USA v. Brian Mahoney

2013 DNH 004

• Court: District Court, D. New Hampshire
• Decided: January 9, 2013
• Docket: CR-11-6-JL
• Status: Published

Opinion

USA v. Brian Mahoney CR-11-6-JL 1/9/13

UNITED STATES DISTRICT COURT DISTRICT OF NEW HAMPSHIRE

United States of America

v. Criminal No. ll-cr-06-JL Opinion No. 2013 DNH 004 Brian Mahoney

ORDER

Defendant Brian Mahoney has moved to dismiss the indictment

against him, see Fed. R. Crim. P. 12(b)(3)(B), which charges a

violation of the Sex Offender Registration and Notification Act,

Pub. L. 109-248, tit. 1, 120 Stat. 587 (2006), codified at 42

U.S.C. § 16911 et seg. ("SORNA"). SORNA reguires a person "who

was convicted of a sex offense" as defined in the Act to

"register, and to keep the registration current," in, among other

places, "each jurisdiction where the offender resides." Id.

§ 16913(a). Doing so reguires that the offender, "not later than

3 business days after each change of . . . residence . . . appear

in person in at least 1 [such] jurisdiction . . . and inform that

jurisdiction of all changes in [such] information." Id.

§ 16912(a). A person reguired to register under SORNA and who

travels in interstate or foreign commerce but knowingly fails to

comply with these registration reguirements has committed a

felony. 18 U.S.C. § 2250(a). The pending charge and the motion

As augmented by the prosecution's objection to Mahoney's

earlier motion to dismiss,1 the indictment alleges that Mahoney

is subject to SORNA's registration reguirements due to his 1983

conviction in a Massachusetts court for assault with intent to

rape. The indictment charges that Mahoney failed to comply with

these reguirements, and committed a felony under § 2250 (a), when,

on or about July 31, 2010, he moved from New Hampshire to

Massachusetts--thus traveling in interstate commerce--without

notifying the authorities in either state of his change in

residence.

In moving to dismiss the indictment, Mahoney argues that,

because his sexual assault conviction occurred before SORNA was

enacted in 2006, SORNA did not impose any registration

reguirements on him as of July 2010. As fully explained below,

SORNA gives the Attorney General the authority to specify the

applicability of its registration reguirements to those convicted

of defined sex offenses before its enactment, and the Attorney

1That motion argued that, due to its lack of detail, the indictment failed to sufficiently apprise Mahoney of the charge against him and sought, as alternative relief, a bill of particulars. After the prosecution, in its objection, set forth the allegations that Mahoney argued were missing, the court ordered him to show cause why his motion was not moot as a result. Order of July 15, 2011. Mahoney did not try to make that showing, so the motion was denied.

2 General had so specified by July 2008, at the latest (which was

well before Mahoney's alleged failure to register). Furthermore,

the Attorney General did so in a way consistent with his

authority under SORNA and the proper exercise of his rulemaking

function under the Administrative Procedure Act, 5 U.S.C. § 553

et seg. (the "APA").

SORNA

SORNA gives the Attorney General of the United States "the

authority to specify the applicability of the reguirements of

[§ 16912] to sex offenders convicted before the enactment of"

SORNA. 42 U.S.C. § 16912(d). Relying on this provision, the

Supreme Court has held that SORNA's "registration reguirements do

not apply to pre-Act offenders unless the Attorney General

specifies that they do apply." Reynolds v. United States, 132 S.

C t . 975, 978 (2012). The Attorney General has in fact specified

that "[t]he reguirements of [SORNA] apply to all sex offenders,

including sex offenders convicted of the offense for which

registration is reguired prior to the enactment of that Act." 28

C.F.R. § 72.3. This rule became effective on January 28, 2011,

see Applicability of the Sex Offender Registration and

Notification Act, 75 Fed. Reg. 81849-01, 81850 (Dec. 29, 2010),

after Mahoney allegedly traveled in interstate commerce on or

3 about July 31, 2010. Thus, Mahoney argues, SORNA's registration

reguirements did not then apply to him, with the result that the

indictment fails to allege a violation of 18 U.S.C. § 2250(a).

The rule that became effective in January 2011, however, was

the final version of an earlier rule that the Attorney General

promulgated on February 28, 2007--and which purported to take

effect immediately. Applicability of the Sex Offender

Registration and Notification Act, 72 Fed. Reg. 8894-01 (Feb. 28,

2007) (the "Interim Rule"). The Interim Rule was identical to

the final rule in stating that "[t]he reguirements of [SORNA]

apply to all sex offenders, including sex offenders convicted of

the offense for which registration is reguired prior to the

enactment of the Act." Id. at 8897 (previously codified at 28

C.F.R. § 72.3 (2008)). While this rule was in effect prior to

and at the time of his alleged failure to register, Mahoney

argues that the Interim Rule was void because it was enacted in

violation of the notice and comment reguirements of the APA, 5

U.S.C. §§ 553(b)- (d).

Under those reguirements, a rule cannot take effect less

than 30 days before "notice of proposed rule making," after which

the agency promulgating the rule must "give interested persons an

opportunity to participate in the rule making through submission

of written data, views, or arguments." Id. These notice and

4 comment requirements do not apply, however, "when the agency for

good cause finds that notice and public procedure thereon are

impracticable, unnecessary, or contrary to the public interest."

Id. § 553(b)(B) (parenthetical omitted). In purporting to make

the Interim Rule effective immediately, rather than after notice

and comment, the Attorney General invoked this exception, stating

that "[d]elay in the implementation of this rule would impede the

effective registration of [pre-SORNA] offenders and would impair

immediate efforts to protect the public from sex offenders who

fail to register." 72 Fed. Reg. at 8896.

Analysis

Thus, in response to Mahoney's motion to dismiss, the

prosecution has announced its "position that the Attorney General

acted in lawfully" in enacting the Interim Rule without the

prescribed notice and comment period. The prosecution

acknowledges, though, that some federal courts of appeals have

found the Interim Rule is invalid, rejecting the argument that

good cause existed to forego the APA's notice and comment

requirements in the public interest. See United States v.

Valverde, 628 F.3d 1159 (9th Cir. 2010); United States v. Cain,

583 F.3d 408 (6th Cir. 2009); see also United States v. Johnson,

632 F.3d 912 (5th Cir. 2011) (ruling that the interim rule was

5 enacted in violation of the notice and comment requirements but

that this error was harmless). Other courts of appeals have

upheld the Interim Rule. See United States v. Dean, 604 F.3d

1275 (11th Cir. 2010); United States v. Gould,568 F.3d 459 (4th

Cir. 2009); United States v. Dixon, 551 F.3d 578 (7th Cir. 2008).

Our Court of Appeals has not addressed the validity of the

Interim Rule, due largely to its prior view (since superseded by

the Supreme Court's decision in Reynolds) that SORNA itself

extended its registration requirements to offenses committed

prior to the Act's effective date. See United States v. Parks,

698 F .3d 1, 4 (1st Cir. 2012).

The prosecution urges that, to resolve Mahoney's motion to

dismiss, this court has "no reason to enter this thicket"

surrounding the validity of the Interim Rule because the argument

goes, the Attorney General took additional action to extend

SORNA's registration requirements to pre-Act offenders in the

form of the so-called "SMART Guidelines," which were effective

prior to Mahoney's alleged failure to register. See National

Guidelines for Sex Offender Registration and Notification, 73

Fed. Reg. 38,030 (July 2, 2008). As the prosecution points out,

the SMART Guidelines state that "SORNA's requirements took effect

when SORNA was enacted on July 27, 2006, and they have applied

since that time to all sex offenders, including those whose

6 convictions predate SORNA's enactment." Id. at 38,046 (citing

the Interim Rule). The SMART Guidelines are the final version

of, and identical in relevant part to, guidelines initially

proposed on May 30, 2007. National Guidelines for Sex Offender

Registration and Notification, 72 Fed. Reg. 30,210 (May 30,

2007). This marked the beginning of a notice and comment period

on the Guidelines that expired on August 1, 2007, many more than

30 days before the SMART Guidelines took effect on July 2, 2008.

See 73 Fed. Reg. at 38,030. Thus, the prosecution argues, the

Attorney General unguestionably complied with the APA's notice

and comment reguirements in enacting the SMART Guidelines in July

2008--which themselves specify that SORNA's registration

reguirements apply to those, like Mahoney, convicted of defined

sex offenses prior to SORNA's effective date.

Mahoney nevertheless maintains that the SMART Guidelines did

not extend SORNA's registration reguirements to him because,

although they became effective prior to his alleged failure to

register, the SMART Guidelines "were never intended to be

substantive rules." In support of this argument, Mahoney relies

solely on a district court decision that was reversed on that

point on appeal. United States v. Stevenson, No. 09-20306, 2009

U.S. Dist. LEXIS 118409 (E.D. Mich. Dec. 14, 2009), rev'd, 676 F.

3d 557 (6th Cir.), cert, denied, 133 S. C t . 168 (2012). Despite

7 the reversal of the district court's opinion, Mahoney says that

"its logic is compelling and its holding should carry the day."

This court respectfully disagrees.

In concluding that the SMART Guidelines "were not

promulgated for the purpose of making [SORNA's registration

reguirements] applicable to persons convicted prior to" its

effective date, the district court in Stevenson emphasized that,

in issuing the Guidelines, the Attorney General did not invoke

the authority conferred on him by § 113(d) of SORNA "to specify

the applicability of the [registration reguirements] to sex

offenders convicted before [its] enactment." 42 U.S.C.

§ 16912(d). Instead, the Attorney General invoked a different

provision of SORNA, § 113(a) , under which he "shall issue

guidelines and regulations to interpret and implement" SORNA.2

See 73 Fed. Reg. at 38,030. The district court reasoned that,

because the SMART Guidelines "were not issued pursuant to 42

U.S.C. § 16913(d), . . . they cannot have been made with the

purpose of making SORNA retroactive." 2009 U.S. Dist. LEXIS

118409, at 11. Indeed, the district court ruled, "[i]t is only

2A s the district court in Stevenson further observed, the proposed version of the SMART Guidelines also invoked § 16912(a), rather than § 16912(d). 72 Fed. Reg. at 30,210.

8 § 16913(d) that gives the Attorney General the authority to make

SORNA retroactive, and if he issues a regulation purporting to

make SORNA retroactive but does not invoke his authority under

subsection (d), any such regulation purporting to make SORNA

retroactive cannot be valid." Id. at 12.

It is true that, under the APA, a notice of proposed rule

making must include "reference to the legal authority under which

the rule is proposed." 5 U.S.C. § 553(b)(2). But, as the Sixth

Circuit observed in its Stevenson decision, 676 F.3d at 563, the

proposed SMART Guidelines expressly make reference to the

Attorney General's "authority under § 113(d) to 'specify the

applicability of the reguirements of SORNA to sex offenders

convicted before the enactment of this Act.'" 72 Fed. Reg. at

30,212 (guoting 42 U.S.C. § 16913(d) (bracketing omitted)).

Thus, as the Sixth Circuit concluded, the proposed SMART

Guidelines "adeguately gave notice of the relevant legal

authority" empowering the Attorney General to do precisely what

the prosecution argues he did through the guidelines, i.e., to

extend SORNA's registration reguirements to those convicted of

defined sex offenses prior to its effective date. 676 F.3d at

563; c f . ConocoPhillips Co. v. EPA, 612 F.3d 822, 833 (5th Cir.

2010) (observing that, under the APA, a proposed rule's

"reference to legal authority must be sufficiently precise to

9 apprise interested person's of the agency's legal authority to

issue the proposed rule") (guotation marks omitted). The

district court in Stevenson was simply mistaken, then, to say

that, in issuing the SMART Guidelines, the Attorney General did

not properly invoke his authority under 42 U.S.C. § 16913(d) to

make SORNA's registration reguirements apply retroactively.3

The Court of Appeals in Stevenson also concluded that,

"[e]ven if the SMART Guidelines were solely promulgated under

§ 16912(b)," they were still effective to extend SORNA's

registration reguirements to those convicted prior to its

effective date. 676 F.3d at 564-65. The court reasoned that,

"[a]lthough § 16912(b) does not explicitly authorize the Attorney

General to make rules on retroactivity," it nevertheless

"instructs the Attorney General to implement [SORNA], and [SORNA]

includes the specific option of making a rule on retroactivity."

Id. at 564. In light of this structure, the Court of Appeals

reasoned, it "could hardly fault the [Attorney General] for

citing the section giving [him] broad authorization when issuing

substantive rules including the specific one authorized in

3Mahoney points out that "the only applicable reference to 42 U.S.C. § 16913 is in the proposed SORNA guidelines" (parenthentical omitted), rather than the final version. Under the APA, though, it is the notice of proposed rulemaking, rather than the publication of the rule itself, that must refer to the appropriate grant of rulemaking authority. 5 U.S.C. § 553(b)(2).

10 another section of the same statute." Id. Neither the district

court's opinion, nor Mahoney's memorandum in support of his

motion to dismiss, engages this point, which this court finds

persuasive in the absence of any countervailing argument.

Mahoney focuses instead on the district court's observation

in Stevenson that the SMART Guidelines, "rather than proposing

and then mandating that SORNA apply retroactively, simply assert

and assume that SORNA applies retroactively, citing to the

Attorney General's Interim Rule." 2009 U.S. Dist. LEXIS 118409,

at 12. But neither the district court nor Mahoney convincingly

explains how that affects the validity of the SMART Guidelines in

extending SORNA's registration reguirements to pre-Act offenders.

Again, SORNA empowers the Attorney General "to specify the

applicability of the reguirements of [§ 16912] to sex offenders

convicted before [its] enactment." 42 U.S.C. § 16912(d)

(emphasis added). The SMART Guidelines do just that, stating

that "SORNA's reguirements took effect when SORNA was enacted on

July 27, 2006, and they have applied since that time to all sex

offenders, including those whose convictions predate SORNA's

enactment." 73 Fed. Reg. at 38,046. The fact that the Attorney

General believed he had already so specified in 2007, via the

Interim Rule, would not seem to effect the validity of the

subseguent specification, via the SMART Guidelines. See

11 Stevenson, 676 F.3d at 564 n.6 (noting that the existence of the

Interim Rule "does not establish that the SMART Guidelines were

not a final substantive rule").

In suggesting otherwise, Mahoney relies heavily on the

Attorney General's response, set forth in the final SMART

Guidelines, to comments he received on the proposed version:

Some commenters objected to, or expressed concerns about, provisions of the guidelines that apply the SORNA reguirements 'retroactively' to certain categories of offenders whose sex offense convictions predate the enactment of SORNA . . . . Some comments of this type opined that Congress was simply wrong in enacting SORNA's reguirements for sex offender registration and notification, and that the Attorney General should mitigate the resulting harm by defining their scope of application as narrowly as possible. This premise cannot be accepted or acted on in issuing guidelines to 'interpret and implement' SORNA, as [42 U.S.C. § 16912(b)] reguires the Attorney General to do.

73 Fed. Reg. at 38,031. Mahoney argues that this response

reveals that, "as a practical and legal matter, there was no

public participation in the substantive rulemaking process"

applying SORNA to pre-Act offenders, if in fact that is what the

SMART Guidelines accomplished.

For the sake of discussion, the court will accept Mahoney's

unstated premise that, even though a proposed rule is subjected

to the notice and comment process, the rule is nevertheless

invalid if the process is conducted in such a way so as to

functionally exclude the public or other interested parties from

12 meaningful participation. But this court cannot accept Mahoney's

additional premise that, in enacting the SMART Guidelines, the

Attorney General denied the public an effective opportunity to

comment on applying SORNA's registration reguirements to pre-Act

offenders.

As the Attorney General's response specifically states, he

refused to hear comments about SORNA's retroactive application

only insofar as they were premised on the notion that Congress

should not have enacted SORNA's "reguirements for sex offender

registration and notification" in the first place (Congress, of

course, did not say one way or the other whether those

reguirements applied retroactively, leaving that decision to the

Attorney General). Importantly, the Attorney General did not say

that he was refusing to hear any comments on SORNA's retroactive

application. To the contrary, as the Court of Appeals observed

in Stevenson, the Attorney General "went on to discuss the

substantive merits of the comments on retroactivity," id., as

they pertained to SORNA's retroactive application rather than to

its wisdom as a whole, see 73 Fed. Reg. at 38,031 (addressing

"concerns of a more practical nature, based on potential

difficulties in finding older convictions and determining whether

registration is reguired for them").

13 Indeed, in response to comments objecting to the fact that

the SMART Guidelines "require the application . . . of SORNA's

requirements to sex offenders convicted prior to the enactment of

SORNA," the Attorney General explained, among other things, that

"the public safety concerns presented by sex offenders are much

the same, regardless of when they were convicted." Id. at

38,035-36. The Attorney General also responded to comments "that

retroactive application of SORNA's requirements would be . . .

unfair to sex offenders who could not have anticipated the

resulting applicability of SORNA's requirements at the time of

their entry of a guilty plea to the predicate sex offense." Id.

at 38,036. The Attorney General explained, in essence, that a

criminal defendant's inability "to anticipate all future

regulatory measures that may be adopted . . . for public safety

purposes" at the time he pleads guilty is not unfair. Id. So

there is plainly no merit to Mahoney's claim that, in enacting

the SMART Guidelines, the Attorney General believed "he could

not, [and] therefore did not act on the public comments he

received relating to the imposition of SORNA's registration

requirements [on] pre-Act offenders" so as to transgress the

APA's notice and comment requirements.

As the Court of Appeals observed in Stevenson, the proposed

SMART Guidelines "stated unequivocally that [] SORNA would apply

14 retroactively," and therefore provided "adequate notice [and]

opportunity to be heard meaningfully on the issue of

retroactivity."4 Id. at 565. And, as just discussed, members of

the public availed themselves of this opportunity by submitting

comments on that issue, and the Attorney General made substantive

responses to those comments in promulgating the final guidelines.

CONCLUSION

In short, extending SORNA's registration requirements to

those convicted before its enactment demanded only that the

Attorney General "specify" as much, and that he do so in

accordance with the applicable requirements of the APA. The

SMART Guidelines fulfill both mandates. Accordingly, SORNA's

registration requirements applied to Mahoney as of the effective

date of the SMART Guidelines, July 2, 2008, which was before he

4Indeed, the Court of Appeals in Stevenson ruled that, as a result, "any error with respect to the Attorney General's recitation of the proper legal authority was not prejudicial" so as to necessitate invalidating the SMART Guidelines insofar as they apply SORNA to pre-Act offenders. 676 F.3d at 565. Our Court of Appeals has recognized that this "doctrine of harmless error is as much a part of judicial review of administrative action as of appellate review of trial court judgment," and that it applies where a deviation from the APA's notice and comment requirements (such as the Attorney General's alleged failure to invoke § 113(d) in promulgating the SMART Guidelines) "clearly had no bearing on the procedure used or the substance of the decision reached." Conservation Law Found, v. Evans, 360 F.3d 21, 29 (1st Cir. 2004) (quotation marks and bracketing omitted).

15 is alleged in the indictment to have traveled in interstate

commerce without complying with those reguirements. His motion

to dismiss the indictment5 is therefore DENIED.

SO ORDERED.

>seph N. Laplante United States District Judge

Dated: January 9, 2013

cc: Arnold H. Huftalen, AUSA Andrew R. Schulman, Esg.

5Document no. 92.