UNITED STATES Of America, Plaintiff-Appellee, v. Austin Alan RAY, Defendant-Appellant.
No. 11-3383.
United States Court of Appeals, Tenth Circuit.
Feb. 1, 2013.
704 F.3d 1307
III
I concur in much of the majority‘s opinion—fully joining Parts A and B and the portions of Part C not visited here—and also concur in the majority‘s ultimate ruling affirming the district court‘s judgment.
James A. Brown, Assistant United States Attorney, (Barry R. Grissom, United States Attorney, with him on the brief), District of Kansas, Topeka, KS, for Plaintiff-Appellee.
Before LUCERO, MURPHY, and HARTZ, Circuit Judges.
ORDER
This matter is before the court on appellant‘s petition for rehearing en banc. We also have a response from the United States. Upon review, the panel assigned to hear this matter originally grants panel rehearing, in part, in order to amend Section II A of the original decision. The implicit request for panel rehearing contained in appellant‘s en banc application is otherwise denied. A copy of the amended opinion is attached and shall be incorporated in this order. The clerk is directed to issue the amended decision effective today‘s date.
The panel‘s revised opinion was circulated to all the active judges on the court, as were the request for en banc rehearing and the response. No judge called for a poll. Accordingly, the petition for en banc consideration is denied.
HARTZ, Circuit Judge.
After Defendant Austin Alan Ray was arrested for downloading child pornography using peer-to-peer file-sharing software, he pleaded guilty in federal district court to receiving material involving the sexual exploitation of a minor. This appeal presents the question whether the district court could properly apply a two-level sentencing enhancement for the distribution of child pornography under
I. BACKGROUND
In November 2010, acting on a tip from federal authorities in Michigan, special agents from United States Immigration and Customs Enforcement (ICE) executed a search warrant at the home of Defendant and his parents in Kingman, Kansas. The source of the tip, Gerald Benedict, had told authorities that email correspondence from Defendant indicated that he might be molesting a child. Benedict‘s tip also led authorities to believe that Defendant may have been sending Benedict child pornography.
When the ICE agents arrived at Defendant‘s house, accompanied by local police, they found Defendant and his mother there. They also found two computers. One was a desktop computer in the dining
The second computer, a laptop in the room of Defendant‘s brother, was registered in the brother‘s name, but Defendant admitted that he had borrowed it for use earlier in the year. Defendant‘s brother, who had arrived home in the middle of the search, corroborated Defendant‘s statement. Defendant had admittedly borrowed the laptop.
The government‘s forensic investigation of the desktop computer uncovered some 2,430 images of children younger than 12 engaged in a variety of sexual acts. The forensic investigator determined from the computer‘s registry that the images had last been accessed on October 30, 2010, only four days before the ICE search. The “share” setting of the Shareaza file-sharing program on the computer was activated. The laptop was found to contain 34 images and one movie file of child pornography similar to the files found on the desktop; the dates of creation for these items matched the time frame in which Defendant had admittedly borrowed the laptop.
Further investigation cleared Defendant of some of the wrongdoing suggested by Benedict, the instigator of the investigation. First, although Defendant had indeed sent Benedict several emails detailing his purported commission of sex acts with a particular child, Defendant said that these interactions had been purely imaginary; and an interview of the child confirmed that statement. Second, officers determined that Defendant had not emailed child pornography to Benedict.
In August 2011 Defendant pleaded guilty in the United States District Court for the District of Kansas to the knowing, intentional, and unlawful receipt of child pornography. See
In its presentence investigation report (PSR), the probation office concluded that the Sentencing Guidelines assigned Defendant (1) a base offense level of 22, see
In a written response to the PSR, Defendant objected to the two-level enhancement for distribution under
At sentencing, Defendant renewed this objection. The government conceded that it could make no direct showing that the files on Defendant‘s computer had been shared with other computers, and it appeared to concede that it could not prove that the activation of the “share” function on Defendant‘s version of Shareaza was the product of his volition rather than simply a default setting. Nevertheless, the government urged that the use of a peer-to-peer file-sharing program constitutes “generic distribution” that triggers the two-level
The district court overruled Defendant‘s objection on this and several other points. It explained:
I‘m going to find ... the only factual issue dispute that‘s actually raised here is the issue of distribution. And the defendant does not challenge—and, in fact, he used the ... file-sharing programs. I‘m, of course, familiar with this area of law, and I think that use of those programs is legally enough to support the guideline enhancement for distribution that‘s found here. I don‘t think more is required. I don‘t think the law requires more.
So, again, that‘s a legal conclusion. I think that‘s the status of the law in this circuit. I don‘t find that there are any other factual challenges that the Government needs to put evidence on, given that legal conclusion.
Id. at 72. The court thus accepted as correct the PSR‘s calculation of an offense level of 34 and a criminal-history category of I, which produced a Guidelines sentencing range of 151 to 188 months’ imprisonment.
After hearing the government‘s request for a sentence within the Guidelines range and defense counsel‘s request for the statutory minimum of five years, the district court imposed a below-Guidelines sentence of 102 months’ imprisonment followed by a seven-year term of supervised release. In explaining its decision, the court said that it balanced a number of considerations: the brutality and quantity of the images in Defendant‘s possession, the need for deference to Congress‘s penal determinations, the Kingman community‘s expressions of support for Defendant, and Defendant‘s
Defendant‘s briefs on appeal argue that the district court committed the following errors in sentencing him: (1) it inappropriately applied the two-level enhancement for distribution under
II. DISCUSSION
A. The Guidelines Enhancement for Distribution
We review de novo the district court‘s interpretation of the Guidelines. See United States v. Torres-Ruiz, 387 F.3d 1179, 1180-81 (10th Cir.2004). The enhancement at issue here applies if the receipt of material involving sexual exploitation of a minor “involved ... [d]istribution.”
“Distribution” means any act, including possession with intent to distribute, production, transmission, advertisement, and transportation, related to the transfer of material involving the sexual exploitation of a minor. Accordingly, distribution includes posting material involving the sexual exploitation of a minor on a website for public viewing but does not include the mere solicitation of such material by a defendant.
Our recent opinion in United States v. Ramos, 695 F.3d 1035 (10th Cir.2012), disposed of the principal argument in Defendant‘s briefs, holding that
We now hold that
A sentencing enhancement, however, is treated differently than a criminal statute in a number of fundamental respects. See United States v. Nava-Sotelo, 354 F.3d 1202, 1206 n. 9 (10th Cir.2003) (“For instance, unless they increase the penalty for a crime beyond the prescribed statutory maximum, sentencing factors, unlike elements of an offense, need not be alleged in the indictment, submitted to the jury or proven beyond a reasonable doubt.“). We have repeatedly held that when the plain language of a guideline, in contrast to a criminal statute, does not include a mens rea element, we should not interpret the guideline as containing such an element. See United States v. Saavedra, 523 F.3d 1287, 1289 (10th Cir.2008) (“[W]here a statutory sentencing provision rather than an element of the conviction is at issue, we have declined to impose a scienter requirement if the text does not expressly include one.“); Nava-Sotelo, 354 F.3d at 1207 (“Not only is the distinction between elements and sentencing factors clear, but the rationale for implying a mens rea element in criminal statutes is absent when addressing sentencing factors.“). The common-law principles articulated in Staples do not apply because the Guidelines “may compound the punishment for the offense, but fall far short of criminalizing apparently innocent conduct.” Saavedra, 523 F.3d at 1289 (brackets and internal quotation marks omitted). Thus, for example, we held in Saavedra that the district court properly assigned the defendant the base offense level prescribed for carrying a shotgun with a barrel shorter than 18 inches, even though the government had introduced no evidence that the defendant knew that the barrel was that short. See id. at 1289-90. Other circuits agree. See United States v. Serfass, 684 F.3d 548, 550-52 (5th Cir.2012) (no requirement of knowledge that the methamphetamine had been imported); United States v. Thomas, 628 F.3d 64, 68-70 (2d Cir.2010) (no requirement that the defendant knew or had reason to believe that gun was stolen); United States v. McClain, 252 F.3d 1279, 1286 (11th Cir.2001) (no requirement of knowledge that person used in the offense was under 18); United States v. Lavender, 224 F.3d 939, 941 (9th Cir.2000) (no requirement that defendant intended to use as a weapon the object being carried).
Our general rule for interpreting the Guidelines is reinforced in this case because the same commentary that defines
Thus, we hold that the district court correctly applied
We further hold that the district court did not err in rejecting Defendant‘s request to apply the two-level reduction of
Defendant argues that our analysis is contrary to the expressed understanding of the United States Sentencing Commission, which promulgates the Guidelines. He points to the Commission‘s explanation for Amendment 664 to the Guidelines, which added the two-level reduction in
The amendment also provides a two-level decrease at
§ 2G2.2(b)(1) for a defendant whose base offense level is level 22, whose conduct was limited to the receipt or solicitation of material involving the sexual exploitation of a minor, and whose conduct did not involve an intent to traffic in or distribute the material. Thus, individuals convicted of receipt of child pornography with no intent to traffic or distribute the material essentially will have an adjusted offense level of level 20, as opposed to an offense level of level 22, for receipt with intent to traffic, prior to application of any other specific offense characteristics. The Commission‘s review of these cases indicated the conduct involved in such “simple receipt” cases in most instances was indistinguishable from “simple possession” cases. The statutory penalties for “simple receipt” cases, however, are the same as the statutory penalties for trafficking cases. Reconciling these competing concerns, the Commission determined that a two-level reduction from the base offense level of level 22 is warranted, if the defendant establishes that there was no intent to distribute the material.
U.S. Sentencing Guidelines Manual app. C, vol. III amend. 664, at 59 (Nov. 1, 2011) (Amendment 664) (emphasis added).
We are not persuaded. The opening sentence of the RFA paragraph repeats the content of
B. Fifth and Sixth Amendment Rights
Defendant‘s second claim on appeal is that the district court violated his Fifth Amendment right to due process of law and his Sixth Amendment right to a jury trial when it imposed the distribution enhancement based on a preponderance of the evidence. He relies primarily on the line of cases beginning with Apprendi v. New Jersey, 530 U.S. 466, 490 (2000), which held: “Other than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.” The Supreme Court, however, has definitively held that Apprendi does not apply to the present advisory-Guidelines regime. See United States v. Booker, 543 U.S. 220, 259 (2005) (“[W]ithout this provision [of the Guidelines statute]—namely, the provision that makes the relevant sentencing rules mandatory and imposes binding requirements on all sentencing judges—the statute falls outside the scope of Apprendi‘s requirement.” (ellipsis, brackets, and internal quotation marks omitted)). Although we have left open the possibility that due process may require proof by clear and convincing evidence before imposition of a Guidelines enhancement that increases a sentence by an “extraordinary or dramatic” amount, United States v. Olsen, 519 F.3d 1096, 1105 (10th Cir.2008), there was no such increase here. If the district court had agreed with Defendant‘s position on appeal regarding his offense level, his Guidelines sentencing range would have been 97-121 months; but with the enhancements his range was not dramatically higher (151-188 months), and the sentence imposed (102 months) was within the unenhanced range.
C. Procedural Claims in Connection with § 3553(a) Factors
Defendant argues that his sentencing was procedurally unreasonable on three grounds: (1) the district court mistakenly treated the Guidelines as mandatory rather than advisory; (2) the court incorrectly refused to consider evidence that he had been sexually abused as a young
i. Advisory Nature of Sentencing Guidelines
Defendant points to several remarks by the district court during sentencing that, he claims, reveal the court‘s inappropriate deference to the Guidelines and its mistaken impression that the Guidelines are mandatory rather than advisory in nature. He argues that this deference caused it to depart from its duty to “impose a sentence sufficient, but not greater than necessary, to comply with the purposes” of punishment enumerated in
We are not persuaded. The court said only that it is “required to consider [the Guidelines]” and would “give them great weight and deference.” R., Vol. 3 at 107. Deference to the Guidelines is not improper. To the contrary, “a district court should begin all sentencing proceedings by correctly calculating the applicable Guidelines range. As a matter of administration and to secure nationwide consistency, the Guidelines should be the starting point and the initial benchmark.” Gall v. United States, 552 U.S. 38, 49 (2007) (citation omitted). Indeed, without deference the Guidelines would be impotent, and we would likely soon return to the sentencing disparities that caused Congress to enact a guidelines regime. Of course, deference can go too far; a slavish conformity to the Guidelines is improper. But such slavishness was certainly not present here. The court varied from the Guidelines to impose a sentence well below the Guidelines sentencing range.
Nor did the district court‘s statements conflict with the parsimony principle of
ii. Defendant‘s History of Sexual Abuse
Defendant next contends that the district court erred by refusing to consider his history of suffering sexual abuse as a young child. He points to the following excerpt from the court‘s discussion at sentencing:
I have great sympathy for [Defendant] and others like him who are victims of prior abuse themselves, just as I have great sympathy for defendants who
appear before me who are raised sometimes in the most disadvantageous situations. I frequently have criminal defendants in this courtroom who were raised without knowing their parents or their parents were in jail, they lived on the streets, they did not have educational, nutritional advantages that many people do. Those are sympathetic situations, but the law does not really allow that to be an excuse for criminal conduct. And while sympathetic to that, I can‘t use that as a basis to reduce his sentence either.
R., Vol. 3 at 111 (emphases added). According to Defendant, the court‘s refusal to consider the childhood abuse violated
The district court‘s words must be read in context. The court‘s overall treatment of the
iii. Defendant‘s Erasure of Computer Files
Defendant argues that the district court erred by refusing to consider (as evidence of his efforts to reform) his deletion of the child-pornography files from his computer several days before ICE executed its search warrant. This refusal, Defendant claims, was based on a clearly erroneous finding that Defendant was motivated solely by fear of apprehension and not by genuine conscience. The challenged statement of the court was as follows:
I‘m hard-pressed to weigh too seriously his deletion of the images two or three days before he was arrested, because I tend to share the suspicions that [the government] has that perhaps that was done in part because, for whatever reason, he suspected that perhaps the noose was tightening. And even if not the case, the fact that he had looked at them only three days before arrested makes it hard pressed for me to credit him with having certainly decided to put all that behind him and truly lead a new life.
R., Vol. 3 at 111. Defendant asserts that “[c]ontrary to the district court‘s belief, Defendant had not been ‘tipped off’ as the
We do not believe that the district court‘s words can be characterized as factual findings, let alone clearly erroneous ones. The court spoke simply of its “suspicions” and twice used the word “perhaps” in elaborating on what those suspicions were. Also, immediately after doing so, it allowed for the possibility that its suspicions were false and explained why its judgment was correct regardless. There was no error.
D. Substantive Reasonableness of Defendant‘s Sentence
Defendant‘s final claim on appeal is that the district court‘s sentence of 102 months’ imprisonment was substantively unreasonable. In Defendant‘s view, “the only substantively reasonable sentence in this case is the five-year mandatory minimum” required by
Defendant‘s 102-month sentence was below the range of 151 to 188 months recommended by the Guidelines. We apply a “rebuttable presumption of reasonableness to a below-guideline sentence challenged by the defendant as unreasonably harsh.” United States v. Balbin-Mesa, 643 F.3d 783, 788 (10th Cir.2011). Defendant‘s arguments are not sufficiently compelling to rebut the presumption.
III. CONCLUSION
We AFFIRM the judgment of the district court.
