Opinion ID: 158560
Heading Depth: 2
Heading Rank: 4

Heading: refusal to consider a downward departure

Text: We move now to Mr. Diaz's last argument – that the court erred in refusing a downward departure. First, Mr. Diaz argues that the district court had not adequately familiarized itself with the transcript. He states: Judge Vazquez had not presided over most of Mr. Diaz's pretrial proceedings and she did not preside over his trial. The record of the sentencing hearing clearly shows she was not familiar with the complete record of the case, but rather had reviewed only parts of it before proceeding to sentencing. If Mr. Diaz had been sentenced by a judge who was fully familiar with all aspects off his case, he would have received a lesser sentence because the judge would have recognized he was predisposed, at worst, to deal in only ounces – rather than kilograms – of cocaine. Aplt's Br. at 25. The record, however, tells a different story, reflecting a judge frustrated with last minute submissions by both parties, but who had read the relevant transcript, in both English and Spanish, and further read all of the materials presented to her: THE COURT: I have a preliminary matter for counsel. This is a huge case. I got a bunch of stuff at the last minute. This case has been scheduled for sentencing since November, and then it has been rescheduled month after month. It was scheduled last week and then it was rescheduled for this - 18 - week. I think it is inexcusable, all of the late filings there have been in this case. I do not appreciate it. I should like to indicate to counsel that if you want a judge to fully consider your brief, then please provide that to the judge with the sentencing briefs and all of the transcripts way in advance. I was not the trial judge in this case originally, so I had to read all of the transcripts that were submitted. That was a significant amount of reading. If you want me to take my time and give it thought, then it is inexcusable for me to have received such big stacks of pleadings in this case at the last minute. I have reviewed every piece of paper that you have given me, but I was not the [trial] judge, as you recall. So I was not there when the Government presented evidence that there was an issue in dispute with regard to the amount. That is a critical issue with regard to sentencing, and I think that your late filings are just inexcusable. This should not happen again. .... I have reviewed, in addition to [the presentence report, Mr. Diaz's objections and motion for downward departure, and the government's objections], something else that I need to continue and make sure Mr. Diaz has had a chance to review this. There was an addendum to the Presentence Report. Have you reviewed that with your attorney? THE DEFENDANT: Yes, ma’am. THE COURT: Actually, is there just one addendum? OK. Mr. Diaz, in addition to that, I was provided with a videotape, and I don’t know who provided it to me, but it was left in chambers, and I have reviewed a pretty long videotape that was of the hotel scene, or motel, whatever it was. I have looked at all of that. I did find it very hard to decipher the words, but I did watch and listen to the entire thing. I have reviewed all the transcripts in this case that you all have provided to me. I have read them in Spanish, just to make sure that I am totally understanding the exchange; and I recognize as we proceed here that we have a number of issues. This is the type of case that requires reliance on the evidence that was introduced at the trial. The key issues in this case are whether Mr. Diaz should be sentenced on the five k., five kilograms, or whether he should be sentenced pursuant to two kilograms. I have done some independent research on that issue, but mostly find that this is a factual issue. Because of that the transcripts were extremely important, and I must - 19 - say that I would have reviewed the transcripts again, even had I been the trial judge, to make sure that my recollection was accurate with regard to what amounts were being discussed and what amount was ultimately agreed upon. There are other issues in this case, but basically the key one, the one that affects Mr. Diaz the most, is the determination as to the amount in issue. As a result of the objection, the enhancement because of the prior drug offense was not addressed or imposed by Probation in the PSR, so there is a question as to the effect of that, and that, of course, depends on the amount that we decide. There is also the question of whether, in the motion for downward departure, the Court should depart downward, based upon a number of factors, and they are diminished capacity, sentencing entrapment, and acceptance of responsibility. I think those are all the issues that you raised. Is that right, Ms. Gardner? MS. GARDNER: Yes, Your Honor, that is correct. Rec. vol. VII, at 3, 11-12. Mr. Diaz’s contention that the court was not familiar with the complete record is disingenuous, to be charitable. Moreover, Mr. Diaz cites no case requiring a sentencing judge to read parts of the record that were not relevant to sentencing and not provided by the parties, nor any rule requiring a sentencing judge to certify her familiarity with the record. Cf. Fed. R. Crim. P. 25(b) (indicating that – unlike Fed. R. Crim. P. 25(a) – no explicit certification of familiarity with the record is required after a verdict or finding of guilt has been rendered: “If by reason of absence . . . the judge before whom the defendant has been tried is unable to perform the duties to be performed by the court after a - 20 - verdict or finding of guilt, any other judge regularly sitting in or assigned to the court may perform those duties. . . .”). Indeed, this record shows that the sentencing judge carefully reviewed the materials before the court, in fact partially agreeing with Mr. Diaz and rejecting the government’s argument the proper sentencing amount was five kilograms, instead adopting his argument that the proper amount was only two kilograms. See Rec. vol. VII, at 41-44. Thus, quite to the contrary of Mr. Diaz's position, this hearing reflected assiduous efforts on the part of the court to prepare for sentencing. We see no error. Second, Mr. Diaz argues that the district court misunderstood its ability to downwardly depart based upon his entrapment defense. “[A] discretionary decision not to depart downward is not reviewable unless the record shows that the district court erroneously believed that the Guidelines did not permit a departure.” United States v. Banta , 127 F.3d 982, 983 n.1 (10th Cir. 1997). We review legal conclusions de novo, while factual determinations are reviewed for clear error. See United States v. Bolden , 132 F.3d 1353, 1355 (10th Cir. 1997), cert. denied , 118 S. Ct. 1686 (1998). We agree with the government that we do not have jurisdiction to review the judge’s discretionary decision. Judge Vazquez made very clear findings that Mr. Diaz was responsible for the two kilograms for which he was sentenced, rejecting the government’s argument that he should have been sentenced for five - 21 - kilograms. She stated: I do not believe that there was any sentencing entrapment with regard to the two kilograms that were involved here, and I think that the language that has been provided in the exhibits expresses by the defendant a willingness. He is urging, he is attempting to persuade, using prior dealing, to persuade the Government agents that he knows what he’s doing, that he has been involved in this kind of thing before, that he has contacts and he moves drugs, drugs that he got from Oregon, from Las Vegas, Nevada, and I don’t remember where else, but he identified the places from which he has received drugs, in an effort to persuade them that he knows what he’s doing, he can be trusted. He even offers for the agents to go to Portland, Oregon with him. All of theses factual issues I think point to the opposite direction, rather than sentencing entrapment. Rec. vol. VII, at 46. Mr. Diaz argues that the court erroneously concluded that it did not have the authority to depart based upon sentencing entrapment or upon diminished mental capacity. But the court clearly found that there was no sentencing entrapment with regard to the two kilogram amount, and it therefore could not sentence Mr. Diaz below the minimum sentence mandated by 21 U.S.C. § 841(b)(1)(B). Thus the court's decision not to depart downward was based on a proper assessment of the evidence in the record rather than on a misapprehension of its authority.