sentencing court, if so required, could properly determine that Brenson was an accessory after the fact. 84 Based on the foregoing, we conclude that the district court properly applied the cross-reference to § 2X3.1 in this case to assign a base offense level of 30. 85
86 Brenson requested a downward departure under § 5K2.0 based on his minimal role in the offenses committed by Fernandez and argues that the district court erred in refusing to provide him with the downward departure. Brenson's assertion is based on his belief that he was not eligible for a downward adjustment under § 3B1.2 because he was the sole participant in the offense committed. Based on the assumption that Brenson was treated as an accessory to the offense committed by Fernandez under § 2X3.1, Brenson argues that he qualifies as a participant under § 3B1.2 for those offenses and his minimal role in the vast criminal enterprise of Fernandez should be considered. 87 The threshold determination to be made by this court is whether we have jurisdiction to decide this issue. 88 The Sentencing Reform Act of 1984, 18 U.S.C. § 3551 et seq., prohibits a defendant from appealing a sentencing judge's refusal to make a downward departure from the guidelines sentencing range. Nonetheless, review is available for a sentencing challenge based upon the district court's belief that it had no authority to depart from the sentencing guideline range. 89 United States v. Patterson, 15 F.3d 169, 171 (11th Cir.1994). This court has no jurisdiction to review the denial of Brenson's request for a downward departure unless the sentencing court denied the downward departure based upon a misapprehension of its own discretionary authority to depart downward. Patterson, 15 F.3d at 171. 90 Obviously the district court understood its discretion under § 5K2.0 to provide a downward departure under limited circumstances when it invited the defendant to file a motion for a downward departure. After continuing the sentencing hearing and reviewing the submissions by both parties as to a possible downward departure, the court responded by stating I have no choice but to follow the law, and I think my reading of the law requires me to deny the defendant's motion for a downward departure. (R14-9.) Neither this statement, nor anything else in the transcript of the sentencing proceedings, indicates that the district court misunderstood its authority to depart downward. To the contrary, the transcript of the sentencing proceedings illustrates that after reviewing the arguments of the parties and despite the district court's personal desire to minimize the sentence imposed, the district court was unable to satisfy himself that the facts before him justified a departure downward from the guideline range. Accordingly, this court lacks jurisdiction to review the denial of the downward departure. 91
92 Brenson argues that the district court erred in adjusting his sentence upward under § 3B1.3 for abuse of trust. According to Brenson, any abuse of trust is clearly inherent in the crime itself. Brenson also points to the application notes of § 3B1.3 requiring a position of public or private trust be characterized by professional or managerial discretion (i.e. substantial discretionary judgment that is ordinarily given considerable deference). U.S.S.G. § 3B1.3, commentary, n. 1. Brenson believes that this provision does not apply to him because it was intended to apply to supervisory positions where an individual abuses the power to use discretionary judgment. 93 In reviewing the district court's decision to apply the enhancement in § 3B1.3 for an abuse of trust in this case, the court must proceed with a two-step analysis. First, the question of whether conduct by a grand juror justifies the abuse of trust enhancement is a legal conclusion requiring a de novo review. United States v. Terry, 60 F.3d 1541, 1545 (11th Cir.1995). 94 The district court determined that an abuse of trust was not inherent in the offenses of endeavoring to obstruction of justice or conspiring to obstruct justice. A person who is not a grand juror nor otherwise cloaked with a special duty by the judicial system could endeavor to obstruct justice in various ways. In other words, there is no inherent requirement that a person hold a position of trust in order to be guilty of violating § 1503. 95 Second, the district court's decision that Brenson abused a position of public trust is reviewable under a clearly erroneous standard. 18 U.S.C. § 3742(d); United States v. Terry, 60 F.3d 1541, 1545 (11th Cir.1995), cert. denied, --- U.S. ----, 116 S.Ct. 737, 133 L.Ed.2d 687 (1996). Grand jurors are specially selected to perform a vital function of the judicial process by serving as the small representative sample of the community at large assigned to listen to evidence of criminal activity, impartially weigh this evidence and determine if there is sufficient evidence to support an indictment of an individual. By performing this public duty, a grand juror assumes a position of public trust as to such responsibilities. 96 In applying § 3B1.3, the court should inquire as to whether or not the defendant used any special knowledge or access provided by his position of public trust to facilitate or conceal the offense. United States v. Baker, 82 F.3d 273, 277 (8th Cir.1996). For this enhancement to apply, the position of trust must have contributed in some significant way to facilitating the commission or concealment of the offense. U.S.S.G. § 3B1.3, commentary, n. 1. 97 In this case, the controlling fact is that Brenson's position as a grand juror provided him with information on the evidence in the Fernandez investigation and facilitated the commission of this crime by providing Brenson with access to information that would otherwise not have been known to him. Brenson used his status as a grand juror to endeavor to obstruct justice and emphasized to DeMaria that the reason DeMaria would want to listen to Brenson was because he was a grand juror. Likewise, when DeMaria requested a way to keep in touch with Brenson in order to stay informed, Brenson once again employed his status as a grand juror in making this illegal agreement. Had Brenson not been serving as a grand juror, Brenson would have had no way of providing ongoing information about the investigation to DeMaria and Fernandez. 98 Based on the evidence presented, the district court's determination that Brenson abused a position of public trust is not clearly erroneous. Therefore, we conclude that in this case the district court properly included a two level enhancement for abuse of trust pursuant to § 3B1.3. 99
100 Finally, Brenson states that the district court erred in denying him a two or three level reduction in his offense level for acceptance of responsibility. Relying on the fact that he admitted to federal agents shortly after his arrest that he revealed grand jury information, Brenson argues that he is entitled to the acceptance of responsibility reduction because he went to trial only to preserve the legal issue as to whether or not disclosing grand jury secrets was a per se violation of the obstruction of justice statute. According to Brenson, the district court mistook Brenson's legal arguments for a factual issue of intent. Additionally, Brenson points to the fact that he assisted authorities in the investigation and prosecution of his offense by timely providing complete information to the government concerning his own involvement in the offense, as set out in § 3E1.1(b)(1) and asserts that he is entitled to a three level reduction in his base offense level. 101 We review the district court's decision as to acceptance of responsibility only for clear error. United States v. Arguedas, 86 F.3d 1054, 1059 (11th Cir.1996). The district court is in a unique position to evaluate whether a defendant has accepted responsibility for his acts, and this determination is entitled to great deference on review. Unless the court's determination is without foundation, it should not be overturned on appeal. United States v. Pritchett, 908 F.2d 816, 824 (11th Cir.1990); U.S.S.G. § 3E1.1, commentary, n. 5. 102 Pursuant to § 3E1.1 of the Guidelines, only a defendant who clearly demonstrates a recognition and affirmative acceptance of personal responsibility for his criminal conduct may receive a downward adjustment for acceptance of responsibility. U.S.S.G. § 3E1.1(a). The evidence presented at trial demonstrates that immediately following his arrest, Brenson confessed to federal law enforcement agents that he had provided secret grand jury information to DeMaria and Fernandez. However, Brenson also agreed to assist in the investigation of DeMaria on the condition that he was not to inform anyone of his cooperation but sabotaged any covert investigation of DeMaria by telling a friend, Mario Palacio, to get word to DeMaria that he had been asked to cooperate against DeMaria. Brenson's attempted guilty plea came only moments before the trial proceedings were to begin and after a jury had been selected. The plea was aborted during the plea colloquy once Brenson refused to acknowledge the necessary state of mind, i.e. that he had acted corruptly in disclosing this information. 103 The district court determined that while Brenson has accepted some responsibility for some of the actions in this particular case, he has not accepted responsibility for all of his actions. (R13-53 to 54). In denying the downward adjustment, the district court acknowledged that while the defendant's insistence on going to trial was a factor, it does not prevent the defendant from being eligible for the downward adjustment. (R13-54.) 104 The comments to § 3E1.1 explain that there are rare situations where a defendant could adequately accept responsibility to qualify for a downward adjustment and proceed to trial. U.S.S.G. § 3E1.1, commentary, n. 2. Brenson argues that this case presents one such rare situation. This court has relied on the commentary in stating that [s]uch a rare situation may exist when a defendant goes to trial only to preserve issues that do not relate to factual guilt. United States v. Gonzalez, 70 F.3d 1236, 1239 (11th Cir.1995), cert. denied, --- U.S. ----, 116 S.Ct. 1838, 134 L.Ed.2d 941 (1996). Brenson's decision to proceed to trial was not based on a challenge to the statute's application to his particular conduct as he has argued. Brenson's pre-trial statements demonstrate that he refused to admit that he had acted corruptly in disclosing this information. Therefore, Brenson put the government to its burden of proof at trial by denying an essential element of the crime, which directly relates to the factual guilt. Upon review of the record in this case, the district court's denial of the downward adjustment for acceptance of responsibility was adequately supported and was not in error.