CALLAHAN, Circuit Judge:
Congress, by enacting the Sex Offender Registration and Notification Act ("SORNA"), 42 U.S.C. § 16901 et seq., in July 2006, sought to establish "a comprehensive national system for the registration" of sex offenders and offenders against children. 42 U.S.C. § 16901. In October 2010, a single count indictment issued against Joshua A. Elkins in the United States District Court for the Eastern District of Washington, charging him with traveling
Following the approach set forth by the Supreme Court in Smith v. Doe, 538 U.S. 84, 123 S.Ct. 1140, 155 L.Ed.2d 164 (2003), we conclude that applying SORNA to Elkins based on his state conviction as a juvenile sex offender is not punitive. We further conclude in light of United States v. Crowder, 656 F.3d 870 (9th Cir.2011), that on the present record there is a sufficient basis for a factfinder to determine that Elkins knowingly failed to register in violation of § 2250(a). Accordingly, the district court's dismissal of the indictment must be reversed.
On February 10, 1994, when Elkins was fourteen years old, he pled guilty to child molestation in the first degree in the Superior Court of Washington for Skagit County. The Order of Disposition listed Elkins as "a middle offender," committed him to state care for 80 to 100 weeks, and instructed him to register as a sex offender.
After being released from state custody on other charges, Elkins failed to register, and was convicted of a state failure-to-register offense in 2009. Elkins subsequently updated his registration in Washington in February, March, and April 2010. The registration forms Elkins signed also described his obligations should he move out of state.
Sometime after April 2010, Elkins left Washington and traveled to his mother's home in California. He was arrested in
On October 19, 2010, a one-count indictment was returned against Elkins in the Eastern District of Washington. The indictment alleges that Elkins, "a person required to register under the Sex Offender Registration and Notification Act, traveled in interstate commerce and did knowingly fail to register and update a registration, all in violation of 18 U.S.C. § 2250(a)."
In March 2011, Elkins filed a motion to dismiss the indictment, raising three arguments: (1) "the Government failed in performing its duty to inform Mr. Elkins of his responsibilities to register in violation of 42 U.S.C. § 16917 and therefore a conviction under 18 U.S.C. § 2250(a) would be a violation of the due process clause"; (2) "prosecution of Mr. Elkins under SORNA is a violation of the ex post facto clause as the conviction that subjects him to registration requirements occurred prior to the enactment or implementation of SORNA"; and (3) "application of SORNA's juvenile provision violates the ex post facto clause."
Following argument on the motion, the district court made several factual determinations:
The district court then noted that it was influenced by United States v. Juvenile Male, 590 F.3d 924 (9th Cir.2010) ("Juvenile Male I"), even though that case concerned a federal, not a state, conviction.
The district court entered its order of dismissal on April 29, 2011, and the government filed a timely notice of appeal.
In deciding this appeal, we first consider whether the application of SORNA to Elkins violates the Ex Post Facto Clause of the Constitution.
Elkins argues that the application of SORNA to his pre-SORNA conviction is retroactive and unconstitutional because the requirement that he register is based on a prior conviction and he became subject
Article I, Section 10 of the Constitution bars the enactment of any law that "imposes a punishment for an act which was not punishable at the time it was committed; or imposes additional punishment to that then prescribed." Russell v. Gregoire, 124 F.3d 1079, 1083 (9th Cir. 1997) (internal citation and quotation marks omitted).
In Smith v. Doe, 538 U.S. 84, 123 S.Ct. 1140, 155 L.Ed.2d 164 (2003), the Supreme Court set forth the standard for evaluating whether a sex offender registration program violates the Ex Post Facto Clause. The Ninth Circuit had found that the Alaska legislature intended the Alaska Sex Offender Registration Act (the "Alaska Act") to be a nonpunitive civil regulatory scheme, but nonetheless held that its effects were punitive. Id. at 91-92, 123 S.Ct. 1140. The Supreme Court reversed and upheld the Act's retroactive application to individuals whose convictions predated the Act.
The Supreme Court held that the first inquiry is whether the legislature meant to impose punishment or enact a regulatory scheme. Id. at 92, 123 S.Ct. 1140. If the intent behind a sex offender registration program "was to enact a regulatory scheme that is civil and nonpunitive," a court must then "examine whether the statutory scheme is so punitive either in purpose or effect as to negate [the legislature's] intention to deem it civil." Id. (internal quotation marks and citation omitted). The Supreme Court further held that "[b]ecause we ordinarily defer to the legislature's stated intent, only the clearest proof will suffice to override legislative intent and transform what has been denominated a civil remedy into a criminal penalty." Id. (internal citation and quotation marks omitted).
Elkins does not question that Congress, in enacting SORNA, intended to create a regulatory scheme, and we recognize that SORNA was created for the purpose of establishing a national system for the registration of sex offenders. This conclusion is implicit in the Supreme Court's opinion in Reynolds v. United States, ___ U.S. ___, 132 S.Ct. 975, 181 L.Ed.2d 935 (2012).
Elkins correctly asserts that SORNA is backward looking insofar as it looks to a prior-in-time conviction as a basis for requiring registration. However, the courts of appeals have consistently rejected Elkins's contention that this renders SORNA punitive. In United States v. George, 625 F.3d 1124, 1131 (9th Cir.2010), we held that SORNA could be applied based on a prior conviction because failure to register is a continuing offense. We subsequently vacated our opinion in George on other grounds. United States v. George, 672 F.3d 1126 (9th Cir.2012). However, in United States v. Clements, 655 F.3d 1028, 1029 (9th Cir.2011), we reiterated that "[f]ailure to register pursuant to SORNA, or to keep one's registration current, is a continuing offense." In United States v. Felts, 674 F.3d 599, 605-06 (6th Cir.2012), the Sixth Circuit addressed the same argument that Elkins makes here:
674 F.3d at 605-06. We agree and join our sister circuits in holding that requiring a person to register under SORNA based on a conviction entered prior to SORNA's enactment does not violate the Ex Post Facto Clause.
A related argument raised in George, and arguably inherent in Elkins's challenge to SORNA, is that SORNA cannot be applied to an individual if the state in which he resides has not implemented SORNA. We noted, however, that the defendant in George "misconstrues the scope and effect of SORNA's implementation provision," and that the fact that states had until July 2009 to implement the administrative portions of SORNA "does not preclude federal prosecution for George's failure to register under SORNA."
The argument that Elkins advanced successfully in the district court was that applying SORNA based on the Washington state sex offender determination made when he was fourteen years old is punitive
The district court's approach is legally questionable and is not factually supported by the record. First, as noted, the opinion in Juvenile Male I, 590 F.3d 924, has been vacated by the Supreme Court as having become moot. United States v. Juvenile Male, ___ U.S. ___, 131 S.Ct. 2860, 180 L.Ed.2d 811 (2011). Second, a subsequent opinion in United States v. Juvenile Male, 670 F.3d 999 (9th Cir.2012) ("Juvenile Male II"), qualifies the concerns expressed in Juvenile Male I.
In Juvenile Male I, the court recognized that "an essential aspect of the juvenile justice system has been to maintain the privacy of the young offender and, contrary to our criminal law system, to shield him from the dissemination of truthful information and transparency that characterizes the punitive system in which we try adults." 590 F.3d at 926 (internal quotation marks omitted). The opinion reviewed the Federal Juvenile Delinquency Act, 18 U.S.C. § 5031 et seq., ("FJDA") and determined that its confidentiality provisions, such as prohibiting the public release of the name or picture of the juvenile, were "quite essential to the Act's statutory scheme and overarching rehabilitative purpose." Id. at 929 (quoting United States v. Three Juveniles, 61 F.3d 86, 88 (1st Cir.1995)). The court distinguished the application of SORNA to juveniles from its application to adults, explaining that the former "does not merely provide for further public access to information already available; it makes public information about sex offenders that would otherwise permanently remain confidential and exposes persons who were adjudicated delinquent years before to public humiliation and ignominy for the first time." Id. at 935. The court expressed concern that SORNA's juvenile registration provision makes "public otherwise confidential delinquency records relating to sexual offenses" and imposes on a person the burden of inperson registration. Id. at 936. The opinion concluded "that the retroactive application of SORNA's juvenile registration and reporting requirement violates the Ex Post Facto Clause of the United States Constitution" because "[i]n some instances, the retroactive implementation of SORNA's provisions will most certainly wreak havoc upon the lives of those whose conduct as juveniles offended the fundamental values of our society but who, we hope, have been rehabilitated." Id. at 941-42.
In Juvenile Male II, 670 F.3d 999, we again recognized that SORNA conflicted with the FJDA. "Because it is clear that the government's public release of juvenile records authorized by SORNA would have
We need not further reconcile Juvenile Male I with Juvenile Male II because in this case the record shows that the factual predicates underlying the concerns expressed in Juvenile Male I are not present. Here, Washington law, not SORNA, first mandated the dissemination of information about Elkins's juvenile sex offender determination and imposed on Elkins the burden of registration. The state court's 1994 Order of Disposition required Elkins to register immediately with the county sheriff. It further required that Elkins provide the sheriff considerable information, including his fingerprints and photograph. In addition, the Order (a) required that Elkins provide written notice to the sheriff any time that he established a new residence, (b) stated that failure to do so is a "Class C felony or gross misdemeanor," and (c) provided that the order was to remain in effect until modified or revoked. Moreover, the Washington registration form that Elkins signed in February 2010 required that he register every three months for life or until he is "relieved of the duty to register by court order."
The district court noted several differences between the registration requirements under Washington law and SORNA, but these differences are minor and do not amount to proof of punitive effect. Under both Washington and federal law, Elkins essentially is required to register for life. Under Washington law, the registration requirement is "indefinite." Wash. Rev. Code § 9A.44.140(1). Elkins may apply to be relieved of the obligation to register upon a showing "by a preponderance of the evidence that [he] is sufficiently rehabilitated to warrant removal from the central registry of sex offenders." Wash. Rev.Code § 9A.44.143(2)(c). However, he also must show that he "has not been
Similarly, it appears that under both state and federal law, Elkins is required to report in person every three months. The forms Elkins signed when he registered in February, March, and April 2010 contain registration requirements that are similar to the provisions of 42 U.S.C. § 16916(3). Also, both Washington law and SORNA require the posting of a picture. Elkins's 1994 Order of Disposition required that he provide his "fingerprints and photograph." Thus, whatever minor differences there may be in the reporting requirements, they are not sufficient to render SORNA punitive when applied to Elkins.
In sum, even under the rationale of Juvenile Male I, the application of SORNA to Elkins is not punitive because such application did not make "public otherwise confidential delinquency records relating to sexual offenses," 590 F.3d at 936, and did not substantially change Elkins's obligation to register as a sexual offender. Elkins has not presented the clear proof required to transform the application of SORNA to him into a criminal penalty prohibited by the Ex Post Facto Clause. See Smith, 538 U.S. at 92, 123 S.Ct. 1140. Accordingly, we hold that the district court erred when it dismissed the indictment.
Elkins argues that he cannot be convicted of knowingly failing to register under SORNA because the district court found that he had no actual notice that he was required to register under SORNA. He cites Lambert v. California, 355 U.S. 225, 228-30, 78 S.Ct. 240, 2 L.Ed.2d 228 (1957), for the proposition that notice is required where a penalty might be imposed for a mere failure to act. The government counters that Lambert is inapplicable because convicted sex offenders are generally subject to registration requirements in all fifty states, and Elkins was aware that he was obligated to register as a sex offender.
In United States v. Crowder, 656 F.3d 870, we agreed with the government. Crowder argued that he could not be convicted under SORNA because "the government failed to plead and prove beyond a reasonable doubt that he knew registration was required by SORNA." Id. at 873. We noted that Crowder "urges us to read the language of § 2250(a)(3) (that the defendant `knowingly fails to register or update a registration as required by [SORNA]') as requiring the government to plead and prove that the defendant knew that he had failed to register and also knew that such registration was required by SORNA." Id.
We, however, held that "knowingly" in 18 U.S.C. § 2250(a)(3) applies only to the "fails to register or update a registration" provision and not to the phrase "as required by [SORNA]."
656 F.3d at 876-77.
Our opinion in Crowder is controlling.
In enacting SORNA, Congress sought to establish a comprehensive national system for the registration of sex offenders and offenders against children. 42 U.S.C. § 16901. In Smith, the Supreme Court held that where the legislature in enacting a sex offender registration program intended a civil remedy, clear proof is required to show that the "statutory scheme is so punitive either in purpose or effect as to negate [the legislature's] intention to deem it civil." 538 U.S. at 92, 123 S.Ct. 1140 (internal quotation marks omitted). We reaffirm our agreement with our sister circuits that SORNA is not punitive merely because its registration requirement can be based on a pre-SORNA conviction. We
Id. at 978.
Felts, 674 F.3d at 606.
Felts, 674 F.3d at 603-04.
42 U.S.C. § 16911(8).
670 F.3d at 1008.
670 F.3d at 1008.
656 F.3d at 875.
656 F.3d at 877 (parallel L.Ed.2d cites omitted).