Dzul v. State
Dzul v. State
Dissenting Opinion
dissenting:
The Fifth Amendment privilege against self-incrimination applies to a defendant throughout trial, both during the guilt and the sentencing phases.
Rather, Brown v. State
Here, Dzul’s claim that he received a harsher sentence for maintaining his innocence is not as clear as in the Brown case, but the record sufficiently demonstrates that he received a greater penalty because he maintained his innocence. In particular, Dzul maintained his innocence in the sexual psychological interviews, and John Pacalt used it against Dzul in his psychosexual report. The district court considered the psychologists’ opinions, and in part, denied Dzul’s probation based on Pacalt’s report, where he opined that Dzul’s denial of responsibility for the offense was a fact that increased Dzul’s risk to reoffend. Therefore, I conclude that this case should be remanded for a new sentencing hearing because the district court abused its discretion by considering the fact that Dzul refused to admit guilt when it imposed Dzul’s sentence.
The majority’s analysis characterizes the choice between probation and prison time as a benefit or a penalty. I think it is better to jettison the benefit/penalty analysis because it seems to be used to sidestep some important constitutional holdings. The choice at sentencing is between two penalties, one is a sentence of probation, where a defendant serves no prison time, and the other is a sentence of prison time. Both are penalties, with one harsher than the other, as Justice Stevens observed in his dissent in McKune: “The plurality’s glib attempt to characterize these consequences as a loss of potential benefits rather than a penalty is wholly unpersuasive.”
On a similar note, the majority’s use of McKune in the present case is unpersuasive. In McKune, an incarcerated sex offender was given the choice to either participate in a sex offender treatment program, which required him to sign an “Admission of Responsibility” form, or refuse to participate and thereby receive a reduction in incentive level and a corresponding transfer from a medium-security to a maximum-security part of the prison.
Because I conclude that our holding in Brown governs this case and that Dzul should receive a new sentencing hearing, I respectfully dissent.
Estelle v. Smith, 451 U.S. 454, 462 (1981).
536 U.S. 24 (2002) (plurality opinion).
113 Nev. 275, 934 P.2d 235 (1997).
McKune, 536 U.S. at 64 (Stevens, J., dissenting).
Id. at 30 (plurality opinion).
98 Nev. 38, 39, 639 P.2d 557, 558 (1982).
Opinion of the Court
By the Court,
Appellant Felipe Dzul pleaded guilty, pursuant to North Carolina v. Alford,
On appeal, Dzul contends that he was entitled to Miranda
FACTS
In December 2000, police responded to a report of child molestation at a Las Vegas apartment complex. The mother of nine-year-old Jane Doe
Based on those allegations and a records check, which revealed that Dzul was a registered sex offender with a previous conviction in 1980 for lewdness with a child, police contacted and arrested Dzul for lewdness with a child under the age of fourteen years. Dzul admitted playing with and tickling Jane Doe, but he insisted that he was not seeking sexual gratification and was simply hugging the child. Dzul also admitted that he was intoxicated at the time of the incident but otherwise maintained his innocence,
After accepting Dzul’s Alford guilty plea to one count of attempted lewdness with a child under the age of fourteen years, the district court referred the matter to the Division of Parole and Probation (P&P) for a presentence investigation report (PSI) and ordered Dzul to undergo a psychosexual examination pursuant to NRS 176.135 and NRS 176.139.
As part of the psychosexual evaluation, Dzul interviewed with two psychological professionals to determine whether he represented a menace to the health, safety, or morals of others. Dzul maintained his innocence throughout the interviews. Dr. Dodge Slagle, D.O., concluded that Dzul did not represent a high risk to reoffend and opined that Dzul would not be a menace to the safety, welfare, or morals of others if granted probation as long as he abstained from consuming alcohol. However, licensed social worker John Pacalt opined that Dzul’s denial of responsibility for the offense was a factor that increased his risk to reoffend, that Dzul represented a moderate to high risk to reoffend, and that Dzul was therefore a poor candidate for probation.
DISCUSSION
I. Miranda warnings prior to the psychosexual evaluation
Dzul contends that the district court erred in considering the psychosexual evaluations because he was not Mirandized before the clinical interview portion of the evaluations in violation of his Fifth Amendment right against self-incrimination and Sixth Amendment right to counsel. Dzul asserts that those constitutional rights extend through sentencing, and he urges this court to vacate his sentence and remand this case for re-sentencing after another psychosexual evaluation.
The Fifth Amendment to the United States Constitution, made applicable to the states through the Fourteenth Amendment,
Additionally, the Sixth Amendment right to counsel provides every criminal defendant with the right to have representation during each “critical stage” of adversarial proceedings.
Dzul cites Estelle v. Smith
Dzul also relies on Brown v. State.
We conclude that neither Estelle nor Brown are controlling in this case. Unlike the pretrial psychiatric evaluations ordered in Estelle and Brown, Dzul was interviewed after he entered his plea. Further, he was informed in advance that the psychosexual evaluation was for the purpose of determining his sentence. Moreover, Dzul had the assistance of counsel throughout the proceedings, never invoked his right against self-incrimination, and does not dispute that he was Mirandized when he first spoke with police during their investigation in this case. Nothing in the record indicates that Dzul objected or refused to submit to the psychosexual evaluation when he was interviewed. To the contrary, Dzul signed an acknowledgment of psychosexual evaluation stating that the “psychosexual evaluation shall be used for recommendations regarding sentencing and/or treatment.” The acknowledgment form also contained an area that Dzul could have signed to indicate his refusal to consent to the evaluation.
Further, the holding in Estelle was narrowly applied to the facts of that case, as evidenced by the Supreme Court’s statements that “[vjolunteered statements ... are not barred by the Fifth Amendment”
In particular, the Tenth Circuit Court of Appeals in United States v. Rogers reasoned that routine presentence interviews do not constitute the type of inherently coercive environment and interrogation by the government for which Miranda warnings were designed.
II. Fifth Amendment implications of conditioning the grant of probation on a favorable psychosexual evaluation
Citing no authority, Dzul contends that his Fifth Amendment right against self-incrimination was violated when the district court refused to grant him probation because he received an unfavorable psychosexual evaluation based on his refusal to admit guilt for the offense of conviction.
Dzul argues that this process violated his Fifth Amendment right against self-incrimination because it “penalized” him for maintaining his innocence. While he did not specifically object on constitutional grounds at sentencing, Dzul did complain about unfairness, and this court may address plain error and constitutional error sua sponte,
We have not had the opportunity to evaluate the constitutionality of conditioning probation on a favorable psychosexual evaluation where admission of guilt is a significant factor in receiving a favorable report. Thus, this is an issue of first impression in Nevada.
The Fifth Amendment has long been interpreted to mean that a defendant may refuse “to answer official questions put to him in any . . . proceeding, civil or criminal, formal or informal, where
A state may not impose substantial penalties on a person who decides to invoke his right against self-incrimination.
Dzul never asserted his Fifth Amendment rights during the clinical interviews nor did he refuse to participate in the psychosex-ual evaluations. Thus, this case is distinguishable from Bushnell v. State and Mitchell because the sentencing judge did not draw any inference from the defendant’s invocation of the Fifth Amendment. A person claiming the protection of the Fifth Amendment generally must affirmatively invoke it.
There is an exception to the general rule requiring affirmative invocation of the privilege, however, where the government prevents an individual from asserting his Fifth Amendment privilege by threatening to penalize him should he invoke it.
In Minnesota v. Murphy, a “penalty” case involving a defendant’s admissions made during a sex offender treatment program required as a condition of probation, the United States Supreme Court addressed the classic penalty situation exception to the general rule that the Fifth Amendment is not self-executing.
There is ... a substantial basis in our cases for concluding that if the State, either expressly or by implication, asserts that invocation of the privilege would lead to revocation of probation, it would have created the classic penalty situation . . . and the probationer’s answers would be deemed compelled and inadmissible in a criminal prosecution.45
Thus, the State cannot “constitutionally carry out a threat to revoke probation for the legitimate exercise of the Fifth Amendment privilege.”
Following Murphy, some jurisdictions have found Fifth Amendment violations where sex offenders were required in treatment programs to disclose past misconduct or be subject to revocation of probation.
For example, the Eighth Circuit Court of Appeals held in Doe v. Sauer that an inmate’s reduced likelihood of parole for refusing to participate in a sex offender program did not constitute a “penalty” sufficient to compel incriminating speech in violation of the Fifth Amendment. Rather, the court categorized the reduced likelihood of parole as the denial of a benefit.
We find the benefit/penalty analysis persuasive in considering Dzul’s arguments. Dzul was subject to a mandatory sentence. Probation is a benefit provided by the Legislature in certain sex offense cases only if defendants demonstrate they are not a menace to the health, safety, or morals of others. Moreover, as in Doe, Dzul’s statements to the psychological professionals conducting the psychosexual evaluation were voluntary as he had a “choice” to admit or deny responsibility for his crime of conviction or participate in the evaluation. Finally, denial of probation does not follow automatically from Dzul’s refusal to admit responsibility, as it is possible to receive a favorable evaluation while maintaining innocence as evidenced by Dr. Slagle’s evaluation. Thus, we conclude that Dzul’s circumstances, namely, the reduced likelihood of being granted probation for refusing to admit guilt during the psy-chosexual evaluation, do not present the “classic penalty situation” that renders the Fifth Amendment self-executing.
In rejecting Dzul’s contentions, we have also considered federal cases addressing defendants’ Fifth Amendment rights in the context of acceptance-of-responsibility reductions under the federal sentencing guidelines. Although these cases are distinguishable, the legal theory underlying them is instructive. Specifically, several courts have distinguished between a denied benefit (an act of leniency) and a penalty (a harsher sentence) and have concluded that denial of a sentencing reduction based on a defendant’s refusal to accept responsibility for his actions does not constitute a penalty nor a sentence enhancement and thus does not violate the Fifth Amendment.
The cases in this Court . . . have clearly established that not every burden on the exercise of a constitutional right, and not every pressure or encouragement to waive such a right, is invalid. Specifically, there is no per se rule against encouraging guilty pleas. We have squarely held that a State may encourage a guilty plea by offering substantial benefits in return for the plea. The plea may obtain for the defendant “the possibility or certainty . . . [not only of] a lesser penalty than the sentence that could be imposed after a trial and a verdict of guilty . . .,” but also a lesser penalty than that required to be imposed after a guilty verdict by a jury.55
By analogy, we conclude that probation is a form of leniency and that Dzul was not penalized in this case for refusing to admit guilt to the underlying offense during his psychosexual evaluations. Instead, he was not given a benefit that may be extended to defendants who accept responsibility for their wrongs. Probation has been regarded traditionally as a form of leniency.
We recognize that some federal courts do not distinguish between an act of leniency and a penalty. These courts conclude that denial of a sentencing reduction based upon a defendant’s refusal to accept responsibility for his actions constitutes an
Finally, the Supreme Court recently reaffirmed a state’s ability to deny benefits to inmates who refuse to participate in sex offender treatment programs.
Although it did not utilize a benefit/penalty analysis, the plurality distinguished its prior line of “penalty” cases, stating that the “penalty” cases involved free citizens given the choice between invoking the Fifth Amendment and sustaining their economic livelihood and that “lawful conviction and incarceration necessarily place limitations on the exercise of a defendant’s privilege against self-incrimination.”
which is acknowledged to bear a rational relation to a legitimate penological objective, does not violate the privilege against self-incrimination if the adverse consequences an inmate faces for not participating are related to the program objectives and do not constitute atypical and significant hardships in relation to the ordinary incidents of prison life.71
Justice O’Connor’s concurring opinion did not reject the benefit/penalty analysis, but instead distinguished the “penalty” cases and concluded that alteration of the inmate’s prison conditions as a result of his failure to participate in the sex offender treatment program was not a penalty sufficiently serious as to constitute
Similarly, we recognize the importance of psychosexual evaluations in determining whether a convicted sex offender represents a menace to the health, safety, or morals of others and that denial of responsibility is generally regarded as an impediment to successful rehabilitation that impacts a sex offender’s risk to reof-fend. Thus, the statutory scheme for granting probation to convicted sex offenders adopted by our Legislature bears a rational relation to Nevada’s interest in protecting its citizens, most often children, from recidivist sex offenders. The adverse consequence that may follow from a sex offender’s denial of responsibility for his crime of conviction, namely, a greater risk of receiving an unfavorable psychosexual evaluation and being denied probation, does not amount to unconstitutional compulsion.
Finally, we acknowledge that Justice Stevens’ dissenting opinion in McKune, maintaining the benefit/penalty analysis, distinguished between a penalty and a benefit and concluded that the inmate’s loss of tangible privileges constituted a penalty that compelled the forfeiture of his Fifth Amendment right against self-incrimination.
Based on the foregoing analysis, we conclude that Dzul’s circumstances do not present the “classic penalty situation.” Defendants face many choices in the course of criminal proceedings, and the pressure to speak in the hope of improving a defendant’s chance of being granted probation does not make an interview compelled.
NRS 176A.110 provided the district court with the discretion to grant Dzul probation, a benefit that would relieve Dzul from a prison sentence, only if Dzul did not represent a menace to the health, safety, or morals of others. Dzul had the choice to participate in the psychosexual evaluation and to maintain his innocence despite the consequences that could follow from that choice. The acknowledgement form signed by Dzul states that the psychosex-ual evaluation shall be used for sentencing and/or treatment recommendations and contains an area where Dzul could have signed to indicate his refusal to consent to the evaluation. Dzul was not penalized for maintaining his innocence. Accordingly, we conclude that Dzul’s Fifth Amendment right against self-incrimination was not violated, and we therefore affirm the judgment of conviction.
400 U.S. 25 (1970).
Miranda v. Arizona, 384 U.S. 436 (1966).
Dzul also raises several other issues, including whether the district court’s refusal to grant him probation amounts to cruel and unusual punishment. Based on the record and the briefs filed herein, we conclude that Dzul’s remaining contentions on appeal lack merit.
The victim’s real name has been changed to protect her identity.
The record reflects that denial of responsibility is a common negative factor used in evaluating the risk of reoffending.
The record indicates that the district court listened to Dzul’s objections to Pacalt’s report and then stated that even if it were to disregard the Pacalt report, it would still find Dzul was a high risk for reoffending. It is unclear from the record how much credence the district court eventually gave to the Pacalt report.
Malloy v. Hogan, 378 U.S. 1, 6-11 (1964).
U.S. Const. amend. V.
384 U.S. 436 (1966).
526 U.S. 314 (1999).
United States v. Wade, 388 U.S. 218, 226-27 (1967); see also U.S. Const. amend. VI; Gideon v. Wainwright, 372 U.S. 335, 342-45 (1963) (indicating the Sixth Amendment right to counsel is applicable to the states through the Fourteenth Amendment).
Mempa v. Rhay, 389 U.S. 128, 134 (1967).
451 U.S. 454 (1981).
113 Nev. 275, 934 P.2d 235 (1997).
Id. at 469 n.13.
See, e.g., U.S. v. Cortes, 922 F.2d 123, 126 (2d Cir. 1990); U.S. v. Rogers, 921 F.2d 975, 979-82 (10th Cir. 1990); U.S. v. Miller, 910 F.2d 1321, 1326 (6th Cir. 1990); Baumann v. United States, 692 F.2d 565, 577 (9th Cir. 1982).
Despite the lack of authority, we choose to address the issue because it has been raised in numerous appeals pending before the court.
1999 Nev. Stat., ch. 310, § 4, at 1286-87; see also NRS 176.139(1) (2001).
1997 Nev. Stat., ch. 524, § 7, at 2504. NRS 176A.110 was amended in 2001 such that probation is not available unless the person conducting the evaluation certifies that the defendant does not represent a “high risk to reof-fend.” 2001 Nev. Stat., ch. 345, § 3, at 1638. Our decision in this case is based on the version of NRS 176A.110 in effect prior to the 2001 amendment; however the amendment would have no bearing on our decision.
Sterling v. State, 108 Nev. 391, 394, 834 P.2d 400, 402 (1992).
Lefkowitz v. Turley, 414 U.S. 70, 77 (1973); see also U.S. Const. amend. V.
See generally Minnesota v. Murphy, 465 U.S. 420, 426 (1984) (a defendant does not lose his constitutional right against self-incrimination by reason of his conviction of a crime); United States v. Jones, 640 F.2d 284, 287 (10th Cir. 1981) (Fifth Amendment offers protection in the sentencing process).
Lefkowitz v. Cunningham, 431 U.S. 801, 805 (1977).
Bushnell v. State, 97 Nev. 591, 593, 637 P.2d 529, 531 (1981).
Mitchell, 526 U.S. at 328-30.
United States v. Monia, 317 U.S. 424, 427 (1943).
See Murphy, 465 U.S. at 434.
See, e.g., Mace v. Amestoy, 765 F. Supp. 847, 850-51 (D. Vt. 1991) (holding that probation revocation for failure to complete sex offender program by making full disclosure regarding crimes other than those for which he had been convicted violated probationer’s Fifth Amendment right against self-incrimination and that probationer could not be forced to incriminate himself without grant of immunity); State v. Kaquatosh, 600 N.W.2d 153,
Doe v. Sauer, 186 F.3d 903, 906 (8th Cir. 1999) (inmate’s privilege against self-incrimination was not violated by denial of parole for prisoner’s refusal to participate in rehabilitation by admitting guilt); Russell v. Eaves, 722 F. Supp. 558, 560-61 (E.D. Mo. 1989) (sex offender program that required inmates to accept responsibility for their crimes in order to be eligible for parole did not violate the Fifth Amendment right against self-incrimination).
See, e.g., U.S. v. Knight, 96 F.3d 307, 310 (8th Cir. 1996); U.S. v. Clemons, 999 F.2d 154, 160-61 (6th Cir. 1993); U.S. v. Frazier, 971 F.2d 1076, 1087 (4th Cir. 1992); U.S. v. Rogers, 921 F.2d 975, 982-83 (10th Cir. 1990); U.S. v. Skillman, 922 F.2d 1370, 1378-79 & n.11 (9th Cir. 1990). But see U.S. v. Frierson, 945 F.2d 650, 659-60 (3d Cir. 1991) (“[A]n increase in sentence or a denied reduction in sentence is a penalty in the context of Fifth Amendment jurisprudence.”).
Frazier, 971 F.2d at 1083-84 (citing Alabama v. Smith, 490 U.S. 794 (1989); Corbitt v. New Jersey, 439 U.S. 212 (1978); Bordenkircher v. Hayes, 434 U.S. 357 (1978); Chaffin v. Stynchcombe, 412 U.S. 17 (1973); Alford, 400 U.S. 25; Parker v. North Carolina, 397 U.S. 790 (1970); Brady v. United States, 397 U.S. 742 (1970)).
Id. at 1086.
439 U.S. at 218-20 (citations and footnotes omitted).
See Frierson, 945 F.2d at 658.
Frazier, 971 F.2d at 1080.
See U.S. v. McQuay, 7 F.3d 800, 802-03 (8th Cir. 1993); see also Frazier, 971 F.2d at 1084-85.
See, e.g., Frierson, 945 F.2d at 659-60; U.S. v. Oliveras, 905 F.2d 623, 628, 632 (2d Cir. 1990); U.S. v. Perez-Franco, 873 F.2d 455, 462-64 (1st Cir. 1989).
Frierson, 945 F.2d at 652-53; Oliveras, 905 F.2d at 625; Perez-Franco, 873 F.2d at 457-58.
Frierson, 945 F.2d at 659; Oliveras, 905 F.2d at 628, 632; Perez-Franco, 873 F.2d at 463-64.
See, e.g., U.S. v. Reyes, 9 F.3d 275, 279-80 (2d Cir. 1993) (sentencing court may not compel testimony in respect to any offense other than the offense to which the defendant plea bargained for purposes of acceptance-of-responsibility sentencing reduction); see also U.S. v. Hicks, 978 F.2d 722, 726 (D.C. Cir. 1992) (recognizing that the November 1, 1992, amendment to § 3E1.1 of the federal sentencing guidelines “seems to resolve the confusion’ ’ by requiring that a defendant accept responsibility only for the offense of conviction); United States v. Messer, 785 F.2d 832, 834 (9th Cir. 1986) (holding that “a court cannot condition leniency upon a defendant’s refusal to admit to a crime not charged”).
McKune v. Lile, 536 U.S. 24 (2002) (plurality opinion).
Id. at 30 (plurality opinion).
Id. at 30-31 (plurality opinion).
Id. at 31 (plurality opinion).
See id. at 48 (plurality opinion).
Id. at 38-41 (plurality opinion).
See id. at 32 (plurality opinion).
Id. at 33 (plurality opinion).
Id. at 37-38 (plurality opinion).
See id. at 48-51 (O’Connor, J., concurring in judgment).
See id. at 62-65 (Stevens, J., dissenting).
See id. at 59-62 (Stevens, J., dissenting).
See Ohio Adult Parole Authority v. Woodard, 523 U.S. 272, 287-88 (1998) (death row inmate’s pressure to speak at voluntary clemency interview in the hope of improving his chance of being granted clemency did not make the interview compelled).
Reference
- Full Case Name
- FELIPE DZUL, Appellant, v. THE STATE OF NEVADA, Respondent
- Cited By
- 24 cases
- Status
- Published