UNITED STATES of America, Plaintiff-Appellee, v. Jeffrey STOCK, Defendant-Appellant.
No. 10-5348.
United States Court of Appeals, Sixth Circuit.
July 11, 2012.
685 F.3d 621
Before: KETHLEDGE and STRANCH, Circuit Judges; GWIN, District Judge.*
GWIN, D.J., delivered the opinion of the court, in which STRANCH, J., joined. KETHLEDGE, J. (pp. 630-31), delivered a separate opinion concurring in part and dissenting in part.
OPINION
GWIN, District Judge.
After failing to persuade the district court that the Sex Offender Registration and Notification Act violates the federal Constitution, Jeffrey Stock pleaded guilty to one count of failing to register as a sex offender. At sentencing, the district court set Stock‘s Guidelines base offense level at sixteen, presuming that Stock had been required to register as a “Tier III offender.” See
Stock now appeals, renewing his constitutional challenges and arguing, among other things, that the district court both incorrectly calculated his Guidelines offense level and imposed a substantively unreasonable sentence. Because we conclude that the district court selected the wrong base offense level, we vacate Stock‘s sentence and remand.
I.
The Sex Offender Registration and Notification Act (SORNA) requires a sex offender to “register, and keep the registration current, in each jurisdiction where the offender resides.”
Appellant Jeffrey Stock is a sex offender; in 1998, he pleaded guilty to two counts of sexual battery, in violation of
By October 9, 2008, Stock had failed to update his sex-offender registration as required by SORNA. That same day, he was arrested in Tennessee on unrelated charges. Tennessee police held Stock in custody for eight days, during which time they learned that he was a sex offender. Police provided Stock a sex-offender registration form, which he signed and submitted “at or around the time” he was released.
On June 19, 2009, Stock was indicted for failing to register as required by SORNA, in violation of
The district court denied Stock‘s motion. Thereafter, Stock pleaded guilty with an agreement that he be allowed “to appeal any ruling on a motion to dismiss the charges raising constitutional challenges to the statute (
Stock‘s Presentence Investigation Report (PSR) recommended a Guidelines range of 33 to 41 months’ imprisonment, based in part on the Probation Officer‘s conclusion that Stock “was required to register as a Tier III offender.”
At sentencing, Stock failed to object to his classification as a Tier III offender but did argue that he was entitled to a three-level reduction for voluntary registration. The district court disagreed, finding that Tennessee police had detected Stock‘s failure to register and had required Stock to register before releasing him and concluding that, in any event, § 2A3.5(b)(2)‘s three-level reduction does not apply to an offender, like Stock, who knows that his failure to register has been detected. Accordingly, the district court adopted the PSR‘s calculation of the recommended Guidelines range.
At this point, the district court heard argument on the appropriate sentence. Stock—pointing to the short period of time during which he had resided in Tennessee unregistered1—asked for a downward variance from the 33- to 41-month Guidelines recommended range, “and if not that, then the minimum guideline sentence.” The government took an extreme position: It asked the district court to sideline the Guidelines range and impose a statutory-maximum sentence of 10 years’ imprison-ment, arguing that any other sentence would be insufficient given “Mr. Stock‘s extremely violent nature.” In support of this “theme,” the government had offered testimony from Detective Jeffrey Hearon—the Indiana police officer who investigated Stock‘s 1998 sexual-battery offenses—and from Detective Derrick Woods—a Tennessee police officer who suspected Stock‘s involvement in the 2009 disappearance of a young woman. Hearon testified that the two victims in the Indiana case had always claimed that Stock raped them, though neither was willing to testify at any criminal trial; Woods testified that Stock was the last person seen with the missing Tennessee woman, whose car was found abandoned and burned on a road “outside of the city.” The government‘s suggestion was, it seems, that Stock was dangerous because he had in fact raped the two Indiana victims and killed the Tennessee woman.2
The district court declined to “draw any conclusions about whether a rape was committed in 1998,” or to “place any weight in the sentencing determination on the fact that [Stock was] the target of interest in another criminal investigation,” after finding insufficient evidence in both cases. It then imposed a sentence of 72 months’ imprisonment, roughly double the recommended Guidelines range. Stock filed this appeal.
II.
We must first consider Stock‘s numerous challenges to SORNA: (1) that Con-
A.
In January, the Supreme Court concluded that SORNA‘s registration requirements “do not apply to pre-Act offenders until the Attorney General specifies that they do apply.” Reynolds v. United States, — U.S. —, 132 S.Ct. 975, 978, 181 L.Ed.2d 935 (2012). The upshot is that Stock, who became a sex offender in 1998, was not required to register in accordance with SORNA (enacted July 27, 2006) until August 1, 2008, the effective date of the Attorney General‘s specification that “SORNA applies to all sex offenders, including those convicted of their registration offenses . . . prior to particular jurisdictions’ incorporation of the SORNA requirements into their programs.” 73 Fed.Reg. 38030, 38063 (2008) (“SORNA applies to all sex offenders, including those convicted of their registration offenses prior to particular jurisdictions’ incorporation of the SORNA requirements into their programs.“); see United States v. Utesch, 596 F.3d 302, 311 (6th Cir.2010) (“SORNA became effective against offenders convicted before its enactment thirty days after the final SMART guidelines were published: that is, on August 1, 2008.“); see also
But that doesn‘t help Stock here; he committed his registration offense in October 2008, just after the Attorney General made SORNA retroactive. Moreover, a recent decision from a panel of this Court forecloses Stock‘s argument that
Accordingly, Stock was required to register in accordance with
B.
Stock next challenges both SORNA‘s registration requirement, see
C.
Stock also says that SORNA violates the Tenth Amendment because it “forces [states] to register sex offenders before [those states have] an opportunity to voluntarily comply with SORNA.” His theory is that requiring sex offenders to register in states where SORNA has not been implemented effectively requires
It is true that “[t]he Federal Government may neither issue directives requiring the States to address particular problems, nor command the States’ officers, or those of their political subdivisions, to administer or enforce a federal regulatory program.” Printz v. United States, 521 U.S. 898, 935, 117 S.Ct. 2365, 138 L.Ed.2d 914 (1997). But SORNA does no such thing. Instead, it conditions federal funds on states’ voluntary compliance with a federal registration regime. As far as the Tenth Amendment is concerned, that‘s okay. See South Dakota v. Dole, 483 U.S. 203, 207-12, 107 S.Ct. 2793, 97 L.Ed.2d 171 (1987).
The obligation SORNA does impose—the obligation to register—is imposed on sex offenders, not states. See
D.
Finally, Stock asserts that the government cannot, consistent with due process, prosecute him for violating SORNA‘s registration requirement because the Attorney General has not yet prescribed regulations notifying out-of-custody sex offenders of that requirement (or the criminal penalty associated therewith). See
Accordingly, we affirm the district court‘s decision not to dismiss the indictment and affirm Stock‘s conviction.
III.
We turn now to Stock‘s sentencing. Stock claims three errors here: (1) that the district court selected the wrong base offense level; (2) that the district court improperly denied Stock a three-level offense-level reduction for voluntarily registration; and (3) that the district court‘s sentence of 72 months’ imprisonment plus lifetime supervised release was substantively unreasonable. We begin with Stock‘s first argument, which, because of Stock‘s failure to raise it below, we review only for plain error.
A.
Guidelines § 2A3.5 provides three alternative base offense levels for a failure-to-register offense: “(1) 16, if the defendant was required to register as a Tier III offender; (2) 14, if the defendant was required to register as a Tier II offender; or (3) 12, if the defendant was required to register as a Tier I offender.”
“The term ‘tier III sex offender’ means a sex offender whose offense is . . . comparable to or more severe than,” among other offenses not relevant here, “aggravated sexual abuse or sexual abuse (as described in sections 2241 and 2242 of Title 18).”
(A) contact between the penis and the vulva or the penis and the anus . . . ;
(B) contact between the mouth and the penis, the mouth and the vulva, or the mouth and the anus; [or]
(C) the penetration, however slight, of the anal or genital opening of another by a hand or finger or by any object, with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person. . . .
Stock‘s 1998 Indiana sexual-battery offenses were not—at least as far as we can tell from the record—“comparable or more
A person who, with the intent to arouse or satisfy the person‘s own sexual desires or the sexual desires of another person, touches another person when that person is:
(1) compelled to submit to the touching by force or the imminent threat of force; or
(2) so mentally disabled or deficient that consent to the touching cannot be given . . . .
We also observe that the Seventh Circuit has authorized the use of the “modified categorical approach” in exactly this situation, see United States v. Taylor, 644 F.3d 573, 576-77 (7th Cir.2011), though we question whether such a rigid approach is required where the Guidelines determination does not appear to have constitutional dimensions. Unlike, for example, the armed-career-criminal guideline—which requires a district court to determine the applicability of an enhanced statutory sentence, see
Second, the district court found no other fact that would support its conclusion that Stock “was required to register as a Tier III offender.”
On this record, there is nothing to establish that Stock‘s Indiana offenses were “comparable to or more severe than” the federal offenses listed in
Moreover, we think this error plain. Admittedly, there was (and remains) some doubt about the extent to which Guidelines § 2A3.5(a) directs district courts to look beyond the mere fact of a prior sex-offense conviction and into the specific factual circumstances of that offense. See supra
Accordingly, we vacate Stock‘s sentence.
B.
Because we conclude that the district court selected the wrong base offense level, we will address Stock‘s other claims only briefly.
First, we think the district court properly rejected Stock‘s request for a three-level offense-level reduction for “voluntarily . . . correct[ing] the failure to register.”
For whatever reason, the Commission does not publish offense- and criminal-history-category-specific sentencing data as a matter of course. The closest it comes is in a table attached to its yearly Sourcebook of Federal Sentencing Statistics, the 2010 version of which is available at http://www.ussc.gov/Data_and_Statistics/Annual_Reports_and_Sourcebooks/2010/SBTOC10.htm. Table 14 of that publication, entitled Length of Imprisonment for Offenders in Each Criminal History Category by Primary Offense Category, and the 2010 version of which is available at http://www.ussc.gov/Data_and_Statistics/Annual_Reports_and_Sourcebooks/2010/Table14.pdf, lists the nationwide mean and median sentences for offenders by “primary offense” and criminal-history category.
Table 14, then, is a starting point for district judges in their efforts “to avoid unwarranted sentence disparities among defendants with similar criminal records who have been found guilty of similar conduct.”
The district court found that before Stock admitted his sex-offender status to Tennessee police, those officers had already learned from a records check that Stock was a sex offender “required to register under Tennessee law” and, “therefore, required [Stock] to complete the [sex-offender] registration before he could be released.” That finding, which is supported by the testimony of two witnesses, is not clearly erroneous. Nor did the district court clearly err when it found that Stock‘s contrary recollection—that he was released from custody before his failure to register was discovered but then “prepared and neatly typed [the registration] document and signed it[ and] returned it to the Knox County Sheriff‘s Office” thirty or so minutes later—was “simply incredible.” Those findings undermine Stock‘s claimed entitlement to a three-level reduction for voluntary registration.
Second, although the district court will need to conduct a new sentencing hearing, we observe that Stock‘s 72-month sentence is an outlier when compared to other sentences for failure-to-register violations, even when that comparison is limited to other criminal-history-category-VI offenders. In fact, it was by far the longest sentence imposed during all of 2008, 2009, and 2010—possibly ever—on a criminal-history-category-VI offender for a failure-to-register offense.6 The two next-longest
District judges are not bound, of course, by the sentencing Guidelines and courts of appeals ultimately review both within- and without-Guidelines sentences for overall reasonableness. Gall v. United States, 552 U.S. 38, 51, 128 S.Ct. 586, 169 L.Ed.2d 445 (2007). But more substantial variances generally require more substantial justifications, and accordingly, a “major” variance like the one in this case “should be supported by a more significant justification than a minor one.” Id. at 50.
Because of the procedural error with the finding that Stock was a Tier III offender, we do not need to speak to whether Stock‘s sentence is substantively unreasonable. We see, as did the district court, that Stock has a large number of prior offenses, though most “are not among the most serious offenses.” We understand, too, the district court‘s frustration that Stock has, until now, received “one suspended sentence after another,” which “didn‘t serve [Stock‘s] interest and [ ] certainly didn‘t serve the public‘s interest.” We reserve the question whether, on balance, those factors warrant six years of incarceration for a three- to sixty-day delay in failing to register after moving to a new location. See United States v. Aleo, 681 F.3d 290, 299-302 (6th Cir.2012) (concluding that a sentence more than double the Guidelines-range maximum was substantively unreasonable when the district court failed to identify compelling justifications for the Guidelines variance or to account for the disparity from other sentences for similar offenses).
IV.
For these reasons, we affirm Stock‘s conviction, vacate his sentence, and remand for resentencing.
KETHLEDGE, Circuit Judge, concurring in part and dissenting in part.
Stock never argued to the district court that his Indiana conviction for sexual battery should be treated as a Tier II offense
I also think that Stock‘s sentence fell within the latitude afforded the sentencing judge. Stock has been engaged in crime almost continuously throughout his adult life, with surprisingly little consequence in terms of incarceration. The district court properly emphasized these points and others in its analysis under
Subject only to these two points of departure, I join my colleagues’ thoughtful opinion in this case.
