IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT United States Court of Appeals
Fifth Circuit
F I L E D
August 10, 2007
No. 06-11002
Charles R. Fulbruge III
Clerk
UNITED STATES OF AMERICA
Plaintiff - Appellee
v.
SHIU SUN SHUM, also known as Nixon Shum
Defendant - Appellant
Appeal from the United States District Court
for the Northern District of Texas
Before HIGGINBOTHAM, WIENER, and GARZA, Circuit Judges.
EMILIO M. GARZA, Circuit Judge:
Shiu Sun Shum (“Shum”) appeals his convictions following a jury trial for
conspiring to conceal, harbor or shield aliens from detection and for concealing,
harboring or shielding aliens for the purpose of commercial advantage and
private financial gain in violation of 8 U.S.C. § 1324(a)(1)(A)(v)(I), (a)(1)(A)(iii),
and (a)(1)(B)(i).
Shum challenges the sufficiency of the evidence to uphold his convictions.
Because Shum properly preserved this issue by moving for a judgment of
acquittal at the close of the Government’s case and at the close of all evidence,
we review this issue de novo. United States v. Penaloza-Duarte, 473 F.3d 575,
579 (5th Cir. 2006). In deciding whether the evidence was sufficient, we review
No. 06-11002
all evidence in the light most favorable to the verdict to determine whether a
rational trier of fact could have found that the evidence established the essential
elements of the offense beyond a reasonable doubt. See Jackson v. Virginia, 443
U.S. 307, 319 (1979); United States v. De Jesus-Batres, 410 F.3d 154, 160 (5th
Cir. 2005).
To convict Shum of concealing, harboring or shielding aliens, the
Government must establish the following four elements: “(1) the alien entered
or remained in the United States in violation of the law, (2) the defendant
concealed, harbored or sheltered the alien in the United States, (3) the defendant
knew or recklessly disregarded that the alien entered or remained in the United
States in violation of the law, and (4) the defendant’s conduct tended to
substantially facilitate the alien remaining in the United States illegally.” De
Jesus-Batres, 410 F.3d at 160; see also 8 U.S.C. § 1324(a)(1)(A)(iii).1
Shum argues only that the Government failed to prove the fourth
element—that his conduct “substantially facilitated” an alien’s ability to remain
in the United States illegally. Shum does not dispute that his office-cleaning
company hired illegal aliens as janitors, but he argues that employing these
aliens did not “substantially facilitate” their ability to remain in the United
States. Rather, he argues, employment made it more likely that they would be
detected and deported. Specifically, Shum asserts that those aliens whom he
was charged with harboring testified at trial that they had remained in the
United States before and after they were employed by Shum and that, therefore,
1
The conspiracy count required proving, inter alia, a direct or indirect agreement to
commit the underlying offense. See De Jesus-Batres, 410 F.3d at 160. While Shum claims to
challenge both convictions, he does not argue that the evidence was insufficient to prove the
requisite elements of conspiracy; therefore, we do not address it.
For the same reason, we do not address the jury’s finding that Shum’s crime was
committed for “commercial advantage or private financial gain.” We note, however, that the
Government did not need to prove that Shum’s crime was committed for financial gain for
purposes of a conviction, but rather to support the sentencing court’s imposition of the
heightened penalty provided in 8 U.S.C. § 1324(a)(1)(B)(i).
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No. 06-11002
his conduct had no bearing on the aliens’ remaining in the United States
illegally.
We reject Shum’s narrow view of what it means to “substantially facilitate”
an alien’s remaining in the country. He would have the Government show that
“but for” his conduct, the affected alien or aliens would not remain in the United
States. Congress intended for § 1324 to deter “[e]mployers . . . from hiring
unauthorized aliens and this, in turn[,] will deter aliens from entering illegally
or violating their status in search for employment.” United States v. Kim, 193
F.3d 567, 573 (2d Cir. 1999) (quoting H.R.Rep. No. 99-682(I), at 46 (1986),
reprinted in 1986 U.S.C.C.A.N. 5649, 5650). We decline to adopt a definition of
“substantially facilitate” that undermines Congress’s purpose in enacting § 1324.
Instead, we hold that to “substantially facilitate” means to make an alien’s
illegal presence in the United States substantially “easier or less difficult.”
United States v. Dixon, 132 F.3d 192, 200 (5th Cir. 1997).
A rational trier of fact could have found that Shum made it easier for
aliens to remain in the United States illegally. There was evidence that Shum
was vice-president of an office-cleaning company and that he employed as
janitors aliens without legal status. Witnesses testified that Shum provided
false identifications to these aliens to facilitate the background check required
to clean government buildings. Shum admitted to police that he made these
false identification cards. A former subordinate testified that Shum did not file
social security paperwork on aliens. In sum, there is ample evidence that Shum
provided aliens with employment in the United States and took steps that would
shield their identities from detection by the government. Thus, the evidence was
sufficient to show that Shum “substantially facilitated” these aliens’ ability to
remain in the United States illegally. See Kim, 193 F.3d at 574-75 (finding
sufficient for harboring conviction evidence that defendant “took steps designed
to help [the alien] remain in his employ, undetected by the INS”).
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No. 06-11002
Shum also argues that the testimony of his former co-defendant was not
credible. However, in determining sufficiency, we do not review the credibility
of witnesses. Penaloza-Duarte, 473 F.3d at 579 (citing United States v. Garcia,
995 F.2d 556, 561 (5th Cir. 1993)).
AFFIRMED.
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