Lead Opinion
Dissenting opinion filed by Senior Circuit Judge WILLIAMS.
Pursuant to the Sentencing Reform Act of 1984, 18 U.S.C. § 3551 et seq., the District Court must, at the time of sentencing, “state in open court the reasons for its imposition of [a] particular sentence.” 18 U.S.C. § 3553(c). This provision mandates that the District Court offer a “reasoned basis” for its decision and “consider[ ]” all non-frivolous mitigatiqn arguments. Rita v. United States,
Because Pyles failed to object to the alleged non-consideration at sentencing, though he had every opportunity, we review his claim for plain error. Fed. R. Crim. P. 52(b). As the Supreme Court held in Rita, the District Court is not required to produce “a full opinion in every case,” and need not expressly address each and every mitigation argument advanced by the defendant.
I.
The facts of this case mirror the oft-told news story of an undercover detective who uses an online chat room to thwart the sexual abuse of minors. In August and September 2013, Pyles communicated with Timothy Palchak, an undercover Metropolitan Police Detective (the “Detective”), regarding Pyles’ sexual interest in minors. During e-mail conversations, Pyles distributed over the Internet five images of child pornography, three of which were sadomasochistic in nature. Later, Pyles and the Detective agreed to meet and have sex with two underage girls. Pyles traveled interstate to Washington, D.C. for this purpose, where he was promptly arrested. A consent search of Pyles’ computer revealed four additional videos of child pornography. In light of this evidence, the Government charged Pyles with two counts of criminal conduct: (1) traveling with intent to engage in illicit sexual acts in violation of 18 U.S.C. § 2423(b); and (2) knowingly distributing child pornography in violation of 18 U.S.C. § 2252A(a)(5)(B).
After reviewing the case, the District Court ordered Pyles to undergo psychological and psychosexual examination to determine if he was a pedophile and to gauge his propensity for recidivism. The psychologist diagnosed Pyles with pedophilia on a provisional basis, severe substance use disorder, and antisocial personality disorder.
Following the psychological exam, the District Court convened a sentencing hearing on September 30, 2014. The parties jointly recommended a sentence of 87 months imprisonment. This recommendation, however, was based on a miscalculation during plea negotiations of Pyles’ offense level at 28, which corresponds to an incarceration term of 78 to 97 months under the United States Sentencing Guidelines. When the District Court identified the proper offense level, the parties agreed that the revised Guidelines range was 108-to 135-months’ imprisonment. Nonetheless, the parties continued to advocate for an 87-month term. In particular, Pyles presented six mitigation arguments, including the two at issue in this case: (1) the Sentencing Guidelines arbitrarily increased the base offense levels and enhancements for child pornography without taking into account individualized conduct; and (2) as a child, Pyles was subjected to adult pornography and was sexually abused by older teenagers.
The District Court, however, was unconvinced that a below-Guidelines sentence should apply. When the parties recommended 87-months’ imprisonment, the District Court noted that this would be a downward variance, which was an “extraordinary request.” J.A. 122. Specifically, the judge explained that “the variance downward has to be consistent with the [section] 3553 factors” and, given the facts, he was “hard-pressed to see how that could possibly be the case here.” J.A. 115; see 18 U.S.C. § 3553(a).
In particular, the judge cautioned that the seriousness of Pyles’ behavior should not be taken lightly, especially given Pyles’ willingness to use the Internet for pornography and sexual communications, and physically travel to have sexual intercourse with a minor. The judge also referenced the sadomasochistic images and videos contained on Pyles’ computer. Further, the judge noted that Pyles’ decision to plead guilty was only because he had been caught “red-handed,” and the Government offered him a “huge break” by reducing his charge from distribution of pornographic material to possession. The judge also cited the “distressing” nature of the psychiatric report and, in particular, the fact that Pyles refused to acknowledge that he has a problem and needs treatment. The judge concluded that Pyles’ refusal to engage in sex offender management programs at the prison increased his risk for recidivism from low to moderate/high.
Moreover, the District Court expressed skepticism towards Pyles’ Sentencing Guidelines argument. Pyles claimed that the child pornography guidelines, U.S.S.G. § 2G2.2, arbitrarily increased the base offense levels and enhancements for defendants regardless of their individual characteristics and the severity of each crime. However, contrary to Pyles’ contentions, the District Court did not reflexively rely on the Guidelines range, but rather evaluated Pyles’ specific conduct and the risk that he posed to the community. Indeed, the Government- conceded at the hearing that this was quite a serious case, and that “[w]hen someone travels, acts on these urges, travels interstate to have sex with the child, ... there’s no reason to vary
Pyles appealed the District Court’s sentence on October 15, 2014. His primary argument on appeal is that the District Court provided no explanation regarding its rejection of his mitigation arguments. Rather, Pyles contends, the District Court improperly focused on the seriousness of the offense and the need for punishment. We have jurisdiction to review this appeal pursuant to 28 U.S.C. § 1291 and 18 U.S.C. § 3742(a).
II.
Our review raises two interrelated questions. First, did Pyles sufficiently preserve his claim of error to trigger abuse of discretion review, or is our analysis limited to plain error? Unsurprisingly, Pyles argues that the correct standard is abuse of discretion, Appellant Br. 7-8, while the Government contends that this Court’s review is restricted to plain error, Appellee Br. 18. As explained below, we find that the appropriate standard is plain error. Second, was there plain error? Because we find that Pyles has not shown that it was an obvious error for the District Court to fail to expressly state that all of Pyles’ mitigation arguments were appropriately considered but nonetheless rejected, we find no plain error.
A.
The correct standard of review in this case hinges on whether Pyles timely objected to the District Court’s sentencing ruling. Where a sentencing violation has been properly preserved, this Court reviews the sentencing determination for abuse of discretion. See United States v. Locke,
In the context of an asserted procedural error for failure to consider a non-frivolous mitigation argument, our precedent requires that the defendant state his objection on the record at sentencing. In Locke, this Court held that because the defendant “did not challenge the adequacy of the district court’s statement of reasons below, we review her claim for plain error.”
The circumstances of this appeal mirror those of Locke, Hunter, and Mack. After pronouncing the sentence, the District Court asked defense counsel if he had any questions, and counsel requested that the court recommend a prison placement for Pyles. The District Court agreed, and then asked whether there was “anything else,” prompting defense counsel to request that the court recommend substance abuse treatment during incarceration. The District Court agreed to recommend that Pyles be evaluated for such treatment and again asked “anything else?” and defense counsel responded “no.” J.A. 148-50. Thus, despite three explicit invitations to do so, Pyles did not challenge the adequacy of the District Court’s consideration of his mitigation arguments or the District Court’s explanation of its sentence.
Citing United States v. Tate,
The distinction is important. Where either the defense or prosecution believe that the trial court has overlooked an argument in favor of mitigating or enhancing the sentence, we should “induce the timely raising of claims and objections, which gives the district court the opportunity to consider and resolve them,” and thereby “correct or avoid the mistake so that it cannot possibly affect the ultimate outcome.” Puckett v. United States,
Therefore, in accordance with our precedent, because appellant raised no objection to his sentence despite three opportunities to do so, we review the asserted procedural violation in this case for plain error. Hunter,
B.
Having discerned the standard of review, we must next determine whether the District Court committed plain error by failing to explain its rejection of each mitigation argument on the record. We find that it did not.
To give rise to plain error, the error must have been “obvious,” meaning that “the error is clear under current law.” Olano,
The holdings of the Supreme Court and this Court state that when presented with non-frivolous arguments for mitigation, the District Court must consider those arguments before imposing the sentence. Bigley,
In Locke, the defendant similarly challenged his sentence on the basis that the District Court failed to consider two mitigation arguments. Id. at 354. The record in Locke, however, clearly evidenced an extended colloquy between the District Court and Locke’s counsel regarding the defendant’s refusal to cooperate with the Government. Id. at 358. Following this discussion, the District Court offered a well-reasoned basis for its decision. In particular, “[a]fter outlining the seriousness of the offense, the length of the conspiracy, the ‘significant role’ played by Locke and [the District Court’s] doubts about her remorse, [the judge] concluded that a ‘substantial period of incarceration’ was warranted.” Id. This Court found no plain error even though the judge did not address every mitigation argument offered by the defendant.
The fact that we are reviewing a within-Guidelines sentence also impacts the analysis. In United States v. Brinson-Scott, we cited Rita for the proposition that “[wjhere, as here, the district judge pronounces a within-Guidelines sentence ... little explanation is required.”
The dissent contends that Rita requires that the District Court must not only “consider” all non-frivolous mitigation arguments, but also “acknowledge” or “respond” to every non-frivolous argument on the record. Dissent Op. at 99-100. But this supposed requirement for an explicit response appears nowhere in the Supreme Court’s opinion, even though the Petitioner in Rita argued that “district courts must articulate their consideration of all factors relevant to judgment,” and that it was error to “impos[e] sentence without articulating, on the record, its consideration of the factors enumerated in 18 U.S.C. § 3553(a), as plainly required by [18 U.S.C.] § 3553(c).” Brief for Pet’r at 5, 42-43, Rita v. United States,
The dissent ignores the holding as pronounced in Rita, and further ignores the fact that the Supreme Court refused Peti
Thus, the precedent regarding mitigation arguments follows the precedent relating to the § 3553(a) factors — the District Court must consider the argument, but that does not equate to a mandate that such consideration must be spelled out on the record. See Simpson,
Applying these principles to the present appeal, we cannot say that the District Court plainly erred by not explicitly addressing each of Pyles’ mitigation arguments. A trial judge may hear, understand, and weigh a defendant’s non-frivolous argument even though the judge does not fully and explicitly address that precise argument on the record. Context matters. If a trial judge states a reasonable decision in support of sentencing and that decision obviously forecloses an objection raised by the defendant, we need to be very cautious before concluding that the judge has failed to give due consideration to the non-frivolous objection. The dissent’s categorical rejection of implicit consideration is misguided. In Gall, the Supreme Court rejected the contention that the district court failed to consider the need to avoid unwarranted sentencing disparities, where the district judge did not explicitly weigh this factor when he imposed a probationary sentence even though the Guidelines range was 30-37 months imprisonment.
In this case, several factors from the record and surrounding context — in addition to the detailed explanation for the sentence described above — make it clear that the judge considered and implicitly rejected Pyles’ contentions before rendering a within-Guidelines sentence based on the judge’s reasoned decisionmaking. The precedent of the Supreme Court and our Court requires nothing more.
First, the judge explicitly stated on the record that he spent a “considerable amount of time” reviewing the materials in this case, including Pyles’ sentencing memorandum. Indeed, based upon this review, the judge felt that an important piece of information was missing, and ordered Pyles to undergo a psychiatric evaluation. The judge then convened a hearing on September 9, 2014, to review the results of the evaluation, and allowed the parties to submit supplemental briefing. The judge further delayed the sentencing hearing to get his glasses repaired so he could read everything. During the hearing, the judge referred to the written materials several times, and even read portions of the psychological report to the prosecutor and defense counsel to get their responses. Given this record, it would be entirely unfair to conclude that the District Court did not read and consider the contentions made in the written submissions, including the various arguments in favor of mitigation. See United States v. Carty,
Second, the district judge interacted frequently with the prosecutor, defense counsel, and Pyles during each of their al-locutions, which demonstrates that he was listening to what they were saying. The dissent suggests that we should conclude that the judge did not consider Pyles’ argument for a variance because he expressed skepticism during the prosecutor’s allocution and before hearing from the defense, but there is no valid reason to presume that a judge who expresses a tentative view of the sentence refused to consider all arguments made thereafter. It has long been established that “[a] judge ... may make a preliminary determination about the sentence in his own mind before hearing the defendant’s allocution.” United States v. Mata-Grullon,
Third, the district judge explicitly sought to hear Pyles’ mitigation arguments, as he asked defense counsel to “give me your best argument for [a] downward variance” at the beginning of his presentation. J.A. 122. The District Court allowed defense counsel and Mr. Pyles to make lengthy statements; indeed, the sentencing hearing lasted nearly an hour, longer than most of our oral arguments. Unlike the dissent, we are unwilling to find that the district judge failed to consider the precise arguments that he listened to for a very long time and expressly asked to hear.
Fourth, context makes clear why the District Court rejected Pyles’ Sentencing Guidelines argument. Given that both Pyles and the Government raised issues with the Sentencing Guidelines in their memoranda, the District Court found it pertinent to discuss this concern at the beginning of the hearing. The Government acknowledged that “[t]he conduct in this case is very, very serious,” and explained that “you have child pornography on one side, where there’s all kind of argument on one side what the guidelines should be. But you have travel on the other side, where there, frankly, is no argument.” J.A. 117. The District Court responded by explaining that Pyles had already received a huge break in how he was charged because simple possession of pornographic material does not carry a mandatory minimum sentence. After further discussion, the Government noted that “[sjometimes the Guidelines are possibly much higher than the conduct or much more serious than the conduct, and sometimes they’re lower. Frankly, in the case of a travel only ... it’s too low. Sometimes when it’s involving
Fifth, with regard to the District Court’s alleged failure to consider Pyles’ history of sexual abuse, we note that Pyles’ childhood sexual abuse was discussed in the presen-tence report, Pyles’ sentencing memorandum, and the psychological evaluation, all of which the District Court read. Indeed, it was only after reviewing the presentence report and sentencing memoranda that the District Court, on its own volition, ordered Pyles to undergo psychological testing. The District Court then permitted additional briefing by the parties to address the findings in the psychological report. It would be puzzling to hold that the District Court did not consider the history of sexual abuse described in a report that the judge specifically requested. Rather, it is both fair and reasonable to presume that a judge read and considered information that he specifically sought out. The opposite presumption, embraced by the dissent, seems much more dubious.
The District Court’s discussion of Pyles’ drug abuse is also relevant on this point. Pyles blamed his pedophilia on his drug usage and, in turn, he blamed his drug usage on his sexual abuse as a child. Thus, Pyles’ drug use was inextricably intertwined with his history of sexual abuse. The District Court directly acknowledged Pyles’ drug usage on the record, so it is hard to conceive how the District Court could have considered the drug abuse ■without also considering the mitigating factor that supposedly begat the drug abuse. While an explicit response to the sexual abuse argument would have been advisable, the context shows that the argument was considered.
Sixth, in addition to what was said during the formal pronouncement of sentence, the District Court made several statements throughout the sentencing hearing that explained its reasoning. The District Court took issue with Pyles’ minimization of his crimes, the severity of the conduct, including interstate travel and possession of sadomasochistic images, and Pyles’ unwillingness to participate in sex offender treatment. Specifically, the judge explained that Pyles’ risk of recidivism increased to moderate/high because of his refusal to undergo treatment, and that Pyles simply blamed drug usage for his pedophilia. The District Court also stressed its obligation to punish and deter Pyles and others from committing this crime in the future, along with the need to protect the community. The judge’s decision was further based on the fact that Pyles already received a “huge break” because he pled guilty to simple possession
In summary, our precedent requires the District Court to consider each and every non-frivolous argument for mitigation, but does not require the judge to address expressly each argument on the record when pronouncing the sentence. Our review, particularly in the plain error context, is for “significant procedural error,” Gall, 552 U.S. at 51,
So ordered.
Notes
. On February 20, 2014, the parties entered into a plea bargain in which Pyles' charge for knowingly distributing child pornography was reduced to one count of possession of child pornography.
Dissenting Opinion
dissenting:
My colleagues recognize that a sentencing court “must consider” any “non-frivolous arguments for mitigation” that a defendant presents. Maj. Op. at 88 (citing United States v. Bigley,
The record shows the district court batting down several arguments for leniency, but these were government arguments, not Pyles’s. The prosecutor urged the district court to sentence below the bottom of the corrected Guidelines range (108-135 months). Sentencing Tr. at 4-5. (The plea agreement had stated a range of 78-97 months, having assumed the wrong criminal history category and left out a distribution enhancement.) The government joined Pyles in suggesting an intermediate range of 87-108 months, based on correcting the criminal history category but not applying the enhancement. See id. at 3-5, 15; Gov’t Sentencing Mem. at 2-3 (“Gov’t Mem.”). Both sides requested a sentence at the very bottom of the intermediate range — 87 months. See Sentencing Tr. at 4-5, 15; see also Gov’t Mem. at 2-3. Citing his own experience from having “handled these cases [ ] exclusively for a number of years,” the prosecutor enumerated reasons for leniency: the mistake in the agreement; “the relatively small amount of child pornography;” and the immediate cooperation on Pyles’s part. Sentencing Tr. at 4-6, 8. Given these mitigating circumstances, the prosecutor urged that the intermediate range of 87-108 was “where the guidelines are most appropriate.” Id. at 9.
The district court countered the prosecutor’s points. Id. at 4-10. We may assume that its dispatch of them was adequate. But that tells us nothing about the two separate arguments for a variance raised by Pyles’s counsel. As to these, the court uttered not the slightest acknowledge
Whenever defense counsel raised these contentions the district court moved on without discussing them or even signaling recognition; counsel would circle back to his variance request, but never succeeded in engaging the court’s focus. Before counsel had even finished his opening argument about the Guidelines’ inadequacies, see Sentencing Tr. at 13-15, the court interrupted, “Hold on,” and launched into discussions of the relative seriousness of Pyles’s two charges, of public safety, and of why probation (which no party had requested) was inappropriate, id. at 15-18. Counsel attempted to reorient the discussion, explaining how even the Sentencing Commission was “in doubt” over U.S.S.G. § 2G2.2 and how Pyles deserved a variance based on the traumatic abuse he had suffered. Id. at 19-21. Counsel then turned to the skepticism about Pyles’s possible rehabilitation that the court had expressed in colloquy with the government; he urged that with therapy, Pyles could “succe[ed].” Id. at 21-22. Instead of responding directly to Pyles’s two main arguments, the court launched into a denial of the possibility of therapy — there was, said the court, “no basis ... to believe that [Pyles] would engage in” sex offender treatment, id. at 22 — a denial that was, as we’ll soon see, a radical oversimplification of the record. Counsel responded to the court’s concern and then returned to the variance request, which he bolstered with the Sentencing Commission’s own statements and relevant Supreme Court precedents. Id. at 23-26. Signaling that it thought counsel had been talking for long enough, the court asked Pyles if he wished to speak. Id. at 26. The court ultimately sentenced Pyles to 132 months (eleven years), three months short of the corrected Guidelines maximum.
The record, including the district court’s oblique and in part mistaken comments, reflects no consideration of either of counsel’s “ ‘nonfrivolous reasons’ ... for an alternative sentence” — consideration required by our and the Supreme Court’s cases. See United States v. Locke,
Our disagreement begins with the standard of review. Pyles’s counsel raised his requests for leniency multiple times de
My colleagues distinguish Tate with the observation that one of the claimed procedural errors involved a misstatement rather than an omission. Maj. Op. at 87-88. This fails twice. First, my colleagues offer no reason to find the difference meaningful for this issue. Second, Tate applied its no-need-to-object rule to another claimed error almost identical to the one in dispute here: that the sentencing judge “fail[ed] to appreciate” an argument to vary downward based on policy disagreement with the Guidelines. Tate,
Further, as applied in these circumstances, where counsel has repeatedly had his points brushed off, he might well feel that he’d look like an idiot, or be seen as trying to make the court look like an idiot, if he larded the record with the obvious point that he wished his arguments to be evaluated. See United States v. Lynn,
But of my disagreements with the majority, this one is the least consequential for Pyles: I would find error under even the more demanding standard; they, apparently, would find none even under the more lenient. Compare Maj. Op. at 93-94.
To establish plain error, a defendant must show (besides, of course, error): that the error was plain, which in its role as one of the “plain error” requirements “simply means clear,” United States v. Terrell,
An error is clear “if it contradicts circuit or Supreme Court precedent,” In re Sealed Case,
In fact Pyles’s two reasons for variance were more than compelling enough to qualify for the modest protections identified in Rita, Locke, and Bigley — a point I do not take my colleagues to dispute. Each argument was appropriately rooted in the sentencing factors of 18 U.S.C. § 3553(a), each was relevant to Pyles’s circumstances, and neither was addressed by the district court.
Counsel properly couched his client’s sexual abuse within the first § 3553(a) factor, which directs attention to “the history and characteristics of the defendant.” See Defendant’s Mem. at 14-15; see also Sentencing Tr. at 20. The relevance of childhood sexual abuse in child pornography sentencing is obvious. Such an experience seems sure to produce at a minimum deep moral confusion. Afraid, unable or unsure of how to resist, the child is put in a hopeless bind. His sense of self-worth and agency, his ability to hew to moral norms, are all eroded. See Kimberly A. Tyler, Social and Emotional Outcomes of Childhood Sexual Abuse: A Review of Recent Research, 7 Aggression & Violent Behavior 567, 568-78 (2002) (summarizing research on behavioral sequelae in child sex abuse victims, finding increased suicide, substance abuse, gang involvement, PTSD, and other behavioral problems); see also Abdulaziz Al Odhayani et al., Behavioural Consequences of Child Abuse, 59 Canadian Family Physician 831, 831 (Aug. 2013) (similar); Am. College of Obstetricians & Gynecologists, Adult Manifestations of Childhood Sexual Abuse, Committee Op. No. 498, at 1-2 (Aug. 2011) (similar).
The Sentencing Commission reports that childhood sufferings of sexual abuse are rare among child pornography defendants. “The vast majority of non-production offenders,” i.e., ones not producing child pornography, “reported [no] ... history of childhood sexual abuse.” Commission Report at 164. Perhaps because the combination is relatively rare, § 2G2.2 takes no explicit account of this characteristic, thus making its consideration as part of § 3553(a) all the more important. And because the Supreme Court has eliminated any requirement that mitigating circumstances be “extraordinary,” Gall v. United States,
Also calling for the district court’s consideration was Pyles’s other argument—
Pyles’s critique of § 2G2.2 overwhelmingly overlaps with the Sentencing Commission’s own misgivings. See Defendant’s Mem. at 8 (citing Commission Report at iii, xi, 209, 323). In the Commission’s judgment, the enhancements “relating to computer usage and the type and volume of images ... now apply to most offenders and, thus, fail to differentiate among offenders in terms of their culpability.” Commission Report at iii & n.14. The Commission has warned that these enhancements are “outdated and disproportionate,” id. at xxi, 321, 331, and has recommended amending them, id. at xviii-xxi. See Defendant’s Mem. at 8-11 (citing Commission Report throughout). As we said of a similar request for departure from the crack cocaine Guidelines, “[I]t remains of great importance that, in its recommendations, the Commission candidly and forthrightly exposed the weaknesses and failings of its Guideline .... ” United States v. Pickett,
The requirement of “consideration,” clearly applicable to both Pyles’s points, is unlike other sentencing procedures, such as calculating the range, in that it is a wholly internal process. With no way of knowing a district court’s synaptic firings, the law necessarily looks for external manifestations. “The sentencing judge should set forth enough to satisfy the appellate court that he has considered the parties’ arguments and has a reasoned basis for exercising his own legal decisionmaking authority.” Rita,
Even for a court confronting “straightforward, conceptually simple arguments” as in Rita itself, id. at 356,
The Court reiterated this stance in dictum in Gall, when it rejected the government’s argument that a lenient drug sentence was procedurally infirm: “It is true that the District Judge did not make specific references to the (unquestionably significant) health risks posed by ecstasy, but the prosecutor did not raise [those risks] at the sentencing hearing. Had the prosecutor raised the issue, specific discussion of the point might have been in order.”
Starting with Locke, our cases have spoken of Rita’s inference in terms of a presumption.
My colleagues recoil from the words “respond” and “acknowledge” in Mack, Bigley, and Locke. Possibly they fear that “respond” could be taken to mean a compelling refutation of the defendant’s claims (a reading unsupported by our cases). But I cannot fathom the majority’s objection to “acknowledge,” a term that, if anything, understates the law’s demand. In McKeever we recognized that passing or obscure references cannot sustain an inference of consideration. There, a defendant had “clearly raised sentencing entrapment” as a reason for leniency.
Thus we require actual acknowledgment: Delphic comments won’t suffice. But contrary to my colleagues’ protestations, this bar can be met without the court’s explicitly weighing the nonfrivolous argument. We recently took a sentencing court’s barebones acknowledgment, “[Y]ou all have strived to do the right thing during your period of incarceration,” and inferred from it a consideration of the strengths and weaknesses of the defendant’s rehabilitation claim. United States v. Hunter,
With those cases on one side and McKeever on the other, it is obvious where Pyles’s sentencing falls. The district court in McKeever manifested an “inkling” of the defendant’s argument, yet we remanded: the court here showed none. See
Even setting aside those clear precedents, the district court’s lack of acknowledgment is “plainly out of sync” with the basic requirements of sentencing, as evidenced by -the holdings of our fellow circuits. See United States v. Burroughs,
My colleagues see no problem. They dilute Rita’s requirement, saying that “[i]f a trial judge states a reasonable decision in support of sentencing and that decision obviously forecloses an objection raised by the defendant,” then we must be “very cautious” before finding an absence of adequate consideration. Maj. Op. at 91. Disregarding Rita’s careful note that the judge had “asked questions about” and “summarized” Rita’s arguments on the record,
As we have never before accepted such a flaccid version of Rita, my colleagues are driven to rewrite our precedents. They say that the district court in Locke “did not address every mitigating argument offered by the defendant.” Maj. Op. at 88-89. But there we found that the court had specifically addressed “both arguments Locke claimed it ignored.”
Finding no direct authority for their view, my colleagues rely on an analogy to our decisions that a judge need not acknowledge every § 3553(a) factor, reasoning that “[t]he same is true for mitigation arguments .... ” Maj. Op. at 91; see Locke,
Though formulating what appears to be a zero-scrutiny principle, my colleagues also adopt a fallback position, saying that in fact the district court “responded” to Pyles. Maj. Op. at 92-93. First they note that Pyles made “six mitigation arguments” and that his appeal involves just
The majority also says that the district court “expressed skepticism towards,” labeled as “weak,” and “implicitly rejected” Pyles’s argument about § 2G2.2. Maj. Op. at 85-86, 91. As for the purported “skepticism,” my colleagues rely on district court comments discussing unrelated contentions made by government counsel before Pyles’s attorney even had a chance to speak. Id. at 85-86 (citing Sentencing Tr. at 9 (rejecting government’s argument that Pyles’s cooperation and small amount of child pornography merited a lower sentence)); see id. at 92-93. In some circumstances a court, already familiar with the sentencing briefs, might preemptively respond to a defendant’s oral argument. But the comments the majority cites, and the government arguments they rejected, had nothing to do with the points Pyles’s counsel would raise.
Read out of context, there is one point of seeming overlap, the prosecutor’s comment that sometimes the Guidelines might be too high, sometimes too low. Sentencing Tr. at 9. But the prosecutor’s point, evident in his immediately following statements and echoed in his brief, was that Pyles’s sentencing range (save for one enhancement) was appropriate, id., and that the judge shouldn’t attempt to disrupt § 2G2.2’s balancing act by “cherry-picking” among enhancements, Gov’t Mem. at 10-11. Where the prosecutor urged disregard of an enhancement (the one for distribution), it was on grounds of the parties’ having mistakenly omitted it in reaching the plea agreement, not on any policy dispute with the Guidelines. This was also the only enhancement that Pyles did not attack on policy grounds. The government’s arguments complemented but in no way coincided with Pyles’s.
As for purported responses to Pyles’s arguments, the majority describe the district court as having said that “criticisms of the child pornography guidelines were weak in this case.” Maj. Op. at 86. Unfortunately their paraphrase bears little relation to the colloquy it describes. Pyles’s counsel stated early on that the travel offense is considered to be “more horrific” than possession even though it has a lower aggregate offense level. Sentencing Tr. at 15. As counsel transitioned to his main point, the district court interrupted to say that people might “disagree” about the relative seriousness of each crime but that the court personally felt that the travel conduct is “impossible” to defend. Id. at 15-16. The court then doubled back, “But you could make an argument — certainly I’m not telling you you should. I mean, you can certainly make an argument that distributing] pornographic images of prepubescent children of a sadomasochistic nature over the internet is even more serious conduct than travelling interstate, per se.” Id. at 16 (emphasis added). Following that the court returned to its- agreement with Pyles’s counsel that the travel offense was “so awful.” Id. These comments — part concurrence, part off-the-cuff advice — offer no assessment of Pyles’s mitigation argument. To my colleagues though, this passage is laden with subtext. Later they claim that what the judge really meant here was that the “Guidelines enhancement for sadomasochistic images was appropriate.” Maj. Op. at 93. Again, the transcript speaks for itself.
On the sexual abuse claim, the majority even concedes that the court made no acknowledgment. Id. at 93. But they insist that the judge must have read and considered it because the abuse featured prominently in multiple documents that crossed the court’s desk: the pre-sentence report; Pyles’s first sentencing memorandum; and the psychological evaluation. The majority puts particular emphasis on this last document, reasoning that because the judge ordered the evaluation, he must have considered everything in the ensuing report. But the district court ordered the evaluation not to investigate Pyles’s mitigation argument, but solely to learn “[wjhether or not [Pyles] is a pedophile.” Status Conference Tr. at 3. And at sentencing, its comments about the report were focused on potential recidivism, a matter linked to possible pedophilia. See, e.g., Sentencing Tr. at 9-10. The record thus confirms that the court’s interest in Pyles’s mental health was specific, not holistic; there is little in human experience meriting the majority’s assumption to the contrary. When you go to the emergency room for a broken ankle, you might well tune out the intake nurse’s advice about flu shots.'
Had the district court discredited Pyles’s abuse or rejected the § 2G2.2 arguments, the majority and I might well have deferred to those decisions. But rather than tackling Pyles’s arguments, the court seemed to assume that a downward variance would be inappropriate. It responded to the government’s request for leniency by saying, “Essentially, you’re asking for a variance of this Court downward. ... I’m hard-pressed to see how that could possibly be the case here,” Sentencing Tr. at 5, followed by, “I don’t know how a below-Guideline Range [ ] sentence could ever deter anyone from conduct of this nature,” id. at 6, and, “There’s no way this Court could ever consider a variance downward in this case.... [I]t’s not conceivable,” id. at 9. Having dismissed the government’s arguments for a shorter sentence, the court then asked Pyles for his “best argument for downward variance,” but it immediately cautioned that variance was “an extraordinary request.” Id. at 12. The district court’s labeling a downward variance “an extraordinary request” and dismissing it as “not conceivable,” id. at 9,
From this record, the majority assembles various conclusory and often unsubstantiated statements and calls it reasoned decision making. See Maj. Op. at 85. But even apart from the failure to respond to defense counsel’s contentions, the district court’s discussion at sentencing qualifies as reasonable (if at all) only by the skin of its teeth. The court placed great weight on the need to protect the public, the need for deterrence, and the seriousness of the offense. Sentencing Tr. at 17, 33. It focused particularly on the images, noting that they “aren’t just obscene, but they involve prepubescent children and they involve sadomasochistic images on top of that,” id. at 32. And it stressed the interstate travel, which it saw as “demonstratefing] overwhelmingly a commitment to and desire to engage in sexual conduct with a minor,” even as it acknowledged that many trips of a length classifiable as interstate in the Washington metropolitan area would elsewhere be purely intrastate. Id. at 15-16. Despite repeatedly invoking the seriousness of the pornography offense, the court never even acknowledged that much of what the court found so serious, such as the type of images, is almost universal in child pornography cases. Commission Report at iii & n.14. Had the court openly grappled with this issue — explicitly put before it by defense counsel — we would be in a much better position to understand why it chose the sentence it did. See Bigley,
The court also emphasized the psychological report, which it read as indicating that Pyles “does not think he needs” prison sex offender treatment, that Pyles minimized his offenses, and that Pyles “blam[ed] [his inclinations] on drug usage,” an excuse that the court rejected. Sentencing Tr. at 9-10; see id. at 11. On all these issues the court to a considerable degree distorted both the report and the defendant’s position. In criticizing defendant for purportedly blaming his drug addiction, the court disregarded Pyles’s argument that both his drug use and his criminal behavior followed directly from the larger issue — his childhood sexual abuse — which the court persisted in ignoring. See Defendant’s Mem. at 13-14. (Because the sex abuse led to Pyles’s criminal behavior as well as drug use, the majority appears ready to allow any district court comment about the drug use to double as a comment about the sex abuse. Maj. Op. at 93. Applying their reading consistently would lead to very curious results, such as the district court implying that child sexual abuse cannot be “a factor in a person’s desire to engage in pedophilia.” See Sentencing Tr. at 10 (discussing “drug usage”).)
The court’s repeated emphasis on Pyles’s unwillingness to undergo sex offender treatment was also misplaced. After the district court insisted that the report showed no “hope” of Pyles rehabilitating, even the prosecutor politely chided, “I’m not sure that the report makes it quite as clear that [Pyles] would not be amenable to treatment.” Id. at 10. The psychologist in fact emphasized that Pyles had participated willingly in the evaluation and suggested that Pyles’s reticence about sex offender treatment could be addressed
In his allocution Pyles himself explained that his initial misgivings about sex offender treatment stemmed from the prison program’s penile plethysmograph procedures, but said that after talking with others, he had decided to “participate in the sex offender treatment regardless.” Id. at 27. At the time of sentencing, therefore, Pyles had apparently withdrawn his misgivings on the sex therapy. Quite a few courts of appeals share those misgivings about plethysmography and have vacated post-release conditions making it mandatory. See United States v. McLaurin,
Beyond the court’s unmoored discussion of the psychologist’s report, its oft-repeated concerns about recidivism appear to have been based more on intuition than information. See Dissent, supra, at 104-05. The Commission has compiled considerable data on the subject. A study of 610 defendants convicted of “non-production” child pornography offenses, tracked for an average of eight and a half years after release, yielded a 7.4% rate for “sexual recidivism” — encompassing 3.6% for “contact” offenses, 2.3% for new child pornography offenses, and 1.5% for “non-contact sex offenses involving obscenity or commercial sex.” Commission Report at 294-301. “General” recidivism of sex offenders, encompassing all crimes, is obviously higher but still in line with that of other defendants. Id. at 308-10; see also Matthew R. Duróse et al., Bureau of Justice Statistics, Recidivism of Prisoners Released in SO States in 2005: Patterns from 2005 to 2010, at 8 (2014) (sexual assault offenders’ recidivism lower than that of assault or robbery offenders). As one district court observed as part of an exhaustive analysis of the subject, “Recent research suggests that the recidivism rate of child pornography offenders may be low, with most child pornography viewers unlikely to engage in future sexual offenses.” United States v. R.V.,
These studies are not the end of the matter. Actual recidivism may be higher than known recidivism, given the undeire-porting of sex crimes. Commission Report at 295 & n.12. And general recidivism is somewhat higher for defendants whose criminal history category is (like Pyles’s) above I. Id. at 308-10. The court’s individualized assessment of the defendant is certainly relevant too, but here the person in the courtroom with possibly the best opportunity to aid in such assessment was the prosecutor, who had “handled these
Finally, as the majority repeatedly mentions, the court intended to cancel out the “huge break” that Pyles received through the government’s agreeing to a plea without a distribution charge, thereby sparing Pyles, as the judge saw it, the five-year mandatory minimum attached to distribution. Id. at 7; Maj. Op. at 85, 92-93, 93-94. In fact the lower end of the range that Pyles agreed to (78-97 months) was a year and a half more than the mandatory minimum, and the sentence Pyles eventually sought (87 months) was well beyond that minimum. Pyles was spared the mandatory minimum only in a nominal sense.
If the district court’s reasoning seems incomplete, there is good reason for that: the court never responded to two arguments that intersected with most of the issues in this case. The court clearly erred by not addressing Pyles arguments and leaving us with the type of incomplete record that Rita and its sequels in our and other circuits sought to prevent.
More generally, the majority’s new presumption cannot be reconciled with the goals of federal sentencing reform. As is well known, the Sentencing Reform Act sought to limit sentencing discrepancies arising from the predilections of individual judges. To the extent that the Act’s solution was mandatory Guidelines, it collapsed from constitutional infirmities, which the Supreme Court solved by removing the Guidelines’ mandatory character. Booker,
“Although the federal system’s procedural rules establish [relatively] gentle[] checks on the sentencing court’s discretion ..., they nevertheless impose a series of requirements on sentencing courts that cabin the exercise of that discretion.” Peugh v. United States, — U.S.-,
In contrast to this rigorous procedural review, the appellate courts’ post -Booker role in monitoring for substantive reasonableness has been inherently weak. See generally id. at 51-52,
With substantive discretion almost entirely in the hands of district courts, any useful role for the courts of appeals in “promot[ing] the perception of fair sentencing” lies in their enforcement of the statute’s procedural requirements. See Gall,
The majority’s new presumption is particularly ill-advised when dealing with a sentence derived from § 2G2.2, which exists in spite of the Commission’s judgment as to the sentence called for by the § 3553(a) factors. Though § 2G2.2 originated with the Commission, its content has been repeatedly diverted from the Commission’s reasoning by congressional mandates. See generally U.S. Sentencing Commission, The History of the Child Pornography Guidelines (Oct. 2009). And see United States v. Grober,
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The other elements of plain error are easily met here. The third element, that it “affected substantial rights,” requires “a reasonable likelihood that the error affected the outcome.” Terrell,
The final consideration for plain error is whether the procedural flaw “seriously affects the fairness, integrity, or public reputation of judicial proceedings.” United States v. Hunt,
