Opinion ID: 794151
Heading Depth: 3
Heading Rank: 2

Heading: Refusal to apply an abuse of trust enhancement

Text: 44 Thorn I remanded for further consideration the District Court's refusal to apply an enhancement on any of the counts based on an abuse of trust. Thorn I, 317 F.3d at 119-23. Guidelines § 3B1.3 provides for a two-level increase for abuse of a position of trust or use of a special skill, in a manner that significantly facilitated the commission or concealment of the offense with the caveat that if this adjustment is based solely on the use of a special skill, it may not be employed in addition to an adjustment under § 3B1.1 (Aggravating Role). U.S. Sentencing Guidelines Manual § 3B1.3. At the initial sentencing, the District Court reasoned that Thorn's conduct involved the use of a special skill, but not an abuse of trust, and further reasoned that because Thorn received an aggravating role adjustment, no further adjustment under § 3B1.3 could be made. Thorn I, 317 F.3d at 120-21. 45 Noting that it appeared from the record that Thorn's clients deferred to him because of his skill rather than as a result of a special relationship of trust and confidence, Thorn I did not rule out the possibility that Thorn could have occupied a position of trust. Id. at 121-22. The Court remanded the issue to the District Court for specific findings regarding the degree of discretion accorded Thorn by his clients, stating: 46 Thus, we remand this issue to the District Court for specific findings consistent with this opinion, including whether any customers entrusted Thorn with discretion to complete the asbestos projects without supervision and without relying on the independent laboratory test results to confirm compliance with state and federal regulations. [FN9] 47 [FN9] If the District Court were to find that one or more clients did grant such discretion and that this discretion put Thorn in a position of trust under § 3B1.3, the District Court would then need to make a specific finding whether Thorn used such a position of trust in a manner that significantly facilitated the commission or concealment of the offense. 48 Id. at 122-23 & n. 9. 49 Whether Thorn occupied a position of trust within the meaning of § 3B1.3 is considered from the victim's viewpoint and presents a question of law subject to de novo review. See, e.g., United States v. Hirsch, 239 F.3d 221, 227 (2d Cir.2001). The determination of whether a defendant utilized a position of trust or special skill in a manner that significantly facilitated the commission or concealment of the offense is a question of fact reviewed for clear error. Id. The enhancement is warranted if the victim entrusted the defendant with discretionary authority that enabled the defendant either to commit a crime or evade detection. See, e.g., United States v. Santoro, 302 F.3d 76, 79 (2d Cir.2002). Arms-length commercial dealings do not give rise to the type of fiduciary relationship contemplated by § 3B1.3. Hirsch, 239 F.3d at 227 (An abuse of trust enhancement may not be imposed on a defendant convicted of fraud solely because of a violation of a legal obligation to be truthful and a victim's reliance on a misrepresentation.). Rather, an adjustment under this Guideline is appropriate where the defendant misuses substantial discretionary judgment that is ordinarily given considerable deference to achieve or conceal criminal conduct. See U.S. Sentencing Guidelines Manual § 3B1.3, cmt. n. 1. 50 On remand, the Government's witness, Terry Pandolfi, testified to the following facts. Pandolfi was a homeowner and mother of two young children. She hired Thorn to remove asbestos from her basement. In response to Pandolfi's telephone inquiry, Thorn visited her home and listed the steps that would be taken to separate the area, remove the asbestos in a way that would not expose it to me or my children. Thorn assured his prospective customer that the asbestos was going to be properly removed; it would be removed and all the work performed when my children and I were out of the house; that the work would be completely done and we would have absolutely no exposure to any asbestos as a result of any of the work performed. Thorn clearly looked around and could see there were kids and his answer was very much broader than [other contractors'] about taking safety steps. He also specifically assured her that his work would comply with the law. In addition, Thorn explained all of the ways he was going to keep my children and [me] safe by not exposing us to the asbestos in any way. 51 Pandolfi hired Thorn because she believed him [and] . . . trusted he would do those things, but she did not know actually if he did do them. Pandolfi explained that Thorn had separate and independent access to Pandolfi's basement for the work, which was performed when she was not present. Although the basement door was covered with plastic for two days during the removal project, Pandolfi could have accessed the area where A+ was working through another entrance, but she did not do so. Pandolfi testified that she did not expect to receive and did not receive a laboratory report analyzing asbestos samples from her basement. According to Pandolfi, her basement looked the same immediately following the removal project as it did before the project started, and she did not observe an accumulation of dust until a month or two after A+ completed the work. 52 After hearing Pandolfi's testimony, the District Court made the following findings: 53 Ms. Pandolfi's testimony indicated that she did provide defendant with absolute discretion in completing an abatement job at her home, she paid him without relying on any independent laboratory tests. Arguably, this could place defendant in a position of trust. However, it does not necessarily follow that defendant used his position of trust in the manner that significantly facilitated the commission or concealment of the offense. Defendant did not appear to try to conceal his shoddy work, at least not in her situation. Her testimony indicated that the dust left behind would have filled two trash bags, it was all over the children's toys; thus, had she looked in her basement at any time, it would have been obvious to her that such was the case, that defendant was not performing the abatement in a safe manner. 54 At issue is whether Thorn abused a position of trust in a manner that significantly facilitated either the commission or concealment of the offense. See U.S. Sentencing Guidelines Manual § 3B1.3. The passage quoted above reveals that the District Court focused only on the concealment prong of the Guideline. The District Court erred by failing to determine whether the arguable position of trust Thorn occupied with respect to the victim witness significantly facilitated the commission of the offense by lulling the homeowner into not taking steps to monitor the project. Although the District Court is no longer bound to apply the Guidelines, its duty under 18 U.S.C. § 3553(a) to consider the applicability of this Role in the Offense enhancement continues. See Crosby, 397 F.3d at 111-12. 55 The finding that defendant used his special skills to get hired and secure absolute discretion in doing the job is sufficient as a matter of law to establish that Thorn's abuse of Pandolfi's trust facilitated the crime. Moreover, the district court's finding is also sufficient as a matter of law to establish that Thorn's abuse of this trust aided in the concealment of the crime because Thorn's assurances led Pandolfi to forego independent testing to ensure the asbestos had been properly removed. Although Thorn might have corrupted that testing, as he had done with others who hired him, his abuse of Pandolfi's trust saved him that step and ensured that Pandolfi would not find a way to discover his illegal conduct with independent testing. Accordingly, we instruct the District Court to impose on the Guidelines calculation the two-level abuse-of-trust enhancement. 56