United States v. MorilloUnited States v. Morillo
This proceeding requires us, for the first time, to chart the interrelationship between
I.
Background
A thumbnail sketch suffices to put this appeal into workable perspective.
2
In 1992, a federal grand jury indicted appellant on three counts of distributing heroin in violation of
At a sentencing hearing held on March 18, 1993, the district court determined that the heroin involved in the counts of conviction warranted a base offense level (BOL) -of 18. See U.S.S.G. § 2Dl.l(c)(13) (Drug Quantity Table). 3 The judge increased the BOL by two levels because of Morillo’s aggravating role in the offense, see U.S.S.G. § 3Bl.l(e), and decreased the BOL by two levels for acceptance of responsibility, see id. § 3El.l(a). When combined with appellant’s criminal history category (III), the various adjustments produced a guideline sentencing range (GSR) of 33-41 months. The court sentenced appellant at the range’s apex and entered final judgment on March 19, 1993.
On March 23, appellant filed a motion asking the court to correct his sentence because of an alleged miscalculation in figuring drug quantity. On April 1, appellant filed a notice of appeal. On April 19, the district court
II.
Appellate Jurisdiction
A.
Suspensory Motions: An Overview
In a criminal case, a defendant must appeal within 10 days after entry of a judgment of conviction.
See
Post-judgment motions apart from those expressly enumerated in
B.
Framing The Issue.
The pivotal question here is whether appellant’s post-judgment motion is of this sus-pensory genre.
4
If the filing of the motion did not interrupt the progress of the appeal period, then
C.
Analysis
1.
Characterization.
Our first order of business is to determine the character of the March 23 motion. The motion did not invoke, or even refer to, any particular procedural rule. When a motion is silent as to the location of its procedural moorings, an inquiring court must look to the motion’s substance, including the relief requested, in order properly to characterize it.
See, e.g., Dieter,
Here, appellant styled his motion as a motion “to correct sentence.” Elevating substance over form, we conclude that the motion invokes, or is at least the functional equivalent of a motion brought pursuant to,
2.
Effect.
Having identified the motion as a motion under
It is settled beyond peradventure that a timely motion for rehearing or reconsideration of a judgment in a criminal case interrupts the original appeal period. See supra p. 867 (listing precedents). This tenet applies in criminal cases notwithstanding that, by and large, there are “no explicit provisions for rehearing proceedings in criminal cases.” 16 Charles A. Wright et al., Federal Practice & Procedure § 3950, at 482 (Supp. 1993). Justice Harlan, writing for a unanimous Court, explained the rationale for giving such motions suspensory effect:
[Depriving parties to a criminal case] of the opportunity to petition a lower court for the correction of errors might, in some circumstances, actually prolong the process of litigation — since plenary consideration of a question of law [on appeal] ordinarily consumes more time than disposition of a petition for rehearing — and could, in some cases, impose an added and unnecessary burden of adjudication upon [the appellate court].
Healy,
It stands to reason that, if a sentence is infected by clear error, a timely motion seeking to correct it — at least a motion which, like this one, seeks to shrink the incarcerative portion of the sentence and, thus, carries the potential to affect substantive rights — fits the
Healy
mold. Forcing a party to press ahead with an appeal while such a motion is pending would countervail the principles of efficacy and judicial economy that undergird
Healy.
Consequently, we hold that when, as now, a party to a criminal case files a timely motion under
3.
Timeliness.
Our speleology into this jurisdictional cave also uncovers a temporal dimension. We have been careful to note, and believe it is prudent to emphasize, that only a
timely
motion for rehearing or reconsideration should be accorded suspenso-ry effect.
See, e.g., Dieter,
In precincts patrolled by
We derive two valuable lessons from the anatomy of the rule: (1) a motion under
4.
Application.
In this case, the district court pronounced sentence on March 18 and entered judgment the next day.
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Appellant filed his
III.
The Merits
A.
Drug Quantity
Under the guidelines, drug quantity is “a key datum” in the sentencing of narcotics offenders.
United States v. Bradley,
The facts relating to the dispute over drug quantity can be succinctly summarized. Defendant was charged with distributing heroin on three occasions: February 7, 20, and 21, 1992. Each transaction culminated in the exchange of a substantial number of “browns,” individually packaged for street-level sales. Immediately following each transaction, the federal Drug Enforcement Administration (DEA) estimated the weight of the purveyed drugs by representative sampling, that is, by weighing a few of the “browns” and multiplying the average weight by the total number of packs contained in the consignment. On this basis, the DEA reported that the first transaction involved 6.51 grams of heroin, the second transaction involved 1.24 grams, and the final transaction involved 20.30 grams. Appellant contested only the last of these three assessments. Pursuant to the district court’s order, the state toxicology laboratory studied the heroin involved in the third transaction, using its own formula, and estimated that it weighed between 10.39 and 16.21 grams. Of necessity, however, this estimate did not include the weight of the heroin previously extracted from the third batch by the DEA, used in arriving at the DEA’s drug quantity determination, and never replaced.
Faced with these competing estimates, the judge found it probable that the third batch contained at least 12 grams. This total, when augmented by the weight of the drugs from the first two transactions (6.51 and 1.24 grams, respectively) and the sample amount originally extracted from the third transaction (0.41 grams), brought the drug quantity over 20 grams and the BOL to 18. 11
We discern no error here. When it is impossible or impractical to obtain an exact drug quantity for sentencing purposes, a reasoned estimate will suffice.
See Sklar,
B.
Acceptance of Responsibility
The district court found that appellant had accepted responsibility for his criminality and trimmed his offense level by two levels on that account, see U.S.S.G. § 3El.l(a), but refused to grant an additional one-level credit under U.S.S.G. § 3El.l(b). 12 Appellant assigns error to this refusal, eyeing a further reduction pursuant to section 3E1.1(b)(2).
A defendant bears the burden of proving entitlement to decreases in the offense level, including downward adjustments for acceptance of responsibility.
See, e.g., United States v. Ocasio-Rivera,
We find no clear error in the district court’s determination that appellant failed to qualify for the added discount under section 3El.l(b)(2). Appellant was arraigned on October 20, 1992. He pleaded not guilty. Several weeks later, in his November 30 motion for the appointment of an independent toxicologist, appellant indicated that he was “prepared to plead guilty to the three
There is little more that need be said. Appellant did not plead unconditionally until December 10, 1992 — the very date that the court had set for jury selection. A defendant who withholds a guilty plea until he stands poised on the brink of trial has no entitlement to the soothing unguent of section 3El.l(b)(2). Therefore, the court below acted appropriately in awarding appellant a two-level, rather than a three-level, decrease for acceptance of responsibility.
c.
Role in the Offense
Finally, appellant claims that the district court erred in its determination of his role in the criminal activity.
See
U.S.S.G. § 3Bl.l(c) (providing a two-level increase for assuming managerial responsibilities in certain criminal endeavors). Boosting a defendant’s BOL by two levels under this provision is justified if the sentencing court determines that the offense(s) of conviction involved at least two participants,
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and that the defendant exercised control over one of them.
See United States v. Akitoye,
In this case, it is undisputed that at least three people participated in the felonious enterprise: appellant, his supplier (Faustino Moronta, Jr.), and a courier, Oscar Severino. On at least one occasion, appellant paged Severino via beeper, and Severino responded to appellant’s apartment with the merchandise — heroin apparently originating with Mo-ronta. The presentence investigation report (PSI Report) asserted that Severino worked for and under the direction of Morillo. Appellant filed written objections to several aspects of the PSI Report, but he did not object to this determination. At the sentencing hearing, appellant’s attorney argued briefly that his client was only a middleman in the criminal transaction; while conceding that Severino brought the drugs to the desired locus at appellant’s behest, counsel claimed that Severino did so as Moronta’s agent — and that Morillo exercised no independent control over him. Yet, appellant offered no evidence to contradict the assertion contained in the PSI Report. Not surprisingly, then, the district court accepted the probation officer’s version of the chain of command.
Facts contained in a presentence report ordinarily are considered reliable evidence for sentencing purposes.
See United States v. Zuleta-Alvarez,
We need go no further. Mindful that appellate review of role-in-the-offense determinations is conducted under a deferential “clear error” standard,
see United States v. Savoie,
Affirmed.
Notes
.The rule provides:
The court, acting within 7 days after the imposition of sentence, may correct a sentence that was imposed as a result of arithmetical, technical, or other clear error.
. The November 1992 edition of the federal sentencing guidelines applies in this case.
See United States v. Harotunian,
. In Part III(A), infra, we discuss the relevant details of the debate over drug weight and, relat-edly, the appropriateness of the BOL.
. We use the term "suspensory” because, although some courts and litigants describe the effect of such motions as "tolling” the time for appeal, that description is inaccurate. Because the appeal period begins to run afresh at the time of disposition of the motion, the motion does not toll the appeal period, but restarts it.
See Ibarra,
-U.S. at-n. 2,
. To be sure, the text of
. The likelihood that appellant might prevail on his motion is irrelevant for purposes of determining the motion’s suspensory effect.
See Ibarra,
-U.S. at-,
. The events in
Carr
antedated the adoption of
. For ease in reference we use March 19 as the dispositive date. Withal, we note that
.There are other questions that might affect the jurisdictional calculus in cases of this stripe — but those questions are not presented on this record. For instance, we have no occasion to consider (i) whether a different result might obtain if it could be shown that a movant brought a post-judgment motion in bad faith,
see Ibarra
, — U.S. at-n. 3,
. For example, in Morillo's criminal history category (III), the spread between the high end of a Level 18 GSR (41 months) and the low end of a Level 16 GSR (27 months) is 14 months.
. Appellant’s post-judgment motion claimed clear error on the theory that the judge intended to aggregate only the first three of the quantities mentioned in the text. In rejecting the
. The applicable guideline reads:
(а) If the defendant clearly demonstrates acceptance of responsibility for his offense, decrease the offense level by 2 levels.
(б) If the defendant qualifies for a decrease under subsection (a), the offense level determined prior to the operation of subsection (a) is level 16 or greater, and the defendant has assisted authorities in the investigation or prosecution of his own misconduct by taking one or more of the following steps:
(1) timely providing complete information to the government concerning his own involvement in the offense; or
(2) timely notifying authorities of his intention to enter a plea of guilty, thereby permitting the government to avoid preparing for trial and permitting the court to allocate its resources efficiently, decrease the offense level by 1 additional level.
U.S.S.G. § 3E1.1.
. The defendant himself may be counted in determining the overall number of participants.
See United States
v.
Preakos,