United States v. Dipentino

242 F.3d 1090, 2001 Cal. Daily Op. Serv. 2064, 31 Envtl. L. Rep. (Envtl. Law Inst.) 20532, 2001 Daily Journal DAR 2611, 52 ERC (BNA) 1252, 2001 U.S. App. LEXIS 3803, 2000 WL 33226169
CourtCourt of Appeals for the Ninth Circuit
DecidedMarch 13, 2001
DocketNos. 98-10449, 98-10482, 98-10450, 98-10481
StatusPublished
Cited by38 cases

This text of 242 F.3d 1090 (United States v. Dipentino) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Dipentino, 242 F.3d 1090, 2001 Cal. Daily Op. Serv. 2064, 31 Envtl. L. Rep. (Envtl. Law Inst.) 20532, 2001 Daily Journal DAR 2611, 52 ERC (BNA) 1252, 2001 U.S. App. LEXIS 3803, 2000 WL 33226169 (9th Cir. 2001).

Opinion

DAVID R. THOMPSON, Circuit Judge:

Rocco Dipentino and Rafiq Ali appeal their convictions following their joint trial for improperly removing asbestos-containing materials from the Landmark Hotel and Casino in Las Vegas, Nevada, prior to its demolition, in violation of the Clean Air Act, 42 U.S.C. §§ 7412(f)(4) and (h), 7413(c)(1). The government cross-appeals the sentences imposed by the district court. We conclude that the district court committed plain error when it constructively amended the indictment by instructing the jury on a work practice standard that the defendants were not charged with [1093]*1093violating. We exercise our discretion under Federal Rule of Criminal Procedure 52(b) to reverse the defendants’ convictions and remand the case to the district court. We dismiss the government’s cross-appeals as moot.

BACKGROUND

The Las Vegas Convention and Visitors Authority (“Visitors Authority”) hired Ab-Haz Environmental, Inc. (“Ab-Haz”), an asbestos-abatement consulting firm, to oversee the removal of asbestos-containing materials from the Landmark Hotel and Casino in Las Vegas, Nevada, prior to its demolition. Rafiq Ali1 was the president and sole proprietor of Ab-Haz; Rocco Dipentino was an industrial hygienist employed by Ab-Haz as the on-site inspector at the Landmark. Under the terms of its contract with the Visitors Authority, Ab-Haz was required to: (1) survey the Landmark and identify the asbestos-containing materials that needed to be removed prior to demolition; (2) prepare specifications for how the asbestos removal job was to be performed; (3) assist the Visitors Authority in selecting an asbestos-removal contractor to remove the asbestos-containing materials; (4) serve as the Visitors Authority’s on-site representative, providing day-to-day monitoring and oversight of the work to ensure that it was being performed in accordance with the law; and (5) inspect and certify that the site was free from asbestos following the completion of the asbestos-removal work.

The Clean Air Act classifies asbestos as a hazardous air pollutant. See 42 U.S.C. § 7412(b)(1). Emissions of hazardous air pollutants in violation of work practice standards promulgated by the Environment Protection Agency are prohibited. See 42 U.S.C. § 7412(b)(1), (h)(1). Under the work practice standard relevant to this case, an owner or operator of a demolition activity is required to remove all asbestos prior to demolition and must “[adequately wet the [asbestos-containing] material and ensure that it remains wet until collected and contained” in leak-tight containers for proper disposal. See 40 C.F.R. § 61.145(c)(6)®. An owner or operator of a demolition activity who knowingly violates a work practice standard is subject to criminal penalties. See 42 U.S.C. § 7413(c)(1). An employee who is carrying out his or her normal activities and acting under orders from the employer is liable only for knowing and willful violations. See 42 U.S.C. § 7413(h).

The grand jury for the District of Nevada returned a two-count indictment against Ab-Haz, Rafiq Ali, Rocco Dipentino, and a defendant who was later acquitted, Richard Lovelace, who was the on-site inspector of the asbestos-removal contractor hired by the Visitors Authority. Count 1 of the indictment charged the defendants with knowingly conspiring to violate the Clean Air Act by removing regulated asbestos-containing materials from surfaces in the Landmark without complying with the applicable work practice standards. Count 2, paragraph A (“Count 2¶ A”) charged each defendant with knowingly violating the Clean Air Act by leaving scraped asbestos-containing debris on floors and other surfaces, where it was allowed to dry out, instead of placing the debris, while wet, into leak-proof containers for removal from the site. Count 2, ■ paragraph B (“Count 2¶ B”) charged each defendant with knowingly violating the Clean Air Act by causing asbestos-covered facility components to fall from the ceiling to the floor, rather than carefully lowering such components so as not to dislodge asbestos. One government inspector described the removal project as “the worst [asbestos] abatement job I’ve seen.”

At the close of the government’s case, the district court granted the defendants’ motions for judgment of acquittal on Counts 1 and 2¶ B, but held that the gov[1094]*1094ernment had produced sufficient evidence to support a conviction on Count 2¶ A. The jury convicted Ali and Dipentino on Count 2¶ A, but acquitted Lovelace.2 The district court sentenced Ali and Dipentino to five months’ incarceration and five months of home detention, and fined Ah $3,000 and Dipentino $2,000.

Ah and Dipentino appeal their convictions in appeal nos. 98-10449 and 98-10450. The government cross-appeals the sentences imposed by the district court in appeal nos. 98-10481 and 98-10482.

DISCUSSION

A Constructive Amendment

Ah and Dipentino contend that the district court constructively amended the indictment by instructing the jury on a work practice standard that they were not charged in the indictment with violating— namely, that an owner or operator of a demolition activity must deposit all asbestos-containing waste material at a waste disposal site that meets appropriate federal requirements. They argue that this error violated their Fifth Amendment right to be tried only on the charges included in the grand jury’s indictment. See Stirone v. United States, 361 U.S. 212, 215-16, 80 S.Ct. 270, 4 L.Ed.2d 252 (1960).

The defendants did not object to the district court’s jury instruction. Accordingly, we review for plain error. See United States v. Payseno, 782 F.2d 832, 834 (9th Cir.1986). We have the authority to reverse a conviction under Federal Rule of Criminal Procedure 52(b) when: (1) there was an error, (2) the error was plain, and (3) the error affected the defendant’s substantial rights. See United States v. Olano, 62 F.3d 1180, 1187-88 (9th Cir.1995) (citing United States v. Olano, 507 U.S. 725, 732-34, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993)). However, “Rule 52(b) is permissive, not mandatory.” Olor no, 507 U.S. at 735, 113 S.Ct. 1770. We will not exercise our discretion to reverse under Rule 52(b) unless “the ‘error seriously affect[ed] the fairness, integrity or public reputation of judicial proceedings.’ ” Id. at 736, 113 S.Ct. 1770 (quoting United States v. Atkinson,

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242 F.3d 1090, 2001 Cal. Daily Op. Serv. 2064, 31 Envtl. L. Rep. (Envtl. Law Inst.) 20532, 2001 Daily Journal DAR 2611, 52 ERC (BNA) 1252, 2001 U.S. App. LEXIS 3803, 2000 WL 33226169, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-dipentino-ca9-2001.