U.S. v. Guzman-Mata

• Decision Date: 27 August 2009
• Docket Number: No. 08-10061.,08-10061.
• Citation: 579 F.3d 1065
• Parties: UNITED STATES of America, Plaintiff-Appellee, v. Sair GUZMAN-MATA, a.k.a. Claudio Rios-Guzman, Defendant-Appellant.
• Court: U.S. Court of Appeals — Ninth Circuit

579 F.3d 1065

UNITED STATES of America, Plaintiff-Appellee, v. Sair GUZMAN-MATA, a.k.a. Claudio Rios-Guzman, Defendant-Appellant.

No. 08-10061.

United States Court of Appeals, Ninth Circuit.

Argued and Submitted February 9, 2009.

Filed August 27, 2009.

David T. Shannon, Assistant Arizona Federal Public Defender, Tuscon, AZ, for defendant-appellant, Sair Guzman-Mata.

Celeste B. Corlett and George Ferko, Assistant United States Attorneys for the District of Arizona, Tuscon, AZ, for appellee United States of America.

Appeal from the United States District Court for the District of Arizona, Frank R. Zapata, District Judge, Presiding. D.C. No. CR-07-01518-FRZ.

Before: JOHN T. NOONAN, MARSHA S. BERZON, and N. RANDY SMITH, Circuit Judges.

N.R. SMITH, Circuit Judge:

Appellant Sair Guzman-Mata appeals the sentence imposed after he pleaded guilty to illegal re-entry into the United States, in violation of 8 U.S.C. § 1326. Specifically, Guzman-Mata challenges the district court's imposition of a 16-level enhancement (under the U.S. Sentencing Guidelines Manual (U.S.S.G.) § 2L1.2(b)(1)(A)) for Guzman-Mata's prior conviction under 8 U.S.C. § 1324(a)(1)(A).¹ We hold that a conviction under 8 U.S.C. § 1324(a)(1) is categorically an "alien smuggling offense" under U.S.S.G. § 2L1.2(b)(1)(A). Therefore, the district court did not plainly err in imposing the enhancement and we affirm Guzman-Mata's sentence.

FACTS AND PROCEDURAL HISTORY

Guzman-Mata was deported in August 2007 following his arrest and conviction for felony domestic assault in Minnesota. Three days after his deportation, Border Patrol agents in Naco, Arizona, apprehended Guzman-Mata. He was subsequently charged with illegal re-entry, in violation of 8 U.S.C. § 1326, enhanced by 8 U.S.C. § 1326(b)(2). With the advice of counsel, Guzman-Mata pleaded guilty on October 9, 2007.

The Presentence Investigation Report ("PSR") determined that Guzman-Mata had a Criminal History Category of VI for eighteen different criminal convictions over a ten-year period.² At the time of his sentencing, the record indicated that Guzman-Mata had been previously deported fourteen times.

For the present § 1326 violation, the district court determined Guzman-Mata's base offense level to be eight. See U.S.S.G. § 2L1.2. Guzman-Mata received a three point reduction for acceptance of responsibility and for timely notifying the government of an intention to plead guilty. See U.S.S.G. §§ 3E1.1(a)-(b). Per the PSR, the district court also applied a 16-level enhancement (under U.S.S.G. § 2L1.2(b)(1)(A)(vii)) for Guzman-Mata's prior conviction of an alien smuggling offense under 8 U.S.C. § 1324(a)(1). With a total offense level of 21, the district court calculated the sentencing range to be 77 to 96 months. The district court then expressly considered the § 3553(a) sentencing factors and sentenced Guzman-Mata to 77 months' imprisonment. At sentencing, Guzman-Mata made no objection to the PSR or to the sentence imposed. This appeal followed.

STANDARD OF REVIEW

We review de novo the district court's interpretation and application of the Federal Sentencing Guidelines, including whether a prior conviction qualifies for enhancement under U.S.S.G. § 2L1.2(b)(A). See United States v. Rodriguez-Rodriguez, 393 F.3d 849, 856 (9th Cir.2005). However, because Guzman-Mata did not object to the sentencing enhancement at the time of sentencing, we review his sentence only for plain error. See United States v. Rodriguez-Lara, 421 F.3d 932, 948 (9th Cir.2005). Plain error is "(1) error, (2) that is plain, and (3) that affects substantial rights." Id. (quoting United States v. Ameline, 409 F.3d 1073, 1078 (9th Cir.2005) (en banc) (omitting citation and internal quotation marks)). Even if Guzman-Mata shows plain error, we may only reverse if the error "seriously affects the fairness, integrity, or public reputation of judicial proceedings." Id. at 948-49 (quoting Ameline, 409 F.3d at 1078 and omitting citation and internal quotation).

DISCUSSION

I. A Conviction under § 1324(a)(1) Qualifies as an "Alien Smuggling Offense" under U.S.S.G. § 2L1.2(b)(1)(A).

We must decide whether Guzman-Mata's prior conviction under 8 U.S.C. § 1324(a)(1)(A)(ii)³ qualifies as an "alien smuggling offense" for the purposes of U.S.S.G. § 2L1.2(b)(1)(A). To do so, we look to § 1324(a)(1)(A) and compare its elements to the definition of an alien smuggling offense under U.S.S.G. § 2L1.2(b)(1)(A)(vii) to determine whether the "statutory definition substantially corresponds to [the] `generic' [offense]." See Taylor v. United States, 495 U.S. 575, 602, 110 S.Ct. 2143, 109 L.Ed.2d 607 (1990).

When interpreting the Sentencing Guidelines, we apply the general rules of statutory construction. See United States v. Valenzuela, 495 F.3d 1127, 1133 (9th Cir.2007) (citations omitted). Under these rules, "[t]he plain meaning of unambiguous language in a guideline provision controls." Id. "[C]ommentary 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, 113 S.Ct. 1913, 123 L.Ed.2d 598 (1993).

A. The Alien Smuggling Enhancement Applies when the Defendant has been Previously Convicted of Violating § 1324(a)(1)(A).

We begin with the text of the relevant Guideline, which provides, "If the defendant previously was deported, or unlawfully remained in the United States, after ... an alien smuggling offense, increase [the offense level] by 16 levels." U.S.S.G. § 2L1.2(b)(1)(A)(vii) (emphasis added). The commentary to the Guideline provides: "`Alien smuggling offense' has the meaning given that term in section 101(a)(43)(N) of the Immigration and Nationality Act ["INA"] (8 U.S.C. [§ ] 1101(a)(43)(N))." U.S.S.G. § 2L1.2, cmt. app. n. 1(B)(i). The INA defines "alien smuggling offense" as:

an offense described in paragraph (1)(A) or (2) of section 1324(a) of this title (relating to alien smuggling), except in the case of a first offense for which the alien has affirmatively shown that the alien committed the offense for the purpose of assisting, abetting, or aiding only the alien's spouse, child, or parent (and no other individual) to violate a provision of this chapter[.]

§ 1101(a)(43)(N) (emphasis added).

We find nothing ambiguous about the plain language of the Guideline, its commentary, and the statutory definitions it incorporates by reference. The 16-level alien smuggling enhancement applies if there is a prior conviction for an offense described in § 1324(a)(1)(A) or (2). See U.S.S.G. § 2L1.2(b)(1)(A)(vii) & cmt. app. note 1(B)(I); § 1101(a)(43)(N). In this case, the offense (for which Guzman-Mata was previously convicted and for which the district court applied the sentencing enhancement) was a violation of § 1324(a)(1)(A)(ii). Therefore, the alien smuggling enhancement applies unless Guzman-Mata can show that he falls within its limited exception. That is, a prior conviction under § 1324(a)(1)(A) will qualify as an alien smuggling offense "except in the case of a first offense for which the alien has affirmatively shown that the alien committed the offense for the purpose of assisting, abetting, or aiding only the alien's spouse, child, or parent (and no other individual) to violate a provision of this chapter[.]" See § 1101(a)(43)(N) (emphasis added).⁴

At sentencing, Guzman-Mata did not argue and made no effort to show that his prior offense was a first offense that involved only members of his family.⁵ In fact, Guzman-Mata raised no objections regarding the district court's adoption of the PSR and imposition of the 16-level enhancement. Given the plain language of the statute and Guzman-Mata's failure to show the applicability of the exception, it would appear that the district court did not commit plain error in imposing the enhancement under § 2L1.2(b)(1)(A)(vii).

B. The Family Exception is Not an Element of the Generic Alien Smuggling Offense.

Guzman-Mata argues against this fairly obvious conclusion. Although the generic alien smuggling offense is defined by express cross-reference to § 1324(a)(1)(A), Guzman-Mata maintains that the district court nonetheless erred in concluding that § 1324(a)(1)(A) is categorically an alien smuggling offense under U.S.S.G. § 2L1.2(b)(1)(A)(vii). Specifically, he contends that the family caveat to the enhancement is not merely an exception, but an element of the generic alien smuggling offense. Because § 1324(a)(1)(A) criminalizes alien smuggling regardless of whether it is a first offense involving a spouse, parent, or child, Guzman-Mata argues that the statute is too broad to categorically be an alien smuggling offense (i.e. the generic offense contains an element that § 1324(a)(1)(A) does not). We disagree.

To address Guzman-Mata's argument, we must decide whether the family exception is an element of the generic alien smuggling offense. Guided by the Supreme Court's recent decision in Nijhawan v. Holder, ___ U.S. ___, 129 S.Ct. 2294, 174 L.Ed.2d 22 (2009), we conclude that the family exception is not an element of the generic offense, but "refers to the particular circumstances in which [the defendant] committed [an alien smuggling offense] on a particular occasion." See Nijhawan, 129 S.Ct. at 2298, 2300-01.⁶

In Nijhawan, the Supreme Court held that the $10,000 monetary loss requirement for generic aggravated felony offenses involving fraud or deceit was not an element of the generic fraud or deceit crime, but referred "to the particular circumstances in which an offender committed a (more broadly defined) fraud or deceit crime on a particular occasion." Nijhawan, 129 S.Ct. at 2298. At issue in Nijhawan was the immigration law that provides that any "alien who is convicted of an aggravated felony at any time after admission is deportable." Id. at 2297 (emphasis in original) (quoting 8...