United States v. Piper

35 F.3d 611, 1994 U.S. App. LEXIS 24287, 1994 WL 475229
Court of Appeals for the First Circuit·Decided September 8, 1994·No. 94-1197·Published·Cited by 124 cases

Opinion

SELYA, Circuit Judge.

This appeal asks us to revisit, in a slightly altered form, the question of whether conspiracy convictions qualify as triggering and/or predicate offenses for purposes of the career offender provisions of the federal sen-fencing guidelines. 1 This question has divided the courts of appeals. On reflection, we adhere to the majority view and continue to treat certain conspiracy convictions as includable in determining career offender status. Because the district court took this (legally proper) approach, and because appellant’s only non-sentenee-related assignment of error is impuissant, we affirm the judgment below.

I. BACKGROUND

On September 2,1993, in proceedings pursuant to Fed.R.Crim.P. 11, defendant-appellant David Piper waived indictment and pleaded guilty to a two-count information charging him with conspiracy to possess with intent to distribute over 100 kilograms of marijuana, see 21 U.S.C. §§ 841(a)(1), 841(b)(1)(B), 846, and using or carrying a firearm in connection with a drug-trafficking crime, see 18 U.S.C. § 924(e). On February 23,1994, the district court imposed a 25-year prison sentence on count 1, terming Piper a career offender. The court also sentenced Piper to an incremental 5-year prison term on the weapons charge.

Piper appeals, alleging error in both the acceptance of his guflty plea and the application of the career offender guideline.

II. THE RULE 11 CHALLENGE

Appellant’s initial claim of error need detain us only in the respect that it requires us to make clear that specific intent to effectuate an underlying substantive offense, and not an intent to commit the substantive offense oneself, is all that is necessary to sustain a conspiracy conviction. Before reaching this vexing point, we first dispatch some necessary preliminaries.

Although Piper now contends that the district court erred in accepting a plea to the information, he did not seek to withdraw his plea below. Consequently, he can prevail on *614 this afterthought ground only if he demonstrates a substantial defect in the Rule 11 proceeding itself. See United States v. Mateo, 950 F.2d 44, 45 (1st Cir.1991); United States v. Parra-Ibanez, 936 F.2d 588, 593-94 (1st Cir.1991). Appellant’s attempts to meet this exacting standard lack force.

Appellant advances three main arguments in support of this assigned error, 2 each of which centers around the drug-trafficking count. He asserts that the district court (1) mischaraeterized the nature and elements of the offense, thereby frustrating his ability to understand the charge to which he pled guilty, in derogation of Fed.R.Crim.P. 11(c)(1); (2) failed to ensure that his plea was voluntary, in derogation of Fed.R.Crim.P. 11(d); and (3) accepted his plea despite the lack of an adequate factual basis, in derogation of Fed.R.Crim.P. 11(f).

We have inspected the plea colloquy with care, tested it in the crucible of Rule 11, see, e.g., Parra-Ibanez, 936 F.2d at 590 (explaining that the “strictures of Rule 11 ... are calculated to insure the voluntary and intelligent character of the plea”); United States v. Allard, 926 F.2d 1237, 1244-45 (1st Cir.1991) (identifying core Rule 11 concerns: absence of coercion, understanding of charges, and knowledge of consequences of guilty plea), and find no hint of any mischar-acterization. To the precise contrary, the lower court proceeded in a meticulous fashion to ensure that appellant understood the gist of the information. A judge’s responsiveness to a defendant’s articulated concerns is of great importance in Rule 11 proceedings. See, e.g., United States v. Buckley, 847 F.2d 991, 999 (1st Cir.1988) (explaining need for court to respond appropriately to defendant’s questions at ehange-of-plea hearing), cert. denied, 488 U.S. 1015, 109 S.Ct. 808, 102 L.Ed.2d 798 (1989). Here, the judge not only fulfilled the core requirements of Rule 11, but also furnished suitably detailed explanations when appellant sought clarification of certain points. And, moreover, the record is replete with indications that appellant understood the charges, faced up to them, and chose voluntarily to plead guilty.

We need not paint the lily. An appellate court must read the transcript of a Rule 11 colloquy with practical wisdom as opposed to pettifoggery. See United States v. Medina-Silverio, 30 F.3d 1, 3 (1st Cir.1994) (emphasizing that there is no “formula of ‘magic words’ in meeting the requirements of Rule 11”); Allard, 926 F.2d at 1245 (similar); see also Fed.R.Crim.P. 11(h) (explaining that, to warrant vacation, irregularities in a plea-taking proceeding must affect the defendant’s “substantial rights”). Viewed from that perspective, appellant’s first two arguments are meritless. The district court’s performance in explaining the charges and ensuring that defendant understood them easily passes muster under Rule 11(e) and (d). The plea was voluntary.

The third prong of appellant’s assignment of error requires special mention, for the argument advanced indicates some confusion over what proof is required in order to sustain a conspiracy conviction. Appellant’s thesis is that, while he agreed to help steal the marijuana, he did not have an intent to distribute it himself, and, thus, could not be guilty of (and could not validly plead guilty to) the conspiracy charge.

This thesis does not receive a passing grade. A specific intent to distribute drugs oneself is not required to secure a conviction for participating in a drug-trafficking conspiracy. This conclusion is neither new nor original. In United States v. Rivera-Santiago, 872 F.2d 1073 (1st Cir.), cert. denied, 492 U.S. 910, 109 S.Ct. 3227, 106 L.Ed.2d 576 & 493 U.S. 832, 110 S.Ct. 105, 107 L.Ed.2d 68 (1989), we upheld a conviction for conspiracy to distribute marijuana based on evidence that the defendant had agreed to store a large quantity of the drug in his house, even though no evidence had been adduced that he intended to play a role in its distribution. See id. at 1081. In the process, we explained that:

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United States v. Piper, 35 F.3d 611, 1994 U.S. App. LEXIS 24287, 1994 WL 475229 (1st Cir. 1994).

35 F.3d 611 (United States v. Piper) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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