F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
FEB 22 2001
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
v. No. 00-1269
HUNG VIET MA,
Defendant-Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLORADO
(D.C. No. 99-CR-375)
Submitted on the briefs:
Thomas L. Strickland, United States Attorney, Joseph Mackey, Assistant
U.S. Attorney, and James C. Murphy, Assistant U.S. Attorney, Denver, Colorado,
for Plaintiff-Appellee.
Jeffrey R. Edelman of Jeffrey R. Edelman, P.C., Parker, Colorado, for Defendant-
Appellant.
Before PORFILIO , ANDERSON , and BALDOCK , Circuit Judges.
ANDERSON , Circuit Judge.
Defendant, formerly a window clerk for the United States Postal Service,
was convicted of mail theft by a postal employee, 18 U.S.C. § 1709. He was
sentenced to four months’ imprisonment, followed by an additional four months
of home detention using an electronic monitoring device, and supervised release.
He appeals 1 only his sentence, arguing that the district court improperly adjusted
his offense level by adding two levels for abusing a position of trust in
accordance with United States Sentencing Guidelines (USSG) § 3B1.3,
Application note 1, which describes abuse of a position of private or public trust
or use of a special skill to facilitate the commission or concealment of an offense.
The final paragraph of note 1 states:
[B]ecause of the special nature of the United States mail an
adjustment for an abuse of a position of trust will apply to any
employee of the U.S. Postal Service who engages in the theft or
destruction of undelivered United States mail.
The Supreme Court has stated that “commentary in the Guidelines Manual
that interprets or explains a guideline is authoritative unless it violates the
Constitution or a federal statute, or is inconsistent with, or a plainly erroneous
reading of, that guideline.” Stinson v. United States , 508 U.S. 36, 38 (1993). We
1
After examining the briefs and appellate record, this panel has determined
unanimously to grant the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1(G). The case is therefore
ordered submitted without oral argument.
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have interpreted this to mean that “[d]istrict courts are obliged to follow the
explanatory application notes unless they are plainly erroneous, inconsistent with
the guidelines, or violative of the Constitution or a federal statute.” United States
v. Mojica , 214 F.3d 1169, 1171 (10th Cir. 2000).
Earlier commentary by the Sentencing Commission did not provide much
guidance as to what constituted a position of trust, stating only that
1. The position of trust must have contributed in some substantial
way to facilitating the crime and not merely have provided an
opportunity that could as easily have been afforded to other
persons. This adjustment, for example, would not apply to an
embezzlement by an ordinary bank teller.
2. “Special skill” refers to a skill not possessed by members of
the general public and usually requiring substantial education,
training or licensing. Examples would include pilots, lawyers,
doctors, accountants, chemists, and demolition experts.
Background : This adjustment applies to persons who abuse their
positions of trust or their special skills to facilitate significantly the
commission or concealment of a crime. Such persons generally are
viewed as more culpable.
Historical Note : Effective November 1, 1987, Amended effective November 4,
1990 ( see Appendix C, amendment 346).
The current commentary to § 3B1.3 is considerably more specific:
1. “Public or private trust” refers to a position of public or
private trust characterized by professional or managerial
discretion ( i.e. , substantial discretionary judgment that is
ordinarily given considerable deference). Persons holding
such positions ordinarily are subject to significantly less
supervision than employees whose responsibilities are
primarily nondiscretionary in nature. For this enhancement to
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apply, the position of trust must have contributed in some
significant way to facilitating the commission or concealment
of the offense ( e.g. , by making the detection of the offense or
the defendant’s responsibility for the offense more difficult).
This adjustment, for example, would apply in the case of an
embezzlement of a client’s funds by an attorney serving as a
guardian, a bank executive’s fraudulent loan scheme, or the
criminal sexual abuse of a patient by a physician under the
guise of an examination. This adjustment would not apply in
the case of an embezzlement or theft by an ordinary bank teller
or hotel clerk because such positions are not characterized by
the above-described factors.
Notwithstanding the preceding paragraph, because of the
special nature of the United States mail an adjustment for an
abuse of a position of trust will apply to any employee of the
U.S. Postal Service who engages in the theft or destruction of
undelivered United States mail.
2. “Special skill” refers to a skill not possessed by members of
the general public and usually requiring substantial education,
training or licensing. Examples would include pilots, lawyers,
doctors, accountants, chemists, and demolition experts.
Background : This adjustment applies to persons who abuse their
positions of trust or their special skills to facilitate significantly the
commission or concealment of a crime. Such persons generally are
viewed as more culpable.
Historical Note : Effective November 1, 1987, Amended effective
November 1, 1990 ( see Appendix C, amendment 346); November 1, 1993
(see Appendix C, amendment 492).
In general, the issue of whether a defendant occupied a position of trust
under USSG § 3B1.3 is a factual matter, reviewable for clear error. See United
States v. Burridge , 191 F.3d 1297, 1305 (10th Cir. 1999). To support an
enhancement, the court must find that defendant possessed a skill or position of
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trust and that defendant used that skill or abused that position to significantly
facilitate the commission or concealment of the offense. See United States v.
Burt , 134 F.3d 997, 998-99 (10th Cir. 1998). Here, there is no question that
defendant was a postal employee and that he was convicted of theft of
undelivered United States mail while working in that position.
However, we review questions of law concerning application of the
sentencing guidelines de novo. United States v. Keeling , 235 F.3d 533, 535 (10th
Cir. 2000). Based on the clear language of the application note, this enhancement
provision applied to defendant.
Although we have not considered this enhancement provision in the context
of a postal employee, a number of courts have done so. See, e.g. , United States v.
Melendez , 41 F.3d 797, 799 (2d Cir. 1994) (applying two-level adjustment under
§ 3B1.3 to postal worker with greater degree of trust than ordinary workers under
pre-1993 application notes); United States v. Lamb , 6 F.3d 415, 421 (7th Cir.
1993) (holding postal letter carrier had access to valuable mail and because
defendant’s access was direct result of position, he occupied position of trust);
United States v. Milligan , 958 F.2d 345, 347 (11th Cir. 1992) (applying § 3B1.3
to postal window clerk and rejecting argument that position was no different than
ordinary bank clerk); United States v. Ajiboye , 961 F.2d 892, 894-95 (9th Cir.
1992) (applying § 3B1.3 to enhance sentence of postal mail carrier convicted of
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theft of mail and possession of stolen mail); United States v. Lange , 918 F.2d
707, 710 (8th Cir. 1990) (holding district court erred by not adding § 3B1.3
enhancement for abuse of position of trust to postal worker convicted under 18
U.S.C. § 1709); see also United States v. Smaw , 22 F.3d 330 332-33 (D.C. Cir.
1994) (noting Commission’s use of “special nature” of United States mail and
specific application of § 3B1.3 to any postal service employee); United States v.
Brown , 7 F.3d 1155, 1162 n.5 (5th Cir. 1993) (noting 1993 amendment to § 3B1.3
commentary added language applying abuse of trust enhancement “to any
employee of U.S. Postal Service”); United States v. Brelsford , 982 F.2d 269,
271-72 (8th Cir. 1992) (noting difference between postal employees and ordinary
bank tellers; holding uniqueness of job not relevant in determining position of
trust, but rather whether trust is inbred to nature of position). We disagree with
the views expressed in United States v. Cuff , 999 F.2d 1396, 1397 (9th Cir. 1993)
(per curiam) (distinguishing Ajiboye and reversing application of § 3B1.3 to
postal employee convicted of mail theft in violation of 18 U.S.C. § 1709,
specifically “fail[ing] to see any significant distinction between the bank teller
who embezzles funds and Cuff, who stole mail packages while employed in
unloading them and moving them into the workroom”) and United States v.
Tribble , 206 F.3d 634, 636-37 (6th Cir. 2000) (disagreeing with other courts’
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holdings that postal window clerks occupy position of trust and reversing
sentence enhancement under § 3B1.3 based on misappropriation of postal funds).
We hold that the district court did not err in applying the sentence
enhancement provision of USSG § 3B1.3 to defendant.
AFFIRMED .
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