United States v. Rodriguez-Pena
U.S. Court of Appeals for the First Circuit
United States v. Rodriguez-Pena, 108 F.4th 12 (1st Cir. 2024)
United States v. Rodriguez-Pena
Opinion
United States Court of Appeals
For the First Circuit
No. 22-1790
UNITED STATES OF AMERICA,
Appellee,
v.
HECTOR RODRIGUEZ-PENA,
a/k/a Papo Guame,
Defendant, Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Aida M. Delgado-Colón, U.S. District Judge]
Before
Kayatta, Gelpí, and Rikelman,
Circuit Judges.
Rafael F. Castro Lang on brief for appellant.
Thomas F. Klumper, Assistant United States Attorney, W.
Stephen Muldrow, United States Attorney, and Mariana E.
Bauzá-Almonte, Assistant United States Attorney, on brief for
appellee.
July 16, 2024
GELPÍ, Circuit Judge. This is Hector Rodriguez-Pena's
("Rodriguez-Pena")1 most recent appeal concerning his imprisonment
and convictions for drug trafficking, firearms possession, and the
attempted murder of federal law enforcement officers. He appeals
the district court's denial of his motion for compassionate release
under 18 U.S.C. § 3582(c)(1)(A), as amended by the First Step Act,Pub. L. No. 115-391, § 603
(b),132 Stat. 5194
, 5239 (2018). The
district court concluded that Rodriguez-Pena did not show
extraordinary and compelling reasons for a sentence reduction. We
affirm.
I. BACKGROUND
We recount only the facts necessary to our decision.
For more detail about the underlying offenses and Rodriguez-Pena's
appeals, an interested reader can consult United States v.
Rodriguez-Pena, 54 F.3d 764(1st Cir. 1995) (unpublished table decision) and United States v. Rodríguez-Peña,470 F.3d 431
(1st
Cir. 2006) (per curiam).
From 1991 to 1992, Rodriguez-Pena conspired with others
to smuggle marijuana and cocaine into Puerto Rico. Rodriguez-Pena,
1995 WL 275691, at *1. During this conspiracy, he aided and
1 We refer to Hector as "Rodriguez-Pena" without accented
characters because that is how he spelled his name in his opening
and reply briefs. See United States v. Rosa-Borges, 101 F.4th 66,
69 n.1 (1st Cir. 2024).
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abetted the attempted murder of three law enforcement officers.
Id. at *2-3, 13.
Rodriguez-Pena and his co-conspirators were charged in
a twelve-count, second superseding indictment. A jury convicted
Rodriguez-Pena on June 21, 1993, of eight counts: (1) Counts One,
Two, and Three, conspiring to import, importing, and possessing
with the intent to distribute controlled substances, 21 U.S.C.
§§ 963, 841(a)(1), 952(a); (2) Count Four, using a telephone in furtherance of drug trafficking,21 U.S.C. § 843
(b); (3) Count Six, possessing a firearm during the commission of drug trafficking,18 U.S.C. § 924
(c)(1); and (4) Counts Seven, Eight, and Nine, aiding and abetting attempted murder of federal officers in the line of duty,18 U.S.C. §§ 2
, 1114. Rodriguez-Pena,1995 WL 275691
, at *11. On October 18, 1993, he was sentenced to 360
months' imprisonment on Count Six and 262 months' imprisonment on
the remaining counts. The terms of imprisonment ran consecutively,
totaling 622 months' imprisonment.2
For the past thirty years, Rodriguez-Pena has challenged
his sentence and conviction in a myriad of ways. He first directly
appealed his conviction and sentence. Id.We affirmed.Id.
at
Rodriguez-Pena was also sentenced to five years' supervised
2
release on Counts One, Two, Three, and Six; one year of supervised
release on Count Four; and three years' supervised release on
Counts Seven, Eight, and Nine, to run concurrently and to begin
after he completes his term of imprisonment.
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*19. He then attacked his sentence collaterally under 28 U.S.C.
§ 2255and moved several times for sentencing modifications, corrections, or reductions. The district court rejected these motions, and we affirmed whenever we were brought into the fray. See, e.g., Rodríguez-Peña,470 F.3d at 432
. The district court,
however, on February 4, 2016, ultimately reduced his 262-month
term to 210 months in response to an amendment to the Sentencing
Guidelines (thus reducing his original, total term of imprisonment
to 570 months). See U.S.S.G., App. C Supp., amend. 782 (effective
Nov. 1, 2014).
Rodriguez-Pena first moved for compassionate release to
reduce his total sentence to 360 months' imprisonment on
February 17, 2021. He premised his motion upon one extraordinary
and compelling reason: his vulnerability to COVID-19, having
tested positive for the virus on July 23, 2020. He attributed
catching the virus and his risk of reinfection to the virus's
prevalence in Federal Correctional Institution Coleman Low ("FCI
Coleman Low"), where he is incarcerated. He argued that because
he was overweight and has high blood pressure, hypertension, and
hyperlipidemia (high cholesterol), he faced an increased risk of
serious complications if he was reinfected. Likewise, he proffered
evidence purporting to prove that the conditions in FCI Coleman
Low exacerbated the spread of COVID-19. Rodriguez-Pena, moreover,
pointed towards his rehabilitation while incarcerated and argued
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that this justified his compassionate release under 18 U.S.C.
§ 3553(a).
After the government opposed, the district court denied
the motion in a succinct docket order. Rodriguez-Pena appealed.
We then granted the government's "consented-to motion to summarily
vacate the district court's order and to remand for further
proceedings," United States v. Rodriguez-Pena, No. 21-1635, 2022
WL 1194388, at *1 (1st Cir. Apr. 19, 2022), and, on remand, the
parties filed supplemental memoranda in the district court.
The tenor of Rodriguez-Pena's arguments on remand
remained the same. He argued that the risk COVID-19 posed to him
in FCI Coleman Low was an extraordinary and compelling reason for
compassionate release. And he emphasized the prevalence of new
variants and the supposed ineffectiveness of and problems with
COVID-19 vaccines to bolster his position. This time, he noted
that our intervening decision in United States v. Ruvalcaba, 26
F.4th 14, 28 (1st Cir. 2022), required district courts to weigh
"any complex of circumstances" that a defendant presents in support
of compassionate release and determine if those
circumstances -- whether individually or together -- are
extraordinary and compelling. As for § 3553(a), he noted that the
district court ought to conclude that his rehabilitation while
incarcerated favored compassionate release.
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In its supplemental memorandum, the government opposed
both prongs of Rodriguez-Pena's renewed arguments. Relevant here,
it outlined the plan by the Bureau of Prisons ("BOP") to mitigate
the spread of COVID-19. That plan employed social distancing,
quarantining, regular testing, and vaccination. The government
explained how this greatly reduced the spread in FCI Coleman Low,
so much so that only one inmate out of 1,935 at the facility had
tested positive for COVID-19 at the time of Rodriguez-Pena's
motion.
The district court denied the motion on two grounds. First,
it rejected Rodriguez-Pena's "extraordinary-and-compelling"argument
premised on COVID-19. It concluded that Rodriguez-Pena had
demonstrated neither "a particularized susceptibility to the
disease" nor "a particularized risk of contracting the disease at
his prison facility" (quoting United States v. Gandía-Maysonet,
96-CR-304, 2021 WL 219191, at *1 (D.P.R. Jan. 21, 2021)). It
pointed out that Rodriguez-Pena was fully vaccinated -- having
"received two doses of the Moderna Covid-19 vaccine and a booster
shot in February[]2022" -- against COVID-19 and in good health,
despite his medical conditions. It bolstered this point by noting
that, when Rodriguez-Pena tested positive for COVID-19 in 2020, he
was asymptomatic. Because only one inmate in FCI Coleman Low was
diagnosed with COVID-19 at the time of Rodriguez-Pena's motion,
then the district court also found it unlikely that he risked
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reinfection. And it rejected his contention that COVID-19 vaccines
are ineffective, stating that his position was "contradicted by a
wealth of competent medical data." It described the data that he
offered showing high COVID-19 transmission rates in FCI Coleman
Low as "outdated" and noted that "the risks to [him] have abated
significantly since the time he requested compassionate release."
Second, the district court found that the § 3553(a) factors did
not warrant compassionate release.
Rodriguez-Pena timely appealed.
II. DISCUSSION
A. Standard of Review
"We review a district court's denial or grant of a
compassionate release motion for abuse of discretion. Questions
of law are reviewed de novo and findings of fact are reviewed for
clear error." United States v. Gonzalez, 68 F.4th 699, 702 (1st
Cir. 2023) (citations omitted).
B. Extraordinary and Compelling Reasons
Rodriguez-Pena contends (1) that the district court
erred because it did not consider whether his health conditions
and vulnerability to COVID-19, FCI Coleman Low's inability to
prevent COVID-19's spread, and his rehabilitation while imprisoned
holistically constituted an "extraordinary and compelling reason"
for compassionate release; and (2) that the district court ignored
his evidence of rehabilitation when it independently denied his
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compassionate release motion under § 3553(a). We find that the
district court acted within its discretion when it concluded that
Rodriguez-Pena did not offer an extraordinary and compelling
reason for a sentence reduction, so we affirm on that basis. Cf.
PDK Lab'ys, Inc. v. U.S. D.E.A., 362 F.3d 786, 799 (D.C. Cir. 2004)
(Roberts, J., concurring) ("[I]f it is not necessary to decide
more, it is necessary not to decide more . . . .").
Ordinarily, a "court may not modify a term of
imprisonment once it has been imposed." 18 U.S.C. § 3582(c). But Congress carved out an exception, known commonly as the "compassionate-release statute." United States v. Saccoccia,10 F.4th 1, 3
(1st Cir. 2021). The compassionate-release statute "authorizes a court upon motion by an incarcerated individual who [(1)] has exhausted [his] administrative remedies to reduce a term of imprisonment when [(2)] extraordinary and compelling reasons warrant such a reduction, and [(3)] when the sentencing factors set forth in18 U.S.C. § 3553
(a) counsel in favor of such a reduction." United States v. Ayala-Vázquez,96 F.4th 1, 12
(1st Cir. 2024) (internal quotation marks and citations omitted); see18 U.S.C. § 3582
(c)(1)(A).
"A district court exercising its powers to reduce a
sentence of imprisonment under § 3582(c)(1)(A) ordinarily must
ensure that 'such a reduction is consistent with applicable policy
statements issued by the Sentencing Commission.'" Gonzalez, 68
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F.4th at 704. But we held in United States v. Ruvalcaba, 26 F.4th
14, 20 (1st Cir. 2022), that at the time Rodriguez-Pena moved for compassionate release, the Sentencing Commission had not issued a policy statement applicable to prisoner-initiated motions.3 Without an applicable policy statement to guide them, district courts "may consider any complex of circumstances raised by a defendant as forming an extraordinary and compelling reason warranting relief."4Id. at 28
. We have thus cautioned district courts post-Ruvalcaba to "be mindful of the holistic context of a defendant's individual case when deciding whether the defendant's circumstances satisfy the 'extraordinary and compelling' standard" and undertake "a review of the [defendant's] individual circumstances overall." United States v. Trenkler,47 F.4th 42, 50
(1st Cir. 2022).
This holistic approach is flexible, but it has limits.
Because district courts need only consider "any complex of
circumstances raised by a defendant," Gonzalez, 68 F.4th at 705
(quoting Ruvalcaba, 26 F.4th at 28), they "need not consider every
potential configuration of grounds for compassionate release but,
3The Sentencing Commission has since reached a quorum and
approved a policy statement addressing prisoner-initiated motions
for compassionate release and sentence reductions under
§ 3582(c)(1)(A). See U.S. Sent'g Guidelines Manual § 1B1.13.
4 Rehabilitation alone cannot be an extraordinary and
compelling reason. See 28 U.S.C. § 994(t); Gonzalez, 28 F.4th at
704.
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rather, [their] analysis 'should be shaped by the arguments
advanced by defendants.'" United States v. Quirós-Morales, 83
F.4th 79, 83(1st Cir. 2023) (quoting Gonzalez,68 F.4th at 706
). And the "extraordinary and compelling" standard remains "inherently narrow" and "stringent." Trenkler,47 F.4th at 48
n.14 (quoting Ruvalcaba, 26 F.4th at 23, 29). What constitutes an "extraordinary and compelling" reason should be "logically guided by the plain meaning of those terms." Ruvalcaba, 26 F.4th at 23 (quoting United States v. Canales-Ramos,19 F.4th 561, 566
(1st Cir. 2021)). A defendant must demonstrate an "extraordinary" reason, meaning "a reason that is beyond the mine-run either in fact or in degree," and one that is "compelling," which "suggests . . . a reason that is both powerful and convincing." Canales-Ramos,19 F.4th at 566-67
(citations omitted); see, e.g.,
Ruvalcaba, 26 F.4th at 23.
Rodriguez-Pena argues that the district court erred
because it did not employ the totality-of-the-circumstances
approach in analyzing his motion. And, in doing so, he contends
that his rehabilitation alongside his risk from COVID-19 warranted
compassionate release. But the district court's analysis was
"shaped by the arguments advanced by [Rodriguez-Pena]," so it did
not err in focusing on his risk from COVID-19. Gonzalez, 68 F.4th
at 706. Although Rodriguez-Pena characterizes his COVID-19-based
extraordinary-and-compelling argument below as "holistic," it
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boiled down to one issue: whether his risk from COVID-19 was an
extraordinary and compelling reason for release. He did not
reference any other circumstance beyond his risk from the virus as
presenting an extraordinary and compelling reason.5 Accordingly,
we cannot fault the district court for following his lead. See
id. at 705-06 (finding no error in how the district court analyzed
the defendant's only proffered reason, his risk from COVID-19,
without employing a holistic approach because the district court
could rely upon how the defendant framed the issues).
Even if we assume that the district court erred because
it did not expressly apply the "holistic" test from Ruvalcaba to
Rodriguez-Pena's COVID-19-based argument, its error was harmless.
The district court relied on Rodriguez-Pena's multiple
vaccinations, the extremely low COVID-19 rates in FCI Coleman Low
at the time of his motion, and that he was asymptomatic when he
was infected with COVID-19 to conclude that he was not particularly
at risk from COVID-19. It thus concluded that, despite his
5 To be fair, Rodriguez-Pena argued below that his
rehabilitation while incarcerated warranted release under
§ 3553(a). But "an argument for including a factor in the district
court's § 3553(a) analysis differs from an argument that the same
factor should constitute an 'extraordinary and compelling
reason[]' for compassionate release under § 3582(c)(1)(A)."
Gonzalez, 68 F.4th at 705n.4 (alteration in original) (citing Saccoccia,10 F.4th at 4
). Rodriguez-Pena did not offer his
rehabilitation as an extraordinary and compelling reason for a
sentence reduction, so the district court did not err by not
considering it at this step.
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previous infection and health conditions, the evidence did not
meet the extraordinary-and-compelling threshold.
The record supported this conclusion, and we spot no
abuse of discretion in it. The district court could thus determine
that Rodriguez-Pena's risk from COVID-19 was neither "beyond the
mine run" nor "powerful and convincing." Canales-Ramos, 19 F.4th
at 566-67(affirming where the district court weighed the defendant's risk from COVID-19 against his current health and care in prison and concluded that the latter weighed against finding an extraordinary and compelling reason); see also Saccoccia,10 F.4th at 5
(affirming district court's conclusion that the defendant's
risk from COVID-19 due to his hypertension and hyperlipidemia did
not present an extraordinary and compelling reason for
compassionate release).
On appeal, Rodriguez-Pena quarrels with the district
court's fact-bound determinations. He again relies on the evidence
that he presented below that vaccines are ineffective and dangerous
and that FCI Coleman Low is failing to stop COVID-19's spread,
hoping that we will see things differently.
But we are "especially loath to disrupt a district
court's 'judgment call[s]' concerning a defendant's health status
in the context of a compassionate release motion." Gonzalez, 68
F.4th at 703(alteration in original) (quoting Canales-Ramos,19 F.4th at 567
). We review these fact-bound determinations for clear
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error, which "exists only when we are left with the definite and
firm conviction that a mistake has been committed." Id.(quoting United States v. Centeno-González,989 F.3d 36, 50
(1st Cir. 2021)). Here, the district court weighed the evidence presented to it and found that Rodriguez-Pena's health, his vaccination status, and FCI Coleman Low's then-existing conditions outweighed the virus's risks to him. See, e.g., Canales-Ramos,19 F.4th at 567
("The district court made a reasonable risk assessment and
determined that the current state of the defendant's health and
the care that he was receiving weighed against a finding [of] an
extraordinary and compelling reason . . . . '[N]ot every complex
of health concerns is sufficient to warrant compassionate
release[.]'" (quoting Saccoccia, 10 F.4th at 5)). And, relying on the same record, it specifically rejected his contentions about the ineffectiveness of vaccines and FCI Coleman Low's conditions. Rodriguez-Pena's "competing view[]" of the evidence surrounding his risk from COVID-19 is not enough to demonstrate error. Gonzalez,68 F.4th at 703
(quoting United States v. Correa-Osorio,784 F.3d 11, 24
(1st Cir. 2015)). We therefore see no reason to disturb the district court's "defensible . . . conclusion based on the . . . evidence before it."Id.
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III. CONCLUSION
We affirm.6
6 Because we affirm, Rodriguez-Pena's request to proceed
before a different judge on remand is moot. United States v.
Fuentes-Moreno, 954 F.3d 383, 390 n.6 (1st Cir. 2020).
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Reference
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