When he was 44 years old, Michael Morris enticed a 14-year-old girl to enter into a sexual relationship with him, showering her with promises and presents. Morris pleaded guilty to two counts of traveling across state lines (from Indiana, through Illinois, to Wisconsin) for the purpose of engaging in a sexual act with a juvenile. 18 U.S.C. § 2423(b). He was sentenced to 36 months’ imprisonment. Section 2A3.2 of the Sentencing Guidelines, which the district judge concluded is most appropriate to Morris’s crimes, prescribes a base offense level of 15 for criminal sexual abuse of a minor. The. judge added 2 levels for multiple counts and deducted 3 for acceptance of responsibility, producing a final offense level of 14. For a first offender (which Morris is) the level 14 sentencing range is 15 to 21 months’ imprisonment. But the district court added 5 levels, imposing a sentence in the range of 30-37 months for offense level 19. Morris contends that departure took him by surprise and that he is entitled to a new sentencing hearing at which he can respond more effectively to this possibility.
Application notes to § 2A3.2 say that an upward departure may be appropriate if the defendant either committed the sexual act in furtherance of a commercial scheme (such as prostitution or the production of pornography) or has a prior conviction for similar sexual conduct. Neither is true of Morris. The district judge nonetheless thought departure appropriate, for several reasons. One is that § 2423(b) makes it a crime to travel across state borders for the
purpose
of engaging in sexual acts; it is possible to violate this statute by travel plus purpose without engaging in any sexual acts. Morris and the girl engaged in sexual intercourse at least six times, and the judge thought that this made his offense significantly more serious. Whether this justifies a departure is open to question, however, for § 2A3.2 covers statutory rape. Punishment for at least one sexual act thus is included in the Guideline, even though not in the statute — though perhaps additional sexual acts justify additional punishment. The district judge also observed that documents seized from Morris’s apartment in Indiana imply that he seduced at least one other juvenile; this led the judge to characterize him as a sexual predator. The judge also observed that Morris took pictures of the , girls, used email and Internet chat rooms to entice them, and sometimes did not wear condoms during intercourse. Nothing in the record suggests that Morris has a disease that can be transmitted by sexual contact, but the risk of pregnancy and its complications remained. Compare
United States v. Shannon,
Before the' date of sentencing, neither the prosecutor nor the district judge suggested that an upward departure was under contemplation. This is the foundation of Morris’s argument—for Bu
rns v. United States,
The United States does not defend the view that notice was unnecessary because the judge had made up his mind in advance. Instead the prosecutor submits that notice came from two sources: the presentence report and the prosecutor’s comments at sentencing. We discount the latter, for a recommendation at the hearing does not fulfil the requirement of warning in advance of the hearing. As for the presentence report: the Probation Department neither recommended a departure (¶ 119 of the report disclaimed any recommendation) nor highlighted facts that might support one. But ¶ 120 of the report did say:
Pursuant to U.S.S.G. § 5K2.0, the Sentencing Court may impose a sentence outside the range established by the applicable guidelines if the Court finds that there exists an aggravating or mitigating circumstance of a kind or to a degree not adequately taken into consideration by the Sentencing Commission in formulating the guidelines that should result in a sentence different from that described. Pursuant to U.S.S.G. § 4A1.3 (e), if reliable information indicates that prior similar adult criminal conduct, not resulting in a criminal conviction, exists, the Court could consider an upward departure as the criminal history category does not adequately reflect the defendant’s past criminal conduct or the likelihood that the defendant will commit other crimes.
This looks for all the world like boilerplate from a word processor’s glossary. It is generic and could apply to every criminal case. Bums requires more than this. Otherwise one might as well say that the Guidelines Manual itself notifies defendants about the possibility of departure, and have done with it.
Bums
stated that the “notice must specifically identify the ground on which the district court is contemplating an upward departure.”
The only decision of this court that offers any support for a belief that a generic reference such as ¶ 120 may be adequate is
United States v. De Angelo,
Because Morris did not receive notice from any source that an upward departure would be considered, he must be resen-tenced. In light of the remarks at Morris’s sentencing, Circuit Rule 36 will apply on remand. The court should consider whether Morris’s circumstances are unlike those of other persons covered by § 2A3.2. See
Koon v. United States,
Before returning the case to the district court, we need to tie up a loose end. Lew A. Wasserman represented Morris in the district court by appointment under the Criminal Justice Act and briefed the appeal on his behalf. More than a month after the briefing had been completed (and only three weeks before the date set for oral argument), Morris sought to file a supplemental pro se brief. This was rejected by an order noting that a defendant represented by counsel must communicate only through counsel. Responding to this order, Morris sought to have Wasserman dismissed and a new lawyer appointed— presumably a lawyer who would brief all of the issues Morris wanted addressed. Because briefing had been completed, this was far too late. But the court did permit Morris to dismiss Wasserman, so that Morris could file his supplemental brief. The case was then submitted for decision without oral argument.
In retrospect, this order was mistaken, for two reasons. First, although a defendant is constitutionally entitled to represent himself at trial in order to speak directly to those who will determine his fate, matters are otherwise on appeal. Courts may, and generally should, ensure that defendants enjoy legal representation even if the appellant would prefer to act on his own behalf.
Martinez v. California Court of Appeal,
— U.S. -, 120 S.Ct.
Happily, Morris was not adversely affected by our misstep. He did not receive the benefit of counsel’s oral argument, but we found his lawyer’s written argument persuasive. Wasserman will be reappointed, providing Morris with the benefit of counsel on remand. And we have reviewed Morris’s
pro se
filing, so he has had the best of both worlds. Morris contends that the district judge erred by failing to suppress statements made to the fbi, and evidence that he maintains was located by using this improperly obtained information. But Morris pleaded guilty unconditionally, so all contentions other than those related to sentencing have been waived.
United States v. Galbraith,
Vacated and RemaNded.
