[PUBLISH]
IN THE UNITED STATES COURT OF APPEALS
FILED
FOR THE ELEVENTH CIRCUIT U.S. COURT OF APPEALS
ELEVENTH CIRCUIT
________________________ November 20, 2002
THOMAS K. KAHN
No. 01-16626 CLERK
________________________
D. C. Docket No. 01-00082-CR-T-30-MA
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
Cross-Appellant,
versus
FREDERICK STANLEY HALL, JR.,
Defendant-Appellant,
Cross-Appellee.
________________________
Appeals from the United States District Court
for the Middle District of Florida
_________________________
(November 20, 2002)
Before HULL, WILSON and FAY, Circuit Judges.
HULL, Circuit Judge:
Defendant Frederick Stanley Hall, Jr. appeals his convictions for distribution
and receipt of child pornography by computer through interstate or foreign
commerce, in violation of 18 U.S.C. § 2252A(a)(2) (2000). Hall also appeals the
district court’s order forfeiting his computer. The government cross-appeals the
district court’s denial of the sentencing enhancement under U.S.S.G. § 2G2.2(b)(3)
(2001) for the trafficking of materials that portray sadistic or masochistic conduct.
After review and oral argument, we affirm Hall’s convictions on all counts, but we
vacate his sentence and remand this case to the district court for resentencing.
I. BACKGROUND
A. Seized Computer in Texas
In 2000, law enforcement officials from the police department in Corpus
Christi, Texas seized a computer from a resident of Corpus Christi suspected of
distributing child pornography over the internet. The suspected individual had an
account with America Online, Inc. (hereinafter “AOL”) and had the following
electronic mail address (or “screen name”): “youngdad37.” A computer forensic
specialist, employed by the police department, extracted child pornographic images
from the hard drive of that individual’s computer.
Some of the child pornographic images extracted from the seized
computer—government exhibits 4A through 4K—had been exchanged between
“youngdad37" and another AOL user, with the screen name “hello im beth.”
These images depict: (1) an adult male vaginally penetrating a young girl (4A; 4B);
2
(2) minors performing oral sex on adult males (4C; 4D; 4I; 4J); (3) a minor
masturbating an adult male (4E); (4) a minor lewdly and lasciviously exposing her
genitalia (4F); and (5) minors engaged in sexual activities with adult males (4G;
4H; 4K).
B. Seized Computer in Florida
Further investigation revealed that the screen name “hello im beth” was
registered to Phyllis Hotaling, an AOL customer residing in Brandon, Florida. The
police department in Corpus Christi contacted Detective Phillipe Dubord of the
sheriff’s office in Hillsborough County, Florida and informed him that an
individual in Brandon was involved in trading child pornography. Dubord
ascertained that the defendant Hall, Hotaling’s son, resided with his mother in
Brandon. Dubord also learned that Hotaling’s account contained other screen
names, including the screen name “nytewalker666,” which the government later
used at trial to link Hall to the child pornographic images. The sheriff’s office then
obtained a warrant to search Hotaling’s home.
On February 5, 2001, Detective Dubord and other law enforcement officials
executed the search warrant at Hotaling’s residence in Brandon, Florida. They
removed some diskettes and two computers, including one located in Hall’s
3
bedroom. They also interviewed the occupants of Hotaling’s home and ascertained
that Hall was the person likely responsible for trading child pornography.
Detective Dubord and another law enforcement official informed Hall of his
Miranda1 rights, which Hall waived after signing an FBI form advising him of his
rights. They interviewed Hall in his bedroom, and he admitted that he had been
using AOL for approximately a year. Hall also acknowledged that he used AOL
screen names “hello im beth” and “nytewalker666,” among other screen names.
During the interview, Detective Dubord showed Hall child pornographic
images and asked Hall if he had seen them before. Hall admitted that he had sent
or received some of the child pornographic images. Hall initialed the ones that he
recalled having sent or received. These images, with Hall’s initials on them, were
later marked as government exhibits 4A through 4K and introduced into evidence
during Hall’s trial.
C. Indictment
On May 7, 2001, a grand jury indicted Hall for violating 18 U.S.C. §
2252A(a)(2) (2000) as follows: (1) distribution and receipt of child pornography
through interstate commerce by a computer on January 3, 2000 (Count One); (2)
receipt of child pornography through interstate commerce by a computer on
1
See Miranda v. Arizona, 384 U.S. 436 (1966).
4
January 6, 2000 (Count Two); and (3) distribution of child pornography through
interstate commerce by a computer on January 8, 2000 (Count Three). The
indictment also contained a forfeiture count, which charged that Hall shall forfeit
his interest in, inter alia, his computer for his engagement in the violations alleged
in Counts One through Three.
D. Pre-Trial
Prior to trial, the government provided written notice of its intent to
introduce a videotaped interview pursuant to Rules 404(b) and 807 of the Federal
Rules of Evidence. The interview was of a four-year old girl who was the victim
in a pending State of Florida case against Hall for lewd and lascivious molestation
and sexual battery on a victim less than 12 years of age. According to the district
court, the girl states in the videotape that Hall “licked [her] pee-pee” and
demonstrates physically how she touched Hall.
Hall moved to exclude this evidence from use during his trial. Hall argued
that the evidence would only inflame, confuse, and mislead the jury and
maintained that the probative value of the evidence was substantially outweighed
by its prejudice. In response, the government argued that the evidence was
probative of Hall’s interest in children and, consequently, probative of his intent in
receiving and distributing child pornography. The government also maintained
5
that it should be permitted to introduce the evidence in its case-in-chief because
Hall had pled not guilty and placed his intent directly at issue. The government
contended that any undue prejudice could be dispelled by a limiting instruction to
the jury.
After conducting a hearing and viewing the videotape, the district court
entered a pre-trial order determining that the evidence was relevant and admissible,
under Rules 404(b) and 807, to prove Hall’s intent, knowledge, and lack of mistake
or accident “in the event [that Hall] asserts lack of intent as a defense.” In such a
situation, the district court concluded that “the probative value of the videotape
exceeds its prejudicial effect and does not violate Fed. R. Evid. 403.” The district
court also provided Hall an opportunity to cross-examine the child before trial.
E. Trial
On the day of trial and before the jury was impaneled, the parties informed
the district court that they had come to an understanding concerning the admission
of the videotaped interview of the child. They advised the court that the
government would not seek to introduce the evidence in its case-in-chief but that it
would do so in its rebuttal case if Hall raised a defense such as intent or mistake.
Hall informed the court that he intended to rest following the government’s case-
in-chief and to hold the government to its burden of proof.
6
Trial commenced on August 20, 2001 and lasted for a day-and-a-half.
Events at trial proceeded as the parties had discussed. After the government
presented its case-in-chief, Hall rested without presenting a defense. The
videotaped interview of the child never was introduced into evidence. On August
21, the jury found Hall guilty on all three counts.
F. Sentence
On November 15, 2001, the district court sentenced Hall to 97 months
imprisonment on each count, such terms to run concurrently, and three years
supervised release. The district court compiled Hall’s criminal history score,
which placed him in category III, and calculated Hall’s total offense level as 26.
Hall’s base offense level was 17 for his convictions under 18 U.S.C. § 2252A(a)(2)
(2000). See U.S.S.G. § 2G2.2 (2001). The district court increased Hall’s base
offense level of 17 to an adjusted offense level of 26, by adding: (a) two levels
under U.S.S.G. § 2G2.2(b)(1) because the trafficked material (specifically,
government exhibits 4I and 4K) involved a minor under the age of 12; (b) five
levels under U.S.S.G. § 2G2.2(b)(2)(B) because Hall’s offenses involved
distribution for the receipt, or expectation of receipt, of a thing of value; and (c)
two levels under U.S.S.G. § 2G2.2(b)(5) because Hall used a computer to transmit
the material.
7
The government also requested that the district court increase Hall’s offense
level by four levels, under U.S.S.G. § 2G2.2(b)(3), for trafficking in materials that
portrayed sadistic or masochistic conduct or other depictions of violence. The
district court denied this request.2
Before the jury’s verdict, Hall stipulated to the forfeiture of his computer in
the event that the jury returned a guilty verdict. However, the district court did not
include the forfeiture in its initial written sentence, dated November 15, 2001. On
December 5, 2001, the district court amended that sentence and entered a
preliminary order of forfeiture regarding Hall’s computer. The district court
entered a final order of forfeiture on April 29, 2002. Both parties timely appealed.
II. RULE 404(b) EVIDENCE
On appeal, Hall argues that the district court’s pre-trial decision about the
government’s Rule 404(b) evidence was erroneous3 and forced him to surrender
2
Hall does not appeal any of these increases in his offense level by the
district court. Instead, the government cross-appeals the district court’s denial of
the additional four-level increase under U.S.S.G. § 2G2.2(b)(3).
3
Specifically, Hall argues that the district court’s ruling was improper
because: (1) the evidence of the alleged capital sexual battery was merely
propensity evidence; (2) the extrinsic offense did not require the same mens rea as
the charged offenses; (3) the evidence of capital sexual battery was not probative
of the intent necessary to commit the offense of receiving or distributing child
8
several constitutional rights.4 The government responds that Hall is not entitled to
relief because the Rule 404(b) evidence—the videotaped interview of the
child—never was introduced during the jury trial. Because the evidence never was
introduced, the government submits that the district court, in denying Hall’s pre-
trial motion to exclude the videotape, rendered an unreviewable advisory ruling.
The government argues that if Hall believed the district court’s ruling was in error,
he should have asserted lack of intent as a defense at trial, objected to the resulting
admission of the videotape, and then challenged its admission based on a complete
record.
For the reasons discussed below, we conclude that the district court’s pre-
trial decision about the videotape evidence under Rule 404(b) is not reviewable in
this appeal.
A. Luce v. United States
We begin our analysis of this issue with Luce v. United States, 469 U.S. 38
(1984), because it involved a similar situation. In Luce, the Supreme Court
pornography; and (4) the probative value of the extrinsic evidence was
substantially outweighed by the undue prejudice.
4
Hall argues that the district court’s evidentiary ruling forced him to
surrender his rights to due process, to confront witnesses, to testify on his own
behalf, to present witnesses, and to effective assistance of counsel.
9
concluded that a district court’s in limine evidentiary ruling, permitting prior
conviction evidence under Rule 609(a)(1) of the Federal Rules of Evidence, was
not reviewable because the defendant never testified and thus the government’s
prior conviction evidence was never introduced at trial.5 Luce, 469 U.S. at 42-43.
In Luce, the district court entered an in limine ruling during trial that a prior
conviction of the defendant could be used to impeach him if the defendant testified
at trial. Id. at 39-40. As a result, the defendant chose not to testify at trial. Id. at
40. The Supreme Court in Luce expressly considered whether a defendant may
obtain appellate review of a district court’s in limine evidentiary ruling concerning
the admissibility of the defendant’s prior conviction when the defendant chose not
to testify as a result of the district court’s ruling. Id. at 39. The Supreme Court
recognized that “[a] reviewing court is handicapped in any effort to rule on subtle
evidentiary questions outside a factual context.” Id. at 41. It further observed that
5
When Luce was decided, Rule 609(a)(1) provided in pertinent part:
General Rule.—For the purpose of attacking the credibility of a
witness, evidence that he has been convicted of a crime shall be
admitted if elicited from him or established by public record during
cross-examination but only if the crime (1) was punishable by death
or imprisonment in excess of one year under the law under which he
was convicted, and the court determines that the probative value of
admitting this evidence outweighs its prejudicial effect to the
defendant . . . .
Fed. R. Evid. 609(a)(1).
10
“[a]ny possible harm flowing from a district court’s in limine ruling permitting
impeachment by a prior conviction is wholly speculative,” id., and recognized that
a trial court’s “ruling is subject to change when the case unfolds, particularly if the
actual testimony differs from what was contained in the defendant’s proffer.” Id.
The Supreme Court also noted that “even if nothing unexpected happens at trial,
the district judge is free, in the exercise of sound judicial discretion, to alter a
previous in limine ruling.” Id. at 41-42.
In Luce, the Supreme Court further recognized that the defendant’s failure to
testify created difficulties for the reviewing court because of the question of
harmless error. Id. at 42. The Supreme Court reasoned that “[w]ere in limine
rulings under Rule 609(a) reviewable on appeal, almost any error would result in
the windfall of automatic reversal; the appellate court could not logically term
‘harmless’ an error that presumptively kept the defendant from testifying.” Id. In
view of these reasons, the Supreme Court held that “to raise and preserve for
review the claim of improper impeachment with a prior conviction, a defendant
must testify.” Id. at 43.
Subsequently, courts have not limited Luce to only evidentiary rulings under
Rule 609(a). For instance, this Court in United States v. Dimatteo, 759 F.2d 831
(11th Cir. 1985), extended Luce to apply to in limine rulings under Rule 608(b) of
11
the Federal Rules of Evidence.6 Adopting the Supreme Court’s rationale in Luce,
we held that “a defendant’s decision not to present a witness[,] whose credibility
would have formed the basis of an evidentiary objection under Rule 608(b)[,]
forecloses our ability to review the claim that the district court might have
erroneously allowed extrinsic evidence to impeach that witness in violation of Rule
608(b).” Id. at 833; see also United States v. Studnicka, 777 F.2d 652, 660 (11th
Cir. 1985) (holding that defendant’s tactical decision not to take the stand
precludes defendant from challenging on appeal the trial court’s ruling that allowed
the prosecutor to question defendant about certain matters).
B. Other Circuits
In addition, while this Court heretofore specifically has not addressed Luce
in a Rule 404(b) context, other circuits have held that Luce applies to in limine
evidentiary decisions under Rule 404(b).7 See United States v. Ortiz, 857 F.2d
6
Rule 608(b) provides in pertinent part that “[s]pecific instances of the
conduct of a witness, for the purpose of attacking or supporting the witness’
credibility ... may not be proved by extrinsic evidence.” Fed. R. Evid. 608(b).
7
When Ortiz was decided, Rule 404(b) provided in pertinent part that
“[e]vidence of other crimes, wrongs, or acts is not admissible to prove the character
of a person in order to show action in conformity therewith. It may, however, be
admissible for other purposes, such as proof of motive, opportunity, intent,
preparation, plan, knowledge, identity, or absence of mistake or accident.” Fed. R.
Evid. 404(b). This part of Rule 404(b) was worded the same at the time of Hall’s
trial and is worded the same today. Id. We point out, however, that subsequent to
12
900, 906 (2d Cir. 1988) (“The proper method to preserve a claim of error
[regarding Rule 404(b) motions] is to take the position that leads to the admission
of the adverse evidence, in order to bring a fully developed record to [the
reviewing court].”); United States v. Johnson, 767 F.2d 1259, 1270 (8th Cir. 1985)
(“Although Luce was decided under Fed. R. Evid. 609(a)(1), its logic applies with
equal force to motions under Rule 404.”).
For example, in Ortiz, the defendant was charged with possession of heroin
with intent to distribute, and the government sought to introduce into evidence the
defendant’s prior conviction as a prior similar act probative of intent under Rule
404(b). 857 F.2d at 902. Because defense counsel represented to the district court
that the defense was based on mistaken identity, and not lack of intent to distribute,
the court ruled in limine that the conviction would not be admitted into evidence.
Id. However, the district court cautioned defense counsel that it would alter its
ruling if counsel placed intent in issue by arguing that the defendant’s possession
of heroin was consistent with personal use. Id. at 902-03. Prior to closing
argument, defense counsel indicated to the district court that he would be making a
Ortiz, a notice provision was added, which requires in a criminal case “upon
request by the accused, the prosecution . . . shall provide reasonable notice in
advance of trial, or during trial if the court excuses pretrial notice on good cause
shown, of the general nature of any such evidence it intends to introduce at trial.”
Id.
13
personal use argument to the jury but ultimately elected not to because of the
district court’s continued admonition that it would allow the prior conviction into
evidence under Rule 404(b) if counsel chose to make the personal use argument.
Id. at 903. On appeal, the defendant sought reversal of his conviction on the
ground that the district court’s in limine ruling under Rule 404(b) was improper
and forced him to abandon the personal use theory. Id. at 905.
The Second Circuit in Ortiz rejected the defendant’s argument and
determined that Luce’s rationale was applicable equally in the context of in limine
rulings under Rule 404(b). Id. at 906. The Second Circuit reasoned that
“[a]lthough the district court ruled that it would admit Ortiz’s prior conviction if
defense counsel insisted on arguing personal use, the effect of the court’s decision
remained inchoate, its consequences unknowable because defense counsel did not
insist on making his personal use argument.” Id. at 905. The Second Circuit
continued that “[s]uch insistence would have led to full development of an
adequate record for purposes of appellate review. Defense counsel’s contrary
choice deprives us of such a record.” Id. The Second Circuit also determined that
because the defendant failed to insist on making a personal use argument, harmless
error analysis was meaningless because holding “that [defendant]’s claim was
preserved ‘would result in the windfall of automatic reversal’ . . . on the basis of
14
the district court’s in limine ruling.” Id. at 906 (quoting Luce, 469 U.S. at 42).
Thus, the Second Circuit concluded that the defendant’s “failure to challenge the
district court’s adverse disposition of the in limine Rule 404(b) motion by insisting
on the right to make the full personal use argument constitutes a waiver of any
claim of error in that decision.”8 Ortiz, 857 F.2d at 906.
C. Luce Applies to Rule 404(b)
We agree with Ortiz’s reasoning and conclude that Luce applies equally to in
limine rulings about Rule 404(b) evidence. Because Hall did not “take the position
that leads to the admission of the adverse evidence,” Ortiz, 857 F.2d at 906, the
record is too minimally developed to support any meaningful review of the district
court’s pre-trial decision about Rule 404(b) evidence. Consequently, any possible
harm flowing from the district court’s ruling—permitting the admission of the
videotaped interview of the child in the event that Hall raised a lack of intent
defense—is wholly speculative. Luce, 469 U.S. at 41. In sum, we conclude that
the district court’s pre-trial Rule 404(b) ruling is not reviewable because the
videotape evidence never was admitted into evidence. In fact, Hall’s tactical
8
Similarly, in United States v. Johnson, 767 F.2d 1259 (8th Cir. 1985), the
Eighth Circuit determined that Luce’s “logic applies with equal force to motions
under Rule 404.” Johnson, 767 F.2d at 1270. The Eighth Circuit then declined to
review the defendants’ claim that the trial court’s in limine ruling prevented them
from testifying. Id.
15
decision not to testify actually obtained the trial advantage of limiting the
government’s evidence on the intent issue and thereby prevented the government
from admitting the videotaped interview in its case-in-chief. This tactical decision,
however, not only caused an inadequate record for review but also, in effect,
constituted a waiver of any claim of error in that pre-trial 404(b) ruling.9
III. “APPEARS TO BE”
We now turn to Hall’s claim that the district court’s jury instructions were
erroneous in light of Ashcroft v. Free Speech Coalition, 122 S. Ct. 1389 (2002).
All three counts of the indictment alleged that Hall violated 18 U.S.C. §
9
Hall cites Brooks v. Tennessee, 406 U.S. 605 (1972), and New Jersey v.
Portash, 440 U.S. 450 (1979), and argues that Luce does not apply when a district
court’s preliminary ruling concerns a question reaching constitutional dimensions.
The problem for Hall is that the district court made an evidentiary ruling under
Rule 404(b) and did not decide a constitutional issue. Indeed, the Supreme Court
in Luce distinguished Luce from Brooks and Portash, stating that it “did not hold
[in Brooks and Portash] that a federal court’s preliminary ruling on a question not
reaching constitutional dimensions—such as a decision under Rule 609(a)—is
reviewable on appeal.” Luce, 469 U.S. at 42-43.
In contrast, both Brooks and Portash involve state court rulings directly
about the nature and extent of a defendant’s constitutional rights under the Fifth
Amendment. For example, in Brooks, the Supreme Court held unconstitutional a
Tennessee statutory requirement that a defendant in a criminal case had to be his
own first witness if he was to take the stand at all. Id. at 611-12. “Because the rule
imposed a penalty on the right to remain silent, the Court [in Brooks] found that his
constitutional rights had been infringed [by the trial court enforcing the rule] even
though he had never taken the stand.” Portash, 440 U.S. at 455-56 (citing Brooks,
406 U.S. at 611).
16
2252A(a)(2) (2000), which makes it a felony for any person knowingly to receive
or distribute child pornography in interstate commerce “by any means, including
by computer.” At the time of Hall’s indictment and trial, the definition of “child
pornography” included both images made using actual minors, 18 U.S.C. §
2256(8)(A) (2000), as well as “virtual child pornography,” as added by the Child
Pornography Prevention Act of 1996.
Thus, in charging the jury, the district court defined “child pornography”
using the words of the statute:
“[C]hild pornography” means any visual depiction, including any
photograph, film, video, picture, or computer or computer-generated
image or picture, whether made or produced by electronic,
mechanical, or other means, of sexually explicit conduct, where—
(A) the production of such visual depiction involves the use of a
minor engaging in sexually explicit conduct;
(B) such visual depiction is, or appears to be, of a minor
engaging in sexually explicit conduct;
(C) such visual depiction has been created, adapted, or modified
to appear that an identifiable minor is engaging in sexually
explicit conduct; or
(D) such visual depiction is advertised, promoted, presented,
described, or distributed in such a manner that conveys the
impression that the material is or contains a visual depiction of
a minor engaging in sexually explicit conduct . . . .
18 U.S.C. § 2256(8) (emphasis added). Subsequent to Hall’s trial, the Supreme
Court in Free Speech Coalition struck down as unconstitutional the words “or
appears to be” from the definition of child pornography contained in § 2256(8)(B)
17
and the entire definition of child pornography in § 2256(8)(D). 122 S. Ct. at 1406.
Free Speech Coalition left intact the ban on actual child pornography in the
remainder of § 2256(8). Id. at 1396.
On appeal, Hall challenges his conviction in light of the Supreme Court’s
decision in Free Speech Coalition. Hall argues that the district court erred in its
jury charge, rendering it impossible to determine from the record whether the jury
relied on the unconstitutional definitions of child pornography in convicting him.10
Because Hall did not object to this jury instruction defining child
pornography, we review this issue for plain error. See United States v. Sanchez,
269 F.3d 1250, 1280-81 (11th Cir. 2001) (en banc), cert. denied, 122 S. Ct. 1327
(2002). Thus, Hall must show that there is (1) “error,” (2) “that is ‘plain,’” and (3)
“that ‘affect[s] substantial rights.’” Johnson v. United States, 520 U.S. 461, 466-67
(1997) (quoting United States v. Olano, 507 U.S. 725, 732 (1993)). “If all three
conditions are met, an appellate court may then exercise its discretion to notice a
forfeited error, but only if (4) the error ‘seriously affect[s] the fairness, integrity, or
public reputation of judicial proceedings.’” Sanchez, 269 F.3d at 1281 (quoting
10
On all three counts, the jury returned a general verdict, “meaning that, in
theory, under the court’s charge, the jury could have convicted [Hall] by finding
that the images or pictures depicted virtual children, rather than real children.”
United States v. Richardson, 304 F.3d 1061, 1063 (11th Cir. 2002).
18
Olano, 507 U.S. at 732) (other internal quotation marks and citation omitted).
“[W]here the first two prongs of the plain error rule established by Olano are
satisfied, the defendant bears the burden of demonstrating that the plain error
‘affec[ted] substantial rights.’” United States v. Mitchell, 146 F.3d 1338, 1343
(11th Cir. 1998) (quoting Olano, 507 U.S. at 734) (internal quotation marks
omitted)). “In most cases, this means that the ‘error must have been prejudicial: It
must have affected the outcome of the district court proceedings.’” Mitchell, 146
F.3d at 1343 (quoting Olano, 507 U.S. at 734).
The government properly concedes that this jury instruction was erroneous
because it included the words “or appears to be,” and that the error was plain. It
submits, however, that the error did not affect Hall’s substantial rights and,
alternatively, that affirming Hall’s convictions would not “seriously affect the
fairness, integrity or public reputation of judicial proceedings.” We agree that Hall
has not carried his burden as to either the third or fourth prong of plain error
review.
We reach this conclusion because (1) the evidence established that the
children depicted in the pictures introduced at trial were actual children and (2) no
one ever claimed, or even hinted, that the images were of virtual children. For
example, Detective Dubord works with the Innocent Images Task Force, a federal
19
task force investigating child exploitation on the Internet. Dubord testified that
based on his training and experience, the images depicted minors. In addition, the
pictures sent out to the jury are in the record before this court and they show actual
children. In fact, there was no evidence at trial of any kind indicating or inferring
that the pictures contained images of virtual children as opposed to actual children.
In a recent post-Free Speech Coalition case, United States v. Richardson,
304 F.3d 1061 (11th Cir. 2002), this Court concluded that a jury instruction
including “appears to be” was plain error but affirmed the defendant’s conviction
under the same statute because the children in the images were actual children. Id.
at 1064. In Richardson, this Court stated that it had examined the images shown in
the actual pictures sent out to the jury and “[t]he children depicted in those images
were real. Of that we have no doubt whatsoever.” Id. (internal citation omitted).
Thus, we concluded that a reasonable jury could not have found that the images in
issue there were of virtual children created by computer imaging technology as
opposed to actual children.11 Id. at 1064 n. 2. Likewise, after examining the
11
Hall also argues that the government’s evidence was insufficient to convict
him under a constitutionally valid definition of child pornography. Although Hall
moved for judgment of acquittal under Rule 29 of the Federal Rules of Criminal
Procedure at the close of evidence, he never challenged the government’s proffer
of evidence as infirm on the ground that a portion of the definition statute was
unconstitutional and therefore the evidence was insufficient as to the remaining
definition. In fact, Hall never contested the validity of the statute under which he
20
pictures sent out to the jury during Hall’s trial, we conclude that the evidence
showed that the children depicted in those images were real and that no reasonable
jury could have found that the images were virtual children created by computer
technology as opposed to actual children.
IV. SENTENCING
A. Sentencing Hearing
In its cross-appeal, the government contends that the district court erred in
failing to apply a four-level sentence enhancement under U.S.S.G. § 2G2.2(b)(3)
(2001).12 At Hall’s sentencing hearing, the government requested a four-level
increase under § 2G2.2(b)(3) for the trafficking of materials involving the sexual
exploitation of a minor where the materials “portray[] sadistic or masochistic
conduct or other depictions of violence.” Id. The government sought this
was charged in any context. Thus, we also review this claim for plain error. See
Fed. R. Crim. P. 52(b); Olano, 507 U.S. at 736. However, under any standard of
review, the evidence was sufficient to sustain Hall’s convictions on all counts.
12
In Sentencing Guidelines cases, “[w]e review the district court’s
application of the Sentencing Guidelines de novo and its factual findings for clear
error.” United States v. Smith, 231 F.3d 800, 806 (11th Cir. 2000) (quoting 18
U.S.C. § 3742, which provides that “[t]he court of appeals . . . shall accept the
findings of fact of the district court unless they are clearly erroneous and shall give
due deference to the district court’s application of the guidelines to the facts”), cert.
denied, 532 U.S. 1019 (2001). Smith references § 3742(d) but this language is
actually in § 3742(e).
21
enhancement based on government exhibit 4A, which Hall sent to “youngdad37"
on January 3, 2001. Government exhibit 4A portrays an adult male vaginally
penetrating a very young girl, well under the age of twelve. The government
argued that the vaginal penetration of such a young child by an adult male would
necessarily cause pain, and thus this image portrayed sadistic13 conduct.
The district court declined to apply the sadistic conduct enhancement in §
2G2.2(b)(3), for two reasons. First, the district court stated that “the activity
depicted is what he’s [been] charged and convicted with in the first place. It’s
what makes it pornographic.” The district court also noted that it had already
applied a two-level increase under U.S.S.G. § 2G2.2(b)(1) for the trafficking of
materials involving the sexual exploitation of a minor where the material involves
a minor under the age of twelve years.14 Second, the district court declined to find
that the image in exhibit 4A depicted sadism because the young child’s expression
in that picture did not indicate sufficiently that she actually was experiencing pain.
B. Prior Precedent
13
Webster's Third New International Dictionary defines “sadism” to include
"the infliction of pain upon a love object as a means of obtaining sexual release,"
"delight in physical or mental cruelty," and the use of "excessive cruelty.”
14
The district court based this enhancement on government exhibits 4I and
4K.
22
The Sentencing Guidelines do not specify what constitutes materials that
portray “sadistic or masochistic conduct or other depictions of violence” prescribed
in U.S.S.G. § 2G2.2(b)(3). However, several recent decisions in our circuit have
construed the meaning of this language in § 2G2.2(b)(3), specifically the term
“sadistic,” and determined what is required for this particular enhancement to apply.
In United States v. Garrett, 190 F.3d 1220 (11th Cir. 1999), this Court concluded
that an image that displays the subjection of a young child to a sexual act that would
have to be painful is “sadistic” within the meaning of § 2G2.2(b)(3). Garrett, 190
F.3d at 1224. Thus, we affirmed in Garrett “the district court’s finding, based on
the medical expert testimony, that the act of adult men’s vaginal and anal
penetration of children between eight and eleven years of age would be considered
sadistic.” United States v. Caro, No. 01-16311, slip op. 227, at 229 (11th Cir. Oct.
21, 2002) (discussing Garrett, 190 F.3d at 1224).
This Court revisited the meaning of this same language in § 2G2.2(b)(3) in
United States v. Bender, 290 F.3d 1279 (11th Cir. 2002), cert. denied, __ S. Ct. __,
No. 02-6870 (U.S. Nov. 18, 2002). In Bender, in affirming the district court’s
application of an enhancement under § 2G2.2(b)(3), we “clarified our ruling in
Garrett regarding what constitutes a sadistic image.” Caro, No. 01-16311, slip op.
at 229-30; see Bender, 290 F.3d at 1285-86. We stated that “a photograph is
23
sadistic within the meaning of Section 2G2.2(b)(3) when it depicts the ‘subjection
of a young child to a sexual act that would have to be painful.’” Bender, 290 F.3d
at 1286 (quoting Garrett, 190 F.3d at 1224). We then determined that photographs
of “very young children being vaginally and anally penetrated by adult males” are
sadistic images warranting a § 2G2.2(b)(3) enhancement. Bender, 290 F.3d at
1286; Caro, No. 01-16311, slip op. at 230.
Finally, in Caro, this Court explained what is required to show that
application of an enhancement under § 2G2.2(b)(3) is appropriate. In Caro, the
district court “refused to find, without expert testimony showing that the images on
[defendant]’s computer involved pain to the minors portrayed, that these images
constituted sadistic or masochistic material.” Id. at 229. In Caro, we expressly
rejected this understanding of § 2G2.2(b)(3) and determined that if the pictures
depicted adult males vaginally and anally penetrating “young children,” the
government is not required to present expert medical testimony to prove that the
images necessarily involved pain to those “young children.” Id. at 230. The
images in Caro showed: (a) “adult males vaginally and anally penetrating
prepubescent girl”; (b) “prepubescent girls being anally and vaginally penetrated
by use of foreign objects”; and (c) “prepubescent girls in leg restraints or tied in
ropes being penetrated vaginally and anally by adult males.” Id. at 230. Thus, in
24
Caro, we remanded the defendant’s sentence with directions that on re-sentencing,
the district court apply the four-level increase under § 2G2.2(b)(3). Id. at 230, 231.
In Caro, we held that anal or vaginal penetration of a young child “would have to
be painful” as follows:
We have clearly held that such penetration would be painful to young
children, and that pictures depicting young children being subjected to
sexual acts that would have to be painful—without reference to any
supporting expert medical testimony—are sadistic images warranting
a § 2G2.2(b)(3) enhancement.
Id. at 230 (citing Bender, 290 F.3d at 1286-87).
In summary, this Circuit’s recent precedent establishes that a sentencing
enhancement under § 2G2.2(b)(3), for the portrayal of sadistic conduct,15 is
warranted when cases involve images displaying an adult male vaginally or anally
penetrating a young child. Id. at 1286; Caro, No. 01-16311, slip op. at 230.16 In
15
The government relies solely on the “sadistic” prong of § 2G2.2(b)(3);
thus, we do not address what constitutes the portrayal of “masochistic conduct or
other depictions of violence” under that section.
16
Hall asserts that this Court should decline to place any precedential value
on Bender and Garrett because, in Hall’s view, these decisions relied on an
improper standard of review. Both decisions state that we review de novo “the
district court’s application of the sentencing guidelines to the facts.” Bender, 290
F.3d at 1284; Caro, No. 01-16311, slip op. at 229. Hall contends that the proper
standard of review was instead due deference to the district court’s application of
the Sentencing Guidelines to the facts. See 18 U.S.C. § 3742(e)(2000). Hall
misapprehends the import of § 3742(e). In Sentencing Guidelines cases, we review
de novo the district court’s application of the law to the facts, including application
25
addition, Caro establishes that the government is not required to provide expert
testimony to prove that the images necessarily involved pain to the young children
depicted because “such penetration . . . would have to be painful.” Id. Therefore,
when an image contains such a portrayal, a sentencing court need not determine, in
applying § 2G2.2(b)(3), whether the minor’s expression sufficiently reveals that he
or she is experiencing pain if the court determines that (1) the minor in the image is
a young child and (2) the image portrays vaginal or anal penetration of a young
child by an adult male. Under our precedent, the four-level enhancement pursuant
to § 2G2.2(b)(3) is warranted because such penetration would necessarily be
painful.
C. Image in Hall’s Case
of the guidelines to the facts. United States v. Renick, 273 F.3d 1009, 1021 (11th
Cir. 2001) (“This court reviews the district court's sentencing hearing findings of
fact for clear error and its application of the sentencing guidelines to those facts de
novo.”); Smith, 231 F.3d at 806; United States v. Tucker, 136 F.3d 763, 764 (11th
Cir. 1998); see note 12 supra. Although this Court, as part of its de novo review,
gives due deference to the district court’s application of the guidelines to the facts,
this Court is not bound by the district court’s application of the guidelines to the
facts and our review remains de novo. In any event, Bender and Caro are correctly
decided under any standard of review. Indeed, all circuits considering this issue
have concluded that medical testimony is not needed to show that anal or vaginal
penetration of a young child would be painful for purposes of U.S.S.G. §
2G2.2(b)(3). See, e.g., Caro, No. 01-16311, slip op. at 230 n. 1 (listing and
discussing cases from other circuits).
26
In light of our precedent, we conclude that the district court clearly erred in
finding that the image in government exhibit 4A did not depict the infliction of
pain.17 In reviewing the image to see if the young child in the image visually
indicated that she was experiencing pain, the district court failed to recognize that
an adult male vaginally or anally penetrating a young child would necessarily
cause pain to that child. The image in government exhibit 4A depicts actual, not
illusory, vaginal penetration of a young child by an adult male. Moreover, it is
plain that the victim in this image is a very young child. At sentencing, Agent
Dubord testified that the girl was “definitely under 12.” The image itself reveals
17
In addition, the district erred in its legal conclusion that U.S.S.G. §
2G2.2(b)(3) was inapplicable because the image also provided the basis of one of
Hall’s convictions. Contrary to the district court’s interpretation of U.S.S.G. §
2G2.2(b)(3), that an image forms the basis of a conviction under 18 U.S.C. §
2252A(a)(2) does not preclude the application of a sentencing enhancement under
the Guidelines. Cf. United States v. Naves, 252 F.3d 1166, 1168 (11th Cir.)
(“Impermissible double counting occurs only when one part of the Guidelines is
applied to increase a defendant's punishment on account of a kind of harm that has
already been fully accounted for by application of another part of the Guidelines.”)
(quotation marks omitted), reh’g en banc denied, 273 F.3d 395 (11th Cir. 2001).
Moreover, we note that U.S.S.G. § 2G2.2(b)(3) applies to a much narrower
category of pictures than 18 U.S.C. § 2252A(a)(2) does. While 18 U.S.C. §
2252A(a)(2) makes it a felony for a defendant to knowingly receive or distribute
any child pornography that has been mailed, shipped, or transported in interstate
commerce by any means, including computer, U.S.S.G. § 2G2.2(b)(3) provides for
a sentencing enhancement only when the materials trafficked portray sadistic or
masochistic conduct or other depictions of violence.
27
that the child is considerably younger than 12,18 given the small size of the child
overall, the small size of her hands, her total lack of pubic hair and breast tissue
development, and the relative size of the child vis-à-vis the adult male in the
picture.
Accordingly, after a careful review of government exhibit 4A, we have little
difficulty concluding that the district court clearly erred in finding that the
government had not established that exhibit 4A involved pain and was sadistic.
Thus, a four-level sentencing enhancement was warranted under § 2G2.2(b)(3).
V. FORFEITURE
Rule 35(c) of the Federal Rules of Criminal Procedure provides that “the
court, acting within seven days after the imposition of sentence, may correct a
sentence that was imposed as a result of arithmetical, technical, or other clear
error.” Fed. R. Crim. P. 35(c). Here, the district court sentenced Hall on
November 15, 2001 but did not enter an order of forfeiture regarding Hall’s
computer until December 5, 2001, twenty days after the imposition of Hall’s
18
The government contends that the child in the picture is actually 4 years
old, but we could locate no actual evidence of her precise age in the record. Thus,
while the government’s contention is consistent with the picture, we only say that
she is considerably younger than 12.
28
sentence. Thus, Hall argues that this Court should order the district court to strike
the order of forfeiture.
We need not address this issue because we vacate Hall’s sentence on other
grounds and remand this case for re-sentencing. This result pretermits our need to
address this issue. On remand, the district court can consider anew whether to
enter an order of forfeiture simultaneously with Hall’s resentencing.
VI. CONCLUSION
For the reasons stated herein, we affirm Hall’s convictions on all counts, but
we vacate Hall’s sentence and remand this case to the district court for
resentencing with directions that it apply the four-level increase under §
2G2.2(b)(3).
AFFIRMED IN PART; VACATED AND REMANDED IN PART.
29