Opinion ID: 199628
Heading Depth: 2
Heading Rank: 1

Heading: Expungement Question

Text: 16 In reviewing a sentence under the United States Sentencing Guidelines (the Guidelines), [w]e first determine the applicability of [each guideline] to a particular case de novo. After determining the guideline's scope and meaning, we review the district court's factual determinations for clear error . . .. United States v. Cali, 87 F.3d 571, 575 (1st Cir. 1996) (citations and internal quotation marks omitted). At issue in Gonzalez-Arimont's appeal is the scope and meaning of U.S.S.G. § 4A1.2(j); we therefore review the district court's determination de novo. 17 The Guidelines specifically provide for certain juvenile adjudications to be considered in evaluating the defendant's criminal history. U.S.S.G. § 4A1.2(d). 4 But the guidelines also provide that sentences for expunged convictions are not counted . . .. U.S.S.G. § 4A1.2(j). Gonzalez-Arimont contends that juvenile adjudications, under Puerto Rico law, are expunged convictions within the meaning of § 4A1.2(j). We find his argument unpersuasive. 18 The Commentary to § 4A1.2(j) provides as follows: 19 A number of jurisdictions have various procedures pursuant to which previous convictions may be set aside or the defendant may be pardoned for reasons unrelated to innocence or errors of law, e.g., in order to restore civil rights or to remove the stigma associated with a criminal conviction. Sentences resulting from such convictions are to be counted. However, expunged convictions are not counted. U.S.S.G. §4A1.2 cmt. n. 10. 20 The Puerto Rico Rules of Procedure for Minors' Matters (the Rules) order juvenile records of minors to be sealed. 34 P.R. Laws Ann. App. I-A R. 10.6 (1991). The law contemplates extensive confidentiality and severely restricts access to the records. Id., App. I-A R. 10.2; see also, id., § 2237(d). However, only where no probable cause has been determined, where no offense has been perpetrated, or where complaints have been dismissed are the court records actually destroyed. Id., App. I-A R. 10.6. 21 The Rules thus suggest that juvenile records under Puerto Rico law are sealed and kept confidential for reasons that are not related to innocence or errors of law, as contemplated by the Commentary (since a concern with innocence or error instead leads to destruction of the records). The Rules specify that they are to be interpreted in part according to the purpose of provid[ing] for the care, protection, development, habilitation and rehabilitation of minors, Id., § 2202(a), App. I-A R. 1.2, suggesting that the confidentiality of records is designed to remove stigma and encourage rehabilitation. We held in United States v. Fosher, 124 F.3d 52, 57-58 (1st Cir. 1997), that a set-aside under the Federal Youth Corrections Act is for reasons unrelated to innocence or errors of law and therefore not expungement. We now similarly hold that Gonzalez-Arimont's juvenile adjudications, while sealed and kept confidential under Puerto Rico law, most likely for reasons of encouraging rehabilitation, were not expunged within the meaning of the Guidelines and were properly included in the calculation of his criminal history. 5 In taking this position, we are in agreement with the majority of the circuits that have considered the meaning of expungement under § 4A1.2(j). See, e.g., United States v. Hines, 133 F.3d 1360, 1362-67 (10th Cir. 1998) (holding that Application Note 10 requires sentencing courts to analyze the true basis for expungement under state law rather than relying on the varied nomenclature among jurisdictions); United States v. Nicolace, 90 F.3d 255, 258 (8th Cir. 1996) (finding that the set aside under the Federal Youth Corrections Act was enacted to encourage a youth's evolution into productive citizenship and is therefore properly included in calculating the criminal history score); United States v. McDonald, 991 F.2d 866, 871-72 (D.C. Cir. 1993) (holding that a set aside under the District of Columbia Youth Rehabilitation Act is for the social objective of rehabilitating juvenile offenders and therefore not expungement).