Source: http://openjurist.org/82/f3d/1154
Timestamp: 2016-02-10 08:58:30
Document Index: 695663668

Matched Legal Cases: ['§ 846', '§ 841', '§ 841', '§ 841', '§ 2', '§ 994', '§ 4', '§ 4', '§ 994', '§ 994', '§ 924', '§ 921', '§ 12', '§ 12', '§ 12', '§ 12', '§ 12', '§ 994', '§ 3551', '§ 991', '§ 994', '§ 4', '§ 994', '§ 4', '§ 4', '§ 3553', '§ 991', '§ 3553', '§ 1', '§ 4', '§ 5', '§ 4', '§ 4', '§ 3553', '§ 994', '§ 4', '§ 841', '§ 841', '§ 841', '§ 841', '§ 841', '§ 12', '§ 12', '§ 12', '§ 994']

82 F. 3d 1154 - United States v. J Lindia HomeFederal Reporter, Third Series 82 F.3d
Lindia contends that due process requires the government to prove drug quantity beyond a reasonable doubt. Drug quantity, however, is not an element of the offense of conviction, 21 U.S.C. §§ 846 and 841(a)(1), but is typically relevant only for determining the penalty. See 21 U.S.C. § 841(b); United States v. Campbell, 61 F.3d 976, 979-80 (1st Cir.1995) (citing United States v. Lam Kwong-Wah, 966 F.2d 682, 685 (D.C.Cir.), cert. denied, 506 U.S. 901, 113 S.Ct. 287, 121 L.Ed.2d 213 (1992)); United States v. Patterson, 38 F.3d 139, 143-44 (4th Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 1968, 131 L.Ed.2d 858 (1995). As such, drug quantity for purposes of § 841(b) is determined by the sentencing court under a preponderance-of-the-evidence standard.5 See United States v. Barnes, 890 F.2d 545, 551 n. 6 (1st Cir.1989) (noting that court, not jury, determines drug quantity under § 841(b)), cert. denied, 494 U.S. 1019, 110 S.Ct. 1326, 108 L.Ed.2d 501 (1990); United States v. Lombard, 72 F.3d 170, 175-76 (1st Cir.1995) (explaining that "once convicted, a defendant has no right under the Due Process Clause to have his sentencing determination be confined to facts proved beyond a reasonable doubt," rather, applicable standard is preponderance of the evidence); Whiting, 28 F.3d at 1304 and n. 5 (reaffirming preponderant evidence standard); see also McMillan v. Pennsylvania, 477 U.S. 79, 91-93, 106 S.Ct. 2411, 2418-20, 91 L.Ed.2d 67 (1986).6
Here, to assist in its determination of whether the conspiracy included the 150-pound lot, the district court had the benefit of the videotape of the hotel meeting and Lindia's own testimony at the sentencing hearing. The transcript from the hotel meeting clearly reveals Lindia's (and Aguirre's) stated desire and agreement to provide Cunniff with 150 to 200 pounds of marijuana. The discussion included details such as the identification of the shipment's source, the capacity of the vehicle to transport the marijuana, and the number of days for delivery. Thus, there was sufficient, reliable evidence from which the court could find, by a preponderance of the evidence, that the conspiracy included the 150-pound lot.
To invoke the exception of application note 12, the court needed to be persuaded that Lindia did not have the intent and ability to produce the 150-pound lot. Wihbey, 75 F.3d at 777. The court was free to reject, as it did, Lindia's claim that the discussion of the 150 pounds was mere "puffing" to impress the buyer into future negotiations. See Whiting, 28 F.3d at 1305 (refusing to disturb sentencing court's rejection of "puffing" claim); see also United States v. DeMasi, 40 F.3d 1306, 1322 n. 18 (1st Cir.1994) (noting that sentencing court's choice between supportable plausible inferences cannot amount to clear error), cert. denied, --- U.S. ----, 115 S.Ct. 947, 130 L.Ed.2d 890 (1995). Lindia did not prove to the court that he lacked the intent and ability to produce the negotiated amount; rather, based on the evidence presented, the court affirmatively found that he had both. We discern no clear error in the court's finding that the 150 pounds of marijuana were part of the conspiracy and, as such, were includable under U.S.S.G. § 2D1.1 to determine the offense statutory maximum and Guideline sentencing range.7
The district court sentenced Lindia as a career offender under 28 U.S.C. § 994(h) due to two previous drug distribution offenses and the instant offense. See U.S.S.G. § 4B1.1. Lindia challenges this aspect of his sentence, arguing first, that conspiracy to commit a controlled substance offense should not trigger career offender status, and second, that the court should not have counted as a predicate offense a Rhode Island charge to which Lindia pleaded nolo contendere.
1. Conspiracy As Predicate Offense
In 1994, this court joined a number of our sister circuits in holding that, in U.S.S.G. § 4B1.2, comment. (n. 1), the Commission properly designated conspiracy to commit a "crime of violence or a controlled substance offense" as a triggering or predicate offense for career offender purposes, even though conspiracy convictions are not listed in the body of the pertinent guidelines or in 28 U.S.C. § 994(h). United States v. Piper, 35 F.3d 611, 618-619 (1st Cir.1994) (citing cases), cert. denied, --- U.S. ----, 115 S.Ct. 1118, 130 L.Ed.2d 1082 (1995). On appeal, Lindia invites us to reconsider Piper and join those circuits holding that conspiracies to commit the crimes defined in § 994(h) do not fall within its purview. See e.g., United States v. Mendoza-Figueroa, 28 F.3d 766 (8th Cir.1994), cert. denied, --- U.S. ----, 116 S.Ct. 939, 133 L.Ed.2d 864 (1996). We decline the invitation and adhere to our controlling precedent, thus affirming the use of the instant conspiracy conviction to trigger the career offender provisions.
2. The Rhode Island Nolo Contendere Plea
In 1986, Lindia pleaded nolo contendere to a Rhode Island charge of possession with intent to deliver marijuana ("the 1986 charge"). On this plea, the state court adjudged Lindia "guilty as charged and convicted" and gave him a deferred sentence. Lindia argues that the 1986 charge is not a "conviction" under Rhode Island law and therefore cannot constitute a predicate offense for purposes of career offender status.
We have previously addressed the issue of whether or not a nolo contendere plea and subsequent disposition in Rhode Island constitutes a "conviction" for federal sentencing purposes. See United States v. Patrone, 948 F.2d 813, 816-17 (1st Cir.1991), cert. denied, 504 U.S. 978, 112 S.Ct. 2953, 119 L.Ed.2d 575 (1992). Patrone involved sentencing under the armed-career-criminal statute, 18 U.S.C. § 924(e), which specifically provides that state law determines whether or not a state disposition constitutes a "conviction." Id. at 816; see 18 U.S.C. § 921(a)(20). By contrast, for purposes of the career offender provisions, whether or not a state disposition constitutes a "conviction" is determined by reference to federal law and the Guidelines. See United States v. Pierce, 60 F.3d 886, 892 (1st Cir.1995) (analyzing Guidelines provisions in concluding that state disposition on nolo contendere plea constituted "conviction"), petition for cert. filed, (Oct. 19, 1995) (No. 95-6474).
After carefully analyzing the Guideline language and commentary, we held in Pierce that the guilt-establishing event, such as a guilty plea, trial, or plea of nolo contendere, "determines whether and when there has been a countable 'conviction' " for purposes of the Career Offender guideline. 60 F.3d at 892. We concluded that a Florida offense, to which the defendant pleaded nolo contendere and that resulted in a "withheld adjudication," constituted a countable "conviction" under the Career Offender guideline. Id. Similarly, Lindia's nolo contendere plea, subsequent adjudication, and deferred sentence also constitute a "conviction" for career offender purposes. See also United States v. Cuevas, 75 F.3d 778, 780-83 (1st Cir.1996) (holding, under federal standards, that Rhode Island disposition on nolo contendere plea is a "conviction" for immigration law purposes).
Moreover, there is little doubt that the 1986 charge would constitute a conviction under Rhode Island law. In Patrone, we explained that under R.I.Gen.Laws § 12-18-3(a), a nolo contendere plea will not constitute a "conviction for any purpose" if the court places the defendant on probation and the defendant completes probation without violating its terms. 948 F.2d at 816, n. 1. Section 12-18-3(b) further provides, however, that subdivision (a) "shall not apply to any person who is sentenced to serve a term in the adult correctional institution or who is given a suspended or deferred sentence in addition to probation." As explained in Patrone, we interpret this provision to mean that a nolo contendere plea followed by a deferred sentence (or other sentence described in § 12-18-3(b)) constitutes a "conviction" under Rhode Island law. See id.
Lindia contends that our analysis in Patrone is inapplicable, reading much into § 12-18-3(b)'s language: "or deferred sentence in addition to probation." (emphasis added). Lindia claims that he was not placed on "probation" for the 1986 charge, rather, he "entered probationary status based solely on an agreement with the Rhode Island Attorney General." The record before this court is less than clear on this issue. It is apparent, however, that although Rhode Island law provides for a special circumstance in which a nolo contendere plea and successful completion of probation will not constitute a conviction, that circumstance will not apply where the defendant is also given a sentence of imprisonment, or a suspended or deferred sentence. See R.I. Gen. Laws § 12-18-3. Thus, even assuming that Lindia was not placed on probation, the controlling fact is that he was given a deferred sentence, thus rendering the benefits of § 12-18-3(a) inapplicable. Lindia cites to no other applicable Rhode Island law in which a nolo contendere plea will not constitute a conviction.8
Under both federal and state law standards, the district court properly counted Lindia's 1986 charge as a conviction for purposes of the career offender adjudication.C. Authority to Depart Downward Based on Overrepresentation in Career-Offender Criminal History Category
Lindia contends that the criminal history category of VI, calculated pursuant to his career offender status, significantly overrepresents his criminal history. The district court ruled that nothing in the career-offender statute, 28 U.S.C. § 994(h), or in the Guidelines permitted a downward departure on this basis.9 The First Circuit has not yet decided the permissibility of such a departure in a career offender case, see United States v. Morrison, 46 F.3d 127, 129 (1st Cir.1995), although many of our sister circuits have answered this question in the affirmative, see e.g., United States v. Spencer, 25 F.3d 1105 (D.C.Cir.1994); United States v. Rogers, 972 F.2d 489 (2d Cir.1992); United States v. Bowser, 941 F.2d 1019 (10th Cir.1991); United States v. Lawrence, 916 F.2d 553, 554 (9th Cir.1990).
Pursuant to the Sentencing Reform Act of 1984, commencing at 18 U.S.C. § 3551, 28 U.S.C. §§ 991-998 (as amended), the United States Sentencing Commission promulgates Sentencing Guidelines that establish presumptive sentencing ranges for categories of defendants and offenses. Williams v. United States, 503 U.S. 193, 195-96, 112 S.Ct. 1112, 1116-17, 117 L.Ed.2d 341 (1992). Under 28 U.S.C. § 994(h),
The Commission shall assure that the guidelines specify a sentence to a term of imprisonment at or near the maximum term authorized for categories of defendants in which the defendant is eighteen years old or older and [has been convicted of a violent crime or felony drug offense and has a least two such prior convictions].
This statute is meant to ensure that the Commission's Guidelines provide that certain felony-recidivists receive maximum authorized sentences. See United States v. LaBonte, 70 F.3d 1396, 1404 (1st Cir.1995). The Career Offender guideline, U.S.S.G. § 4B1.1, is the Commission's implementation of § 994(h). See U.S.S.G. § 4B1.1, comment. (backg'd); LaBonte, 70 F.3d at 1400-1401. The guideline establishes the career-offender presumptive sentencing range by setting forth enhanced total offense levels--by reference to offense statutory maximums10--and provides that "[a] career offender's criminal history category in every case shall be Category VI," the highest category level. U.S.S.G. § 4B1.1.
The Sentencing Reform Act permits a sentencing court to depart from a Guidelines' presumptive sentencing range "only when it 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.' " Williams, 503 U.S. at 198, 112 S.Ct. at 1118 (quoting 18 U.S.C. § 3553(b)); see also 28 U.S.C. § 991(b)(1)(B) (providing that the Commission's purposes include "maintaining sufficient flexibility to permit individualized sentences when warranted by mitigating or aggravating factors not taken into account in the establishment of general sentencing guidelines"). Accordingly, the Guidelines provide that "a case that falls outside the linguistically applicable guideline's 'heartland' is a candidate for departure." United States v. Rivera, 994 F.2d 942, 947 (1st Cir.1993); see U.S.S.G. Ch. I, Pt. A, intro. comment. (4)(b). Such cases are deemed "unusual," and, by definition, the Commission (with some exceptions) has not "adequately" considered them within the meaning of § 3553(b). Id. As Justice (then Chief Judge) Breyer thoroughly explained in Rivera, the exceptions to this principle are those several factors the Commission has explicitly rejected as permissible grounds for departure. Id. at 948-949 (also explaining that encouraged departures are likely "reasonable" while discouraged departures require "unusual or special" circumstances); see also Williams, 503 U.S. at 200, 112 S.Ct. at 1119 (concluding that departure based on expressly rejected factor constitutes incorrect application of Guidelines).
The Application Instructions for the Guidelines, set forth in U.S.S.G. § 1B1.1, explain that after a sentencing court determines the offense level, the defendant's criminal history category, and the applicable guideline range, it then refers to certain provisions for "Specific Offender Characteristics and Departures" and "any other policy statement or commentary in the guidelines that might warrant consideration in imposing sentence." A guidelines policy statement, U.S.S.G. § 4A1.3, specifically addresses the adequacy of a criminal-history category's reflection of a defendant's past criminal conduct. See also, U.S.S.G. Ch. 5, Pt. H, intro. comment. and § 5H1.8 (stating that criminal history is relevant in determining if sentence should be outside applicable guideline range). Section 4A1.3 explicitly recognizes that a defendant's criminal history category may "significantly over-represent[ ] the seriousness of a defendant's criminal history or the likelihood that the defendant will commit further crimes." U.S.S.G. § 4A1.3, (policy statement). In such cases, the sentencing court may consider a downward departure. Id. We agree with our sister circuits (that have considered the issue) that a sentencing court may invoke § 4A1.3 to depart downward from the career-offender category if it concludes that the category inaccurately reflects the defendant's actual criminal history, within the meaning of 18 U.S.C. § 3553(b). See e.g., United States v. Spencer, 25 F.3d 1105, 1113 (D.C.Cir.1994); United States v. Rogers, 972 F.2d 489, 494 (2d Cir.1992); United States v. Bowser, 941 F.2d 1019, 1024 (10th Cir.1991); United States v. Lawrence, 916 F.2d 553, 554-55 (9th Cir.1990).
The district court interpreted Congress's mandate in § 994(h) and the Commission's implementation, U.S.S.G. § 4B1.1, as precluding departure on the basis of overrepresentation in all cases in which the defendant is assigned a criminal history category of VI under the Career Offender guideline. Section 994(h), however, is directed to the Commission's duty to formulate guidelines pertaining to categories of defendants, not to sentencing courts faced with individual defendants. As explained above, Congress and the Commission have rejected rigid sentencing schemes by empowering the sentencing court to consider factors that might comprise an "unusual" case. The Commission has not designated as a "forbidden departure" the overrepresentation of a criminal history category in career offender cases, see Rivera, 994 F.2d at 948-49, and "there is nothing unique to career offender status which would strip a sentencing court of its 'sensible flexibility' in considering departures." Rogers, 972 F.2d at 493.
A district court that considers numerous Guidelines cases has a "special competence" to determine the "ordinariness" or "unusualness" of a particular case. Rivera, 994 F.2d at 951. When faced with a departure motion in a career-offender case, as in other cases, the court's experience and unique perspective will allow it to decide if the case before it falls outside the guideline's "heartland," warranting departure. See Rivera, 994 F.2d at 952 (holding that appellate court reviews "unusualness" determination with "respect" for sentencing court's "superior 'feel' for the case" (citation omitted)). Because the district court in this case did not consider whether or not the career-offender criminal history category overrepresented Lindia's circumstances, so as to make his case "unusual," we remand for its determination of this issue.11
For the foregoing reasons, we affirm in part, vacate in part and remand for proceedings consistent with this opinion.
The transcript of this portion of the conversation between Lindia, Aguirre and Agent Cunniff reads, in part:
Lindia: And let me ask you another question. We have something else ... that we would like to send up to you. Now this is going to be
Aguirre: What, the [shipment] that's coming
Lindia: The one that's coming with ... Chewy
Aguirre: Are you talking about this one that's already
Lindia: Not this one, the one that's behind it from Chewy
Aguirre: Well, we could probably get about
Lindia: We could probably get about
Aguirre: One and one half, or two even
Cunniff: I can handle three, five, or thousand
Lindia: This is contingent upon the vehicle that we have at this point.... So two would probably be the limit.
After discussing delivery matters about this shipment, the discussion continued:
Cunniff: How much are we talking about?
Lindia: Probably one and half to two
Aguirre: Whatever we can get [in the vehicle].
1 kilogram is equivalent to approximately 2.2 pounds
This challenge is somewhat perplexing in light of the indictment and plea agreement in the record before us. Lindia informs this court that he pleaded guilty to the conspiracy to possess with intent to distribute marijuana but "did not plead guilty to quantity." The indictment to which he pleaded guilty, however, states that the conspiracy was for "in excess of 50 kilograms." Further, both the indictment and the plea agreement cite 21 U.S.C. § 841(b)(1)(C) which sets forth a maximum sentence of 20 years as the applicable penalty provision. Indeed, the plea agreement explicitly states that "[t]he parties agree and understand that the maximum statutory penalty which may be imposed upon conviction is imprisonment of not more than twenty years."
Nonetheless, Lindia insists that at the change of plea hearing, the court and the parties "understood" that the issue of drug quantity would be left entirely open for sentencing purposes. Incredibly, Lindia does not provide this court with a transcript of the change of plea hearing for our consideration of his claimed material change in the indictment and plea agreement. And nothing in the record before us hints of a superseding indictment or information eliminating the quantity specification. Because the record adequately supports the court's finding that, counting the negotiated 150-pound lot, the marijuana quantity attributable to Lindia was in excess of 50 kilograms, we do not decide whether his plea precluded his challenge to the drug quantity finding.
The government points out that, with a total quantity of 103.5 kilograms of marijuana, the five-year mandatory minimum and 40-year maximum in 21 U.S.C. § 841(b)(1)(B)(vii) might have applied rather than the 20-year maximum in § 841(b)(1)(C). The application of the lower maximum sentence is apparently based on the understanding of the parties and court, as evidenced in the indictment, plea agreement, and PSR, that Lindia would be responsible for a marijuana quantity that would trigger no more than the penalties set for in § 841(b)(1)(C)
We note that, during the sentencing proceeding, Lindia argued that the government must prove drug quantity beyond a reasonable doubt, and that he had the right to a "jury trial on the question of quantity." The court told Lindia, "either you get a jury trial on the offense or not," remarked that this request was essentially an attempt to withdraw the guilty plea, and inquired if he sought to withdraw his plea. After consulting with his counsel, Lindia stood by his plea
Lindia cites McMillan v. Pennsylvania, 477 U.S. 79, 106 S.Ct. 2411, 91 L.Ed.2d 67 (1986), in support of his argument that due process requires proof of drug quantity beyond a reasonable doubt. McMillan, however, expressed a due process concern where a state treats an element of a criminal offense as a sentencing factor, thus affording it less procedural safeguards. 477 U.S. at 84-88, 106 S.Ct. at 2415-17. Here, the quantity of drugs in this federal offense is not one of the elements of the offense, see supra, but a settled sentencing factor
Moreover, this is not a case in which the drug quantity finding is "a tail which wags the dog of the substantive offense," McMillan, 477 U.S. at 88, 106 S.Ct. at 2417, thereby possibly triggering a higher burden of proof on the government. See United States v. Townley, 929 F.2d 365, 369 (8th Cir.1991) (suggesting but not deciding that due process requires more than preponderant standard where inclusion of uncharged drug amounts produced 18-level increase in base offense level and seven-fold increase in sentencing range); United States v. Kikumura, 918 F.2d 1084, 1102 (3d Cir.1990) (holding that clear-and-convincing evidence standard applies to justify a twelve-fold, 330-month departure from guideline range median); cf. United States v. Lombard, 72 F.3d 170, 176 (1st Cir.1995) (holding that sentencing court may depart downward where uncharged, enhancing conduct of acquitted murder charge increased sentence from 262-327 months' to mandatory life term).
Without expressing any opinion as to the holdings of Townley and Kikumura, we note that, unlike those cases (and Lombard, as well), this case does not involve a sentencing enhancement or departure based on uncharged conduct. Here, Lindia pleaded guilty to every element of the offense charging a marijuana conspiracy between December 1994 and January 31, 1995; and the sentence squarely punishes that offense of conviction. See United States v. Harrison-Philpot, 978 F.2d 1520, 1524 (9th Cir.1992) (holding inapplicable tail-wagging-dog concerns where disputed drug-quantity pertained only to sentence for convicted conduct), cert. denied, 508 U.S. 929, 113 S.Ct. 2392, 124 L.Ed.2d 294 (1993). In short, this is simply not a case in which due process required anything more at sentencing.
Lindia cites Neal v. United States, --- U.S. ----, 116 S.Ct. 763, 133 L.Ed.2d 709 (1996), in support of his contention that application note 12 "is inconsistent with established law." In Neal, the court held that stare decisis required it to adhere to a prior statutory interpretation pertaining to the sentencing calculation of a certain drug, in the face of a newly conflicting methodology set forth in the Guidelines. --- U.S. at ---- - ----, 116 S.Ct. at 768-69. Here, Lindia cites no controlling sentencing precedent with which application note 12 actually conflicts. Rather, Lindia cites cases affirming the general principle that the object of a conspiracy is an element of the offense and must be proven beyond a reasonable doubt. See United States v. Bush, 70 F.3d 557, 561 (10th Cir.1995) (holding that in a multiple-object conspiracy conviction, where it is impossible to tell which controlled substance was the object of conviction, defendant must be sentenced based on objective yielding lowest offense level), cert. denied, --- U.S. ----, 116 S.Ct. 795, 133 L.Ed.2d 743 (1996). Lindia contends that because specific intent to effectuate the substantive offense must be proven for a conspiracy conviction, application note 12 conflicts with "long-established law for identifying the object of a conspiracy" because it permits inclusion of a drug quantity even if the defendant did not have the intent to produce that quantity
Here, unlike Bush, the indictment specifies only one controlled-substance object of the conspiracy: possession with intent to distribute marijuana. Lindia's guilty plea waived the government's burden to prove that object. Had the case gone to trial, the government would not have had to prove any specific amount of drugs for a conviction. Campbell, 61 F.3d at 979. Thus, application note 12 is simply part of the Sentencing Commission's permissible methodology for employing the penalty provisions pertaining to quantity set forth in § 841(b); it does not remove from the government's burden an element of the conspiracy offense.
R.I.Gen.Laws § 12-19-19 provides, inter alia, that if the court defers sentencing on a plea of guilty or nolo contendere, it may actually impose a sentence only within a certain time period unless the defendant is otherwise sentenced to prison during that period, in which case the time for imposing sentence is extended. This section says nothing about whether or not the plea, followed by the deferred sentence, constitutes a "conviction." Based on the structure of § 12-18-3, however, it is apparent that Rhode Island treats nolo contendere pleas as convictions unless the defendant meets the provisions of § 12-18-3
The court did not indicate in any way whether or not it would depart if it had the authority to do so
The First Circuit has upheld the Commission's interpretation that "maximum term" in § 994(h) is the applicable unenhanced statutory maximum. See generally LaBonte, 70 F.3d 1396
The government, both in its brief and at oral argument, conceded that the court had the authority to depart on this basis and stated that, should we agree, remand for resentencing would be appropriate