FI L ED U.S. COURT OF APPEAL S EL EVENTHCI RCUI T J ULY 10, 2012 J OHN L EY CL ERK [DO NOT PUBLISH] IN THE UN ITED STATES COURT OF APPEALS FOR THE ELE VENTH CIRCUIT

__ __ __ __ __ __ __ __ __ __ __ __ No. 1 0- 12 13 9

__ __ __ __ __ __ __ __ __ __ __ __ D.C. Dock etNo. 8 :0 9- cr-0 02 63 -RAL-TGW -1

UNITED STAT ES OF AMERIC A, ll ll ll ll ll ll ll ll ll ll l Pl ai nt iff - App el le e, vers us GARY B. AMSTER, ll ll ll ll ll ll ll ll ll ll l Defen da nt- App el la nt .

__ __ __ __ __ __ __ __ __ __ __ __ App eal fro m

th e Uni te d S ta te s Di st ric t Co urt forth e Mi dd le Dis tri ctof F lo rid a

__ __ __ __ __ __ __ __ __ __ __ __ (Jul y 10 , 20 12 ) Befo re BARKETT, PRYOR an d KRAVITC H, Circ ui t Jud ge s. PER CURI AM: Afte r Gary Am st er l ie d abo utrece iv in g t he Co ng res si on al Med al of Ho no r so th athe co ul d re cei ve go ve rn m en t b en efi ts to whi ch he was n oten ti tl ed , he wasco nv ic te d o f on e co un t o f m ak in g afal se st at em en t t o t he go ve rn m en t, 1 8 U.S.C. §

10 01 (a)( 2) , andtwo co un ts of v io la ti ng th e St ol enValo r Act , 18 U.S.C. § 7 04 (b ), (c). In th is ap pe al , Am st er ra is es two is su es : (1 ) whe th er s uf fic ie ntev id en ce supp orts hi s co nv ic ti onform ak in g afal se st at em en t t o t he go ve rn m en t an d (2 ) whe th er h is ot he r co nv ic ti on s s ho ul d b e v acat edbe cau se th e St ol enValo r Act vi ol at es th e ri gh t t o fr ee s pe ech pro te ct edby the Fir stAm en dm en t. We con cl ud e th atth e g ov ern m en t p res en te d s uf fic ie ntev id en ce fo r a rea so nabl e jury to fi ndth at Am st er m ad e a fal se st at em en t t o t he go ve rn m en t. Bu t i n t he li gh t o f th e rec en t de ci si on of t he Supr em e Co urt i n Un it edSta te s v . Alv arez , --- S. Ct . ----, No . 11 -2 10 , 20 12 W L 24 27 80 8 (2 01 2) , th atth e St ol enValo r Actis faci al ly
un co ns ti tu ti on al , we vac at e Am st er’s co nv ic ti on s u nd er the Act. We affirm inpa rt
an d v acat e in pa rt. I. BACK GROUND Am st er s erv edinth e Arm y du rin g Vi etnam

bu t n ev er s aw co m

ba t. Fo r hi s se rv ic e in Viet na m , Am st er re cei ve d t he Nati on al Defen se Serv ic e Me da l, the Viet na m Serv ic e Me da l, an d t he Viet na m Cam pa ig n M ed al
. Mo stve te ran s wh o se rv edinViet nam

rece iv edth es e h on or s. Am st er d idno t re cei ve th e Me da l o f Hon oror a ny oth er awar d fo r va lo r. In20 05 , Am st er re qu es te d t ha t the Depa rtment o f Vet eran s Aff ai rs sen d h im 2hi s DD-2 14 form . The Dep art m en t o f Defen se m ai nt ai ns DD-21 4 fo rm s fo r

fo rm er s erv ic e m em

be rs . The form

su m m ari zes m ajorda tawith re sp ectto a se rv ic e m em

be r’s m il it ary hi st ory , su chas h on or s an d a ward s. Am st er al te redhi s DD-2 14 form to refl ectth athe rece iv edth e Me da l o f Hon or . On Se pt em

be r 28 , 20 07 , Am st er re co rd edth e fal si fie d DD-2 14 form with th e ci rcu itco urt cl erkof B rev ardCo un ty, Fl or id a. InNov em be r 20 07 , Am st er se nta co py of th e al te redDD-21 4 fo rm to Katr in a Bl as , an e m

pl oyee of Dis ab le d Am eri canVete ran s. Ad di ti on al ly, on Apri l 1 4, 2 00 8, Am st er ca ll edVete ran s Affai rs to de te rm in e th e st atus of ape nd in g c la im
. Dur in g t he cal l, Am st er t ol d a rep res en ta ti ve th athe ha d s ub m it te d p ap erwo rk to Vete ran s Aff

ai rs est ab li sh in g th athe ha d re cei ve d the Med al of Ho no r, an d h e as ke d t ha t h is reco rd s b e upd at ed
. The Vete ran s Aff

ai rs rep res en ta ti ve en te reda no te inth e co m pu te r syste m

forth e Dep artm en t s ta ti ng th atAm st er re cei ve d t he Med al of Ho no r. The Pres id en t h as th e p owe r to “ award , andpre se ntinth e n am e o f Co ng res s, a m ed al of h on or. . . to a pe rs on who , whi le a m em be r of th e Arm y , di st in gu is he d h im se lf c on sp ic uo us ly by ga ll an try andin tre pi di ty at th e ri skof h is li fe ab ov e an d b ey on d t he cal l o f du ty . . . whil e en ga ge d i n a n a ct io n a ga in stan en em y of t he Uni te d S ta te s; [or ] whi le en ga ge d i n m il it ary op erat io ns in vo lv in g co nf li ctwith a n o pp os in g fo rce . . . .” 10 U.S.C. § 3 74 1. Th e Me da l o f Hon oris 3th e h ig he stawardforga ll an try in c om ba t awa rd edby the Uni te d S ta te s. On ly 161
so ld ie rs who serve d i n Vi etna m rece iv edth e Me da l o f Hon or . Vete ran s Aff ai rs m us t p ay Med al of Ho no r rec ip ie nt s a s ub st an ti al m on th ly pen si on . At tria l, Lie ut en an t Co lo ne l St ewartSte ph en so n t es ti fie d fo r th e go ve rn m en t. St ep he ns on is th e ch ie f of th e Uni te d S ta te s Army

Hum anRes ou rces Co m m an d Awar ds an d Dec or at io ns Bran ch
. St ep he ns on ex pl ai ne d t he ex te ns iv e pr oc es s fo r award in g M ed al s o f Hon or :

Id eal ly, th e Med al of Hon or reco m m en da ti on w i l l co m e fro m so m eb od y with pe rs on al kn owl ed g e of th e act io n or th e ev en t of he ro is m . The y wil l be pr oc es se d up th ro ug h th e war t im e ch ai n of co m m an d. Ul ti m at el y , th ey ’ll g etto ou r of fic e, we wil l rev ie w it
. Fro m ou r of fic e, it go es to th e Pen ta go n, th ro ug h th e Secr et ary of Defen se an d t h e Jo in t Ch ie fs of St aff, an d ul ti m at el y en ds up in th e Whi te Hou se fo r Pres id en ti al ap pr ov al
. St ep he ns on furth er ex pl ai ne d t ha t “ [e]ach[arm ed ] se rv ic e Sec ret ary ha s t he
res po ns ib il it y

form ai nt ai ni ng a ro ll of a ll of t he [Med al of Ho no r rec ip ie nt s] for th atin di vi du al servi ce,” a ndth athi s o ffi ce m ai nt ai ne d t he Med al of Ho no r ro ll for th e Arm y . Co ll ette Bu rg es s t es ti fie d t ha t s he ha d wo rk edforVete ran s Aff ai rs for13 y ears . Vete ran s Aff

ai rs em pl oys Bu rg es s as an“ as si st an t s erv ic e cen te r m an ag er,” whi chBu rg es s d es cri be d a s “ a m an ag em en t p os it io n.” Bu rg es s ex pl ai ne d tha t,

4whe n ave te ranno ti fie s Vet eran s Aff ai rs th athe rece iv edth e Me da l o f Hon or , th e Dep artm en t, “ se arch [es ] th e Me da l o f Hon orrol l wh ic h i s m ai nt ai ne d b y th e Cen te r fo r Mi li ta ry

His to ry inord er t o d et erm in e whe th er o r no t tha t p ers on is , in fact , li st edonth e ro ll of [ th e] Meda l o f Hon or .” Bu rg es s al so st at edth at , “ th e Secr et ary of

th e b ran ch of s erv ic e th atgra nt edth e Me da l o f Hon orwou ldsen d [a
co nf irmatio n] to th e Sec ret ary of Vete ran s Aff

ai rs an d we wo ul d g etth e co rres po nd en ce fr om

–we wou ldge t the cert ifi cat e, we wou ldge t co rres po nd en ce fro m th e b ran ch of s erv ic e th atsays it ’s award ed .” W it h re sp ectto Am st er, Bu rg es s t es ti fie d t ha t “ [w]e loo ke d a t the Med al of Hon orrol l, we re vi ewedth e fi le , we rev ie wedth e o ffi ci al m il it ary pe rs on ne l fi le th atwe ha d i n o urreco rd s t o s ee i f [co nf irmatio n t ha t Am st er re cei ve d t he Med al of Hon or ] was inth ere, an d n on e o f th atco rres po nd en ce was th ere.” Altho ug h t he go ve rn m en t co nc ed es th atBu rg es s re vi ewedAm st er’s fi le aft er l earn in g t ha t Am st er was un de r in ve st ig at io n, Bu rg es s t es ti fie d t ha t the Depa rtment wo ul d h av e ta ke n t he se st ep s as pa rt o f th e reg ul ar cl ai m s p ro ces s ev enif s he ha d n otbe en no ti fie d o f th e in ve st ig at io n. Je nn ife r Bi gl ow t es ti fie d t ha t o n Ap ril 14 , 20 08 , sh e sp ok e wit h Am st er ov er the tel ep ho ne an d t ha t h e st at edth athe ha d re cei ve d the Med al of Ho no r. As
a res ul t o f Am st er’s m is rep res en ta ti on , Big lo w ent eredth is fal se in fo rm at io n i nt o 5th e co m

pu te r syste m

forVete ran s Aff

ai rs . She tes ti fie d t ha t s he en te red“ CONGR. MEDAL of HONOR” i n a ll cap it al let te rs be cau se th e Me da l o f Hon oris “ sp eci al , it ’s very rare ,” an d s he want edto en su re tha t an y on e lo ok in g t hr ou gh th e co m pu te r syste m forth e st atus of Am st er’s p en di ng cla im s wo ul d b e aware of t hi s in fo rm at io n. At the clo se of t he go ve rn m en t’s ca se -in -ch ie f, Am st er m ov edth e d is tri ct co urt fo r a jud gm en t o f acqui tt al . Am st er m ai nt ai ne d tha t the di stric t co urt s ho ul d acqui t h im

as t o c ou nt s o ne an d t wo fo r rea so ns no t re le va ntto th is ap pe al
. Am st er the n a rg ue d tha t the go ve rn m en t fa il edto in tro du ce s uf fic ie ntev id en ce t o pr ov e th atth e fal se st at em en t ch arg edinco un t thr ee was m at eri al . After h eari ng or al arg um en t fr om

bo th pa rti es , th e d is tri ctco urt d en ie d Am st er’s m ot io n. Th e jury con vi ct edAm st er o n a ll co un ts . Afte r tr ia l, Am st er t im el y ren ewedhi s m ot io n fo r a jud gm en t o f acqui tt al
. Am st er ag ai n a ss ert edth atth e ev id en ce was in su ffi ci en t t o s up po rt t he m at eri al it y el em en t o f th e fal se st at em en t ch arg e. Am st er the n a ss ert edforth e fi rs t t im e th at th e St ol enValo r Actwas u nc on st itut io na l. The di st ric t co urt d en ie d Am st er’s
m ot io n o n the gro un d t ha t, “ [t]he ev id en ce, wh envi ewedinth e li gh t m os t fav or ab le to th e Gov ern m en t, was m or e th ansu ffi ci en t t o s us ta in th e jury’ s de te rm in at io n t o fi ndDefen da ntgu il ty bey on d areas on ab le do ub t as to all th ree 6co un ts of t he [supe rs ed in g] in di ctm en t.” Th e d is tri ctco urt s umm ari ly rejected

Am st er’s co ns ti tu ti on al ch al le ng e to th e St ol enValo r Act . The d is tri ctco urt se nt en cedAm st er t o c on cu rren t o ne -y ear t erm s o f pr ob at io n fo r co un ts on e an d two of the supe rs ed in g i nd ic tm en t an d t o afiv e-year term of p ro ba ti on forco un t th ree o f th e supe rs ed in g i nd ic tm en t. II . STANDARDS OF REVIEW Two s ta nd ard s o f rev ie w go ve rnth is ap pe al . “ W e rev ie w de n ov o [t he ] di st ric t co urt’s d en ia l o f jud gm en t o f acqui tt al on su ffi ci en cy of e vi de nc e gr ou nd s.” Un it edSta te s v . Bro wne , 50 5 F .3d12 29 , 12 53 (11 th Cir . 20 07 ). W e co ns id er the ev id en ce i n t he li gh t m os t fa vo rab le to th e g ov ern m en t, an d we d raw al l re as on ab le in fere nc es infav orof t he go ve rn m en t. Id
. “ If a re as on ab le jury
co ul d c on cl ud e th atth e ev id en ce es tabl is he s g ui ltbe y on d areas on ab le do ub t, we wil l af firm th e v erd ic t.” Id . “ W e rev ie w th e co ns ti tu ti on al it y of s ta tu te s d e n ov o.” Uni te d S ta te s v . Pha kn ik on e, 60 5 F .3d10 99 , 11 07 (11 th Cir . 20 10 ). II I. DI SCUSSI ON W e d iv id e o urdi sc us si on in two pa rts . W e fi rs t ad dr es s wh ethe r su ffi ci en t ev id en ce s up po rte d Am st er’s co nv ic ti on form ak in g afal se st at em en t. We the n ad dr es s wh ethe r th e St ol enValo r Actvi ol at es th e ri gh t t o fr ee s pe ech pro te ct edby th e Fi rs t Am en dm en t. 7A. Su

ff ic ie nt Evid en ce S up po rt s Ams te r’ s C on vi ct io n f

or Makin g a Fal

se St at emen t. Co un t thr ee o f th e supe rs ed in g i nd ic tm en t al le ge d t ha t Am st er kno win gl y an d wi ll fu ll y

m ad e a m at eri al ly fals e st at em en t i n am at te r wit hi n t he juri sd ic ti on of th e ex ecu ti ve branc h o f th e fed eral go ve rn m en t wh enhe to ldanem pl oyee of Vete ran s Aff

ai rs th athe ha d b een award edth e Me da l o f Hon or . Sect io n 10 01 (a)( 2) st at es th at“ who ev er, i n a ny m at te r wit hi n t he juri sd ic ti on of t he
ex ecu ti ve , leg is la ti ve , or ju di ci al bra nc h o f th e Gov ern m en t o f th e Uni te d S ta te s, kn owi ng ly andwil lfu ll y

. . . m ak es an y

m at eri al ly fals e, fi ct it io us , or fr au du le nt st at em en t . . . sh al l b e fi ne d u nd er thi s t it le , im pr is on edno t m or e th an5 years . . .
orbo th .” 18 U.S.C. § 1 00 1( a)(2 ). “ To s us ta in a co nv ic ti on [un de r th is st atut e], th e g ov ern m en t m

us t p ro ve (1) th ata st at em en t was m ad e; (2) th atitwas fa ls e; (3) th atitwas m at eri al ; (4 ) th atitwas m ad e wit h s pe ci fic in te nt ; an d (5 ) th atitwas withi n t he juri sd ic ti on of a n a ge nc y of the Uni te d S ta te s.” Un it edSta te s v . Bof fil
Ri ve ra, 6 07 F.3d73 6, 7 40 (11 th Cir . 20 10 ). Am st er d oe s n otdi sp ut e th atth e g ov ern m en t p ro ve d b ey on d areas on ab le do ub t tha t h e m ad e a s ta te m en t, tha t the st at em en t was fal se , or t ha t h e m ad e th e st at em en t wi th sp eci fic in te nt . Am st er ch al le ng es th e su ffi ci en cy of t he ev id en ce

8with re sp ectto th e m at eri al it y an d ju ris di ct io na l el em en ts of s ect io n 1 00 1. We ad dr es s t he su ffi ci en cy

of t he ev id en ce as to bo thele m en ts intu rn . 1. Am st er Ma de A Mat eri al Fal se Sta te m en t. Am st er ar gu es th athi s fa ls e as se rti on to Vete ran s Aff ai rs th athe rece iv ed th e Me da l o f Hon orwas n otm at eri al be cau se Vete ran s Aff ai rs “pe rfo rm s i ts du ti es acco rd in g t o l aw an d i s n otsi de tra ck edby any co m m en ts th ata ve te ranm ig ht
m ak e.” The go ve rn m en t re sp on ds th atAm st er’s fal se st at em en t was m at eri al be cau se itco ul d h av e cau se d Vet eran s Aff ai rs to wast e ti m e an d re so ur ces in ve st ig at in g wh ethe r Am st er re cei ve d t he Med al of Ho no r. The leg al st an dardof m at eri al it y is well -s et tl ed : Deci di ng whe th er a st at em en t i s “ m at eri al ” requi res th e de te rm in at io n of at le as t two subs id ia ry qu es ti on s of pu rel y hi st or ic al fact : (a) “ wha t st a t e ment was m ad e? ” an d (b ) “ wha t de ci si o n was th e ag en cy tryin g to m ak e? ” The ul ti m at e qu es ti on : (c) “ whe th er th e st at em en t was m at eri al to th e de ci si on ,” requi res ap pl y in g th e le ga l st an da rd of m at eri al ity

. . . to th es e h is to ric al fact s.” Uni te d S ta te s v . Gaud in , 51 5 U.S. 5 06 , 51 2, 1 15 S. Ct. 2 31 0, 2 31 4 (1 99 5) . “ The st at em en t m

us t h av e a n atur al ten de nc y to in flu en ce, o r [b e] capabl e o f in flu en ci ng , th e d eci si on of t he de ci si on m ak in g b od y to whi ch itwas a dd res se d.” Bo ffi l-R iv era, 6 07 F.3dat 7 41 . “ The go ve rn m en t i s n otrequi redto pro ve th atth e st at em en t h adactua l i nf

lu en ce.” Id . “ The fal se st at em en t m us t s im pl y ha ve th e 9cap aci ty to i m pa ir o r pe rv ertth e fu nc ti on in g o f a g ov ern m en t ag en cy .” Id
. (in te rn al qu ot at io n m ark s o m it te d) . “ The st at em en t d oe s n otha ve to be rel ie d up on an d c anbe m at eri al ev enif i t i s i gn or edan d n ev er re ad .” Id . at 7 42 (ci ti ng Uni te d S ta te s v . Diaz, 6 90 F.2d13 52 , 13 58 (11 thCir . 19 82 )). The pa rti es do no t di sp ut e th atAm st er fa ls el y rep res en te d t o Vet eran s Aff ai rs th athe rece iv edth e Med al of Ho no r. The ev id en ce attri al was s uf fic ie ntforth e jury to fi ndth atAm st er’s fal se st at em en t was m at eri al . As Bu rg es s t es ti fie d, wh ena ve te ranno ti fie s Vet eran s Affai rs th athe rece iv edth e Me da l o f Hon or , th e Dep art m en t, “ se arch [es ] th e Med al of Ho no r ro ll whi ch is m ai nt ai ne d b y th e Cen te r fo r Mi li ta ry

His to ry in
or de r to de te rm in e whe th er o r no t tha t p ers on is , infact , li st edon th e ro ll of [ th e] Med al of Ho no r.” If a v et eran is li st edon th e Me da l o f Hon orrol l, Vet eran s Affai rs is requi redto pa y th e v et eran a subs ta nt ia l m on th ly pen si on . Alth ou gh th e go ve rn m en t co nc ed es th atVete ran s Aff ai rs co nduc te d a n i nv es ti ga ti on in to whe th er Am st er h adrece iv edth e Me da l o f Hon oron ly after i t l earn edth atAm st er was un de r in ve st ig at io n, thi s C ou rt h as pre vi ou sl y he ldth atth e fal se st at em en t

“ do es no t h av e to be rel ie d upo n a ndcanbe m at eri al ev enif i t i s i gn or edan d n ev er read .” Id
. 2. Am st er’s Fal se Sta te m en t Was With inth e Ju ris di ct io n o f Vet eran s Aff ai rs . 10Am st er co nt en ds th atth e ev id en ce p res en te d a t tria l was in su ffi ci en t fo r a

reas on ab le jury to fin d t ha t Am st er’s fal se st at em en t fe ll withi n t he juri sd ic ti on of Vete ran s Aff

ai rs . Am st er ar gu es th atVete ran s Aff ai rs lac ks th e au th or it y

to de te rm in e who is en ti tl edto th e Me da l o f Hon or . This arg um en t fa il s.

“ The Uni te d S ta te s Supr em e Co urt h as st at edth atjuri sd ic ti on withi n t he
m ean in g o f se ct io n 1 00 1 s ho ul d n otbe na rro wly ortec hn ic al ly defi ne d.” Uni te d St at es v. Herr in g, 9 16 F.2d15 43 , 15 47 (11 thCir . 19 90 ) (ci ti ng Uni te d S ta te s v . Ro dg ers , 46 6 U.S. 4 75 , 48 0, 1 04 S. Ct. 1 94 2, 1 99 6 (1 98 4) ). As the Supr em e Co urt h as ex pl ai ne d, “ th e p hr as e ‘with inth e juri sd ic ti on ’ m erel y di ffer en ti at es th e of fic ia l, au th or iz edfun ct io ns of a n a ge nc y or d ep art m en t fr om

m at te rs pe rip he ral to th e b us in es s o f th atbo dy.” Rod ge rs , 46 6 U.S. at47 9, 1 04 S. Ct. at19 46
.

“ [Sec ti on 10 01 ] is ne ces sa ril y co uc he d i n v ery br oa d t erm s t o e nc om pa ss th e va rie ty of de cep ti ve pra ct ic es whi ch in ge ni ou s i nd iv idua ls m ig htpe rp etrat e upo n anin crea si ng ly com

pl ex go ve rn m en t.” Un it edSta te s v . Gafy czk , 84 7 F .2d68 5, 69 0 (1 1th C ir. 1 98 8) (qu ot in g Un it edSta te s v . Mas se y , 55 0 F .2d30 0, 3 05 (5t h Ci r. 19 77 )) (i nt ern al qu ot at io n m ark s o m it te d) (al te rat io n i n o rig in al ). The ev id en ce p ro du cedat t ria l was su ffi ci en t fo r th e jury to fi ndth atth e juri sd ic ti on al ele m en t was sat is fie d. As Bu rg es s t es ti fie d, af te r a v et eran ass ert s th athe is a reci pi en t o f th e Me da l o f Hon or , Veter an s Aff ai rs m us t d et erm in e 11whe th er the ass ert io n i s v al id . Bas edon th is ev id en ce, the jury co ul d h av e

reas on ab ly fou ndth atde te rm in in g wh o h as be enaward edth e Me da l o f Hon oris
an“ of fic ia l, au th or iz edfun ct io n[ ] of [Vet eran s Aff

ai rs ]” andis no t “pe rip he ral to th e b us in es s o f th atbo dy.” Rod ge rs , 46 6 U.S. at47 9, 1 04 S. Ct. at19 46
.

B. The Sto le n Va lo r Act

is Unco ns ti tu ti on al
. Co un ts on e an d t wo o f th e supe rs ed in g i nd ic tm en t al le ge d t ha t Am st er vi ol at edth e St ol enValo r Actwhen he fal se ly clai m edon two oc cas io ns th athe ha d re cei ve d t he Med al of Ho no r. Am st er ar gu es th atth e St ol enValo r Actis faci al ly unc on st itut io na l as a co nt en t-b as edreg ul at io n o f pr ot ect edsp eech . In the li gh t o f th e rec en t d eci si on of t he Supr em e Co urt i n Un it edSta te s v . Alv arez , --- S. Ct . ----, No . 11 -2 10 , 20 12 W L 24 27 80 8 (2 01 2) , th atth e St ol enValo r Actis faci al ly unc on st itut io na l, we ag ree. IV. CONCLUSI ON W e AFFIRM inpa rt Am st er’s jud gm en t o f co nv ic ti on an d s en te nc e fo r m ak in g afal se st at em en t t o t he go ve rn m en t, an d we VACATE inpa rt Am st er’s jud gm en t o f co nv ic ti on s an d s en te nc es forvi ol at in g t he Sto le n Val orAct.

12