Opinion ID: 165851
Heading Depth: 1
Heading Rank: 4

Heading: Dowlin's Sentence

Text: 96 The base level offense provided in the United States Sentencing Guidelines (Guidelines or USSG) for Dowlin's fraud convictions was 6. See USSG § 2B1.1(a) (2002). The district court enhanced Dowlin's sentence by 14 points after determining the loss in the case exceeded $400,000, see id. § 2B1.1(b)(1)(H), and by another 2 points after finding there were more than 10 but less than 50 victims, see id. § 2B1.1(b)(2)(A). On the basis of these enhancements, the court increased the offense level from 6 to 22. Dowlin's criminal history category of II and her offense level of 22 provided for a sentencing range of 46-57 months. The court sentenced Dowlin to the bottom end of the range, 46 months. Without any judge-found facts, Dowlin would have had an offense level of 6, which provides for a sentence of 1-7 months when combined with her criminal history. 97 After oral argument, Dowlin moved to file a supplemental brief arguing her sentence was invalid under Blakely v. Washington, 542 U.S. 296, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004). Following the Supreme Court's ruling in United States v. Booker, ___ U.S. ___, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), we granted the motion. Dowlin asks this court to remand her case for resentencing because the district court determined her sentence using impermissible judicial factfinding and treated the Guidelines as mandatory in violation of Booker. Dowlin first argues Booker error constitutes structural error warranting a remand without a showing of prejudice. In the alternative, she claims that if the plain error standard of review applies, that standard is satisfied. 98
99 At the outset, we reject Dowlin's argument that Booker error is structural error. Though we have recently held non-constitutional Booker error is not structural error, see United States v. Gonzalez-Huerta, 403 F.3d 727, 734 (10th Cir.2005) (en banc), we have yet to determine whether constitutional Booker error such as occurred here, see infra Part IV.B.1, is structural error. See, e.g., United States v. Clifton, 406 F.3d 1173, 1184, 2005 WL 941581,  (10th Cir. Apr.25, 2005) (not addressing structural error question because constitutional Booker error warranted remand under plain error analysis); United States v. Lawrence, 405 F.3d 888, 2005 WL 906582 (10th Cir. Apr.20, 2005) (issue not addressed); United States v. Dazey, 403 F.3d 1147 (10th Cir.2005) (same). 100 As we stated in concluding that non-constitutional Booker error is not structural error: (1) generally speaking structural errors must, at a minimum, be constitutional errors; (2) where the defendant had counsel and an impartial judge, such as here, there is a strong presumption against finding structural error; and (3) a defining feature of structural error is that the resulting unfairness or prejudice is necessarily unquantifiable and indeterminate, such that any inquiry into its effect on the outcome of the case would be purely speculative. Gonzalez-Huerta, 403 F.3d at 734 (internal quotations and citations omitted). Regarding the third of these considerations, we further elaborated that if, as a categorical matter, a court is capable of finding that the error caused prejudice upon reviewing the record, then that class of errors is not structural. Id. 101 Taking these considerations into account, the error in question here is constitutional and therefore must be more carefully scrutinized for structural concerns. However, here as in the non-constitutional Booker error context, a defining feature of structural error is lacking. Specifically, our post- Booker jurisprudence clearly indicates we have been able to determine whether constitutional Booker error prejudiced defendants based on the record of the district court proceedings. Compare Clifton, 406 F.3d 1173, 1183-84, 2005 WL 941581, - (applying plain error review and remanding for resentencing based on constitutional Booker error), and Dazey, 403 F.3d at 1173-79 (same), with Lawrence, 405 F.3d 888, 2005 WL 906582 (applying plain error review and affirming sentence). Accordingly, we hold that constitutional Booker error is not structural error because any prejudice stemming from such error can be evaluated on the record developed in the prior proceedings. In doing so we join the First Circuit, which has already reached a similar conclusion. See United States v. Antonakopoulos, 399 F.3d 68, 80 n. 11 (1st Cir.2005).
102 Having concluded Booker error is not structural error, we review the district court's sentencing decision for plain error because Dowlin did not contest the constitutionality of the Guidelines before the district court. See Clifton, 406 F.3d 1173, 1182, 2005 WL 941581, at . 103 To establish plain error, Dowlin must demonstrate the district court (a) committed error, (b) the error was plain, and (c) the plain error affected her substantial rights. See United States v. Cotton, 535 U.S. 625, 631, 122 S.Ct. 1781, 152 L.Ed.2d 860 (2002); Clifton, 406 F.3d 1173, 1180-81, 2005 WL 941581, at -. If all these conditions are met, a court reviewing the error may exercise discretion to correct it if the error seriously affects the fairness, integrity, or public reputation of judicial proceedings. See Cotton, 535 U.S. at 631-32, 122 S.Ct. 1781. We conduct this analysis less rigidly when reviewing a potential constitutional error. Dazey, 403 F.3d at 1174 (quoting United States v. James, 257 F.3d 1173, 1182 (10th Cir.2001)). Applying this framework, we hold that Dowlin is not entitled to resentencing. 104
105 The Supreme Court in Booker extended the Sixth Amendment rule articulated in Apprendi v. New Jersey, 530 U.S. 466, 490, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000), and Blakely, 124 S.Ct. at 2537, to the federal Guidelines. See Booker, 125 S.Ct. at 756 (Any fact (other than a prior conviction) which is necessary to support a sentence exceeding the maximum authorized by the facts established by a plea of guilty or a jury verdict must be admitted by the defendant or proved to a jury beyond a reasonable doubt.). To remedy the constitutional infirmity created by applying judge-found facts to the Guidelines, the Court severed the provision of the federal sentencing statute that made application of the Guidelines mandatory. Id. at 756-57. In Dowlin's case, the district court committed both constitutional and non-constitutional Booker error because it enhanced her sentence based on facts found by the court by a preponderance of the evidence and treated the Guidelines as mandatory. As we noted in Clifton, cases involving constitutional Booker error will always involve non-constitutional Booker error as well and the non-constitutional error may compound the constitutional error. 2005 WL 941581, at . 106
107 To be plain, an error must be clear or obvious under current, well-settled law. United States v. Whitney, 229 F.3d 1296, 1308-09 (10th Cir.2000). If the Supreme Court or this court has addressed the issue, then an error is contrary to well-settled law. See United States v. Ruiz-Gea, 340 F.3d 1181, 1187 (10th Cir.2003). Here, the district court enhanced the sentence based on judge-found facts and treated the Guidelines as mandatory, each of which is contrary to Booker. See 125 S.Ct. at 756-57. Therefore, the court plainly erred in sentencing Dowlin. 108
109 For an error to have affected substantial rights, the error must have been prejudicial: It must have affected the outcome of the district court proceedings. United States v. Olano, 507 U.S. 725, 734, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993). The burden to establish prejudice to substantial rights is on the party that failed to raise the Booker issue below. See Clifton, 406 F.3d 1173, 1181, 2005 WL 941581, at . 110 A defendant can show Booker error affected substantial rights by demonstrating a reasonable probability that, but for the error claimed, the result of the proceeding would have been different. Id. (quoting Gonzalez-Huerta, 403 F.3d 727, 731, 2005 WL 807008, at ); see also Dazey, 403 F.3d at 1175-76. We have held there are at least two ways by which a defendant can establish the sentencing result would have been different but for the Booker error. First, non-constitutional or constitutional Booker error may affect substantial rights if the defendant shows `a reasonable probability that, under the specific facts of his case as analyzed under the sentencing factors of 18 U.S.C. § 3553(a), the district court judge would reasonably impose a sentence outside the Guidelines range.' Clifton, 406 F.3d 1173, 1181, 2005 WL 941581, at  (quoting Dazey, 403 F.3d at 1175). This showing can be made where there is a disconnect between the § 3553(a) factors and [the] sentence or the district court expressed dissatisfaction with the mandatory Guidelines sentence in the case. Id. Second, constitutional Booker error may affect substantial rights `if the defendant shows a reasonable probability that a jury applying a reasonable doubt standard would not have found the same material facts that a judge found by a preponderance of the evidence.' Id. (quoting Dazey, 403 F.3d at 1175). 111 On this record, there is considerable doubt whether Dowlin can satisfy her burden under the third prong of plain error review. To begin, Dowlin has failed to establish a reasonable probability that a jury applying a reasonable doubt standard would not have reached the same conclusions as the district court in determining loss amount and the number of victims. As we described above, the district court enhanced Dowlin's sentence based on a finding of loss in excess of $400,000. Witnesses at trial testified to investing well in excess of this amount in Naylor's schemes after Dowlin became involved. With respect to the district court's determination that the offenses of conviction involved more than 10 but less than 50 victims, more than 10 witnesses testified at trial to personally investing funds in the schemes subsequent to when Dowlin became involved. Dowlin offers no argument that the jury would not have reached the same conclusions as the district court regarding this evidence, nor did she object when the court made these factual determinations. 10 Accordingly, we find it highly unlikely that the factual findings of the district court affected Dowlin's substantial rights. 112 Further, our review of the record does not indicate a reasonable probability the district court would impose a sentence outside the Guidelines range applying the factors in § 3553(a). Nothing in the record indicates the court would have sentenced Dowlin differently had the Guidelines not been mandatory, nor has she pointed to any mitigating evidence that she failed to enter into the record because of a misapprehension that the Guidelines were mandatory. 113 The record, in fact, shows the following. First, the court at sentencing received argument as to Dowlin's mental health history and letters of support from friends and family. Dowlin was thus not limited by the mandatory nature of the Guidelines in presenting mitigating evidence to the district court. Second, the court found Dowlin's relatively minor role in the criminal conspiracy merited sentencing at the very low end of the Guideline range, 46 months. Third, although the court acknowledged its reduced discretion under the Guidelines, it said nothing to suggest that Dowlin's conduct merited a sentence below the prescribed range. Finally, the facts of her case do not show the sentence is outside the heartland of sentences for similar conduct. 114 Though these facts cast significant doubt on whether Dowlin could show a reasonable probability that her sentence would have been different under a discretionary sentencing regime, we need not resolve this question since her sentence does not meet the fourth element necessary to notice plain error. 115
116 We have discretion to correct an error that satisfies the first three prongs of the plain error test if that error also affects the integrity, fairness, or public reputation of judicial proceedings. See United States v. Cotton, 535 U.S. 625, 631-32, 122 S.Ct. 1781, 152 L.Ed.2d 860 (2002). Where only non-constitutional Booker error is at issue, this standard is especially demanding. We will not notice non-constitutional Booker error unless the defendant establishes the error is particularly egregious and that our failure to correct it would result in a miscarriage of justice. 11 Gonzalez-Huerta, 403 F.3d at 736. However, in cases containing constitutional Booker error, we conduct the analysis less rigidly, meaning we do not require the exceptional showing required to remand a case of non-constitutional error. Dazey, 403 F.3d at 1178. 117 Evidence that would tend to support an exercise of our discretion under this standard might include, for example: (a) a sentence increased substantially based on a Booker error, see Clifton, 406 F.3d 1173, 1181, 2005 WL 941581, at ; (b) a showing that the district court would likely impose a significantly lighter sentence on remand, see id. at 1184, 2005 WL 941581, at ; (c) a substantial lack of evidence to support the entire sentence the Guidelines required the district court to impose, see id. at 1181-82, 2005 WL 941581, at -; (d) a showing that objective consideration of the § 3553(a) factors warrants a departure from the sentence suggested by the Guidelines, see United States v. Trujillo-Terrazas, 405 F.3d 814, 821, 2005 WL 880896,  (10th Cir. Apr.13, 2005); or (e) other evidence peculiar to the defendant that demonstrates a complete breakdown in the sentencing process, see Clifton, 406 F.3d 1173, 2005 WL 941581, at . 118 To the contrary, a generalized assertion of error anchored solely to a Sixth Amendment violation or mandatory application of the Guidelines does not meet this standard. Furthermore, we are less likely to exercise our discretion to notice constitutional Booker error where the defendant failed to contest the judge-found facts on which the sentence was enhanced before the district court. Cf. Dazey, 403 F.3d at 1178 (emphasizing that defendant vigorously contested judge-found facts in deciding to remand). 119 Turning to this case, we hold that even if Dowlin could establish her substantial rights were affected by the sentencing error, she has failed to meet her burden under the fourth prong of our plain error analysis. Although our review is less rigid because constitutional Booker error occurred, and the Booker error increased Dowlin's sentence range, Dowlin has pointed to nothing in the record that casts doubt on the fairness of her sentence. As discussed above, Dowlin did not object to the facts on which her sentence was enhanced, the record contains ample evidence supporting the sentence imposed, and she has not identified mitigating evidence the district court did not consider at sentencing which might justify a lower sentence. Further, the statement of the court recognizing its limited discretion under the mandatory Guidelines does not indicate an inclination to impose a lighter sentence if the case were remanded. Finally, there is nothing peculiar about the facts of Dowlin's case to show a breakdown in the sentencing process. The facts of the case establish that Dowlin's conduct warranted the sentence imposed. 120 In sum, Dowlin's sentence is not plainly erroneous and should not be remanded for resentencing.