UNITED STATES OF AMERICA, Appellee, v. JESÚS DIPINA A/K/A GUSTAVO GONSALEZ, Defendant, Appellant.
No. 00-1141
United States Court of Appeals For the First Circuit
November 1, 2000
APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF RHODE ISLAND [Hon. Ronald R. Lagueux, U.S. District Judge]
Before Boudin, Circuit Judge, Bownes, Senior Circuit Judge, and Lynch, Circuit Judge.
Donald C. Lockhart, Assistant United States Attorney, with whom Margaret E. Curran, United States Attorney, and James H. Leavey, Assistant United States Attorney, were on brief for appellee.
I.
On November 22, 1994, DiPina pled guilty to possession with intent to distribute more than one hundred grams of heroin in violation of
The Presentence Investigation Report (PSR) prepared by the Probation Department described DiPina‘s criminal record as including three juvenile dispositions, all in the Rhode Island Family Court: (1) tampering with a motor vehicle, “Admits Sufficient Facts, one year probation, special condition fifty-percent restitution“; (2) resisting arrest, “Nolo, 16 months probation“; and (3) unlawful delivery of heroin, “Admits Sufficient Facts, eighteen months Rhode Island Training School.” The district court counted each of these dispositions as a “prior sentence” under the sentencing guidelines. See
After some intermediate litigation not relevant to the present case, DiPina appealed, contending that the district court erred in determining his criminal history category. He argued that two of his three prior juvenile dispositions -- for the motor vehicle and heroin offenses, both carrying the
On May 27, 1999, this court held that DiPina‘s appeal raised issues that depended on “certain factual determinations and the record is not clear enough as to these issues for us to resolve the dispute.” See DiPina, 178 F.3d at 78. We vacated DiPina‘s sentence and remanded for further proceedings, stating:
[O]n remand, the district court must first determine whether DiPina‘s prior juvenile dispositions constituted diversions, such that subsection 4A1.2(f) applies. If so, because Family Court is the juvenile court in Rhode Island, these dispositions cannot be counted toward DiPina‘s criminal history.
If, on the other hand, DiPina‘s prior juvenile dispositions were not diversionary dispositions, then the district court must determine whether his admitting sufficient facts in Rhode Island Family Court was
tantamount to a plea of guilty or nolo under U.S.S.G. § 4A1.2(a)(1) . . . . If DiPina‘s prior juvenile dispositions were not tantamount to a plea of guilty or nolo, then they may not be counted toward his criminal history.
Id. at 78.
On remand, the district court limited its consideration to only one of DiPina‘s juvenile dispositions: his admission of sufficient facts as to the unlawful delivery of heroin charges, which had resulted in an eighteen-month sentence at the Rhode Island Training School (RITS). The government introduced the following evidence: On July 15, 1992, the state of Rhode Island filed four charges against DiPina based on allegations that he delivered heroin to an undercover officer in violation of
On August 7, 1992, DiPina, DiPina‘s lawyer, and DiPina‘s mother signed the first page of a two-page document entitled “Request for Admission of Specific Facts or Admission” (“RFA“). The first page of the RFA described the “offense(s)”
I understand that the ADMISSION OF SUFFICIENT FACTS is for all purposes the same as an ADMISSION and that I will be admitting sufficient facts to substantiate the offense(s) which [have] been brought against me in the cases to which these pleas relate.
In the RFA, DiPina affirmed that by changing his plea he would be “giving up and waiving” seven enumerated rights: (1) the right to a judge trial and to an appeal of any finding of delinquency or waywardness; (2) the right to insist that the state offer evidence proving the elements of the offenses beyond a reasonable doubt; (3) the presumption of innocence; (4) the privilege against self-incrimination; (5) the right to confront and cross-examine the witnesses against him; (6) the right to present evidence and witnesses on his own behalf and to testify on his own behalf; and (7) the right to appeal the sentence imposed by the court after the entry of his admission of sufficient facts. He also affirmed that he had received no promises other than that the court would impose a sentence of eighteen months in RITS, effective July 14, 1992, and that other pending charges would be dismissed.
DiPina‘s RFA was presented to the Rhode Island Family Court on August 7, 1992. DiPina‘s counsel confirmed that he had advised DiPina of the rights he would be waiving, and summarized the rights discussed in the RFA. The prosecutor stated that the state was prepared to prove beyond a reasonable doubt that DiPina “did deliver unlawfully heroin to an undercover officer from the Providence Police on July 1st, July 7th, July 8th and July 14th of this year.”
The family court then addressed DiPina personally and established, inter alia, that DiPina: (1) was seventeen years old; (2) had entered an earlier plea before the court; (3) had been detained at RITS since July 14, 1992; (4) had not recently used drugs or alcohol; and (5) understood “each and every one of the rights” he was giving up. In response to the court‘s
At the conclusion of the hearing, the family court pronounced the following judgment and sentence:
I‘ll accept an admission of sufficient facts for a finding that [DiPina] is delinquent on all four petitions. [DiPina] is committed to the Training School for 18 months.
In written orders of the same date, the court stated that DiPina had been advised of his rights, had waived those rights, and had “admit[ted] sufficient facts and submit[ted] to court jurisdiction.” The court entered a finding that DiPina was “delinquent” and committed him to the custody of RITS for eighteen months.
Also on that date, the family court signed a “Certificate of Judge” on the second page of the RFA. There, the court certified that the parties had provided the court with the RFA and that the court had established at the hearing that DiPina understood the rights listed in the RFA and the consequences of his plea. The court further certified: (1) “I have also been satisfied by the prosecutor‘s statement of the
In determining whether this family court disposition should be counted in DiPina‘s criminal history, the district court first focused on the second question posed by the remand order: whether the disposition was tantamount to a guilty or nolo contendere plea. The court stated that DiPina “clearly admitted guilt of four sales of heroin to an undercover agent at four different times,” and hence had essentially entered a guilty plea.
The district court then addressed the first question posed by the remand order: whether the heroin disposition was diversionary within the meaning of
Accordingly, the district court resentenced DiPina to sixty months’ imprisonment and five years’ supervised release, the same sentence that it had previously imposed. The court noted that DiPina had served the prison term, but that his term of supervised release was still in effect.4 This appeal followed.
II.
We begin with the text of the relevant sentencing guidelines. Sections
Under certain circumstances, offenses committed prior to age eighteen are counted underThe total points from items (a) through (f) determine the criminal history category in the Sentencing Table in Chapter Five, Part A.
(a) Add 3 points for each prior sentence of imprisonment exceeding one year and one month.
(b) Add 2 points for each prior sentence of imprisonment of at least sixty days not counted in (a).
(c) Add 1 point for each prior sentence not counted in (a) or (b), up to a total of 4 points for this item.
(A) add 2 points under
§ 4A1.1(b) for each adult or juvenile sentence to confinement of at least sixty days if the defendant was released from such confinement within five years of his commencement of the instant offense; [and](B) add 1 point under
§ 4A1.1(c) for each adult or juvenile sentence imposed within five years of the defendant‘s commencement of the instant offense not covered in (A).
Section
(a) Prior Sentence Defined
(1) The term “prior sentence” means any sentence previously imposed upon adjudication of guilt, whether by guilty plea, trial, or plea of nolo contendere, for conduct not part of the instant offense.
Diversion from the judicial process without a finding of guilt (e.g., deferred prosecution) is not counted. A diversionary disposition resulting from a finding or admission of guilt, or a plea of nolo contendere, in a judicial proceeding is counted as a sentence under
§ 4A1.1(c) even if a conviction is not formally entered, except that diversion from juvenile court is not counted.
III.
In reviewing a sentence under the guidelines, we determine the applicability of each guideline to a particular case de novo. See United States v. Cali, 87 F.3d 571, 575 (1st Cir. 1996). We review the district court‘s factual determinations for clear error, giving “due deference to the district court’s application of the guidelines to the facts.” Id. (internal quotation marks omitted).
On appeal, DiPina asserts several points: (1) the court erroneously concluded that his juvenile dispositions were
A. “Diversionary disposition”
First, DiPina contends that his juvenile court proceedings were diversionary dispositions within the meaning of
DiPina, 178 F.3d at 78 (citing[T]he guidelines do not specifically define what they mean by a “diversionary disposition,” nor did the drafters make it particularly clear what they intended to mean by that term. They offer one, and only one, example -- a “deferred prosecution” -- which is certainly not exhaustive.
This is consistent with case law from other circuits. In United States v. Shazier, 179 F.3d 1317, 1319 (11th Cir. 1999), the Eleventh Circuit concluded that there was no diversionary disposition where the defendant had served a six-month prison term: “Although not specifically defined, it is clear that [
Without adopting wholesale the district court‘s definition of “diversionary,” see note 3, supra, we conclude that there was no error in the determination that the heroin disposition was not diversionary. There was no deferral in the
DiPina argues that he was found “delinquent” in the heroin disposition, which is not the same as finding that he committed the crime.5 Assuming this is true, it does not lead to the conclusion that dispositions involving delinquency findings are necessarily diversionary. Rhode Island has specific provisions for the diversion of juvenile offenders, which apparently were not applied to DiPina‘s case.
More importantly, it is federal law, not Rhode Island law, that controls the analysis of whether the heroin disposition was diversionary. See Unger, 915 F.2d at 762-63. Accordingly, we focus on the substantive import of the disposition, not the state-law terminology describing it. See id.; see also United States v. Kirby, 893 F.2d 867, 868 (6th Cir. 1990) (fact that defendant had been adjudicated delinquent as a minor could be considered in determining his criminal history category under sentencing guidelines, even though adjudication of delinquency by a juvenile court could not be deemed a conviction under state law). As discussed supra, there was no deferral or diversion of DiPina’s adjudication or sentencing on the heroin charges; the finding of delinquency does not change the result.
DiPina also contends that the judge erred in not considering whether his other juvenile dispositions – for disorderly conduct and tampering with a motor vehicle – were diversionary. Such analysis was not necessary, however, as the heroin disposition alone raised his criminal history points to a level at which the safety valve provision was unavailable. See DiPina, 178 F.3d at 75 (“it would appear that counting one
B. Tantamount to guilty plea
Second, DiPina challenges the district court’s conclusion that his admission of sufficient facts in the heroin disposition was tantamount to a guilty plea. In our earlier opinion, we said that in order to so conclude, “the court must have found that the defendant has confessed to certain events or that other evidence proves such events, and that the events constituted a crime.” DiPina, 178 F.3d at 75 (internal quotation marks omitted). Specifically, we recommended that the district court examine factors such as whether the prosecutor recited what the state would prove if the case were to proceed to trial; whether the defendant accepted the prosecutor‘s version of the events; and whether the family court judge determined that the admitted facts, if proved, would constitute an offense. Id. at 74. If these factors were present, the admission of sufficient facts would likely be tantamount to a guilty or nolo plea. If, on the other hand, “the prosecutor and the defendant or his counsel . . . [did] little more than tell the judge that the parties have agreed to dispose of the matter
The record permits no conclusion other than that DiPina’s admission of sufficient facts on the heroin charges, given what transpired at the hearing, effectively constituted a confession to events that constituted a crime. See id. at 75. During the family court hearing, the prosecutor recited what the state would prove if the matter were to proceed to trial: that DiPina “did deliver unlawfully heroin to an undercover officer from the Providence Police on July 1st, July 7th, July 8th and July 14th of [1992].” DiPina expressly and without qualification admitted those facts. Furthermore, he affirmed in the RFA that he would be “admitting sufficient facts to substantiate the offense(s) which [have] been brought against me in the cases to which these pleas relate.” Finally, the family court determined that DiPina‘s conduct constituted an offense under Rhode Island law,
C. Fed. R. Crim. P. 32
DiPina contends that the district court violated
DiPina also asserts that the court erred in failing to verify whether DiPina and his counsel read and discussed the PSR and in failing to determine whether they had any objections to it. Nothing in the record indicates, however, that a new PSR was issued prior to the resentencing. See id. at 117. Hence, the court was under no obligation to revisit the issue.6 See id.
D. Calculation error
DiPina contends that the court incorrectly calculated his criminal history points at resentencing. He argues that the PSR erroneously stated that he had pled nolo contendere to the resisting arrest charge, while in fact he had admitted sufficient facts.7 Therefore, he contends, this disposition should not yield any criminal history points.
At his original sentencing, DiPina did not dispute that the charge of resisting arrest counted toward his criminal history. Even assuming arguendo that DiPina may raise this issue now, it cannot change the outcome. The heroin disposition alone raises DiPina‘s criminal history points to two. As we have said, having more than one point makes him ineligible for the safety valve. Hence, we need not consider any of DiPina‘s other juvenile dispositions.
E. Bias
DiPina contends that the district judge exhibited bias against him based on his remarks at the resentencing. The judge twice characterized DiPina‘s legal arguments as “worthless,” and commented on his criminal conduct.8 DiPina also complains that
It is unclear whether DiPina is seeking the recusal of the district judge and reversal of the resentencing, or whether he is simply requesting that any additional proceedings be prospectively assigned to a different judge. It does not appear that DiPina moved below for the judge‘s recusal or otherwise raised the issue of bias, and we therefore consider it waived. See In re Abijoe Realty Corp., 943 F.2d 121, 127 (1st Cir. 1991); United States v. Devin, 918 F.2d 280, 294 n.11 (1st Cir. 1990). Moreover, because we do not remand for any further
Affirmed.
Notes
A diversion is when there is a disposition that takes the particular defendant out of the criminal justice system as where someone is sent, for example, to a treatment center instead of incarcerating them, where someone is sent to a hospital, or where, in the case of a juvenile, may be sent to a special school of some sort.
In fact the defendant was at one time sent to a special school in Narragansett, but he didn‘t learn anything from that, and he became a juvenile heroin dealer, just about as bad as you can be in the drug field. The worst of all drugs. The most addictive of all drugs. And he graduated. He graduated to becoming an adult heroin dealer.
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I suppose technically his supervised release was not in effect, but it certainly is going to be in effect as of now, and if he‘s charged with another drug offense, he‘ll be a violator, and we‘ll deal with him.
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The defendant is on his way to doing life on the installment plan. He‘s going to be in and out of prison most of the rest of his life because he is a habitual offender. He‘s a drug dealer, and he hasn‘t changed, apparently.
