BRISCOE, Chief Judge.
Defendant/appellant Alex Maestas appeals the district court's conclusion that the sentencing enhancement § 2B1.1(b)(13) of the United States Sentencing Guidelines Manual (U.S.S.G.) should apply in calculating his sentence. Section 2B1.1(b)(13) increases a defendant's offense level if the offense "involved. . . the conscious or reckless risk of death or serious bodily injury." Maestas attempted to steal a piece of gold from Los Alamos National Laboratory (LANL) and pled guilty to theft of government property in violation of 18 U.S.C. § 641. The gold was contaminated with plutonium. The district court applied the U.S.S.G. § 2B1.1(b)(13) enhancement and sentenced Maestas to a term of imprisonment of twelve months and a day, which was within the calculated guideline range. Maestas argues that the enhancement can only apply if the government proves that he was aware of the risk his conduct created, and that he consciously or recklessly disregarded that risk. He also challenges the district court's factual findings that the gold was dangerous, and that he was aware of that danger. Exercising jurisdiction pursuant to 28 U.S.C. § 1291, we affirm.
Maestas had worked for over ten years as a technician in Plutonium Facility Four (PF-4) at LANL. He worked in Room 401, an area where waste material generated during the production of nuclear weapons is processed to reclaim residual plutonium. In PF-4, radioactive materials are stored in a series of interconnected sealed chambers or "glove boxes." To avoid the risk of contaminating the area outside of the glove boxes, a technician manipulates items in the glove boxes by using rubber gloves which are permanently attached to the box. One of Maestas's co-workers stated to investigators that "[e]verything which is in or has been in the glove box line must be presumed to be contaminated [with radioactive material]. Anyone who has worked in PF-4 for more than a few days understands this, and has
On March 24, 2009, Maestas was attempting to leave PF-4 during the lunch hour when he set off the Personnel Contamination Monitor (PCM-2), a radiation detector. Maestas was found to be carrying a piece of gold that was contaminated with plutonium. The gold was a piece of solder that had been used to repair a "boat" used to melt materials containing plutonium. Id. at 63. These boats were stored in the glove boxes in Room 401. Id.
After the PCM-2 was triggered, Maestas told the radiation control technician on duty that the package he was carrying (which should have been presented to the technician and separately assessed) probably set off the monitor. After the technician determined that the package was radioactive, Maestas suggested that he would just return it to the glove box line. Id. at 85. The gold piece was wrapped in yellow tape, which is used at LANL to identify radioactive or contaminated material. Maestas admitted to investigators that he knew that yellow tape was used to identify radioactive material. Id. at 59. Maestas attempted to explain his actions by claiming that he was bringing the gold to someone in the machine shop, although he could not remember who asked him to bring it there, or why. Maestas's explanation was not plausible for a number of reasons, including the fact that no material from PF-4 would be taken to the machine shop because the machine shop was a "cold" area, i.e., it did not contain any radioactive material.
According to Maestas, he scanned the gold with the Hand and Foot Monitor (HFM-8) prior to leaving Room 401, and the gold did not set off the monitor. Id. Technicians use the HFM-8 to check their hands and feet for radiation contamination prior to leaving Room 401. The HFM-8 detects only alpha radiation and might not have detected the plutonium in the gold Maestas took because most of the plutonium was incorporated within the gold. Alpha particles would be detected if they were emitted on the gold's surface, but not if they were emitted from plutonium within the gold.
Both Maestas's direct supervisor, Mary Ann Stroud, and the Technical Advisor to LANL's Radiological Protection Division, Paul Hoover, were of the opinion that Maestas had tried to decontaminate the gold prior to removing it from PF-4. They based their opinions on the waste collected after the incident. The day after the incident, the "clean" waste from Room 401 was collected, and the waste was found to be contaminated with plutonium in the same proportion as the gold Maestas had in his possession. Id. at 79. This indicated that Maestas "decontaminated something which had been exposed to the gold.
Maestas was ultimately charged with one count of theft of government property, and one count of theft of nuclear material. Pursuant to a plea agreement, Maestas pled guilty to theft of government property and the government agreed to dismiss the theft of nuclear material charge. The presentence report (PSR) assigned Maestas a base offense level of 6. The probation officer recommended application of the U.S.S.G. § 2B1.1(b)(13) enhancement, which increased Maestas's offense level to 14. Two levels were subtracted for acceptance of responsibility, resulting in a total offense level of 12. Maestas had no criminal history points, resulting in a criminal history category of I and a guideline sentencing range of ten to sixteen months of imprisonment.
Maestas objected to the PSR, specifically objecting to the application of the U.S.S.G. § 2B1.1(b)(13) enhancement. Maestas contended that he did not know that the gold he had in his possession when he tried to leave PF-4 was radioactive. Id. at 40. He argued that he used the HFM-8 as a "precaution[ ] to ensure that the item he was planning to take from the laboratory was not radioactive." Id. at 41. He further argued that, because he was not aware that the gold was radioactive, he could not have consciously or recklessly risked death or serious bodily injury to others. Id. at 42.
Maestas also argued that the gold did not pose a significant health risk to others. The evidence presented by the government at sentencing showed that a person who merely touched the gold would not be at risk of developing radiation-related sickness.
The government argued that there was a risk that plutonium would be incorporated into a person's body if the gold were melted, as would occur if processed to make jewelry. The LANL Radiological Protection Division's Technical Advisor, Hoover, stated to investigators that the health risks of processing the gold were unclear. He stated that, "[i]f the gold were melted-down, it is possible that a significant amount of plutonium might be aerosolized and released into the air. Other processing of the gold might potentially cause the incorporated plutonium to come to the surface, thereby potentially exposing anyone who handled the gold." Id. at 78-79. Maestas's counsel challenged these views at sentencing, asserting—without support—that "if it had been sold to someone who was going to melt it down for jewelry . . . that process in and of itself
The district court adopted the PSR and applied the enhancement. It found that Maestas knew that items stored in the PF-4 glove boxes were radioactive and that contact with radioactive items is dangerous to humans. The district court did not credit Maestas's argument that he scanned the gold to make sure it was safe, and found instead that Maestas used the HFM-8 "in an attempt to determine whether or not he would be caught." Id. at 69. Ultimately, the district court found that Maestas "knew that there was a substantial risk of radioactive danger to any person who might be exposed to [the gold] and that he attempted to steal it in spite of that, and that's reckless." Id. The district court sentenced Maestas to a term of imprisonment of twelve months and a day.
In reviewing the district court's application of the sentencing guidelines, this court reviews legal questions de novo and reviews factual findings for clear error, "giving due deference to the district court's application of the guidelines to the facts." United States v. Doe, 398 F.3d 1254, 1257 (10th Cir.2005) (internal quotation omitted). "A finding of fact is clearly erroneous only if it is without factual support in the record or if the appellate court, after reviewing all of the evidence, is left with a definite and firm conviction that a mistake has been made." United States v. Talamante, 981 F.2d 1153, 1158 (10th Cir. 1992) (internal quotation omitted).
Section 2B1.1(b)(13) of the U.S.S.G. provides the following enhancement to a defendant's base offense level for theft and fraud offenses:
First, Maestas argues that, in order for the enhancement to apply, the government was required to show that he was subjectively aware of the risk he created and that he consciously or recklessly disregarded it. Second, Maestas argues that the district court erred when it found that the gold in his possession was dangerous and that he was aware of this danger. We conclude that § 2B1.1(b)(13) does not require the government to establish that a defendant was subjectively aware of the risk created by his or her acts. We affirm the district court's application of the enhancement to Maestas.
The district court did not specifically apply a mens rea requirement in concluding a § 2B1.1(b)(13) enhancement applied, but concluded that Maestas acted recklessly by attempting to steal the gold in spite of his knowledge that the gold posed a danger of radioactive contamination. Maestas argues that the government was required to prove that he was "in fact aware of and consciously or recklessly disregarded
The Sentencing Commission has provided no commentary to U.S.S.G. § 2B1.1(b)(13), and this court has not previously discussed what constitutes a "conscious or reckless risk" under this guideline. The term "reckless" is defined elsewhere in the guidelines, in the application notes to the guideline relating to involuntary manslaughter. See U.S.S.G. § 2A1.4 (prescribing an increased base offense level "if the offense involved reckless conduct"). In the context of involuntary manslaughter, "`[r]eckless' means a situation in which the defendant was aware of the risk created by his conduct and the risk was of such a nature and degree that to disregard that risk constituted a gross deviation from the standard of care that a reasonable person would exercise in such a situation." U.S.S.G. § 2A1.4 cmt. n. 1.
Relying on the involuntary manslaughter definition of reckless, the Eighth Circuit held in United States v. McCord, Inc., 143 F.3d 1095 (8th Cir.1998), that the § 2B1.1(b)(13) enhancement requires the government to "prove not only that the fraudulent conduct created a risk of serious bodily injury, but also that each defendant was in fact aware of and consciously or recklessly disregarded that risk."
The Second and Ninth Circuits were not persuaded by the Eighth Circuit's interpretation, and concluded that § 2B1.1(b)(13) does not require the government to prove that the defendant was subjectively aware of the risk. In United States v. Johansson, 249 F.3d 848 (9th Cir.2001), the Ninth Circuit declined to follow McCord and identified a significant problem with the Eighth Circuit's interpretation of reckless risk: "there is no meaningful distinction between an offense that involves the `conscious' risk of injury, and an offense that involves the `reckless' risk of injury, if under either prong the defendant must have been aware of the risk in the first place." Id. at 858. The Johansson court was not convinced by the Eighth Circuit's distinction between conscious and reckless risk. It stated:
Id. at 859. Two years later, in United States v. Lucien, 347 F.3d 45 (2d Cir.2003), the Second Circuit adopted the Ninth Circuit's approach, holding that "a defendant does not have to subjectively know that his or her conduct created a serious bodily risk...." Id. at 56.
We join the Second and Ninth Circuits and hold that the government does not have to prove that the defendant was actually aware of the risk of serious bodily injury or death when seeking a § 2B1.1(b)(13) enhancement. First, we conclude that the McCord court's reliance on the definition of "reckless" in the involuntary manslaughter guideline is misplaced.
We interpret the guideline to require the defendant to have been conscious of or reckless as to the existence of the risk created by his or her conduct. Generally, recklessness is an objective standard, and we interpret "reckless risk" to describe objectively culpable conduct. We hold that a defendant's conduct involves a conscious risk if the defendant was subjectively aware that his or her conduct created a risk of serious bodily injury, and a defendant's conduct involves a reckless risk if the risk of bodily injury would have been obvious to a reasonable person.
Maestas challenges the district court's findings that the gold posed a health risk and that Maestas was aware of this risk. We affirm the district court's findings because
As a preliminary matter, Maestas argues that the district court was required to find "extraordinary circumstances" in order to apply the enhancement. Aplt. Opening Br. at 7-8. Maestas confuses an offense level enhancement with an upward variance.
Maestas concedes in his opening brief that "[t]here can be no question but [sic] that the substance stolen posed some kind of risk ..." and that "it is fortunate that the stolen substance did not leave the laboratory for it might, then, have done some harm." Aplt. Opening Br. at 10, 8. He thus appears to concede that, if he had succeeded in taking the gold out of LANL, it would have posed a health risk. However, he also contends that the government's evidence "at best was equivocal as to the danger posed by the stolen item and the manner in which it might pose a threat." Id. at 12.
The district court's finding that the radioactive gold posed a danger of serious bodily injury or death was not clearly erroneous. The gold was contaminated with a significant amount of plutonium. The removable contamination on just the surface of the gold piece far exceeded the federal Annual Limit on Intake for plutonium exposure for both the general public and nuclear workers. ROA, Vol. 3 at 53; ROA, Vol. 1 at 80. The government presented evidence—in the form of an article in LANL's science journal and the opinions of persons knowledgeable in nuclear safety—that the plutonium contained in the stolen gold piece could be extremely harmful if it entered a person's body. Contrary to Maestas's suggestion, the government was not required to prove that the gold would certainly be incorporated into a person's body in order to prove that it posed a risk of bodily harm. The government need not show that serious bodily injury was certain or even highly likely to occur; it must only show that there was a risk it would occur. Cf. United States v. Babul, 476 F.3d 498, 503 (7th Cir.2007) (noting that the guideline speaks of "risk" rather than "substantial" or "material" risk, and concluding that the defendant's crime created "some risk"). The district court concluded that an inherent risk of stealing radioactive material was that "you can't determine how it's going to be used." ROA, Vol. 3 at 68. Without any knowledge of the source of the gold, any person who came into contact with it would have no reason to know or suspect that it was radioactive. See id. at 28-29. One significant risk was that the gold would be melted down, which might cause the plutonium to come to the gold's surface or to be aerosolized.
Maestas also argues that the district court erred in finding that he was aware that the gold he took was dangerous. The district court could reasonably infer from Maestas's employment history that he was aware of the dangers of radiation. See id. at 68 ("He knew from his experience of 12 years working in this area and with these
The district court could also reasonably infer that Maestas was aware that the gold he removed from Room 401 was radioactive. The gold was taken from a boat used to melt plutonium. It was stored in a sealed glove box. The gold was wrapped in yellow tape, which Maestas knew signified radioactive contamination. There was evidence that Maestas attempted to decontaminate the gold. Maestas argues that he could not have known that the gold was radioactive because the HFM-8 did not detect radiation when he scanned it. However, the district court drew a different inference from Maestas's use of the HFM-8, concluding that Maestas used the monitor "in an attempt to determine whether or not he would be caught." Id. at 69. This finding is supported by the evidence and is not clearly erroneous. The evidence presented at sentencing is sufficient to support the district court's findings that Maestas knew the gold was contaminated with plutonium and that he knew of the health risks his conduct created. These findings are sufficient to support the district court's application of the U.S.S.G. § 2B1.1(b)(13) enhancement.
The judgment of the district court is AFFIRMED.