Lead Opinion
Donald W. Bain, Jr., pled guilty to one count of receiving and distributing child pornography (Count 1), and one count of possession of child pornography (Count 2), 18 U.S.C. §§ 2252(a)(2), 2256. The district court
I.
On February 9, 2005, the FBI, acting on a tip from the Norwegian government, executed a search warrant at Bain’s house. Agents seized three computers and numerous floppy disks containing 496 images and digital movies depicting minors engaged in sexual acts. Bain admitted to the FBI that he traded child pornography files from his home, using the file sharing program “Kazaa.”
After being indicted, Bain was placed on pre-trial release, with supervision and an unsecured appearance bond. He was allowed to travel outside the country several times, with permission of the court. He underwent two psychological examinations, each concluding that he did not meet the criteria for a diagnosis of pedophilia, and that he presented low risk of re-offense.
The PSR determined the base offense level as 22. This was increased two levels because some material involved minors under age 12, U.S.S.G. § 2G2.2(b)(2); five levels because he traded the material for more child pornography, U.S.S.G. § 2G2.2(b)(3)(B); four levels because some material portrayed sadism, masochism, or other depictions of violence, U.S.S.G. § 2G2.2(b)(4); two levels because he used a computer to receive and distribute material, U.S.S.G. § 2G2.2(b)(6); and five levels because the offense involved more than 600 images,
At sentencing, Bain requested the statutory minimum sentence of 60 months, arguing the § 3553(a) factors. The district court responded:
I can’t do that. Hang on. In order to go below the Guidelines pursuant to 3553 which are viewed in the Eighth Circuit now as affirmed by the United States Supreme Court as presumptively reasonable, there’s got to be a ground for a variance. I mean, what are the grounds for a variance of as much as two-thirds to three-fourths of the sentence under the Guidelines? People who cooperate and put their life at risk, if the Court gives them more than 45 or 50 percent off for putting their life at*637 risk, the Court of Appeals reverses that as an unreasonable sentence. Here what would the grounds be for a variance of the magnitude you are talking about?
Bain told the court that “a grounds for variance that make it acceptable in the Guidelines does not exist.” He went on to explain that his character, history, and the fact that he would not re-offend are reasons “that a long sentence is not necessary.” The court did not respond.
After the government asked for the low end of the guidelines range, the court stated:
You knew when you were doing it that it was wrong, you just didn’t know how serious the punishment is for this offense and so you are right, you have— you’re going to pay dearly, your wife is going to pay dearly, everybody associated with you is going to pay dearly and it is painful because you were by all accounts very successful, a contributing member to your community, certainly to your workplace, it is harsh.
The court then considered the § 3553 factors, concluding that “a sentence at the bottom of the range is sufficient to address the essential sentencing considerations.”
II.
Reviewing a sentence, this court must “first ensure that the district court committed no significant procedural error, such as failing to calculate (or improperly calculating) the Guidelines range, treating the Guidelines as mandatory, failing to consider the § 3553(a) factors, selecting a sentence based on clearly erroneous facts, or failing to adequately explain the chosen sentence — including an explanation for any deviation from the Guidelines range.” Gall v. United States,
A.
Bain argues that the district court procedurally erred by applying a presumption of reasonableness to the guidelines range in violation of Rita v. United States,
The district court twice referenced a presumption of reasonableness. First, after Bain asked for the statutory minimum sentence the court replied, “In order to go below the Guidelines pursuant to 3553 which are viewed in the Eighth Circuit now as affirmed by the United States Supreme Court as presumptively reasonable, there’s got to be a ground for a variance.” (emphasis added). Second, when announcing the sentence the court stated:
The Sentencing Guidelines are presumed reasonable here in the Eighth Circuit Court of Appeals. They are not mandatory, but they are based on extensive study and refinement. They exhibit the will of Congress and they promote consistency in sentencings. Accordingly the court looks to those Guidelines as an important though not singularly controlling factor to be considered.
(emphasis added).
Bain’s sentencing occurred one month after the Supreme Court decided Rita. See Rita,
After this court’s original opinion was filed in August 2008, the Supreme Court granted certiorari, vacated the judgment, and remanded for further consideration in light of Nelson v. United States, — U.S. -,
Unlike Nelson, the sentencing judge’s statements here do not indicate that he presumed the Guidelines range reasonable. The district court’s statements about the presumption of reasonableness refer to “the Eighth Circuit” and “the Eighth Circuit Court of Appeals.” These statements merely recognize that a sentence within the Guidelines range is presumed reasonable at the appellate level. The district court here did not go on to say that the Guideline sentence “is the reasonable sentence” absent good reason in the statutory sentencing factors; rather, the district court here understood the Guidelines as “an important though not singularly controlling factor to be considered.” Critically, sentencing here occurred one month after Rita, while sentencing in the Nelson case occurred fourteen months before Rita. Thus, in light of the presumption that a district judge knows and applies the law, the district court here did not apply a presumption of reasonableness to the Guidelines range.
Even so, the district court committed Gall error by requiring extraordinary circumstances to justify the requested non-guidelines sentence. Before Gall, this circuit “discourage[d] drastic reductions [in sentences] absent extraordinary circumstances, especially when the sentencing guidelines already significantly reflect the mitigating factors.” United States v. Gonzalez-Alvarado,
Taking the district court’s comments in light of the circuit law at the time, the
B.
If not preserved, procedural sentencing errors are reviewed only for plain error. See Burnette,
This circuit requires more than a request for a non-guidelines sentence in order to preserve Rita or Gall error; the defendant must object to the district court’s erroneous application of the law. See United States v. Gaddy,
“Under plain error review, the defendant must show: (1) an error; (2) that is plain; and (3) that affects substantial rights.” Vaughn,
The Gall error here is plain. See Burnette,
An error affects a substantial right if it is prejudicial. Olano,
Bain was sentenced to the low end of the guidelines range. This alone is insufficient to establish a reasonable probability that he would have received a lower sentence. Pirani,
[Y]ou’re going to pay dearly, your wife is going to pay dearly, everybody associated with you is going to pay dearly and it is painful because you were by all accounts very successful, a contributing member to your community, certainly to your workplace, it is harsh.
It is unclear whether the district court meant the sentence was harsh, or whether the district court meant it was unfortunate that an otherwise well-functioning member of society had committed this crime. The
C.
Bain also asserts that his sentence is substantively unreasonable. No objection is needed to preserve an attack on the substantive reasonableness of a sentence. United States v. Wiley,
Bain argues that this court should not apply a presumption of reasonableness to his within-guidelines sentence because of the district court’s Gall error. “[T]he presumption [of reasonableness] reflects the fact that, by the time an appeals court is considering a within-Guidelines sentence on review, both the sentencing judge and the Sentencing Commission will have reached the same conclusion as to the proper sentence in the particular case. That double determination significantly increases the likelihood that the sentence is a reasonable one.” Rita,
This court will therefore determine whether the 210 month sentence is substantively reasonable with regard to the § 3553(a) factors, without the presumption of reasonableness. The factors to be considered under § 3553(a) are:
(1) the nature and circumstances of the offense and the history and characteristics of the defendant;
(2) the need for the sentence imposed — •
(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner;
(3) the kinds of sentences available;
(4) the kinds of sentence and the sentencing range established for — •
(A) the applicable category of offense committed by the applicable category of defendant as set forth in the guidelines;
(5) any pertinent policy statement issued by the Sentencing Commission;
(6) the need to avoid unwarranted sentence disparities among defendants with*642 similar records who have been found guilty of similar conduct; and
(7) the need to provide restitution to any victims of the offense.
18 U.S.C. § 3553(a).
Before sentencing Bain, the district court stated:
I have considered the nature and circumstances of this offense and the history and characteristics of this defendant. I have considered the seriousness of the offense and note in that regard that the number of images involved here and the amount of trading of files puts this case above the garden variety, the offense in its most basic form.
The Court has also considered the question of just punishment. The Court looked at the Presentence Report very hard to see any evidence of pedoph[i]lia or anything like that that would exacerbate this situation, aggravate the sentence.
I have considered the issue of adequate deterrence to criminal conduct as I must and to the extent that a sentence of imprisonment can do such a thing in these cases, it will certainly have that effect.
I have considered the need to protect the public from further crimes and rely heavily in that regard on the psychosexual investigation that was conducted in this case and which indicated that the— that Mr. Bain has a low risk for other problems and a high likelihood for successful rehabilitation.
I have considered the sentencing options that are available. I have also, of course, considered the kind of sentences and the advisory sentencing range established by the Guidelines. The Sentencing Guidelines are presumed reasonable here in the Eighth Circuit Court of Appeals. They are not mandatory, but they are based on extensive study and refinement. They exhibit the will of Congress and they promote consistency in sentencing. Accordingly the Court looks to those Guidelines as an important though not singularly controlling factor to be considered.
The Court has also examined the need to avoid unwarranted sentencing disparity among defendants with similar records who have been found guilty of similar conduct. We have had quite a number of people that are very similarly situated to Mr. Bain, successful, hard working, family people that get caught up in this and so we have a track record here in Federal Court and all across the Southern District of Iowa and it is, of course, important pursuant to the Guidelines and pursuant to Section 3553 to promote consistency among those sentences.
I conclude that the Guideline system adequately addresses the circumstances of this defendant and the Sentencing Guideline range is reasonable.
Given the court’s detailed consideration of the § 3553(a) factors, and the “deferential abuse-of-discretion standard of review that applies to all sentencing decisions,” Gall, 552 U.S. at 52,
III.
The judgment of the district court is affirmed.
Notes
. The Honorable John A. Jarvey, United States District Judge for the Southern District of Iowa.
. Although only 496 "images” were found, at least eight were video clips, which are assigned a value of 75 images each. See U.S.S.G. § 2G2.2 cmt. 4.
. The government argued that review is for abuse of discretion. A party's concession on the standard of review does not bind the court, as "[s]uch a determination remains for this court to make for itself.” K & T Enter., Inc. v. Zurich Ins. Co.,
. Bain cites Rule 51 to support his argument that he preserved the error here by requesting an “exact” non-guidelines sentence. See Fed. R.Crim.P. 51(b) ("A party may preserve a claim of error by informing the court — when the court ruling or order is made or sought — of the action the party wishes the court to take, or the party's objection to the court's action and the grounds for that objection.”) (emphasis added).
Although requesting a non-guidelines sentence does not preserve Rita or Gall error, this court has held that requesting a variance based on the crack/powder-cocaine disparity is sufficient to preserve Kimbrough error. See Tabor,
Concurrence Opinion
concurring.
I concur due to this circuit’s precedent requiring plain error review of unpreserved procedural errors. I write separately because, on these facts, Gall v. United States,
Before Booker, the Supreme Court interpreted 18 U.S.C. § 3742(f)(1) as requiring harmless error analysis of misapplication of the guidelines — which is a procedural error post-Gall. See Williams v. United States,
This court has determined that “nothing in Gall [ ] undermines Williams or makes harmless-error analysis inapplicable to procedural sentencing errors.” United States v. Henson,
Before Gall, this court ruled that plain error review applies to unpreserved Booker errors. See United States v. Pirani,
This case illustrates the difficulty of conducting substantive review, after a finding of Gall error. The majority finds a Gall error here, but does not reverse under plain error review because the record does not indicate that the district court would have given a lower sentence had it been aware of its full authority to sentence outside the guidelines. The majority must then proceed to review the substantive reasonableness of the sentence, based on the district court’s explanation of the § 3553(a) factors. See Gall,
District courts must “make an individualized assessment” of the correct sentence, and “adequately explain the chosen sentence to allow for meaningful appellate review and to promote the perception of fair sentencing.” Gall,
Since this court has no reliable basis for substantive review, this sentence should be reversed and remanded for resentencing in order to fulfill the mandate of Gall. See United States v. Pepper,
Because this circuit’s precedent requiring plain error review of unpreserved Gall error does not allow a remand, I concur in the result.
