United States v. Marquez-Gallegos

                                                                       F I L E D
                                                                United States Court of Appeals
                                                                        Tenth Circuit

                                                                        MAY 3 2000
                                   PUBLISH

                   UNITED STATES COURT OF APPEALS                    PATRICK FISHER
                                                                            Clerk
                          FOR THE TENTH CIRCUIT




 UNITED STATES OF AMERICA,

      Plaintiff - Appellee,
                                                       No. 99-1270
 v.

 HECTOR MARQUEZ-GALLEGOS,
 also known as Hector Marquez-Reyes,

      Defendant - Appellant.




                 Appeal from the United States District Court
                         for the District of Colorado
                            (D.C. No. 99-CR-1-S)




Vicki Mandell-King, Assistant Federal Public Defender, Denver, Colorado,
(Michael G. Katz, Federal Public Defender, Denver, Colorado with her on the
brief), for Defendant-Appellant.

Sheilah M. Rogers, Assistant United States Attorney, District of Colorado,
(Thomas L. Strickland, United States Attorney, District of Colorado, with her on
the brief), for Plaintiff-Appellee.
Before MURPHY, ALARCÓN, *and PORFILIO, Circuit Judges.

                          _________________________

ALARCÓN, Circuit Judge.

                          _________________________

      Hector Marquez-Gallegos (“Marquez”) appeals from a sentence imposed by

the district court after he pled guilty to a charge of unlawful reentry. His

sentence for that offense was enhanced because he previously had been deported

after an aggravated felony conviction. We have jurisdiction to review Marquez’s

sentence under 18 U.S.C. § 3742 and we affirm.

                                          I

      On February 20, 1998, Marquez was arrested in Denver, Colorado, for

possessing what the arresting officer characterized as a “small quantity” of

powder cocaine. He pled guilty in Denver County District Court to possession of

a controlled substance, a felony. On April 6, 1998, Marquez was sentenced to

three years’ imprisonment for that offense. Execution of the sentence was

suspended on the condition that Marquez cooperate with the Immigration and

Naturalization Service. Marquez was deported on May 22, 1998.

      On December 8, 1998, Marquez was again arrested in Denver. On January



      *
             The Honorable Arthur L. Alarcón, Senior United States Circuit Judge
for the Ninth Circuit, sitting by designation.

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5, 1999, Marquez was indicted on one count of unlawful reentry in violation of

8 U.S.C. § 1326(a). He entered a guilty plea on March 11, 1999.

      On June 2, 1999, Marquez was sentenced to a term of seventy months’

imprisonment and three years of supervised release. A conviction for unlawful

reentry typically carries a maximum penalty of two years’ imprisonment. See

8 U.S.C. § 1326(a). Marquez’s sentence, however, reflected an enhancement

under United States Sentencing Guidelines Manual § 2L1.2, which establishes a

base offense level of eight for unlawful reentry and a sixteen-level enhancement

where the “defendant previously was deported after a criminal conviction . . .

[and] the conviction was for an aggravated felony.” U.S. Sentencing Guidelines

Manual § 2L1.2(b)(1)(A) (1999). Marquez requested a downward departure on

the basis of the lack of seriousness of his underlying aggravated felony. The

district court denied the request.



                                          II

       The district court concluded that, as a matter of law, it lacked discretion to

grant a downward departure on the basis of the seriousness of Marquez’s

underlying aggravated felony. The district court also expressed doubt as to

whether, even if it had the discretion, it would grant a downward departure in

Marquez’s particular circumstances. The district court did not, however, go so far


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as to say that it would not have departed downward on the basis of Marquez’s

particular circumstances. We conclude that we have jurisdiction to review the

district court’s decision that it lacked discretion to depart downward. See United

States v. Fagan, 162 F.3d 1280, 1282 (10th Cir. 1998) (noting that this court may

review a sentencing court’s refusal to depart downward where it is based on the

court’s conclusion that it lacks discretion to do so). We review de novo the legal

conclusions underlying the district court’s refusal to depart downward. Id. at

1283.

                                         III

        Application Note 5 to § 2L1.2 provides that

        [a]ggravated felonies that trigger [the sixteen-level enhancement]
        vary widely. If [an aggravated felony conviction triggers the
        sixteen-level enhancement], and (A) the defendant has previously
        been convicted of only one felony offense; (B) such offense was not
        a crime of violence or firearms offense; and (C) the term of
        imprisonment imposed for such offense did not exceed one year, a
        downward departure may be warranted based on the seriousness of
        the aggravated felony.

U.S. Sentencing Guidelines Manual § 2L1.2 commentary at n.5 (1999) (emphasis

added). Marquez was ineligible for a downward departure under Application

Note 5 because he was sentenced to a term of three years’ imprisonment for his

underlying aggravated felony. Under the law of this circuit, the fact that

Marquez’s three-year sentence was suspended is irrelevant. See United States v.

Chavez-Valenzuela, 170 F.3d 1038, 1039-40 (10th Cir. 1999) (holding that “the

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term of imprisonment” for purposes of Application Note 5 is the sentence

imposed by the state court and that it shall not be decreased to reflect a

suspension of any part of the sentence).

       We do not consider here the merits of Marquez’s argument that this court

should revisit this issue and overrule Chavez-Valenzuela. A three-judge panel

may not overrule circuit precedent.   See United States v. Alvarez , 142 F.3d 1243,

1247 (10th Cir. 1998). “The proper avenue for raising th[is] issue[] lies in a

petition for en banc review.”   United States v. Splawn , 963 F.2d 295, 297 (10th

Cir. 1992).

       We do, however, consider Marquez’s argument that the district court erred

in failing to recognize its discretion to depart downward under § 5K2.0. Under

§ 5K2.0,

       the sentencing court may impose a sentence outside the range
       established by the applicable guidelines, if the court finds “that there
       exists an aggravating or mitigating circumstance of a kind, or to a
       degree, not adequately taken into consideration by the Sentencing
       Commission in formulating the guidelines that should result in a
       sentence different from that described.”

U.S. Sentencing Guidelines Manual § 5K2.0 (1999) (quoting 18 U.S.C. § 3553

(b)). Before a departure from the applicable Guideline is permitted under

§ 5K2.0, however, “certain aspects of the case must be found unusual enough for

it to fall outside the heartland of cases in the Guideline.” Koon v. United States,

518 U.S. 81, 98 (1996). Where the factor in issue is one already taken into

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account by the applicable Guideline and adjustments, departure from the

Guideline is permissible only if that factor is present in a manner or degree

unusual enough to distinguish the case from the “heartland” of cases covered by

the Guideline. See § 5K2.0.

      The spectrum of aggravated felonies that may lead to a sixteen-level

enhancement extends from the gravest of offenses to relatively minor ones. See

§ 2L1.2 commentary at n.1 (1999) (incorporating by reference the definition of

“aggravated felony” found at 8 U.S.C. § 1101(a)(43)). In cases where the

aggravated felony is relatively minor, the one-size-fits-all, sixteen-level

enhancement of § 2L1.2(b)(1)(A) may result in a disproportionately harsh

sentence. It is clear on the face of Application Note 5 that the Sentencing

Commission is aware of this risk. See § 2L1.2 commentary at n.5. (“Aggravated

felonies that trigger the [sixteen-level enhancement] vary widely.”).

      Indeed, the Sentencing Commission accounted for this risk to the extent it

deemed fit in Application Note 5, which encourages downward departures based

on the lack of seriousness of the underlying aggravated felony. The Commission

set forth in Application Note 5 three criteria to be used in identifying those

defendants who may be at risk of receiving a disproportionately harsh sentence:

“(A) the defendant has previously been convicted of only one felony offense; (B)

such offense was not a crime of violence or firearms offense; and (C) the term of


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imprisonment imposed for such offense did not exceed one year.” § 2L1.2

commentary at n.5 (1999). As noted above, Marquez does not fall within the

class of defendants delineated in Application Note 5 because he was sentenced to

three years’ imprisonment for his aggravated felony.

      A downward departure under § 5K2.0 would only be permissible if

Marquez’s case could be said to fall outside of the “heartland” of cases of

unlawful reentry subsequent to an aggravated felony. See Koon, 518 U.S. at 98.

We are persuaded that the Sentencing Commission, in promulgating Application

Note 5, implicitly defined the “heartland” of such cases to be all those not falling

within the class delineated therein. Because Marquez’s case therefore was within

the heartland of § 2L1.2(b)(1)(A), we hold that the district court did not err in

concluding that it lacked discretion to depart under § 5K2.0.

      Our holding is consistent with a recent decision of the Second Circuit Court

of Appeals that squarely confronted the same question. See United States v.

Tappin, 205 F.3d 536 (2nd Cir. 2000). Dennis Tappin had two aggravated felony

convictions prior to his unlawful reentry. See id. at 539. He conceded that he

therefore failed to satisfy one of the three criteria of Application Note 5. Id. He

argued that the district court nevertheless had discretion to grant a downward

departure on the basis of the lack of seriousness of his aggravated felonies

because his case was sufficiently unusual to fall outside the heartland of unlawful


                                          -7-
reentry cases. Id. at 539-41. The court rejected this argument, reasoning that,

      [t]he Sentencing Commission stated explicitly that departure on the
      ground of seriousness of the predicate aggravated felony may be
      appropriate when a defendant meets all three enumerated criteria in
      [Application Note 5]. By necessary implication, therefore, the
      Sentencing Commission intended that all other cases . . . should be
      treated as within the heartland of illegal reentry cases under
      § 2L1.2(b)(1)(A), and that downward departure in such cases on the
      ground of seriousness of the predicated aggravated felony would be
      improper.

Id. at 540-41. The court affirmed the district court’s refusal to depart downward.

Id. at 543.

      We agree with the Second Circuit that a contrary conclusion would render

Application Note 5 “effectively meaningless.” Id. at 541. To hold otherwise

would also second-guess the conscious policy choices of Congress and the

Sentencing Commission, an activity in which we are not at liberty to engage. See

Koon, 518 U.S. at 92-93 (citing 18 U.S.C. § 3553(b)). We recognize, however, as

the Second Circuit did in Tappin, that our holding may be in tension with

decisions of three other circuits. See id. at 541 n.7 (citing United States v.

Alfaro-Zayas, 196 F.3d 1338, 1342-43 (11th Cir. 1999); United States v. Sanchez-

Rodriguez, 161 F.3d 556, 562-63 n.12 (9th Cir. 1998) (en banc); United States v.

Diaz-Diaz, 135 F.3d 572, 579-82 (8th Cir. 1998)).

      None of these circuits squarely held that a downward departure on the basis

of the lack of seriousness of the underlying aggravated felony is permissible


                                          -8-
under § 5K2.0 where the defendant failed to qualify for a downward departure

under Application Note 5. See Alfaro-Zayas, 196 F.3d at 1342-44 (affirming the

district court’s conclusion that it lacked discretion to depart downward where the

defendant did not satisfy the three criteria of Application Note 5 and no other

findings in the record suggested the case fell outside the heartland of

§ 2L1.2(b)(1)(A)); Sanchez-Rodriguez, 161 F.3d at 561-63 (where the unlawful

reentry occurred prior to the 1997 amendment of § 2L1.2 to include the three

criteria of Application Note 5, concluding “without reference to the new

amendment” that the district court did not abuse its discretion in granting a

downward departure on the basis of the seriousness of the aggravated felony, an

“unmentioned factor” in the Guideline); Diaz-Diaz, 135 F.3d at 580-82 (in a case

where the defendant did not satisfy the three criteria of Application Note 5 but his

reentry preceded the 1997 amendment of § 2L1.2, holding that the district court

did not abuse its discretion in granting a downward departure under § 5K2.0 on

the basis of the seriousness of the aggravated felony). To the extent that our

holding is at odds with dicta in those decisions, we decline to follow them.

      AFFIRMED.




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