United States v. Gomes Fontes, 415 F.3d 174, 1st Cir. (2005)
United States v. Gomes Fontes, 415 F.3d 174, 1st Cir. (2005)
3d 174
I.
2
On March 31, 2004, Fontes pled guilty to one count of conspiracy to distribute
50 grams or more of crack cocaine in violation of 21 U.S.C. 846, 841(a)(1),
and 841(b)(1)(A), and one count of distribution and possession with intent to
distribute crack cocaine in violation of 21 U.S.C. 841(a)(1) and 841(b)(1)
(A), based on his sale of 59.2 grams of crack to a friend and drug associate-
After an evidentiary hearing on August 6 and August 18, 2004, during which
the informant and an FBI special agent testified, the district court found that the
government had engaged in sentencing factor manipulation by ordering the
informant to purchase crack cocaine with the intent of securing a higher
sentence. However, the court concluded that, in light of Fontes's predisposition
to sell crack, the government's conduct was not "extreme and outrageous," and
the court therefore could not impose a sentence below the statutory mandatory
minimum. See Montoya, 62 F.3d at 4 (court may impose sentence below
statutory mandatory minimum for "sentencing manipulation amounting to
`extraordinary misconduct'"). The district court declined to consider whether
the government's misconduct nevertheless warranted a downward departure
from the applicable Guidelines sentencing range of 140-175 months of
imprisonment.1 See id. at 4-5 (entertaining possibility that "a district court may
order a discretionary downward departure from the guideline range on
something less than extraordinary misconduct"). Instead, predicting that the
Supreme Court would soon declare the federal sentencing Guidelines
unconstitutional,2 the court imposed a non-Guidelines sentence of 126 months
of imprisonment above the statutory mandatory minimum of 120 months but
below the applicable Guidelines sentencing range which it considered to be
"fair and just." The court also imposed a five-year term of supervised release
and a special assessment of $200.
Fontes timely appealed, contesting the court's ultimate conclusion that the
government's sentencing factor manipulation was not "extreme and outrageous"
enough to justify a sentence below the statutory mandatory minimum. See 18
FBI agents then instructed the informant to make a second controlled purchase
of drugs from Fontes, this time in the form of crack, rather than powder
cocaine. In the informant's words, the agents told him, "if he comes with the
crack, buy it, if he doesn't, don't buy it." The agent testified that he directed the
informant to purchase two ounces of crack, which the informant testified was a
commonly sold quantity. At this point in the investigation, the agent testified, "I
had no specific information whether or not Mr. Fontes would sell that product,
On December 20, 2002, Fontes and the informant met at a pizza restaurant to
negotiate a price for the second drug transaction. Although the informant wore
a wire to record the conversation, the tape did not clearly reveal whether the
informant specified to Fontes that he wished to purchase crack rather than
powder cocaine. The informant testified, however, that he told the agents he
had negotiated a deal with Fontes to purchase two ounces of crack. The agent
testified that the informant also reported that Fontes had shown him a gun
during their meeting. On January 2, 2003, the informant spoke to Fontes in a
recorded phone call to confirm the quantity of drugs and to make arrangements
for the sale the next day. Again, the recording revealed no specific reference to
crack cocaine.
10
11
The informant quickly realized that the bag contained powder, not crack,
cocaine. According to the transcript of the taped conversation, he protested, "I
wanted it cooked, [the customer] wanted it cooked." Fontes responded, "You
wanted it chef'd?" and asked the informant, "You don't know how to chef ... ?"
The informant replied, "Nah, I don't have time, too." Fontes then told the
informant, "Hold up, I'll probably get a trade," and made a cell phone call.
Instead of a trade, Fontes arranged to drop off the powder back at the apartment
building, where someone would cook it into crack.
12
According to the transcript, Fontes then said that if he had known at the outset
that the informant wanted to purchase crack instead of powder cocaine, "I
would have had it chef'd." When the informant countered that he had told
Fontes his customer wanted crack, Fontes replied, "Yo, but I figured you, ...
you could chef it yourself...." Finally, Fontes lamented that he had had a halfounce of crack available when the informant picked him up: "I had a heezy [a
half-ounce] on me too, man, chef'd...." After dropping the powder cocaine off
with the same third person at the apartment building, Fontes and the informant
drove around for about an hour before returning to the apartment building to
pick up the cocaine, now cooked into crack, which weighed 59.2 grams.
13
During the evidentiary hearing, the FBI agent explained that the agents
instructed the informant to purchase two ounces of crack in part because the
government lacked the funds to make a second controlled purchase of powder
cocaine in a quantity large enough to dispel suspicion, given the informant's
purchasing history with Fontes. By contrast, the agent explained, "In my mind,
[the informant] didn't deal in crack cocaine with Mr. Fontes previously. There
was no history of large quantities and so, this was something that was new to us
in this investigation." The agent further elaborated:
14
At that point, we decided that it was cost effective to purchase crack. Being
aware of the sentencing guidelines, being aware of the fact that the previous
deal was for an eighth kilo of cocaine, which cost a lot of money, and so, what
we were trying to do was to make one transaction, one additional transaction,
get good evidence that would stand to indict and convict Mr. Fontes, and that's
what we did.
15
When the court asked the agent, "What do you mean by `being aware of the
sentencing guidelines?'" the agent replied:
16
I'm aware of the fact that there are guidelines that determine what a sentence is
for a particular drug transaction, depending on what type of drug you are
selling or purchasing, there are different sentences that are associated with the
weights. So, in this case, there's different guidelines for cocaine, as opposed to
crack cocaine, powder versus crack.
17
The court then asked, "So, you're trying to get a higher sentence?" The agent
replied, "That's a part of it."
18
After the witnesses concluded their testimony on August 18, 2004, the court
heard oral argument. Given the informant's history of purchasing only powder
cocaine from Fontes and the agents' lack of information about whether Fontes
actually distributed crack, Fontes maintained that the government's decision to
instruct the informant to purchase crack instead of powder cocaine in order to
procure a higher sentence amounted to sentencing factor manipulation, even if
Fontes later turned out to have some predisposition to sell crack. The
government countered that the agents legitimately sought to test whether
Fontes, like his associates, would sell crack cocaine, even if they had no
advance knowledge that Fontes was predisposed to sell cocaine in that form.
19
After argument, the court concluded: "I don't think given the fact of the
predisposition of Mr. Fontes to sell crack that I can say [the government
engaged in] extreme and outrageous conduct. But I think it's extremely
troubling. I think it's wrong and troubling for the government to try and
quadruple" the defendant's sentence.5 The court continued: "I don't think that's
a legitimate law enforcement goal. And, I am taking it into account in where
I'm going to sentence him. But I don't think it's extreme and outrageous because
of the very strong evidence of predisposition to sell. That tape is devastating."
Nevertheless, the court found that the FBI agent "basically admitted that they
were trying to get a higher sentence."
20
21
Finally, the court noted that if the Guidelines were upheld as constitutional, the
applicable GSR would be based on a total offense level of 29 and a Criminal
History Category of V, resulting in a sentencing range of 140-175 months of
imprisonment. The court indicated that if the case were remanded for
sentencing pursuant to the Guidelines, it would consider a downward departure
from that range based on the government's misconduct, but in no event would it
impose a sentence below the statutory mandatory minimum "because I can't say
with that level of predisposition that it's extreme and outrageous." The court
nevertheless admonished: "I think when you quadruple someone's sentence
based on the situation where his track record with this particular informant was
all powder and he thought it was powder, I think he basically you are talking
your best friend into [selling] crack, the whole thing is troubling."
22
In its statement of reasons issued on August 20, 2004, the court reiterated its
factual findings and legal conclusions:
23
Based on the FBI agent's testimony, I find that the primary motivating factor
for the decision by the FBI agent to order the informant to buy 2 ounces of
crack (rather than powder, as in the earlier transaction [of October 22, 2002])
was to procure the highest possible penalty.... There was no investigative
purpose to ordering crack (i.e., finding the source of the drugs or scope of the
conspiracy)....
24
On the other side of the ledger, as the videotaped conversation in the car
demonstrated, the defendant had a predisposition to sell crack and had sold it
before. However, the FBI did not know about any prior sales of crack by the
defendant, or that the defendant had a reputation of selling crack. It only knew
some of his friends sold crack....
25
On balance, I conclude that the defendant has not proven extreme and
outrageous conduct, largely because of the defendant's predisposition....
26
(capitalization omitted.)7
III.
27
28
29
30
Fontes first urges us to hold that once the district court found that the
government agents engaged in sentencing factor manipulation because of their
improper motive to increase Fontes's sentence, the district court was compelled
to find that the government's misconduct was egregious enough to authorize a
sentence below the statutory mandatory minimum. "Because of the diversity of
circumstances, we have declined to create detailed rules as to what is or is not
undue manipulation." Id. Instead, such claims "must be approached on a caseby-case basis, albeit with due regard for the potential dangers of sentencing
factor manipulation." Gibbens, 25 F.3d at 31. Indeed, we have previously
upheld the denial of a sentencing factor manipulation claim, "even assuming
that the agents' motives were mixed and not of crystalline purity," where the
defendant was otherwise "legitimately targeted and the sting objectively
reasonable in extent." United States v. Egemonye, 62 F.3d 425, 428 (1st
Cir.1995). We therefore decline to adopt the per se rule Fontes advocates.
31
Fontes next contends that the district court erred in considering evidence of his
manifest willingness to sell crack to the informant that was not available to the
government at the time that it designed the sting operation, and in concluding
that this evidence of his predisposition, captured on tape as the drug deal
unfolded, precluded a finding of sentencing factor manipulation "extreme and
outrageous" enough to warrant a sentence below the statutory mandatory
minimum.8 As Fontes points out, every defendant raising a sentencing factor
claim has necessarily shown at least some willingness to take the bait. In
Gibbens, we did observe that a defendant's predisposition to commit an
improperly enlarged crime is "of modest relevance" to a finding of sentencing
factor manipulation. 25 F.3d at 31. "When an accusation of sentencing factor
manipulation surfaces, the judicial gaze should, in the usual case, focus
primarily though not necessarily exclusively on the government's conduct
and motives." Id.; Montoya, 62 F.3d at 4 ("most important" factor "is likely to
be the conduct of the government, including the reasons why its agents
enlarged or prolonged the criminal conduct in question"). By treating his
predisposition to sell crack as a bar to a conclusion that the government's
misconduct was "extreme and outrageous," Fontes argues, the court ignored
these directives to focus on the government's as distinct from Fontes's
misconduct.
32
33
Having made the determination that the government's conduct was "wrong and
troubling" and that it would "tak[e] it into account in where I'm going to
sentence [Fontes]," the court properly inquired further to determine the degree
to which the government engaged in misconduct that is, whether the
government's misconduct was sufficiently egregious to warrant a sentence
below the statutory mandatory minimum. See Montoya, 62 F.3d at 4 ("in order
to require a reduction" below the statutory mandatory minimum, defendant
must show that the government's conduct was "carried to such a degree that [it]
must be viewed as `extraordinary misconduct'") (quoting Gibbens, 25 F.3d at
31).
35
36
Based on what it found to be "very strong evidence" at the moment of truth that
Fontes was ready, willing, and able to accommodate the informant's need to
purchase crack upon request, the court supportably concluded that the
government, while motivated at least in part by an improper desire to increase
Fontes's sentencing exposure, exerted no undue pressure or coercion sufficient
So ordered.
Notes:
1
Based on the total amount of crack and powder cocaine involved in Fontes's
relevant conduct, the pre-sentence investigation report (PSR) recommended a
base offense level of 32, a reduction of three levels to 29 for acceptance of
responsibility, and a Criminal History Category of V
The Supreme Court had recently grantedcertiorari but had not yet heard oral
argument in two consolidated cases in order to consider the effect of its decision
in Blakely v. Washington, 542 U.S. 296, 124 S.Ct. 2531, 159 L.Ed.2d 403
(2004), on the federal sentencing Guidelines. See United States v. Booker, ___
U.S. ___, 125 S.Ct. 11, 159 L.Ed.2d 838 (2004); United States v. Fanfan, ___
U.S. ___, 125 S.Ct. 12, 159 L.Ed.2d 838 (August 2, 2004). In January 2005, the
Court held that "the Sixth Amendment as construed in Blakely does apply to the
Sentencing Guidelines" and that, "in light of this holding, two provisions of the
Sentencing Reform Act of 1984(SRA) that have the effect of making the
Guidelines mandatory [18 U.S.C. 3553(b)(1) and 3742(e)] must be
invalidated in order to allow the statute to operate in a manner consistent with
congressional intent." United States v. Booker, ___ U.S. ___, ___, 125 S.Ct.
738, 746, 160 L.Ed.2d 621 (2005).
Fontes does not challenge the court's underlying factual determinations or argue
that, absent the alleged legal error, his sentence was otherwise unreasonableSee
Booker, 125 S.Ct. at 765 (federal sentences reviewable on appeal for
unreasonableness). Furthermore, as Fontes was not sentenced under a
mandatory Guidelines regime, he raises no claim of Booker error.
The government filed a notice of appeal on September 24, 2004, but this court
issued an order to show cause on October 7, 2004 observing that the
government's notice of appeal appeared to be untimely. On November 5, 2004,
this court granted the government's motion to voluntarily dismiss the appeal
pursuant to Fed. R.App. P. 42(b).
Fontes's uncharged sale of over four ounces of powder cocaine to the informant
on October 22, 2002 was apparently treated as relevant conduct, and 123.9
grams of cocaine powder were apparently included in the PSR's calculation of
Fontes's base offense levelSee supra, note 1.
The applicable GSR for an offense involving more than 50 grams of crack
(after accounting for Fontes's relevant conduct and other factors), as we have
noted, was 140-175 months of imprisonment, while the GSR for an offense
involving the same quantity of powder cocaine is 37-46 months of
imprisonment
As we have discussed, the FBI agent testified at the evidentiary hearing that the
informant reported that Fontes showed him a gun during the meeting at the
pizza restaurant. Fontes does not contest the court's determination that he "used
guns" more than once
As it had during sentencing, the court indicated in its statement of reasons that
if the Guidelines were upheld as constitutional, it would consider granting a
downward departure from the applicable GSR based on the government's
misconduct on remand
As we have discussed, Fontes does not dispute the court's determination that he
was predisposed to sell crack cocaine
Although the court found that the government knew some of Fontes's associates
sold crack, it explicitly distinguished Fontes's case from that ofUnited States v.
Terry, 240 F.3d 65, 71 (1st Cir.2001), in which we upheld a court's denial of a
claim of sentencing factor manipulation, stating that "[t]he government, when
investigating the business of a drug dealer who by reputation sells both crack
and powder cocaine, is under no obligation to buy only that product or quantity
which would produce the smallest sentence for the defendant" (emphasis
added). We reiterate that because the government has withdrawn its appeal, we
need not express a view on the correctness of the court's determination that the
government acted with an improper motive by seeking a higher sentence
without specific evidence of actual or rumored crack deals involving Fontes
himself.