UNITED STATES of America, Plaintiff-Appellee v. Thomas William MALONE, Jr., Defendant-Appellant. United States of America, Plaintiff-Appellee v. Drew T. Green, Defendant-Appellant.
No. 14-31426 Cons w/ 15-30011
United States Court of Appeals, Fifth Circuit
July 6, 2016
828 F.3d 331
Before JOLLY, HIGGINBOTHAM, and SMITH, Circuit Judges.
The district court assessed Gomez-Valle‘s responsibilities in the criminal enterprise. The district court observed at sentencing that Gomez-Valle fed the aliens he housed only once or twice a day, and the district found that the aliens were kept “in horrible conditions” at the stash house. Many of the aliens were hungry when they were discovered by agents and said that Gomez-Valle had pocketed money given to him to buy food. The district court was also skeptical that “Gordo,” who Gomez-Valle said recruited him and was, according to Gomez-Valle, the leader of the human smuggling operation, even existed. As noted, an alien identified Gomez-Valle as “Gordo,” and the PSR discussed evidence indicating that Gomez-Valle himself might be “Gordo.”
Even if Gomez-Valle was not Gordo, Amendment 794 does not provide an affirmative right to a
Amendment 794 provides that the adjustment is only applicable for a “defendant” who is “substantially less culpable than the average participant in the criminal activity.” The facts of this case do not indicate that Gomez-Valle is such a participant. The district court did not clearly err in finding that Gomez-Valle was an average participant in the human smuggling activity.
Accordingly, even assuming, without deciding, that Amendment 794 is “clarifying” and should be considered on appeal, it does not affect the outcome in this case. The district court did not err in concluding that Gomez-Valle was neither a “minor” nor a “minimal” participant eligible for a
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The judgment of the district court is AFFIRMED.
Camille Ann Domingue, Assistant U.S. Attorney, U.S. Attorney‘s Office, Western District of Louisiana, Lafayette, LA, for Plaintiff-Appellee.
Steven Howard Sadow, Esq., Law Office of Steven H. Sadow, P.C., Atlanta, GA, for Defendant-Appellant.
IT IS ORDERED that the petitions for panel rehearing and the petitions for rehearing en banc are DENIED. We WITHDRAW Part II.B of the opinion previously filed on December 11, 2015, and SUBSTITUTE the following amended opinion.
Thomas William Malone, Jr. and Drew T. Green pleaded guilty to one count of conspiracy to distribute and possess with the intent to distribute AM-2201, a controlled substance analogue, in violation of
I.
Thomas William Malone, Jr. and Drew T. Green were the owners of NutraGenomics Mfg L.L.C. Prior to March 2011, NutraGenomics distributed JWH-018 throughout the United States. When new federal and state laws banned this substance, NutraGenomics discontinued its distribution and began selling several new synthetic cannabinoids, one of which was AM-2201. Malone and Green sold AM-2201 both in bulk and as part of a product called “Mr. Miyagi“—a mixture of AM-2201 and vegetable material that visually resembled marijuana. Though Mr. Miyagi was, with a wink, labeled as potpourri not fit for human consumption, the expectation was that the user would smoke the product in order to get high off its active ingredient, AM-2201. Malone and Green brought in Boyd A. Barrow and Joshua Espinoza to manufacture and distribute Mr. Miyagi, both now co-defendants. They in turn sold a large quantity of Mr. Miyagi to Richard Buswell, who distributed it at stores throughout Louisiana.
On September 4, 2012, a federal grand jury in the Western District of Louisiana returned a superseding indictment charging Malone, Green, and several co-defendants with one count of conspiracy to distribute and possess with the intent to distribute AM-2201, a controlled substance analogue, one count of conspiracy to introduce and cause to be introduced misbranded drugs into interstate commerce, and one count of conspiracy to commit money laundering. Within about two weeks, Malone and Green had reached plea agreements with the Government in which they agreed to cooperate and plead guilty to the count of conspiracy to distribute AM-2201 in exchange for the dismissal of the remaining counts. They pled guilty to one count of conspiracy to distribute and possess with the intent to distribute a Schedule I Controlled Dangerous Substance, in violation of
The guilty pleas were accepted, and the probation office prepared presentence reports (“PSRs“). Because AM-2201 is not listed in either the Drug Quantity Table or the Drug Equivalency Tables, the PSRs had to “determine the base offense level using the marijuana equivalency of the most closely related controlled substance” to AM-2201.1 The Sentencing Guidelines require that three factors guide this inquiry:
(A) Whether the controlled substance not referenced in this guideline has a chemical structure that is substantially
similar to a controlled substance referenced in this guideline. (B) Whether the controlled substance not referenced in this guideline has a stimulant, depressant, or hallucinogenic effect on the central nervous system that is substantially similar to the stimulant, depressant, or hallucinogenic effect on the central nervous system of a controlled substance referenced in this guideline.
(C) Whether a lesser or greater quantity of the controlled substance not referenced in this guideline is needed to produce a substantially similar effect on the central nervous system as a controlled substance referenced in this guideline.2
Based upon the consideration of these factors, the PSRs determined that Tetrahydrocannabinol, or THC, was the “most closely related controlled substance” to AM-2201. The Drug Equivalency Tables specify a 1 to 167 ratio for converting THC into marijuana;3 that is, the Sentencing Guidelines treat one gram of THC as equivalent to 167 grams of marijuana. Using this ratio, the PSRs concluded that Appellants should be held responsible for 233,800 kilograms of marijuana4—and that the base offense level for both should be set at 38, the highest level set forth by the Drug Quantity Table.5
Appellants objected to the use of a 1:167 ratio to convert the 1400 kilograms of AM-2201 into marijuana. Instead, they argued that a 1:1 ratio was appropriate because marijuana, not THC, is the “most closely related controlled substance” to AM-2201. Alternatively, they asked the district court to exercise its discretion under Kimbrough v. United States6 to reject the 1:167 ratio. These objections prompted an evidentiary hearing. Two experts—one for the Government and one for the defense—testified at length in the hearing about the available scientific data on AM-2201. The Government‘s expert, Dr. Jordan Trecki, relied on five different categories of evidence to support his opinion that THC is the “most closely related substance” to AM-2201: (1) a “binding study” showing that THC and AM-2201 bind to the same cannabinoid receptor; (2) a “functional assay” showing that THC and AM-2201 both activate this receptor; (3) a drug discrimination study showing that (a) rats cannot tell the difference between THC and AM-2201 and that (b) AM-2201 is more potent than THC; (4) a “tetrad study” showing that rats react similarly to THC and JWH-018, an analogue of AM-2201; and (5) case studies showing that THC and AM-2201 have similar effects on human users. The defense expert, Dr. Nicholas Cozzi, devoted much of his testimony to criticizing the evidence relied upon by Dr. Trecki. In particular, Dr. Cozzi criticized Dr. Trecki for relying on animal studies—as opposed to human studies—and combining the results of several different studies—each of which was inconclusive standing alone—to form his opinion. When asked to provide his opinion, Dr. Cozzi remarked that it was “kind of a nonscience question,” but testified that marijuana was the “most closely related controlled substance” to AM-2201 because “it‘s consumed in the same way and it‘s consumed for the same effect.” Both ex-
The next day, the district court issued an oral ruling on Appellants’ objections. Citing the evidence relied upon by Dr. Trecki, the district court concluded that the Government had demonstrated by a preponderance of the evidence that THC was the “most closely related controlled substance” to AM-2201. The court further declined to rely upon Kimbrough to reject the 1:167 ratio. Though acknowledging that “the ratios in the sentencing guidelines are often arbitrary,” the district court stated that these ratios “seek to outline the relative harm of certain drugs.” The court also noted that Kimbrough involved the comparison of “one ratio for one drug to another ratio for another drug” while this case concerned just one ratio. The district court then held separate, closed hearings on the two
II.
Appellants raise five claims of sentencing error: (1) the district court erred in concluding that THC is the “most closely related controlled substance” to AM-2201; (2) the district court did not recognize its discretion under Kimbrough v. United States8 to vary from the 1:167 ratio for converting THC into marijuana; (3) the district court considered non-assistance-related factors in reducing the extent of their
A.
Malone and Green challenge the district court‘s conclusion that THC is the “most closely related controlled substance” to AM-2201. Like Dr. Cozzi, they criticize the animal studies cited by Dr. Trecki as unreliable and incapable of providing meaningful insight into the effects of AM-2201 on human users. Moreover, Appellants argue that this Court explicitly endorsed their arguments in Allen v. Pennsylvania Engineering Corp.9 In Allen, this Court concluded that the animal studies relied upon by the plaintiffs were “unreliable” and incapable of “furnish[ing] a scientifically valid basis for the conclusion” that the plaintiffs wished to draw.10 In effect, Appellants ask us to do the same here.
We decline to do so. Allen concerned the admission of expert testimony at trial—this is a sentencing case. “[T]he appropriate standard regarding the admissibility of evidence at sentencing is substantially lower than that governing admis-
Indeed, Appellants do not appear to take issue with the methods or results of the studies—but instead with inferences the district court drew from them concerning the effects of AM-2201 on human users. This argument goes to the sufficiency of the evidence, not its reliability. Our review of such a challenge is limited. The district court‘s conclusion that THC is the “most closely related controlled substance” to AM-2201 represents a finding of fact.16 “We review the district court‘s findings of fact at sentencing for clear error. . . .”17 “The court will find clear error ‘only if, based on the entire evidence, the court is left with the definite and firm conviction that a mistake has been committed.‘”18 “If, after reviewing the record, the district court‘s view of the evidence is plausible, the district court‘s decision must be affirmed even if the judges on this Court, sitting as the trier of fact would have weighed the evidence differently.”19
By this metric, we must affirm the district court‘s conclusion that THC is the “most closely related controlled substance” to AM-2201. It is significant that the district court gave this matter studied attention. It held a day-long evidentiary hearing during which two experts testified at length.20 Both sides were allowed to present scientific evidence and cross-examine the other side‘s expert. After carefully considering all of this evidence, the district court issued a well-reasoned oral decision. While its inferences based upon the animal studies are debatable, nothing in the record leaves us with “the definite and firm conviction that a mistake has been committed.” To the contrary, we agree with the district court that the assertion that we
Appellants also presented little in the way of counterevidence at the evidentiary hearing.21 Their expert, Dr. Cozzi, testified only briefly about his opinion regarding the “most closely related controlled substance” to AM-2201—ultimately choosing marijuana because “it‘s consumed in the same way and it‘s consumed for the same effect.” But neither of these points are persuasive. Marijuana is not consumed in the same way as AM-2201; there is no evidence in the record that a user would smoke the pure form of AM-2201—just as a user would not smoke pure THC. And while smoking marijuana may give users effects similar to consuming AM-2201, so also does THC. We are not persuaded that the district court erred in determining that THC is the “most closely related controlled substance” to AM-2201.
To the extent Appellants challenge the district court‘s reliance on the 1:167 ratio for converting THC into marijuana, their arguments are similarly unavailing. Even though both experts testified that the 1:167 ratio has no scientific basis, this Court has squarely held that district courts are not required to engage in “a piece-by-piece analysis of the empirical grounding behind each part of the sentencing guidelines” and ignore those parts that do not pass empirical muster.22 We fully agree with the Seventh Circuit that a rule to the contrary would render “sentencing hearings . . . unmanageable, as the focus shifts from the defendant‘s conduct to the ‘legislative’ history of the guidelines.”23 As we have said before, “[e]mpirically based or not, the Guidelines remain the Guidelines. It is for the Commission to alter or amend them.”24
B.
Appellants’ next claim is that the district court did not recognize its discretion under Kimbrough v. United States to vary from the 1:167 ratio for converting THC into marijuana. In Kimbrough, the Supreme Court held that district courts have discretion to vary from the Sentencing Guidelines based solely upon policy disagreement.25 And a defendant “is enti-
Appellants argue that the district court‘s comments during sentencing indicate that it did not appreciate its discretion to vary under Kimbrough. Three sets of comments are relevant: First, prior to the evidentiary hearing on Appellants’ Kimbrough objection, the district court said the following:
The Court would tell counsel, just so you know how the Court is leaning, that although the Court might be persuaded, the Court is of the mind that the tables in the sentencing guidelines are what they are, and that that issue may be an issue for a higher court. And I definitely would allow everyone to make their record on that issue, but that my leaning at this point in the morning, before I‘ve heard the evidence, is not to vary or depart from those sentencing guidelines as they‘re written, or the chart as it‘s written in the sentencing guideline manual, because I‘m just the district court judge.
Second, during the direct examination of Dr. Cozzi, the district court made this comment: “There seems to be no rhyme or reason to any of the stuff in the guidelines as to how the equivalent is to marijuana. It all seems to be a relativity type of assessment made by Congress to show the relative harm of these drugs.”29 And third, in ruling on Appellants’ Kimbrough objection, the district court gave this explanation:
The defendants have relied on the Kimbrough case in urging the Court to throw out this guideline. This Court will not do so for several reasons.
First of all, the sentencing guidelines are the expression of Congress that this is what should be done. The Court acknowledges that the ratios in the sentencing guidelines are often arbitrary and present a relative—by converting everything to marijuana, they seek to outline the relative harm of certain drugs.
In Kimbrough, what the Court—what the Supreme Court and the Court was doing was comparing one ratio for one drug to another ratio for another drug and pointing out the unfairness of those two ratios. In this case that‘s not what the defendants have asked us to do. They have simply asked us to throw out the ratio of 1:167 based on its arbitrary nature, and this Court would decline to do so.30
C.
Appellants’ third claim is that the district court considered non-assistance-related factors in reducing the extent of their
The Court has not accepted that recommendation for the low end of the guidelines.
As the Court has noted, I am struck by the seriousness of the offense. I am struck by the harm, both potential and actual, from what were very reckless actions on the part of the defendant. It was reckless actions taken solely for the purpose of making a large amount of money. It was a huge risk taken by the defendants which didn‘t work out so well.
Appellants argue that this comment clearly demonstrates that the district court based the extent of their
The Government does not argue otherwise. Conceding that the district court considered non-assistance-related factors, the Government asserts that Desselle should be read as imposing a “one-way ratchet.”33 That is, the Government argues that Desselle only prohibits a district court from considering non-assistance-related factors when increasing the extent of a defendant‘s
That said, we conclude that any error committed by the district court was harmless. “The Guidelines set out a three-part framework for the imposition of sentences: the district court (1) calculates the advisory sentencing range; (2) considers the specific offender characteristics and grounds for departure enumerated in the Guidelines; and (3) weighs the applicable factors in
D.
In the alternative, Appellants claim that the
E.
Appellants’ final claim is that the district court committed clear error in balancing the
III.
For the reasons stated above, we AFFIRM.
PATRICK E. HIGGINBOTHAM
UNITED STATES CIRCUIT JUDGE
