United States v. Johnny Escalante
Opinion
*397 Johnny Escalante failed to register as a sex offender when he travelled to Texas. The district court concluded that his prior Utah conviction for unlawful sexual activity with a minor classified him as a tier II sex offender, and he was sentenced based on the corresponding Guidelines range. Because the district court deviated from the categorical approach to classify him as a tier II sex offender, we VACATE and REMAND for resentencing.
I.
The Sexual Offense Registration and Notification Act of 2006 (SORNA)
1
requires sex offenders to update their registration after a change in residence.
See
In 2010, Escalante was convicted in Utah for unlawful sexual activity with a minor. 3 At the time of the offense, Escalante was 35 years old and the victim was 14. After being released from prison, Escalante travelled to Texas and failed to update his registration. He was subsequently identified by law enforcement during an unrelated traffic stop and charged for failing to register as a sex offender. He pleaded guilty. In the factual resume that he signed as part of his plea agreement, he admitted that: (1) he was required to register as a sex offender due to the 2010 Utah conviction; (2) he travelled to Texas; and (3) he knowingly failed to update his registration.
The Pre-Sentence Report (PSR) concluded that Utah's crime of unlawful sexual activity with a minor was comparable to abusive sexual contact as described in
Escalante objected to the PSR, arguing, as relevant here, that the Utah statute "sweeps more broadly than the federal statute" and therefore, under the categorical approach, cannot serve as a predicate for classification as a tier II offender. Specifically, Escalante pointed to the facts that: (1)
At sentencing, the district court overruled Escalante's objections, adopted the PSR as its factual findings, and upwardly varied from the Guidelines to sentence Escalante to 48 months' imprisonment. Escalante repeated his objections at sentencing and timely appealed. We have jurisdiction to review Escalante's sentence under
II.
"For properly preserved claims, this court reviews the district court's interpretation and application of the Sentencing Guidelines
de novo
."
United States v. Young
,
III.
We employ the categorical approach when classifying the SORNA tier of a defendant's state law sex offense.
See
Young
,
On appeal, Escalante repeats the objections he made to the PSR, arguing that the district court erred by not considering that the Utah conviction offense and the corresponding federal offense had different possible affirmative defenses. He also argues that the district court erred by considering the specific circumstances of his offender-victim age differential when categorizing his sex offender tier level. In response, the government contends that the district court did not err, but, even if it did, that any such error would be harmless. We address each argument in turn.
1.
First, we address Escalante's affirmative defenses argument. Escalante observes that
Escalante argues that whether that affirmative defense was available "reflects an enormous difference in culpability" because it distinguishes between intentional and unintentional conduct. He argues that because a mental state defense exists for one offense and not for the other, the two offenses reach "significantly different" classes of offenders. Specifically, he argues that § 2243 offenders are more culpable and blameworthy as a class than § 76-5-401 offenders because they all knew, or should have known, that the victim was under 16. Therefore, he asserts, it is immaterial whether the defendant's mental state is an element that needs to be proven by the government or an affirmative defense that needs to be proven by the defendant. Either way, Escalante argues, the class of people who are § 76-5-401 offenders could include people with less culpability than the class of people who are § 2243 offenders, and, therefore, § 76-5-401 cannot serve as a predicate for classifying him as a tier II offender under the categorical approach.
Escalante cites
United States v. Roebuck
,
We reject Escalante's argument. The Supreme Court has repeatedly articulated that the categorical approach looks
exclusively
to the elements of the offenses to be compared.
See, e.g
.,
Mathis v. United States
, --- U.S. ----,
The Supreme Court has defined "elements" in this context to be "the 'constituent parts' of a crime's legal definition-the things the 'prosecution must prove to sustain a conviction.' "
Mathis
,
*400
This conclusion aligns with that of at least two of our sister circuits.
See
United States v. Velasquez-Bosque
,
As a secondary point, we note the practical difficulty that would accompany expanding the categorical approach to include consideration of all the different permutations of potential affirmative defenses. One of the reasons that the Supreme Court gave for implementing the categorical approach in the first place was that the "practical difficulties" of the alternative were deemed to be "daunting."
6
See
Taylor
,
For those reasons, we reject Escalante's argument to consider different permissible affirmative defenses, and we consider only the elements of the offenses to be compared when applying the categorical approach.
2.
Second, we address Escalante's argument that the district court erred by considering the specific circumstances of his offender-victim age differential when determining his sex offender tier level.
Escalante argues that Utah's § 76-5-401 offense sweeps more broadly than "abusive sexual contact (as described in section 2244 of title 18 )"-which cross-references to
The government responds by noting that this court has expressly left open the question of whether the categorical approach should be used when considering the specific circumstances of the victim's age for SORNA tier classifications.
See
Young
,
We now address the question we left open in
Young
-does SORNA require courts to perform a circumstance-specific inquiry to determine whether the victim was a minor when applying the categorical approach to classify sex offender tier levels? In
Nijhawan v. Holder
, the Supreme Court recognized that federal statutes may impute the categorical approach by referring to generic or cross-referenced crimes, but then require circumstance-specific inquiries to determine whether specific conditional or modifying requirements are also met.
Applying that hybrid approach to this case, SORNA's sex offender tier classification imposes circumstance-specific conditions on the cross-referenced offenses. Title
However, that does not end the inquiry in this case. Here, the government urges us to look at the facts not only to determine whether the victim was a minor, but also to determine whether the offender-victim age differential existed. Accordingly, the government needs to establish that the relevant statutory text permits departure from the categorical approach not only when considering the victim's age (i.e., to ascertain whether he or she is a minor), but also when a cross-referenced federal crime includes, as an element, an age differential that the state crime of conviction does not. This is an apparent matter of first impression, as the parties have not briefed, nor have we identified, any other circuits to specifically address this question.
Coming back to the basics, a state sex offense is a tier II sex offense for SORNA sentencing purposes when,
inter alia
, it "is comparable to or more severe than [abusive sexual contact as described in § 2244 ]
when committed against a minor
."
The conditional language of "when committed against a minor" permits the government to conduct a circumstance-specific inquiry into whether the victim was a minor (which she was in this case), but it does not suggest that the court can abandon the categorical approach and conduct a circumstance-specific inquiry when looking at an offender-victim age differential that is required as an element of the cross-referenced federal offense. Sections 20911(2) - (4) of SORNA do not contain any conditional language referring to the offender's age or the offender-victim age differential-nor does
*403
The government places a lot of weight on
United States v. Gonzalez-Medina
, wherein we held that we must consider the specific circumstances of the victim-offender age differential when determining whether an offense is a "sex offense" at all under
Nonetheless, there are several reasons why the government's emphasis on Gonzalez-Medina is unavailing in this case.
First, and most importantly, the age differential for the § 20911(5)(C) exception is actually in SORNA's text as an exception to when state offenses can even constitute a "sex offense." Conversely, the age differential relevant for classifying tier II sex offenders under § 20911(3) is not actually found in SORNA, but rather it is built in as an element of one of the many corresponding *404 offenses that SORNA cross-references.
Second, the text of the § 20911(5)(C) exception states that it is applicable to offenses "involving ... conduct ... [if] the offender was not more than 4 years older than the victim." That "involving conduct" verbiage is consistent with circumstance-specific inquiries.
See
Gonzalez-Medina
,
And third,
Gonzalez-Medina
held that SORNA was intended to cast a wide net, and that a categorical exception for any conviction involving consensual conduct that did not require a four-year age differential as an element-to include child pornography-"would frustrate SORNA's broad purpose" of requiring sex offenders to register.
Moreover, applying the categorical approach to age differentials built into the cross-referenced statutes does not leave §§ 20911(2) - (4), or any subsection thereof, without meaningful application.
Cf.
Nijhawan
,
As a final point, our decision in
Rodriguez
warrants discussion. In
Rodriguez
, our court, sitting en banc, had the task of defining the generic term "sexual abuse of a minor" for the crime-of-violence enhancement under § 2L1.2(b)(1)(A)(ii) of the Guidelines. We rejected the argument that Texas's statutory rape law was too broad to serve as a predicate offense because it only required a three-year, not a four-year, age differential.
However, that holding is distinguishable from the facts of this case in an important way: Rodriguez dealt with the generic term "sexual abuse of a minor"; this case deals with the phrase "abusive sexual contact (as described in section 2244 of title 18 )." See 34 U.S.C § 20911(3)(A)(iv). In other words, SORNA does not classify someone as a tier II offender based on comparing their offenses to a generic offense; It classifies them based on comparing their offenses to a specified other offense. In this case, the specified other offense-sexual abuse of a minor under 18 U.S.C § 2243(a) -does in fact require a four-year age differential.
Based on that reasoning, we hold-in alignment with every other circuit to consider the issue-that SORNA requires a circumstance-specific inquiry into the victim's age when classifying sex offender tier levels to determine whether the victim was a minor, or, in the case of a tier III categorization under § 20911(4)(A)(ii), whether the victim was younger than 13.
We also hold, as a matter of apparent first impression, that the text of SORNA does not permit a court, when applying the categorical approach to determine sex offender tier levels, to conduct a circumstance-specific inquiry into an offender-victim age differential that is built into one of the corresponding cross-referenced offenses as an element of the crime. In this case, looking solely at the elements, the Utah offense under which Escalante was convicted sweeps more broadly than the cross-referenced federal offense corresponding to tier level II. Accordingly, the district court erred by categorizing Escalante as a tier II sex offender.
3.
Last, we address the harmlessness argument. Escalante's sentence was based on a Guidelines calculation that categorized him as a tier II offender. The government argues that even if the district court erred by classifying Escalante as a tier II sex offender, any such error would be harmless because the district court upwardly varied from the Guidelines at sentencing. That variance, the government asserts, was based on his significant criminal history and likelihood of recidivism, and therefore had nothing to do with the sex offender tier at which he was classified.
Nonetheless, we agree with Escalante that the government has not cleared the "high hurdle" necessary for holding the sentencing error to be harmless.
See
United States v. Halverson
,
Here, the government has not argued, nor does a review of the sentencing transcript clearly indicate, that the district court would have imposed the same 48-month sentence regardless of the Guidelines range suggested by the sex offender tier. Instead, all the government argues is that the district court's rationale would have supported an upward variance from whatever baseline that the Guidelines suggested. That is not enough.
See, e.g.,
Ibarra-Luna
,
IV.
In summary, the district court erred by deviating from the categorical approach to consider the circumstance-specific facts of the offender-victim age differential when classifying Escalante as a tier II sex offender under SORNA, and by sentencing him based on a Guidelines range that was derived from that tier II categorization. Because the record does not convey the district court's clear intent to impose the same sentence absent that Guidelines error, we must VACATE and REMAND for resentencing.
* * * *
This outcome is required by faithful adherence to precedent that has struggled to grapple with the expansion and byzantine-like application of the categorical approach. However, it is not lost on us that adherence to the categorical approach leads to a result in this case that is almost certainly contrary to any plain reading of the statute. Persons who commit sex offenses against minors would, under any plain reading of SORNA, be expected to register as tier II sex offenders. In this case, the victim was 14. Escalante was 35. He abused a minor under any jurisdiction's definition of minor. Nonetheless, application of the categorical approach means that he is not a tier II sex offender because Utah's statute for unlawful sexual activity with a minor did not require the same age differential that the referenced federal statute did-even though Escalante was not even close to being within that age differential at the time of the offense.
In the nearly three decades since its inception, 14 the categorical approach has developed a reputation for crushing common sense in any area of the law in which its tentacles find an inroad. 15 What began *407 as an effort by the Supreme Court to simplify the judiciary's job when determining whether a state crime constituted generic "burglary" has now metastasized into something that requires rigorous abstract reasoning to arrive at the conclusion that a 35-year-old who sexually abused a 14-year-old cannot be categorized as a tier II sex offender-notwithstanding the fact that his crime was actually "committed against a minor"-because it is theoretically possible that someone else could be convicted under the statute without being four years older than the victim.
Members of this court have been critical of the counterintuitive-and all too often absurd-conclusions that can result when the categorical approach wraps its tentacles around a sentencing decision.
16
We have said that "[e]xcept as otherwise directed by the Supreme Court, sentencing should not turn on reality-defying distinctions."
United States v. Reyes-Contreras
,
Somewhere along the way, when developing the categorical approach, the federal judiciary has gotten lost.
See also
Mathis
,
Pub. L. No. 109-248 (codified at
E.g., If the defendant was a tier III sex offender, the base offense level for failing to register is 16. If tier II, then 14; if tier I, then 12. U.S.S.G § 2A3.5 (U.S. Sentencing Comm'n 2017).
See
Instead, Utah considered the four-year age differential a mitigating factor which, if established by the defendant, will reduce the crime to a misdemeanor and not require registration.
Compare
But see
Lewis v. Chicago
,
Though it does not impact the analysis, Utah's statute has since been amended to only apply to persons 18 and older who engage in sexual activity with persons aged 14-15. Thus, Utah's law does in fact now require the government to prove an age differential of at least two years (which is still smaller than the four-year age differential required under
Or, in the case of a tier III categorization under § 20911(4)(A)(ii), whether the victim was, in fact, younger than 13.
The government draws our attention to
United States v. Coleman
,
The Tenth Circuit's
Forster
opinion, for its part, suggested that because SORNA uses the word "comparable," a corresponding state offense could possibly be "slightly broader"; however, it then went on to hold that there was no distinction between the SORNA tier and state offense in question, both of which referenced minors younger than 13.
We are not bound by our unpublished opinions.
Ballard v. Burton
,
Gonzalez-Medina
refers to
The offenses for which an offender is classified as tier II based solely on the fact that the victim was a minor include sex trafficking, coercion and enticement, transportation with intent to engage in criminal sexual activity, and abusive sexual contact (which, in addition to the offense of sexual abuse of a minor or ward at issue here, also includes sexual abuse and aggravated sexual abuse.).
See
For statutory rape offenses where the government did not have to prove a four-year age differential, offenders still have to register under SORNA, but as tier I offenders rather than tier II.
See also
Shroff v. Sessions
,
See
Sessions v. Dimaya,
--- U.S. ----,
See, e.g
.,
United States v. Lewis
,
See, e.g
.,
United States v. Herrold
,
See also
Quarles v. United States
, --- U.S. ----,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff - Appellee, v. Johnny ESCALANTE, Also Known as Manuel Rojas, Defendant - Appellant.
- Cited By
- 20 cases
- Status
- Published