Opinion ID: 2975466
Heading Depth: 2
Heading Rank: 2

Heading: Diversionary Dispositions

Text: In this case, the record indicates that Petitioner’s juvenile offenses resulted in Petitioner being “placed on probation and at the Kentfields program.” (J.A. 184) Petitioner argues that since he was not confined to a juvenile facility, the adjudications should be construed as “diversionary dispositions” under U.S.S.G. § 4A1.2(f). The express language of U.S.S.G. § 4A1.2(f) indicates that if these adjudications are so construed, they may not be counted when determining Petitioner’s criminal history category. See, e.g., United States v. DiPina, 178 F.3d 68, 78 (1st Cir. 1999) (“[I]f 18 [petitioner’s] prior juvenile dispositions were ‘diversionary dispositions’ . . ., then they could not be counted toward his criminal history.”). There is simply no information in the record about the nature of Petitioner’s juvenile adjudications. Although the presentence report indicates that Petitioner was placed in the “Kentfields program,” (J.A. 184), the record does not contain any information about this program. The record does not explain what the program entailed or the purpose of Petitioner’s placement in the program. Notably, the district court failed to inquiry into the nature of Petitioner’s juvenile adjudications and did not make a determination as to whether the adjudications constitute “diversionary dispositions.” U.S.S.G. § 4A1.2(f). Nevertheless, the majority finds that the juvenile adjudications were not diversionary dispositions. Since “[t]he record reveals nothing about whether or not [offenses] were diversionary,” the district court should “resolve this question on remand.” DiPina, 178 F.3d at 78. Accordingly, I would find that the district court erred in failing to do make a determination with respect to whether Petitioner’s juvenile adjudications constitute diversionary dispositions under U.S.S.G. § 4A1.2(f). C. Petitioner Presents a Potentially Meritorious Claim for Ineffective Assistance of Counsel Petitioner argues that trial counsel failed to object to 1) assigning criminal history points to the two uncounseled juvenile offenses, and 2) counting the juvenile offenses on the grounds that they resulted in “diversionary dispositions” under U.S.S.G. § 4A1.2(f). As discussed above, there is no record of Petitioner’s waiver of the right to counsel in the juvenile proceedings, and no information concerning the nature of Petitioner’s juvenile adjudications. If counsel had raised the appropriate objections, the district court could have inquired about whether Petitioner’s waiver of counsel was 19 knowing and voluntary, and whether the juvenile adjudications were “diversionary dispositions” under U.S.S.G. § 4A1.2(f). There is also a strong probability that Petitioner would have been assigned a lower criminal history category if counsel had raised the appropriate objections. Petitioner was assigned ten criminal history points and placed in criminal history category five which starts at ten criminal history points. As the district court recognized, even “a one point change would drop Petitioner to a lower criminal history category.” (J.A. 146). Under criminal history category five, Petitioner’s sentencing range was 168 to 210 months. He was actually sentenced to 192 months. In the lower criminal history category, Petitioner’s sentencing range would have been 151 to 188 months. Even if Petitioner could have received the maximum sentence of 188 months, his sentence would have been significantly lower than his actual sentence of 192 months. The Supreme Court has found that any increase in a sentence constitutes prejudice within the meaning of Strickland. See Glover v. United States, 531 U.S. 198, 203 (2001) (holding that “[a]uthority does not suggest that a minimal amount of additional time in prison cannot constitute prejudice. Quite to the contrary, our jurisprudence suggests that any amount of actual jail time has Sixth Amendment significance.”); see also United States v. Allen, 53 F.App’x 367, 376 (6th Cir. 2002) (finding that “[t]he Supreme Court has held that prejudice is present where counsel’s error results in an increase in defendant’s sentence.”); United States v. Grammas, 376 F.3d 433, 436 (5th Cir. 2004) (holding that “any amount of actual jail time has Sixth Amendment significance, which constitutes prejudice for purposes of the Strickland test”) (internal quotation marks and citations omitted); United States v. Franks, 230 F.3d 811, 815 (5th Cir. 2000) (finding prejudice where 20 defendant was sentenced under sentencing guidelines range of 70 to 87 months instead of a 57 to 71 month range). In this case, I would find that Petitioner has presented a potentially meritorious claim for ineffective assistance of counsel because an objection supported by the appropriate legal authority likely would have resulted in a substantially lower sentence. See, e.g., United States v. Romano, 314 F.3d 1279, 1282 (11th Cir. 2002) (“We have no difficulty in concluding that the use of the higher sentence range affected appellant’s substantial rights.”); see also United States v. Horey, 333 F.3d 1185, 1188 (10th Cir. 2003) (“As there is an increase in the actual amount of jail time that may be served . . . [petitioner] has established prejudice.”). D. The District Court Abused its Discretion in Refusing to Hold a Hearing In the instant case, since there is no information on the record concerning Petitioner’s waiver of the right to counsel and the nature of the juvenile adjudications, I strongly believe that the parties should be provided with an opportunity to develop the record and inquire into whether Petitioner’s waiver of counsel was knowing and voluntary, and whether the juvenile adjudications constituted “diversionary dispositions” under U.S.S.G. § 4A1.2(f). Under 28 U.S.C.A. § 2255, when a petitioner files a motion to vacate, set aside or correct a sentence: [u]nless the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief, the court shall cause notice thereof to be served upon the United States attorney, grant a prompt hearing thereon, determine the issues and make findings of fact and conclusions of law with respect thereto. 28 U.S.C. § 2255. “The statute does not require a full blown evidentiary hearing in every instance . . . . Rather, the hearing conducted by the court, if any, must be tailored to the specific needs of the 21 case, with due regard for the origin and complexity of the issues of fact and the thoroughness of the record on which (or perhaps, against which) the section 2255 motion is made.” Smith v. United States, 348 F.3d 545, 550-51 (6th Cir. 2003) (internal quotation marks and citation omitted) (alterations in the original); see also Fontaine v. United States, 411 U.S. 213, 215 (1973). The majority woefully mischaracterizes the record and concludes that the record in this case is adequate and sufficient. The presentence report and a single, inconclusive state court record are the only documents in the record that contain references to Petitioner’s alleged waiver of counsel. Notably, the record below does not contain any state court records for the second juvenile offense. Even if the probation officer procured state court records which confirmed that Petitioner waived his right to counsel and based the presentence report on such records, those state court records were not a part of the district court record. Further, there is no indication that the district court, the government, or Petitioner’s counsel reviewed these records. Although this Court is charged with examining the facts and circumstances underlying the waiver of the right to counsel, in this case there was no examination or inquiry to determine whether the state court records, if any, actually reflected circumstances supportive of a valid waiver of a juvenile’s right to counsel. The presentence report and state court document are cursory and inconclusive because they do not contain any information concerning the circumstances surrounding Petitioner’s alleged waiver. It is simply not appropriate for the majority to defer to this cursory information, particularly because the right to counsel is a constitutional right of vital importance. As the Supreme Court has recognized, “in addition to counsel’s presence at trial, the accused is guaranteed that he need not stand alone against the State at any stage of the prosecution, formal or informal, in court or out, where counsel’s absence might derogate from the accused’s right to a fair 22 trial.” Wade, 388 U.S. at 226. In the context of juvenile proceedings, the importance of the right to counsel is amplified because [a] juvenile needs the assistance of counsel to cope with problems of law, to make skilled inquiry into the facts, to insist upon regularity of the proceedings, and to ascertain whether he has a defense and to prepare and submit it. The child []requires the guiding hand of counsel at every step in the proceedings against him. Application of Gault, 387 U.S. at 36. I strongly believe that the “resolution of [petitioner’s] claim requires further factual development.” King v. United States, 199 F. App’x 524, 527 (6th Cir. 2006) (unpublished case). Petitioner “should have been given the opportunity at an evidentiary hearing to develop a record on these factual issues in the lower court.” Smith v. United States, 348 F.3d 545, 554 (6th Cir. 2003). “A district court’s failure to grant an evidentiary hearing when the files and records of the case are inconclusive on the issue of whether movant is entitled to relief constitutes an abuse of discretion.” United States v. McCoy, 410 F.3d 124, 131 (3d Cir. 2005). “[A]n evidentiary hearing is warranted . . . [because petitioner] presented a potentially meritorious claim for ineffective assistance of counsel, and [ ] deserves the right to develop a record to” support his claim. Griffin v. United States, 330 F.3d 733, 739 (6th Cir. 2003). Given the complete absence of meaningful evidence in the record, I would find that the district court abused its discretion in refusing to hold an evidentiary hearing. For the foregoing reasons, I would vacate the district court’s order denying Petitioner’s motion to vacate, set aside or correct his sentence under 28 U.S.C. § 2255, and remand the case to the district court for an evidentiary hearing to determine whether Petitioner’s waiver of counsel was 23 knowing and voluntary, and whether the juvenile adjudications were diversionary dispositions under U.S.S.G. § 4A1.2(f). 24