United States v. Moreno, 367 F.3d 1, 1st Cir. (2004)

367 F.
3d 1
UNITED STATES of America, Appellee,

v.
Cesar MORENO, Defendant, Appellant.
No. 03-1982.
United States Court of Appeals, First Circuit.

Heard February 4, 2004.
Decided April 29, 2004.
Van L. Hayhow, for appellant.

Donald C. Lockhart, Assistant United States Attorney with whom Craig
N. Moore, Acting United States Attorney and Andrew J. Reich, Assistant
United States Attorney were on brief, for appellee.
Before BOUDIN, Chief Judge, TORRUELLA and HOWARD, Circuit
Judges.
HOWARD, Circuit Judge.
In this appeal, we decide whether the district court permissibly applied an

upward departure in sentencing Cesar Moreno for bail jumping to avoid
prosecution on several civil rights charges. We vacate the sentence and remand
for resentencing.
I.
2
On October 6, 1998, Moreno and three others were indicted by a federal grand
jury on eight civil rights offenses.1 See 18 U.S.C. 241, 242. The next day
Moreno was arraigned, at which time the district court released him on bond
and advised him of his obligation to appear at all subsequent court proceedings.
The court also limited Moreno's travel to Massachusetts and Rhode Island and
ordered him to surrender his Colombian passport. Moreno falsely told the court
that he had lost his passport. Approximately three months later, he flew to
Colombia.
While Moreno remained in Colombia, the government proceeded with the

prosecution of Moreno's co-defendants. In May 1999, the other defendants were
acquitted of all charges. Approximately four years after his disappearance,
Moreno was arrested in New York on the still-pending civil rights indictment.
As part of a plea agreement, Moreno pleaded guilty to a one-count information
of knowingly and willfully failing to appear for a court proceeding, see 18
U.S.C. 3146(a)(1) (the "bail jumping statute"), and the government moved to
dismiss the underlying civil rights indictment.
Applying U.S.S.G. 2J1.6, Moreno's probation officer submitted a presentence

investigation report ("PSR") recommending an offense level of 10, which
yielded a sentencing range of 6 to 12 months of imprisonment. The PSR did not
recommend any departures, and neither side objected to the PSR's contents.
At Moreno's sentencing hearing, the district court notified the parties that,
despite the PSR recommendation, it was considering sentencing Moreno above
the guideline range. After allowing an opportunity for briefing, the court
reconvened the sentencing hearing and departed upward from offense level 10
to level 13, which resulted in Moreno receiving an 18 month term of
incarceration. The district court premised the departure on the effect that
Moreno's decision to flee had on the operation of the judicial system.2
II.
6
Moreno challenges the upward departure because, in his view, the departure
rationale offered by the district court does not remove this case from the
"heartland" established by U.S.S.G. 2J1.6. We review Moreno's challenge
under the recently enacted Prosecutorial Remedies and Other Tools to End the
Exploitation of Children Today Act of 2003 ("PROTECT Act"). See 18 U.S.C.
3742(e); United States v. Thurston, 358 F.3d 51, 71-72 (1st Cir.2004); United
States v. Frazier, 340 F.3d 5, 14 (1st Cir.2003) (holding that the PROTECT Act
applies to appellate review of upward departures).
In reviewing a departure under the PROTECT Act, we first determine de novo

whether the basis for departing is either inconsistent with the objectives of
federal sentencing as articulated in 18 U.S.C. 3553(a)(2) or not authorized by
18 U.S.C. 3553(b). See 18 U.S.C. 3742(e)(3)(B)(i-ii); Thurston, 358 F.3d at
70. If we deem the departing rationale appropriate, we then determine de novo
if the facts of the instant case justify departing from the guideline range.3 See
18 U.S.C. 3742(e)(3)(B)(iii); Thurston, 358 F.3d at 70.
Consistent with Thurston, we first ask whether the district court correctly
identified as a departing rationale "an aggravating or mitigating circumstance of
a kind or to a degree, not adequately taken into consideration by the Sentencing
Commission in formulating the guidelines." 18 U.S.C. 3553(b); U.S.S.G.
5K2.0. Because criminal sentencing "encompasses the vast range of human
conduct," the Commission did not place many limitations on the factors that a
court could consider in departing from the guideline range. U.S.S.G. ch. 1 pt. A
4(b). But while the universe of possible departure factors is broad, there are
boundaries. Certain factors are off limits because the Commission has
determined that they never could justify a departure. See United States v. Perez,
160 F.3d 87, 89 (1st Cir.1998) (listing forbidden departure factors). Other
factors are impermissible because the Commission adequately considered them
in establishing the guidelines or because they are inconsistent with the structure
and theory of the guidelines. See United States v. Martin, 221 F.3d 52, 57 (1st
Cir.2000).
The district court's basis for departing upward in sentencing Moreno was the
effect that Moreno's conduct had on the efficient operation of the judicial
system. In articulating this rationale, the district court noted "several
components" that could lead to a sufficiently large disruption to warrant a
departure: (1) the nature of the proceeding at which the defendant failed to
appear (trial or pretrial); (2) the nature of the underlying case against the
defendant (single or multi defendant); and (3) the length of the defendant's
absence.
10
Under the guidelines, substantially disrupting a governmental function is a

favored ground for departing. See U.S.S.G. 5K2.7; United States v. Anderson,
353 F.3d 490, 510 (6th Cir.2003) ("conduct that significantly disrupted...
judicial function" is ground for upward departure under U.S.S.G. 5K2.7). But
a departure on this basis is only appropriate if the interference with
"governmental function is [not] inherent in the offense." U.S.S.G. 5K2.7; see
United States v. Sarault, 975 F.2d 17, 19-20 (1st Cir.1992).
11
One of the factors that the district court identified as favoring a departure is the
additional burden placed on the justice system by a defendant who is absent for
his trial. As the court explained, a defendant who fails to appear for only a
pretrial proceeding "does not have the same impact on the judicial proceeding
[as a defendant who] fail[s] to appear at the time of trial."
12
From our vantage point, the difficulty with this rationale, at least as an
independent basis for departing, is that a defendant failing to appear for trial is
a factor that was already considered by the Commission in establishing the

sentencing exposure for bail jumping. The legislative history of the bail
jumping statute demonstrates that Congress enacted the law with an eye toward
punishing defendants who abscond with such an intent. The Senate Report
states that one of the purposes of the statute is "to deter those who would
obstruct law enforcement by failing knowingly to appear for trial ...." See
S.Rep. No. 98-225, reprinted in 1984 U.S.S.C.A.N. 3182, 3213 (emphasis
supplied). It is hard to imagine that the Commission failed to consider a
defendant who fails to appear for trial in developing the "heartland" for this
offense. See Koon v. United States, 518 U.S. 81, 94, 116 S.Ct. 2035, 135
L.Ed.2d 392 (1996) (stating that each guideline is intended to apply to a
"heartland of typical cases"); United States v. Sarna, 28 F.3d 657, 660 (7th
Cir.1994) (stating that a factor common to many bail jumping cases cannot be a
proper basis for departure).
13
This is not to say, however, that the defendant's failure to appear for trial will
never have an atypically disruptive effect on the judicial process. The
government may not try a defendant if he is not present on the date that his trial
commences. See Crosby v. United States, 506 U.S. 255, 259-60, 113 S.Ct. 748,
122 L.Ed.2d 25 (1993) (stating that Fed.R.Crim.P. 43 prevents trial in absentia
if the defendant is not present at the beginning of trial). The government's
inability to proceed against an absent defendant could cause a substantial
disruption in the administration of justice if the government is materially
prejudiced in its ability to prosecute the underlying offense after the defendant
is found: witnesses could disappear and evidence could become so stale that it
would be more difficult for the government to prosecute at a later date.
14
Moreover, the burdens caused by a defendant failing to appear for his trial
could be even more pronounced in a multi-defendant prosecution. In addition to
the possible disappearance of witnesses and the loss of evidence, the defendant
may obtain a distinct advantage over the government by absconding in a multidefendant case. If the government proceeds against the co-defendants before
the defendant is found, the defendant can assess the strengths and weaknesses
of the government's case before returning for his own trial. Moreover, the
defendant could create additional impediments to the government's ability to
prosecute the co-defendants. The co-defendants could attempt to shift the blame
from themselves to the absent defendant. Further, the defendant may place
additional burdens on the court because, in many cases, the court will either
have to conduct multiple trials unnecessarily, cf. United States v. Flinn, 987
F.2d 1497, 1505 (10th Cir.1993) (holding that unnecessary deployment of
government resource is basis for upward departure), or wait an indeterminate
length for the capture of the defendant to conduct a single trial, see United
States v. Hastings, 847 F.2d 920, 923 (1st Cir.1988) (observing that "justice
delayed is justice denied").
15
The district court also emphasized the length of the defendant's absence. For
many of the reasons just articulated, the length of the absence can be relevant to
determining the extent to which the defendant's conduct disrupted the judicial
process. The longer the absence, the more likely it is that the government will
have difficulty prosecuting the defendant on his return. In addition by absenting
himself, the defendant (if convicted) delays the day on which he will ultimately
face punishment. Thus, a long absence would permit a guilty defendant to live
for a substantial period in freedom. See United States v. Cherry, 10 F.3d 1003,
1009-10 (3d Cir.1993) (affirming imposition of upward departure where, inter
alia, defendant was absent for 20 years).
16
In this case, Moreno absented himself for four years, and undoubtedly would
have continued that state of affairs had he not been arrested in New York.
Conceivably, the length of his absence had an unusually negative impact on the
functioning of the judicial process, but there have been no findings to this
effect. See 18 U.S.C. 3553(c) (under PROTECT Act district court required to
provide written statement of findings justifying the departure). While a 20 year
absence would surely be atypical, we are not prepared to say, based on the
slender record before us, that the four-year absence here is outside of the
heartland. It does not seem obviously unusual that a defendant who absconds
shortly after arraignment, with the intention of avoiding trial, might well remain
a fugitive for a few years. We are left to speculate whether the duration of
Moreno's absence had an unusual impact, (beyond that already accounted for)
contributing to the disruption of the judicial process. More than speculation is
required.
17
In sum, we conclude that one of the component factors, creating a need for
multiple trials relied on by the district court in its disruption analysis,
supports the departure ordered in this case. Two other factors mentioned by the
court should not have been relied on, except insofar as they support the multiple
trial analysis: that a defendant might miss trial rather than a pre-trial hearing
has been adequately considered by the Commission, and the record before us
does not sufficiently explain how Moreno's four-year absence takes this case
outside of the heartland. As we are unsure what sentence the district court
would have imposed had it the benefit of our opinion, we vacate the sentence
and remand to allow the court to reimpose sentence, certain that the court will
act promptly. See Williams v. United States, 503 U.S. 193, 203, 112 S.Ct. 1112,
117 L.Ed.2d 341 (1992). The district court may, of course, reaffirm its prior
sentence or impose another lawful sentence.
18
So ordered.
Notes:
1
The underlying indictment derived from Moreno's role as an informant for the
Rhode Island Attorney General's drug strike force
The district court also stated that it was unfair that Moreno's sentence for bail
jumping would be substantially less than the statutory maximum he would have
faced for the underlying civil rights offenses. On appeal, the government has
conceded that this additional ground is not a valid basis for departure
Prior to the enactment of the PROTECT Act, this second question was
reviewed only for clear errorSee United States v. Chapman, 241 F.3d 57, 63
(1st Cir.2001).

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367 F.

UNITED STATES of America, Appellee,

United States Court of Appeals, First Circuit.

Van L. Hayhow, for appellant.

In this appeal, we decide whether the district court permissibly applied an

While Moreno remained in Colombia, the government proceeded with the

Applying U.S.S.G. 2J1.6, Moreno's probation officer submitted a presentence

In reviewing a departure under the PROTECT Act, we first determine de novo

Under the guidelines, substantially disrupting a governmental function is a

a factor that was already considered by the Commission in establishing the

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