United States v. Stewart
UNITED STATES of America, Appellee-Cross-Appellant, v. Lynne STEWART, Mohammed Yousry, Ahmed Abdel Sattar, Defendants-Appellants-Cross-Appellees
Attorneys
Joshua L. Dratel (Meredith S. Heller, Erik B. Levin, David B. Rankin, of counsel), Law Offices of Joshua L. Dratel, P.C., New York, NY, for Defendanb-AppellantCross-Appellee Lynne Stewart., Robert A. Soloway (David Stern, David A. Ruhnke, of counsel) Rothman Schneider Soloway & Stern, LLP, New York, NY, and Ruhnke & Barrett, Montclair, NJ, for Defendanb-Appellant-Cross-Appellee Mohammed Yousry., Barry M. Fallick (Jillian S. Harrington, Kenneth A. Paul, of counsel) Rochman Platzer Fallick Sternheim Luca & Pearl, LLP, New York, NY, for Defendant-Appellant-Cross-Appellee Ahmed Abdel Sat-tar., Anthony S. Barkow, Assistant United States Attorney (Michael J. Garcia, United States Attorney for the Southern District of New York, Andrew S. Dember, Michael D. Maimin, Diane Gujarati, Katherine Polk Failla, Celeste L. Koeleveld, Assistant United States Attorneys, of counsel), New York, NY, for Appellee-Cross-Appellant.
Full Opinion (html_with_citations)
Judge CALABRESI concurs, and also files a separate concurring opinion. Judge WALKER concurs in part and dissents in part in a separate opinion.
Defendants Lynne Stewart, Mohammed Yousry, and Ahmed Abdel Sattar appeal from judgments of conviction of the United States District Court for the Southern District of New York (John G. Koeltl, Judge) for various crimes arising from their contacts with and behavior relating to government restrictions on communications and other contacts with Sheikh Omar Ahmad Ali Abdel Rahman. Rahman is serving a life sentence in a maximum security prison for terrorism-related crimes of seditious conspiracy, solicitation of murder, solicitation of an attack on American military installations, conspiracy to murder, and a conspiracy to bomb. He is subject to âSpecial Administrative Measuresâ (âSAMsâ) restricting his ability to communicate with persons outside of the prison in which he is incarcerated so as to prevent him from continuing to lead terrorist organizations and their members. The government cross-appeals from the defendantsâ sentences.
We would be remiss if we did not, at the outset, commend the district court for its thoroughness, thoughtfulness, and effectiveness in the conduct of these unusually lengthy, difficult, and sensitive proceedings. Much of what follows simply reports what it did and tracks what it said.
We affirm the judgments of conviction. We also affirm the sentences of Yousry and Sattar. We remand the case, however, with respect to the sentence of Stewart, and also with respect to the sentences of Yousry and Sattar in light of the resentencing of Stewart.
In particular, we affirm the judgments as to each defendantâs conviction of con
We affirm as to Sattarâs conviction of conspiring to murder persons in a foreign country in violation of 18 U.S.C. § 956, and his conviction of soliciting persons to commit crimes of violence â viz., murder and conspiracy to commit murder â in violation of 18 U.S.C. § 373. We conclude that the evidence is sufficient to sustain these convictions, especially in light of testimony establishing that Sattar attempted to undermine a unilateral cease-fire by an Egyptian terrorist organization and to draft a fatwa calling for, inter alia, the killing of âJews and Crusaders.â
We affirm as to Stewartâs and Yousryâs convictions of providing and concealing material support to the conspiracy to murder persons in a foreign country in violation of 18 U.S.C. § 2339A and 18 U.S.C. § 2, and of conspiring to provide and conceal such support in violation of 18 U.S.C. § 371. We conclude that the charges were valid â that 18 U.S.C. § 2339A is neither unconstitutionally vague as applied nor a âlogical absurdity,â as Stewart assertsâ and that the evidence was sufficient to sustain the convictions. We also reject Stewartâs claims that her purported attempt to serve as a âzealous advocateâ for her client provides her with immunity from the convictions.
Finally, we affirm Stewartâs convictions for knowingly and willfully making false statements in violation of 18 U.S.C. § 1001 when she affirmed that she intended to, and would, abide by the SAMs. In light of her repeated and flagrant violation of the SAMs, a reasonable factfinder could conclude that Stewartâs representations that she intended to and would abide by the SAMs were knowingly false when made.
We reject the remaining challenges to the convictions. We affirm the district courtâs rejection of Sattarâs vindictive prosecution claim because there is insufficient evidence to support a finding that the governmentâs pre-trial decision to add new charges against Sattar amounted to an effort to punish him for exercising his constitutional rights. And, because Stewartâs conduct was materially different from, and more serious than, the conduct of other lawyers representing Abdel Rahman who may also have violated the SAMs, we affirm the district courtâs rejection of Stewartâs claim that she was selectively prosecuted on account of her gender or political beliefs. We also conclude that the district court did not abuse its discretion in declining to sever the trial of Stewart and Yousry from that of Sattar in light of the general preference for joint trials, the specific charges at issue here, and the district courtâs curative instructions. Nor did the district court abuse its discretion by empaneling an anonymous jury in light of the particular allegations of criminal wrongdoing at issue, involving the corruption of the judicial process, and the widespread publicity about the case. We find no fault with the district courtâs resolution of allegations of juror impropriety. We also agree with the district courtâs treatment of confidential information, including its denial of Stewartâs motion to suppress evidence obtained pursuant to the Foreign Intelligence Surveillance Act (âFISAâ), its ex parte, in camera examination of FISA wiretap applications, and its rejection of Stewartâs more general challenges to the constitutionality of FISA. Finally, we find no fault with the district courtâs treatment,
We therefore affirm the convictions in their entirety.
We also affirm the sentences of Sattar and Yousry. We conclude that the district court committed neither procedural error in calculating the applicable Guidelines ranges, nor substantive error in varying from those ranges pursuant to its consideration of the factors set forth in 18 U.S.C. § 3553(a). We nonetheless remand their cases to the district court to allow it to reconsider their sentences should it choose to do so in light of the resentencing of Stewart.
We cannot affirm Stewartâs sentence on the basis of the record before us. Because the district court declined to find whether Stewart committed perjury at trial, we cannot conclude that the mitigating factors found to support her sentence can reasonably bear the weight assigned to them. This is so particularly in light of the seriousness of her criminal conduct, her responsibilities as a member of the bar, and her role as counsel for Abdel Rahman. We therefore remand the cause to the district court for further consideration of her sentence, in light of, among other things, the charges of perjury against her and of any other matter it deems necessary or advisable, and direct the court to revoke Stewartâs and Yousryâs bail pending appeal and to order them to surrender to the United States Marshal to begin serving their sentences forthwith.
BACKGROUND
The transcript of the trials in the cases on appeal runs in excess of thirteen thousand pages. The district court issued nine opinions and a wide variety of orders addressing issues presented during the course of the proceedings. See principally, United States v. Sattar, 272 F.Supp.2d 348 (S.D.N.Y.2003) (âSattar Iâ); United States v. Sattar, No. 02 Cr. 395(JGK), 2003 WL 22137012, 2003 U.S. Dist. LEXIS 16164 (S.D.N.Y. Sept. 15, 2003) (âSattar IIâ); United States v. Sattar, 314 F.Supp.2d 279 (S.D.N.Y.2004) (âSattar IIIâ); United States v. Sattar, 395 F.Supp.2d 66 (S.D.N.Y.2005) (âSattar IVâ); United States v. Sattar, 395 F.Supp.2d 79 (S.D.N.Y.2005) (âSattar Vâ).
In October 1995, Sheikh Omar Ahmad Ali Abdel Rahman was convicted of a variety of terrorism-related crimes in the United States District Court for the Southern District of New York. According to the governmentâs evidence at his trial,
Abdel Rahman, a blind Islamic scholar and cleric, was the leader of [a] seditious conspiracy, the purpose of which was âjihad,â in the sense of a struggle against the enemies of Islam. Indicative of this purpose, in a speech to his followers Abdel Rahman instructed that they were to âdo jihad with the sword, with the cannon, with the grenades, with the missile ... against Godâs enemies.â Abdel Rahmanâs role in the conspiracy was generally limited to overall supervision and direction of the membership, as he made efforts to remain a level above the details of individual operations. However, as a cleric and the groupâs leader, Abdel Rahman was entitled to dispense fatwas, religious opinions on the holiness of an act, to members of the group sanctioning proposed courses of conduct and advising them whether the acts would be in furtherance of jihad.[3 ]
United States v. Rahman, 189 F.3d 88,104 (2d Cir.1999) (per curiam), cert. denied, 528 U.S. 1094, 120 S.Ct. 830, 145 L.Ed.2d 698 (2000) (citations omitted). The crimes of conviction included soliciting the murder of Egyptian President Hosni Mubarak while he was visiting New York City; attacking American military installations; conspiring to murder President Mubarak; conspiring to bomb the World Trade Center in 1993, which succeeded; conspiring subsequently to bomb various structures in New York City, including bridges, tunnels, and the federal building containing the New York office of the Federal Bureau of Investigation (âFBIâ), which did not succeed; and conspiring to commit crimes of sedition. Id. at 103-04,107-11. For these crimes, Abdel Rahman was sentenced to be incarcerated for the remainder of his life. Id. at 148. Following his conviction and appeal therefrom, Abdel Rahmanâs legal team focused on two goals: improving his conditions of confinement, and obtaining his transfer from prison in the United States to Egypt.
The government asserts that Abdel Rah-man was linked to various other acts of violence: He is said to be, or to have been, a spiritual leader of what the indictment in the instant prosecution refers to as â âalGamaâa al-Islamiyya,â a/k/a âax-Gamaâat,â a/k/a âIslamic Gamaâat,â a/k/a âEgyptian alGamaâat al-Islamiyyaâ â (hereinafter, âalGamaâaâ), also referred to by the district court and the parties in English as the âIslamic Groupâ or âIG.â See Superseding Indictment ¶ 8. Al-Gamaâa was designated a foreign terrorist organization (âFTOâ) by the United States Secretary of State in 1997 pursuant to 8 U.S.C. § 1189, see Notices, Designation of Foreign Terrorist Organizations, Department of State, Office of the Coordinator for Counterterrorism, 62 Fed.Reg. 52650 (Oct. 8, 1997), was redesignated an FTO in 1999 and 2001, see Notices, Designation of Foreign Terrorist Organizations, Department of State, Office of the Coordinator for Counterterrorism, 64 Fed.Reg. 55112 (Oct. 8, 1999); Notices, Redesignation of Foreign Terrorist Organization, Department of State, Office of the Coordinator for Counterterrorism, 66 Fed. Reg. 51088 (Oct. 5, 2001), and remains so designated today, see Foreign Terrorist Organizations, Fact Sheet, Department of State, Office of the Coordinator for Coun
âFederal regulations provide that the Bureau of Prisons may implement SAMs, â[u]pon direction of the Attorney General,â when âreasonably necessary to protect persons against the risk of death or serious bodily injury.â 28 C.F.R. § 501.3(a).â In re Basciano, 542 F.3d 950, 954 (2d Cir.2008) (alteration in original), cert. denied, â U.S. ââ, 129 S.Ct. 1401, 173 L.Ed.2d 596 (2009). The Bureau of Prisons, following Abdel Rahmanâs remand to its custody in August 1997, imposed severely restrictive SAMs upon him. They were designed to prevent him from directing or facilitating yet more violent acts of terrorism from his prison cell. The SAMs have been renewed, and sometimes modified, every 120 days since they were first imposed.
The May 11, 1998, SAMs applicable to Abdel Rahman âprohibited [him] from having contact with ... others (except as noted in this document) that could foreseeably result in [his] communicating information (sending or receiving) that could circumvent the SAM intent of significantly limiting [his] ability to communicate (send or receive) terrorist information.â SAMs of May 11, 1998, ¶ 3. To enforce this general prohibition, the measures regulated Abdel Rahmanâs telephone contacts, id. ¶ 4, his mail, id. ¶ 5, and his visitorsâ visits, id. ¶ 6. The measures limited his telephone contacts solely to his attorneys of record and his wife, id. ¶ 4(a), and prevented matters discussed in those calls from being âdivulged in any manner to any third party,â id. ¶ 4(e)(i). The measures required the screening of all his outgoing and incoming non-legal mail, id. ¶ 5, and prohibited him from âtalking] with, or otherwise communicat[ing] with, any representative of the news media,â including âthrough [his] attorney(s)/staff, or otherwise,â id. ¶ 8. The measures also provided for the monitoring of all non-legal visits. Id. ¶ 6. On the condition that his attorneys would not divulge any information to third parties, Abdel Rahman was permitted to communicate with his legal team by telephone, id. ¶¶ 4(a) & 4(d), mail, id. ¶ 5(a), and in person, id. ¶ 6, with fewer restrictions than with other persons. Members of this legal team included lawyers Ramsey Clark, Abdeen Jabara, Lawrence Schilling, and defendant Lynne Stewart.
Subsequent versions of the SAMs retained similar prohibitions and screening mechanisms including the prohibition against communications with the news media. See, e.g., SAMs of Apr. 7, 1999, ¶ 9; SAMs of Dec. 10, 1999, ¶ 9. They retained similar provisions regarding legal communications, and incorporated provisions requiring Abdel Rahmanâs attorneys to sign affirmations acknowledging their receipt of the version of the SAMs in effect. See, e.g., SAMs of Apr. 7, 1999, ¶ 4; SAMs of Dec. 10, 1999, ¶ 4. By virtue of those affirmations, counsel agreed to abide by the terms of SAMs then in effect. See, e.g., Unsigned Affirmation of Abdeen Jabara, Apr. 2000; Unsigned Affirmation of Ramsey Clark, Apr. 2000; Affirmation of Ramsey Clark, Jan. 10, 2001; Affirmation of Abdeen Jabara, Jan. 10, 2001; Affirmation of Ramsey Clark, Apr. 24,1997.
Stewart repeatedly executed such statements. On May 1, 1998, she signed a document entitled âAttorney Affirmation,â in which she affirmed, under penalty of perjury, the truth of specified statements regarding the then-applicable SAMs: that she had read the May 11, 1998, version of the SAMs; that she âunderstood] the restrictions contained in that document and agree[d] to abide by its termsâ; that during her visits to Abdel Rahman she would âemploy only cleared translators/interpret
Defendant Mohammed Yousry, a middle-aged New York University graduate student who served as one of the legal teamâs translators had also been, in that capacity, a member of Abdel Rahmanâs trial team. As a translator, Yousry was permitted to read to Abdel Rahman, who is blind, and to take dictation from him.
Various members of the team, including Stewart and Yousry, also maintained contact with defendant Ahmed Abdel Sattar, who had served as a paralegal during Abdel Rahmanâs trial. The evidence established that Sattar was in continual contact with various members of al-Gamaâa abroad. See, e.g., Transcript of Conversation between Ahmed Abdel Sattar and Rifaâi Ahmad Taha Musa, May 9, 2000.
The Visits to Abdel Rahman
Sometime in 1997, more than three years after Abdel Rahman was taken into federal custody, a faction of al-Gamaâa declared a unilateral âcease-fire,â i.e., a halting of violent operations, in Egypt. When the cease-fire was first announced, Abdel Rahman was understood to support it.
In November 1997, despite the ceasefire, a group associated with al-Gamaâa attacked, killed, and mutilated the bodies of more than sixty tourists, guides, and guards at the Hatshepsut Temple in Lux- or, Egypt. Rifaâi Taha Musa (âTahaâ) â a military leader of al-Gamaâa, a follower of Abdel Rahman, and an unindicted co-conspirator herein â was involved in the incident.
In January 1998, Abdel Rahman was assigned by the Bureau of Prisons to the Federal Medical Center in Rochester, Minnesota (âFMC Rochesterâ). In March 1999, Stewart and Yousry visited him there. Prior to the visit, Stewart signed and delivered to the United States Attorneyâs Office for the Southern District of New York a document in which she affirmed, under penalty of perjury, that she would abide by the SAMs imposed by the Bureau of Prisons on Abdel Rahman.
At about this time, defendant Sattar was in contact with members of al-Gamaâa, who were divided over their support for what remained of the cease-fire. Pro-cease-fire and anti-cease-fire factions developed, and members of the organization wanted Abdel Rahman to take a position on the matter.
Yousry read the messages to Abdel Rahman during the visit, and Abdel Rah-man dictated to Yousry responses to some of them. Yousry and Stewart then smuggled the responses out of FMC Rochester among their legal papers, and sent them to Sattar. As directed by Abdel Rahman, Sattar informed various members of alGamaâa that Abdel Rahman was willing to reconsider the effectiveness of the ceasefire and had rejected the associated idea that al-Gamaâa should form a political party in Egypt.
News of Abdel Rahmanâs purported position spread. But some members of the media in the Middle East expressed skepticism about the veracity of Sattarâs representations, questioning whether they in fact came from Abdel Rahman or whether Sattar had fabricated them himself. To refute those reports, Sattar and Yousry asked one of Abdel Rahmanâs lawyers, former United States Attorney General Ramsey Clark, to tell a reporter for an Arabic-language newspaper that Abdel Rahman opposed al-Gamaâaâs formation of a political party. Clark, they thought, would be perceived as more authoritative than Sat-tar. Clark eventually agreed to talk to the reporter. He told the reporter that â[t]he Sheikh has said he believes that the formation of a new political party to engage in politics in Egypt at this time is ... not correct and should not be done.â Transcript of Conversation between Ahmed Abdel Sattar, Mohammed Yousry, Ramsey Clark, and Muhammad Al-Shafiâi, Nov. 5, 1999, at 15.
In September 1999, Farid Kidwani, the then-leader of al-Gamaâaâs military wing, was killed along with three other members of the group in a shootout with Egyptian police. Kidwaniâs death precipitated further tension and debate within al-Gamaâa regarding the advisability and efficacy of the cease-fire.
Taha sent another message to Sattar to be relayed to Abdel Rahman urging Abdel Rahman to support the termination of the cease-fire and noting that Taha and his associates needed a âpowerful wordâ from Abdel Rahman to achieve this goal. Taha told Sattar that such support from Abdel Rahman would âstrengthen me among the brothers.â Sattar agreed to send the message to Abdel Rahman and prepared a letter to Abdel Rahman for that purpose. In mid-September 1999, Clark and Yousry surreptitiously took the letter, along with newspaper articles relating to the killing of Kidwani in Egypt, with them during a visit to Abdel Rahman in FMC Rochester. Yousry read the letter and newspaper clippings aloud to Abdel Rahman. From these documents, Abdel Rahman first learned of Kidwaniâs death.
Abdel Rahman dictated a letter to Yousry in response.
To those against whom war is made, permission is given to fight, because they are wronged (oppressed) â and verily God is most powerful for their aid----The latest thing published in the newspapers was about the Egyptian regimeâs killing of four members of the Group. This is ... enough proof that the Egyptian regime does not have the intention to interact with this peaceful Initiative [i.e., the cease-fire] which aims at unification. I therefore demand that my brothers, the sons of [al-Gamaâa] do a comprehensive review of the Initiative and its results. I also demand that they consider themselves absolved from it.
On February 18 and 19, 2000, Yousry and Abdeen Jabara, an Arabic-speaking lawyer and member of Abdel Rahmanâs legal team, visited Abdel Rahman at FMC Rochester. They brought with them another letter which included another message from Taha, again asking for Abdel Rahmanâs support for ending the ceasefire. But Jabara would not permit Abdel Rahman to dictate a letter to Yousry in response. And, notwithstanding pressure from Sattar and Taha, Jabara, like Clark before him, refused to issue any public statement regarding Abdel Rahmanâs position on the matter.
On May 16, 2000, defendant Stewart signed another affirmation that she and her staff would abide by the SAMs. She did not submit that affirmation to the United States Attorneyâs Office until May 26.
On May 18, 2000, Stewart met with Sat-tar, who gave her more letters for Abdel Rahman, including another message from Taha yet again seeking Abdel Rahmanâs approval of an end to the cease-fire. Taha asked Abdel Rahman to take a âmore forceful positionâ regarding the end of the cease-fire and to âdictate some points we can announce in a press conference with Lynne.â Transcript of Second Audiovisual Recording involving Omar Abdel Rahman, Mohammed Yousry, Lynne Stewart, and others, May 19, 2000, (âVideo Tr. May 19, 2000, Tape 2â),
On May 19 and 20, 2000, Stewart and Yousry visited Abdel Rahman, taking Sat-tarâs most recent letters with them, including the letter containing the message from Taha. Unbeknownst to them, the government, pursuant to a warrant, videotaped the meetings. Yousry told Abdel Rahman that Abu Sayyaf â an Islamic terrorist group in the Philippines- â -had taken hostages to be used in bargaining for the release of Abdel Rahman and others. When Yousry explained to Stewart that he was âtelling the Sheikh about the Abu Sayyaf group in the Philippinesâ and how âthey took hostages,â Stewart replied, âGood for them.â Transcript of First Audiovisual Recording involving Omar Abdel Rahman, Mohammed Yousry, and Lynne Stewart, May 19, 2000, at 27.
From the beginning of the visit, Stewart was aware of the prison guardsâ presence. For example, she asked Yousry, âDo they usually sit like this and watch us?â Id. at 10. And during this meeting, Stewart and Yousry took overt steps to ensure that the nature of their communication with Abdel Rahman would be concealed from the prison guards. As she suggested to Yousry, they âshould give them [i.e., the guards] something to watch.â Id. at 11. When the guards were standing close to the window of the conference room in which Abdel Rahman, Stewart, and Yousry, were meeting Yousry told Stewart to âlook at me and talk a little bit because they are watching us closely.â Id. at 51. While Yousry read the message to Abdel Rahman, Stewart uttered a meaningless series of phrases to Yousry so that it would appear to an observer as though she was taking part in a three-way conversation: âI am talking to you about ... him going to have a, uh,
Stewart continued to talk while Yousry read aloud Tahaâs statement in Sattarâs letter. Yousry explained to Abdel Rah-man that âLynne just says anything, [laughing] (UI) Sir.â Id. at 52 (bracketed material in original). Stewart remarked, âI can get an academy award for it.â Id.
Stewart and Yousry then had this exchange:
YOUSRY: ... Lynne, I think you should talk to him because they are looking at me.
STEWART: (UI) there (UI), they, uh, (UI) ... [she taps Yousryâs pad with her pen]7 uhm, if he finds out what this is, then weâre ... [Laughs.]
YOUSRY: [Laughs] In trouble. STEWART: [Laughing] Yeah, thatâs right.
Video Tr. May 19, 2000, Tape 2, at 29 (brackets in original).
Stewart and Yousry also took evasive action when a guard appeared to take interest in their conversation. At one point, while Yousry was conversing with Abdel Rahman, Stewart touched Yousryâs hand and said âWhy donât you stop there and weâll talk a minute urn, the, uh.... Ahmedâs youngest son needs glasses, did you know that?â Id. at 30. Yousry then explained to Abdel Rahman, âLynne says, stop a little because they are by the glass.â Id. Not long afterwards, Stewart tapped with the pen on the paper in front of Yousry and told him to âcontinue reading this âcause this is setting up the organizational system around his conditions.â â Id. Yousry continued reading. Stewart then made a series of statements unrelated to the substance of the conversation between Yousry and Abdel Rahman. Yousry kept Abdel Rahman informed of what Yousry and Stewart were doing, noting that âLynne continues to eh, sheâs watching them, sheâs watching them,â to which Abdel Rahman replied, â[v]ery good, very good.â Id. at 33. After Yousry finished reading Tahaâs message to Abdel Rahman, he returned it to a notebook that he had brought with him and with which he left.
On the second day of the same visit, Abdel Rahman dictated to Yousry, among other things, a letter to an al-Gamaâa lawyer who favored the cease-fire, asking him to allow others in al-Gamaâa to criticize it, and another to Taha asking him to âescalate the languageâ of criticism of the ceasefire. Video Tr. May 20, 2000, Tape 2, at 32.
Meanwhile, Stewart and Yousry continued to engage in what Stewart later called â[c]overing noises,â Video Tr. July 13, 2001, Tape 2, at 12, and other tactics designed to obscure the nature of what they were doing. After one such incident, Yousry explained to Abdel Rahman, â[S]he just has to say that in order to break the ... The people are looking.â Video Tr. May 20, 2000, Tape 1, at 14. Stewart told Yousry, âI am making allowances for them looking in at us and seeing me never speaking and writing away here while you talk Arabic.â Id. at 17. She then directed
At the end of the visit, Stewart and Yousry took the Yousry-transcribed responses from Abdel Rahman with them from the prison, and later gave them to Sattar. Sattar then passed them along to Taha and another member of al-Gamaâa. Sattar also spoke to various members of al-Gamaâa, informing them that Abdel Rahman would have âno objectionâ to a return to violence. Transcript of Audio Recording of Ahmed Abdel Sattar, Rifaâi Ahmad Taha Musa, and Salah Hashim, May 29, 2000, at 3.
At about this time, Sattar told members of al-Gamaâa that Stewart would be making a public statement about Abdel Rah-manâs views on the cease-fire. Sattar and Stewart first discussed what Stewart would say to the press. Then, on June 13, 2000, Sattar and Stewart spoke to Esmat Salaheddin, a Reuters reporter based in Cairo. Stewart told Salaheddin that Abdel Rahman âis withdrawing his support for the ceasefire that currently exists.â Trial Transcript (âTrial Tr.â) at 5574, 5617, testimony of Salaheddin. She explained that Abdel Rahman had made the statement from prison two weeks before.
The next day, other Middle Eastern press outlets carried the news that Abdel Rahman had withdrawn his support for the cease-fire. Many noted that for the ceasefire to hold, Abdel Rahmanâs support was essential.
On June 20, 2000, Stewart participated in a telephone conference with Abdel Rah-man. She then sent another statement on Abdel Rahmanâs behalf via facsimile to Salaheddin, the Reuters reporter in Cairo. The telecopy said, âEverything said in the previous statements is correctâ and quoted Abdel Rahman as saying, âI do withdraw my support to the [cease-fire] initiative.â Statement for Release, Abdel Rahman, June 20, 2000. Following Stewartâs statements on Abdel Rahmanâs behalf, several members of al-Gamaâa began preparations to engage anew in acts of violence.
On October 4, 2000, Sattar and Taha completed a fatwa on Abdel Rahmanâs behalf, imitating his style, âmandating the killing of the Israelis everywhereâ and âthe killing [of] the Jews wherever they are (UI) and wherever they are found.â Transcript of Audio Recording of Ahmed Abdel Sattar and Yassir Al-Sirri Oct. 4, 2000, (âAudio Tr. Oct. 4â) at 13-16.
On July 13 and 14, 2001, Stewart again paid a visit to Abdel Rahman at FMC Rochester, having signed a revised affirmation agreeing to abide by the SAMs and having sent the affirmation by facsimile to the United States Attorneyâs Office for the Southern District of New York on May 7, 2001. Stewart again, with Yousryâs assistance and contrary to provisions of the SAMs, surreptitiously brought messages to and from Abdel Rahman.
Procedural History
On April 8, 2002, the defendants were indicted in connection with these and related acts; a superseding indictment was filed on November 19, 2003. On February 10, 2005, a jury found the defendants guilty on all counts in the superseding indictment. Specifically, all three defendants were convicted of conspiring to defraud the United States in violation of 18 U.S.C. § 371 (Count One) by violating SAMs imposed upon Abdel Rahman, and various related offenses. Sattar was convicted of conspiring with Taha, Abdel Rah-man, and others to murder persons in a foreign country in violation of 18 U.S.C. § 956 (Count Two), and with soliciting persons to commit crimes of violence â murder and conspiracy to commit murder â in violation of 18 U.S.C. § 373 (Count Three). Stewart and Yousry were convicted of providing and concealing material support to the Count-Two conspiracy, in violation of 18 U.S.C. § 2339A and 18 U.S.C. § 2 (Count Five), and with conspiracy to provide and conceal such support, in violation of 18 U.S.C. § 371 (Count Four). Stewart was also convicted of making false statements in violation of 18 U.S.C. § 1001 (Counts Six and Seven).
On October 16, 2006, following the denial of the defendantsâ motions for a judgment of acquittal and other relief, the district court sentenced the defendants. See Sentencing Transcript of Oct. 16, 2006 (âSentâg Tr.â). Sattar was sentenced to a 288-month term of incarceration to be followed by a five-year term of supervised release and a $300 special assessment; Stewart was sentenced to a 28-month term of incarceration to be followed by a two-year term of supervised release and a $500 special assessment; and Yousry was sentenced to a 20-month term of incarceration to be followed by a two-year term of supervised release and a $300 special assessment. Sattar is currently serving his sentence; Stewart and Yousry are free on bail pending appeal.
All three defendants appeal, challenging the validity of their convictions on a variety of grounds. The government challenges the reasonableness of the sentences on cross-appeal.
I. Standard of Review
We review de novo the district courtâs legal conclusions, including those interpreting and determining the constitutionality of a statute. United States v. Awadallah, 349 F.3d 42, 51 (2d Cir.2003), cert. denied, 543 U.S. 1056, 125 S.Ct. 861, 160 L.Ed.2d 781 (2005). We also review de novo a district courtâs denial of a motion pursuant to Federal Rule of Criminal Procedure 29 for a judgment of acquittal on the ground that the evidence was insufficient to sustain the conviction. United States v. Florez, 447 F.3d 145, 154 (2d Cir.), cert. denied, 549 U.S. 1040, 127 S.Ct. 600, 166 L.Ed.2d 445 (2006). Because the jury verdict will be upheld against a sufficiency challenge âif we find that âany rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt,â â United States v. Autuori, 212 F.3d 105, 114 (2d Cir.2000) (quoting Jackson v. Virginia, 443 U.S. 307, 319, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979) (emphasis in Jackson)), a convicted defendant making such a claim âbears a very heavy burden,â United States v. Desena, 287 F.3d 170, 177 (2d Cir.2002). We are required to evaluate âall of the evidence in the light most favorable to the government.â United States v. Aleskerova, 300 F.3d 286, 292 (2d Cir.2002).
II. Count One
Each defendant asserts that the evidence admitted at trial was insufficient to support his or her conviction under 18 U.S.C. § 371 for defrauding the United States and obstructing the Department of Justice and the Bureau of Prisons in the administration and enforcement of the SAMs in force with respect to Abdel Rah-man. Stewart also argues that the SAMs do not apply to lawyers, and that the district court improperly prevented her from challenging the underlying validity of the SAMs.
A. Sufficiency of the Evidence
In order to establish a conspiracy-to-defraud offense under 18 U.S.C. § 371 as charged in Count One of the indictment, a reasonable jury must have been able to conclude beyond a reasonable doubt â(1) [that the defendants] entered into an agreement (2) to obstruct a lawful function of the government [in this case, the administration and enforcement of the SAMs] (3) by deceitful or dishonest means and (4) at least one overt act in furtherance of the conspiracy.â United States v. Ballistrea, 101 F.3d 827, 832 (2d Cir.1996), cert. denied, 520 U.S. 1150, 117 S.Ct. 1327, 137 L.Ed.2d 488 (1997) (citation and internal quotation marks omitted). â âBoth the existence of a conspiracy and a given defendantâs participation in it with the requisite knowledge and criminal intent may be established through circumstantial evidence.â â United States v. Huezo, 546 F.3d 174, 180 (2d Cir.2008) (quoting United States v. Stewart, 485 F.3d 666, 671 (2d Cir.2007)) (alteration omitted).
1. Evidence as to Stewart. Stewart argues that her defiance of the SAMs was open, not deceitful. One aspect of her defiance was undoubtedly public â the conveyance of Abdel Rahmanâs statements regarding the cease-fire and related matters to the Reuters journalist. But we agree with the district court that â[a] reasonable jury could certainly [have found] that Stewart gained access to Abdel Rahman [and thereby the information that she conveyed to the journalist] by deceit and dishonest means.â Sattar V, 395 F.Supp.2d at 89. âWithout [Stewartâs] agreement to abide by the SAMs and the other representations contained in her affirmations, she knew that she would not have been allowed to visit Abdel Rahman,â id.; see
Stewart insists that she acted with the intent, not to defraud the government, but to âzealouslyâ represent her client.
2. Evidence as to Yousry. Yousry argues that, as a translator who was taking direction from others, he did only what he was told to do and acted in good-faith reliance on the guidance and conduct of the members of the bar for whom he worked. Based on the evidence admitted at trial, however, a rational jury could have found that Yousry knew of and understood the terms of the SAMs.
Yousry had in his possession the December 1999 version of the SAMs as well as a copy of the underlying regulations. That version of the SAMs provided that Abdel Rahmanâs legal team could pass along to him âonly inmate case-related correspondence,â and set forth a process for screening all non-legal mail. SAMs of Dec. 10, 1999, ¶ 7. The SAMs in Yousryâs possession also specifically prohibited Abdel Rah-manâs communication with news media âin person, by telephone, by furnishing a recorded message, through the mails, through his attorney(s), or otherwise.â Id. ¶ 9. Yousry himself acknowledged that members of the legal team were not âto disclose any portion of their conversation with the Sheik to the media.â Excerpts from Draft of Dissertation of Mohammed Yousry at 29. Yousry also knew that Clark and Jabara had refused to relay messages from Abdel Rahman.
From this evidence, a reasonable factfinder could conclude beyond a reasonable doubt that Yousry knew that his assistance, by providing translation services, in facilitating Abdel Rahmanâs continued contact with members of al-Gamaâa violated the SAMs. Moreover, as with Stewart, Yousryâs deceptive and evasive conduct during the course of his visits to Abdel Rahman undercuts his claim of good faith.
Yousry argues that the evidence established, at most, that he intended to violate the SAMs, not that he knew that doing so might constitute a crime. But even if he misunderstood the law in that respect, such a mistake provides no defense to a charge of criminal misbehavior. See Cheek v. United States, 498 U.S. 192, 199, 111 S.Ct. 604, 112 L.Ed.2d 617 (1991). The fact that Yousry was aware that his acts,
B. Propriety of the SAMs
1. Stewartâs Argument. Stewart contends that the district court erred by preventing her from challenging the validity of the SAMs as part of her defense. She sought to argue that the Attorney General has no authority to have lawyers held criminally liable for violating the SAMs and that the SAMs are unconstitutionally vague as applied to her. Under Dennis v. United States, 384 U.S. 855, 86 S.Ct. 1840, 16 L.Ed.2d 973 (1966), however, Stewartâs strategy of collaterally attacking the validity of the SAMs is futile.
As the Supreme Court recognized in Dennis, there are âappropriate and inappropriate ways to challenge acts of government thought to be unconstitutional.â Id. at 867, 86 S.Ct. 1840. There is âno reason for [federal courts] to consider the constitutionality of a statute at the behest of petitioners who have been indicted for conspiracy by means of falsehood and deceit to circumvent the law which they now seek to challenge.â Id. at 866, 86 S.Ct. 1840. Stewart, like the defendants in Dennis, was indicted for engaging in a âvoluntary, deliberate and calculated course of fraud and deceit.â Id. at 867, 86 S.Ct. 1840. This is a âprosecution directed at [Stewartâs] fraud[,] not an action to enforce the [law] claimed to be unconstitutional.â Id.
The result may be different where the constitutionality of a law is âchallenged by those who of necessity violate its provisions and seek relief in the courts,â id. at 865, 86 S.Ct. 1840, or where the governmental action at issue was taken with no âcolorable authority,â United States v. Barra, 149 F.2d 489, 490 (2d Cir.1945).
We have no basis upon which to entertain a doubt as to the authority of the Attorney General of the United States to
Stewart might have effectively challenged the SAMs by refusing to sign the affirmations in which she said she would abide by them. She might then have invoked the jurisdiction of the courts by bringing suit on Abdel Rahmanâs or her own behalf to challenge their validity. She might have argued â as she forcefully does here â that the SAMs interfered with her capacity to effectively represent Rahman. But she did not. Instead, she signed the affirmations. Having chosen that path, she cannot be heard to attack the validity of those measures when called to account for violating them, especially where, as here, her fraudulent and deceptive conduct endangered peopleâs lives.
The district court did not err in preventing Stewart from challenging the validity of the SAMs as part of her defense, and the jury acted within its province when it found that Stewart intentionally and fraudulently subverted them.
ÂŁ Sattarâs Related Arguments on Appeal. Sattar relies on Stewartâs and Yousryâs arguments with respect to Count One. For the reasons set forth above addressing those arguments, we conclude that they are also unpersuasive as applied to him.
III. Counts Two and Three
Only Sattar was charged in Counts Two and Three of the superseding indictment. He does not challenge the sufficiency of the evidence supporting his Count Two conviction for conspiring with Abdel Rah-man, Taha, and others to murder persons in a foreign country, in violation of 18 U.S.C. § 956.
IV. Counts Four and Five
Stewart and Yousry challenge their Count Five convictions for violating 18 U.S.C. § 2339A and 18 U.S.C. § 2 by providing and concealing material support for the Count-Two conspiracy for which Sat-tar was convicted and their Count Four convictions for conspiracy to provide and conceal such support, in violation of 18 U.S.C. § 371. They argue that the evi
A. History of the Charges
By way of background, the initial indictment charged all three defendants with violating 18 U.S.C. § 2339B.
The government then filed a superseding indictment alleging that by essentially the same course of conduct, i.e., coordinating the surreptitious passage of al-Gamaâa messages to and from Abdel Rahman, Stewart and Yousry violated 18 U.S.C. § 2339A.
Whoever, within the United States, provides material support or resources or conceals or disguises the nature, location, source, or ownership of material support or resources, knowing or intending that they are to be used in preparation for, or in carrying out, a violation of [various enumerated statutes related to terrorism] or in preparation for, or in carrying out, the concealment of an escape from the commission of any such violation, or attempts or conspires to do such an act, shall be [subject to criminal punishment],
18 U.S.C. § 2339A(a) (2000). For purposes of both sections 2339A and 2339B, âmaterial support or resourcesâ may be provided in the form of:
currency or other financial securities, financial services, lodging, training, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.
18 U.S.C. § 2339A(b)(l) (2000); see also id. § 2339B (g)(4) (2000) (â[T]he term âmaterial support or resourcesâ has the same meaning given that term in section 2339A....â). Section 2339A, however, in contrast to section 2339B, does not penalize the provision of material support without regard to what the support is for. Section 2339A requires instead that the defendant provide support or resources with the knowledge or intent that such resources be used to commit specific violent crimes.
As an initial matter, Stewart and Yousry challenge the sufficiency of the evidence supporting their convictions on this count. They also argue that the district court erroneously instructed the jury on the elements of a violation of section 2339A. In addition, they raise more general challenges to the statute, arguing that section 2339A does not criminalize the behavior alleged in the indictment, that the provision is unconstitutional as a multi-level inchoate offense, and that the statute is unconstitutionally vague as applied to them. We examine their arguments in the context of the statutory elements of the crime, addressing first the sufficiency arguments.
B. Elements of Section 2339A
1. Proof of the Underlying Conspiracy to Kill Persons Abroad.
The government offered evidence that Sattar and Taha composed a fatwa in Abdel Rahmanâs name calling for âthe killing [of] the Jews wherever they are (UI) and wherever they are found.â Audio Tr. Oct. 4, at 15. It also offered proof that this fatwa was communicated to Atia, an alGamaâa military leader. Although the evidence may not have established any particular plan of action to execute the fatwa, a reasonable jury could have found beyond a reasonable doubt from the fatwaâs exhortations and Atiaâs readiness to act on it that there was a concrete, illegal objective to murder persons abroad.
A review of the transcripts of various intercepted telephone conversations introduced into evidence, particularly the September 18, 2000, conversation involving Sattar, Taha, and another party, bolsters this conclusion. The discussion goes well beyond the abstract and contemplates the coordination with Atia of violent actions, presumably along the lines of the Luxor massacre. In light of such evidence, a rational jury could have found beyond a reasonable doubt that the conspiracy as charged in Count Two existed.
2. Proof of Material Support to the Conspiracy. Stewart and Yousry also assert that they did not provide material support in the form of âpersonnelâ to the Count-Two conspiracy. A reasonable jury
The defendants argue that the government established only that they provided the underlying conspiracy with Abdel Rah-manâs âpure speechâ and therefore did not provide âpersonnelâ within any constitutional interpretation of section 2339A. The government does not deny that section 2339A may not be used to prosecute mere advocacy or other protected speech, but contends that the defendants were prosecuted for criminal actions that did not amount to protected speech.
Resolution of this dispute does not turn on whether the prosecution introduced evidence of âpure speech.â âNumerous crimes under the federal criminal code are, or can be, committed by speech alone,â and certain crimes âare characteristically committed through speech.â Rahman, 189 F.3d at 117. The issue is, instead, whether Abdel Rahmanâs statements were protected speech. We conclude that the statements were not protected such as to cast doubt on the convictions.
Words that are âthe very vehicle of [a] crimeâ are not protected âmerely because, in part, [the crimes] may have involved the use of language.â United States v. Rowlee, 899 F.2d 1275, 1278 (2d Cir.), cert. denied, 498 U.S. 828, 111 S.Ct. 87, 112 L.Ed.2d 59 (1990). As we recognized when affirming Abdel Rahmanâs sentence, âfreedom of speech and of religion do not extend so far as to bar prosecution of one who uses a public speech or a religious ministry to commit crimes.â Abdel Rahman, 189 F.3d at 116-17. â[I]f the evidence shows that the speeches crossed the line into criminal solicitation, procurement of criminal activity, or conspiracy to violate the laws, the prosecution is permissible.â Id. at 117. Words âthat instruct, solicit, or persuade others to commit crimes of violence ... violate the law and may be properly prosecuted regardless of whether they are uttered in private, or in a public speech, or in administering the duties of a religious ministry.â Id.
The dissemination of some of the speech introduced at trial might be viewed as nothing more than the expression of views on the broad political situation in Egypt. For example, in reaffirming that he was withdrawing his support for the cease-fire, Abdel Rahman said that he had âexpressed [his] opinion and left the matters to [his] brothers to examine it and study it.â Statement for Release, Abdel Rah-man, June 20, 2000.
But a reasonable jury could have found, in light of Abdel Rahmanâs role as âspiritualâ leader of al-Gamaâa, that his messages were ultimately intended to sway alGamaâa members to end the cease-fire, and by implication to commit criminal acts of violence. Abdel Rahmanâs statements were therefore not an expression of opinion, but a call to arms.
The evidence establishes, moreover, more than a one-way broadcast of Abdel Rahmanâs views. Abdel Rahmanâs comments were made in direct response to solicitations of his views from other alGamaâa members who were seeking to effect an end to the cease-fire and to resume violence. In light of the information avail
3. Proof Regarding Knowing or Intentional Provision of Material Support. Stewart and Yousry argue that the prosecution did not prove the requisite mental state to sustain their convictions. They contend that they were not aware of the existence of the conspiracy charged in Count Two and therefore could not have intended to aid it.
These arguments are unavailing. From the evidence at trial, a reasonable factfinder could have concluded that Stewart and Yousry knew (1) that an active group of people within al-Gamaâa including, most notably, Taha, sought to commit violent crimes but were hindered by the cease-fire and by those members of al-Gamaâa who sought to adhere to it; (2) that the support of Abdel Rahman â a key leader of the group â was critical to the continued maintenance of the cease-fire; and (3) that, in light of the letters and messages from Taha and Sattar that Yousry read to Abdel Rahman in prison, Abdel Rahmanâs particular opinion regarding the cease-fire â and not the view of any other person â would be dispositive on the question of whether al-Gamaâa members would continue to abide by the cease-fire. A reasonable fact-finder could thus have concluded that Yousry and Stewart actively and intentionally facilitated communications between Abdel Rahman and al-Gamaâa, in part by engaging in various ruses during the course of their visits to Abdel Rahman, and thereby effectively delivered Abdel Rahmanâs order to commit violence. Stewart also did so by reaffirming to the press Abdel Rahmanâs stated withdrawal of support for the cease-fire, thereby dispelling any notion that the message came not from Abdel Rahman himself, but was instead fabricated by members of the pro-violence faction of al-Gamaâa.
C. Other Challenges with Respect to 18 U.S.C. § 2839A
1. Vagueness. Section 2339A criminalizes the provision of material support or resources âknowing or intendingâ that they are to be used to assist in certain enumerated crimes of terrorism. 18 U.S.C. § 2339A(a) (full text set forth on page 113, supra). Stewart and Yousry assert that insofar as the statute does not require âconscious, knowing intentâ or âknowledge and intent,â the statute is unconstitutionally vague as applied to them. They argue that the district court should have dismissed the section 2339A charges for substantially the same reasons that it dismissed the section 2339B charges that were contained in the initial indictment. The government urges to the contrary that the text of section 2339A, which requires âknowing or intending,â 18 U.S.C. § 2339A(a) (emphasis added), is sufficiently precise.
In analyzing the defendantsâ arguments in this regard, we must focus on two major differences between the initial and superseding indictment.
First, the statutes upon which they were based differ. Unlike section 2339A, section 2339B penalizes the knowing provision of material support alone. Unlike section 2339A, section 2339B does not require for conviction proof that the defendant has provided support or resources with the knowledge or intent that such resources be used to commit specific violent crimes.
As we have explained, the district court dismissed the section 2339B charges on the ground that they were unconstitutional as applied to the defendants. The basis for dismissal of the âcommunications equipmentâ charges was that the statute, as read to apply to the facts of this case, could âcriminaliz[e] the mere use of phones and other means of communication [with] neither notice nor standards for [the statuteâs] application.â Id. And the basis for the dismissal of the âpersonnelâ charges, as framed in the initial indictment, was that such a charge could criminalize the actions of â [s]omeone who advocates the cause of the [Foreign Terrorist Organization].â â Id. at 359 (quoting Humanitarian Law Project v. Reno, 205 F.3d 1130, 1137 (9th Cir.2000), cert. denied, 532 U.S. 904, 121 S.Ct. 1226, 149 L.Ed.2d 136 (2001)) (brackets omitted). Without more, the district court concluded, such conduct cannot be punished without violating the First Amendment. See id.
The initial charges raised the possibility, moreover, that under the governmentâs reading of the statute, âa lawyer, acting as an agent of her client, an alleged leader of an FTO, could [be] subject to criminal prosecution as a âquasi-employee.â â Id. As we shall see, the charges in the superseding indictment do not pose this risk.
A statute is unconstitutionally vague as applied âif it fails to provide people of ordinary intelligence a reasonable opportunity to understand what conduct it prohibitsâ or âif it authorizes or even encourages arbitrary and discriminatory enforcement.â Hill v. Colorado, 530 U.S. 703, 732, 120 S.Ct. 2480, 147 L.Ed.2d 597 (2000); accord United States v. Rybicki, 354 F.3d 124, 132 (2d Cir.2003) (en banc), cert. denied, 543 U.S. 809, 125 S.Ct. 32, 160 L.Ed.2d 10 (2004). As a general matter, scienter requirements may âameliorate[ ]â concerns of improper notice. See Hill, 530 U.S. at 732, 120 S.Ct. 2480.
We are satisfied that section 2339Aâs knowledge-or-intent formulation saves the statute from being unconstitutionally vague as applied here. Unlike the application of section 2339B proposed in the initial indictment, the superseding indictment required the jury to find that the defendants knew or intended the criminal uses to which the conspiracy would put the material support they provided, thereby eliminating concerns about inadequate notice. In other words, if Stewart and Yousry knew that their actions provided material support to a conspiracy to end the cease-fire and thereby unloose deadly acts of terrorism by al-Gamaâa and others, then they were on notice that what they were doing was prohibited by a statute that criminalizes the provision of material support âknowing or intending that [such sup
Stewart and Yousry argue nonetheless that several statutory terms, such as âpersonnel,â are unconstitutionally vague as applied to them. They note that âpersonnel,â undefined at the relevant time, applies equally to sections 2339A and 2339B, compare id. § 2339A(b)(l) (2000) with id. § 2339B(g)(4) (2000).
We agree, however, with the district courtâs conclusion that â[t]he meaning of âpersonnelâ is clear in the context of § 2339A when applied to personnel who are to be used in preparation for, or in carrying out, specific crimes.â Sattar III, 314 F.Supp.2d at 301 n. 11. By applying, in the first indictment, the prohibition against providing âpersonnelâ to the conspiracy to a circumstance in which the defendants provided themselves, the government created a situation in which the defendants could be punished for, in effect, providing themselves to speak out in support of the program or principles of a foreign terrorist organization, an activity protected by the First Amendment. See Sattar I, 272 F.Supp.2d at 359. The more limited charge that they knowingly or intentionally provided Abdel Rahman (as âpersonnelâ), whose voice of command or words of approbation were a means by which al-Gamaâa members could prepare for, or carry out, terrorist acts in Egypt, does not carry the same risk with its corresponding constitutional implications.
In addition, the heightened scienter requirement in section 2339A constrains prosecutorial discretion, and ameliorates concerns of arbitrary and discriminatory enforcement. Similar scienter requirements have saved other statutes from void-for-vagueness challenges. See, e.g., Hill, 530 U.S. at 732, 120 S.Ct. 2480; see also Colautti v. Franklin, 439 U.S. 379, 395 & n. 13, 99 S.Ct. 675, 58 L.Ed.2d 596 (1979) (citing cases); United States v. Curdo, 712 F.2d 1532, 1543 (2d Cir.1983).
2. Nature of the Offense. Stewart and Yousry also contend that Count Four, alleging a conspiracy to violate section 2339A, acts impermissibly as a charge of a âmulti-level inchoate offense,â a âlogical absurdityâ that âviolate[s] due process.â Stewart Br. 161-65. The gist of their argument is that the charge effectively criminalizes a âconspiracy to conspire,â thereby violating due process by extending criminal liability to a degree too remote from any substantive criminal offense to pass constitutional muster. Id. at 165-69.
As what seems to us to be a variation on the same theme, Stewart and Yousry assert that the district court erred by âimpermissibly diluting]â the proof required for conviction of the Counh-Two conspiracy in the context of the material support convictions under section 2339A. Stewart Br. 158. But the government need not have established beyond a reasonable doubt that Stewart or Yousry engaged in a conspiracy to kidnap or commit murder abroad; neither was charged with doing either. Instead, both were charged with and convicted of violating section 2339A, and, as discussed, the evidence is sufficient to sustain the conviction on those charges. Stewart and Yousry do not, presumably because they cannot, suggest that Congress did not have the power to criminalize the relevant underlying conduct.
V. Counts Six and Seven
Stewart challenges her convictions on Counts Six and Seven for violating the blanket provisions of 18 U.S.C. § 1001, which subjects to criminal sanctions
whoever, in any matter within the jurisdiction of the executive, legislative, or judicial branch of the Government of the United States, knowingly and willfullyâ
(1) falsifies, conceals, or covers up by any trick, scheme, or device a material fact;
(2) makes any materially false, fictitious, or fraudulent statement or representation; or
(3) makes or uses any false writing or document knowing the same to contain any materially false, fictitious, or fraudulent statement or entry....
18 U.S.C. § 1001(a). Stewart argues that, at worst, she broke a promise, and that the statute criminalizes false statements, not false promises.
We conclude otherwise. On May 16, 2000, Stewart signed an affirmation stating that she would (âshallâ) abide by the SAMs. On May 26, 2000, Stewart submitted the affirmation to the United States Attorneyâs Office for the Southern District of New York. On May 7, 2001, Stewart signed a revised affirmation to the same effect and telecopied it to the same office. Before, after, and between executing these affirmations, she helped smuggle messages to and from Abdel Rahman in violation of the SAMs.
Stewart at least thrice affirmed âunder the penalties of perjury the truthâ of certain statements. The May 16, 2000, statement reads in pertinent part:
I ... understand that neither I nor any member of my office shall forward any mail received from inmate Abdel Rah-man to a third person. Nor shall I use my meetings, correspondence or phone calls with Abdel Rahman to pass messages between third parties (including, but not limited to, the media) and Abdel Rahman.
Stewart May 2000 Aff. (Govât Ex. 7.) In the May 7, 2001, statement, Stewart affirmed:
I ... specifically understand that the meetings shall not be for the purpose of presenting statements to the defense team for further dissemination to third parties, including the media. I will only*120 allow the meetings to be used for legal discussion between Abdel Rahman and me.
Stewart May 2001 Aff. (Govât Ex. 12.)
A reasonable factfinder was entitled to conclude that Stewart affirmed under penalty of perjury that she had the then-present intent to have her actions conform to the terms of the SAMs. From Stewartâs smuggling messages to and from Abdel Rahman, the factfinder could conclude that the assertion about her intent was knowingly and willfully false when it was made. See United States v. Uram, 148 F.2d 187, 189 (2d Cir.1945) (concluding that allegation of a false representation as to future use of loan proceeds was âan allegation of a present statement and the assertion of existing intentâ); cf. United States v. Shah, 44 F.3d 285, 294 (5th Cir.1995) (observing that âa promise may amount to a âfalse, fictitious or fraudulentâ statement if it is made without any present intention of performance and under circumstances such that it plainly, albeit implicitly, represents the present existence of an intent to performâ).
Stewart seeks support for her argument from Williams v. United States, 458 U.S. 279, 102 S.Ct. 3088, 73 L.Ed.2d 767 (1982). There, the Supreme Court reversed a conviction of the defendant under 18 U.S.C. § 1014 for his making of a âfalse statementâ â a check drawn on an account containing insufficient funds â for the purpose of influencing the actions of a federally insured institution. But central to the Williams Courtâs analysis was the proposition that a check, even a bad check, âis not a factual assertion at all.â Id. at 284, 102 S.Ct. 3088. A check âd[oes] not, in terms, make any representation as to the state of [the drawerâs] bank balanceâ but âserve[s] only to direct the drawee banks to pay the face amounts to the bearer, while committing [the drawer] to make good the obligations if the banks dishonor! ] the drafts.â Id. at 284-85,102 S.Ct. 3088.
Williams does not apply to the conduct at issue here. A reasonable jury could have concluded that Stewartâs affirmations that she would abide by the SAMs amounted to factual assertions regarding her then-present intent to abide by the SAMs. Based on her repeated affirmations, and her repeated violations of those affirmations, moreover, a reasonable jury could have concluded that at the time Stewart executed and submitted the affirmations at issue, she did not intend to abide by them â in other words, that her representations were knowingly false when made. On this basis, a reasonable jury could have properly concluded that Stewart violated section 1001 as charged in Counts Six and Seven.
VI. General Challenges to the Validity of the Convictions
In addition to their challenges to specific counts in the indictment, Stewart and Sat-tar make general assertions of error regarding the governmentâs conduct during the course of the prosecution. Stewart argues that she was selectively prosecuted on account of her gender and political beliefs, and both Stewart and Sattar assert that the governmentâs decision to file a superseding indictment following their successful efforts to dismiss several counts of the initial indictment constitutes vindictive prosecution.
The defendants also raise various challenges to the district courtâs case administration. First, they allege a variety of pretrial errors: in the denial of their motions to sever their trial from Sattarâs; in the empaneling of an anonymous jury; in the denial of Stewartâs motion to suppress certain evidence obtained pursuant to the Foreign Intelligence Surveillance Act of 1978, Pub.L. No. 95-511, 92 Stat. 1783, 50
A. Selective Prosecution
Stewart argues that she was selectively prosecuted on account of her gender and political beliefs in violation of the Equal Protection Clause of the Fourteenth Amendment. This argument requires Stewart to establish that she was âtreated differently from other similarly situated individualsâ and that âsuch differential treatment was based on impermissible considerations such as race, religion, intent to inhibit or punish the exercise of constitutional rights, or malicious or bad faith intent to injure [her].â Harlen Assocs. v. Inc. Vill. of Mineola, 273 F.3d 494, 499 (2d Cir.2001) (internal quotation marks omitted); accord United States v. Fares, 978 F.2d 52, 59 (2d Cir.1992); United States v. Moon, 718 F.2d 1210, 1229 (2d Cir.1983), cert. denied, 466 U.S. 971, 104 S.Ct. 2344, 80 L.Ed.2d 818 (1984).
Stewart compares her treatment with that of Abdel Rahmanâs former lawyers Ramsey Clark and Abdeen Jabara, who, even though they allegedly violated the same SAMs as she did, were not prosecuted for doing so. Clarkâs and Jabaraâs alleged misconduct, however, was different from Stewartâs adjudicated misconduct in at least one crucial respect: both Clark and Jabara refused to publicize Abdel Rahmanâs withdrawal of support for the alGamaâa cease-fire, something Stewart did at least twice. Like Stewart, Clark spoke to the media on Abdel Rahmanâs behalf. But unlike Stewart, the message Clark disseminated in apparent violation of the SAMs â that Abdel Rahman did not support the formation of a political party in Egypt â did not have the same potential for inciting violence. For that reason and those set forth by the district court in its decisions addressing the matter, see Sattar V, 395 F.Supp.2d at 103 (denying selective prosecution claim), cf. Sattar III, 314 F.Supp.2d at 311-14 (denying vindictive prosecution claim), and Order, Sept. 1, 2004 (denying selective prosecution claim), Stewartâs arguments in this regard are without merit.
B. Vindictive Prosecution
Sattar argues that the district court erred in denying his motion to dismiss the Count-Two conspiracy charge in the superseding indictment because the institution of the charge was driven by prosecutorial vindictiveness. This argument is also without merit.
The government filed the original five-count indictment in April 2002. In it, Sat-tar, Stewart, Yousry, and another
Sattar argues that the governmentâs decision to file the superseding indictment and add the charge of violating section 956 âwas a retaliatory act ... motivated by the embarrassment [the government] suffered as a result of the dismissalâ of two central counts in the original indictment. Sattar Br. 17. He asserts that an inference of vindictive prosecution is supportable in two ways: First, the addition of Count Twoâ which carries a potential sentence of life imprisonment, a longer sentence than that authorized by the dismissed charge pursuant to section 2339B â âup[ped] the anteâ for the consequences of conviction. Sattar III, 314 F.Supp.2d at 311. Second, the government could have brought the section 956 charge in the original indictment, inasmuch as it was based on information known to the government prior to the filing of the initial indictment, but the government declined to do so.
â[T]he decision as to whether to prosecute generally rests within the broad discretion of the prosecutor, and a prosecutorâs pretrial charging decision is presumed legitimate.â United States v. Sanders, 211 F.3d 711, 716 (2d Cir.), cert. denied, 531 U.S. 1015, 121 S.Ct. 574, 148 L.Ed.2d 491 (2000) (citations and internal quotation marks omitted). Nonetheless, âa prosecution brought with vindictive motive, penalizing those who choose to exercise constitutional rights, would be patently unconstitutional.â Id. (internal quotation marks omitted). We will dismiss an indictment if actual vindictiveness has been demonstrated, or if, under the circumstances, âthere is a presumption of vindictiveness that has not been rebutted by objective evidence justifying the prosecutorâs action.â Id. (internal quotation marks omitted).
We review a district courtâs factual findings on prosecutorial vindictiveness for clear error, and its legal conclusions de novo. United States v. Johnson, 171 F.3d 139, 140 (2d Cir.1999) (per curiam). We review a district courtâs decision denying discovery on claims of prosecutorial vindictiveness for abuse of discretion. Sanders, 211 F.3d at 717.
âTh[e] need to avoid the appearance of vindictiveness has taken the form of a presumption of prosecutorial vindictiveness ..., applied when (but only when) the circumstances of a case pose a ârealistic likelihoodâ of such vindictiveness.â United States v. King, 126 F.3d 394, 397 (2d Cir. 1997) (citations and internal quotation marks omitted). The district court found no reason to presume that the actions at issue, which arose in a pretrial setting, were vindictive. See Sattar III, 314 F.Supp.2d at 311-12.
âThe circumstances must present a realistic likelihood of vindictiveness that would be applicable in all cases, and any such presumption may be overcome by objective evidence justifying the prosecutorâs action.â Sanders, 211 F.3d at 717 (citations and internal quotation marks omitted). â[T]his court has consistently adhered to the principle that the presumption of prosecutorial vindictiveness does not exist in a pretrial setting.â Paradise v. CCI Warden, 136 F.3d 331, 335 (2d Cir.), cert. denied, 525 U.S. 836, 119 S.Ct. 94, 142
Sattarâs claim of actual, as opposed to presumptive, vindictiveness is also without merit. A finding of actual vindictiveness requires a showing that a âprosecutorâs charging decision [is] a âdirect and unjustifiable penalty,â that resulted âsolely from the defendantâs exercise of a protected legal right.â â Sanders, 211 F.3d at 716-17 (internal citation omitted). The evidence Sattar offers in this regard is that the government possessed the same information when preparing the original and superseding indictments, that the maximum punishment Sattar faced if convicted under the superseding indictment was greater than that he faced if convicted under the original indictment, and that the superseding indictment was the result of the district courtâs dismissal of the section 2339B material support charges in the original indictment. We have no warrant to conclude that the district court clearly erred in finding that the charging decision was not vindictive, or that the government was attempting to do anything more than hold Sattar criminally responsible for engaging in the underlying acts that form the basis of the indictment. See Paradise, 136 F.3d at 336. Put another way, it does not follow from the facts Sattar recites that the resulting charge was necessarily brought vindictively; for this reason the district court did not err in concluding otherwise.
C. Trial Administration
1. Alleged Pre-Trial Errors
a. Severance
Stewart and Yousry assert that the district court abused its discretion by denying their motions to sever their trial from the trial of Sattar because Sattar was charged with, and convicted of, conspiracy to murder persons in a foreign countryâ allegations different from and more serious than those with which Stewart and Yousry were charged. To succeed on this argument, Stewart and Yousry must show that the district court abused its discretion in this regard and that the resulting prejudice rose to the level of âa miscarriage of justice.â See United States v. Yousef, 327 F.3d 56, 150 (2d Cir.2003). Stewart and Yousry complain primarily that as a result of the district courtâs denial of their motion for severance, evidence irrelevant to their actions and unfairly prejudicial to their case permeated the trial. They further contend that the volume of limiting instructions given to the jury rendered them effectively useless in attempting to curb any prejudicial effect.
But the district court did not abuse its discretion in this respect. Count Two charged Sattar with conspiring to murder persons in a foreign country. Count Five charged Stewart and Yousry with providing and concealing material support to that conspiracy, and Count Four charged them with conspiring to provide and conceal that support. Most of the evidence against Sattar that Stewart and Yousry assert to have been unduly prejudicial to themâ evidence submitted to establish the existence of the Count-Two conspiracy charge against Sattar â would have been admissible against Stewart and Yousry even had the trial been severed. See Sattar I, 272 F.Supp.2d at 380-81. This is so because the Count-Two conspiracy was an element of the crimes charged against Stewart and Yousry in Counts Four and Five, and the government would have been entitled, and expected, to elicit relevant evidence regarding its existence. â[T]he fact that tes
To the extent that evidence introduced at trial was not admissible against a particular defendant, the district court gave detailed â if necessarily voluminous â curative instructions to the jury. Neither Stewart nor Yousry proffer instructions that should have been given, but were not. Nor do they identify improper curative instructions that were given. This is not a case where âthe risk that the jury [would] not, or [could] not, follow instructions [was] so great, and the consequences of failure so vital to the defendant, that the practical and human limitations of the jury system [could not] be ignored.â Bruton v. United States, 391 U.S. 123, 135, 88 S.Ct. 1620, 20 L.Ed.2d 476 (1968). Despite the length of the instructions, we presume, as did the district court, see Sattar V, 395 F.Supp.2d. at 104, that the jurors followed them, see, e.g., Richardson v. Marsh, 481 U.S. 200, 206, 107 S.Ct. 1702, 95 L.Ed.2d 176 (1987) (noting that it is an âalmost invariable assumption of the law that jurors follow their instructionsâ); United States v. Salameh, 152 F.3d 88, 116 (2d Cir.1998), cert. denied, 525 U.S. 1112, 119 S.Ct. 885, 142 L.Ed.2d 785 (1999) (âJuries are presumed to follow their instructions.â (internal quotation marks and brackets omitted)). Neither Stewart nor Yousry provide us with a convincing reason to conclude that the district court abused its discretion in this regard.
b. Empaneling an Anonymous Jury
By order dated April 29, 2004, the district court granted the governmentâs motion to empanel an anonymous jury, in light of the substantial publicity surrounding the case and the seriousness and nature of the charges in the indictment, especially the charge that the defendants had attempted âto interfere with the ordered procedures of law enforcement and the judicial process.â Order, Apr. 29, 2004. As a general rule, a district court may order the empaneling of an anonymous jury upon â(a) concluding that there is strong reason to believe the jury needs protection, and (b) taking reasonable precautions to minimize any prejudicial effects on the defendant and to ensure that his fundamental rights are protected.â United States v. Paccione, 949 F.2d 1183, 1192 (2d Cir.1991), cert. denied, 505 U.S. 1220, 112 S.Ct. 3029, 120 L.Ed.2d 900 (1992). A defendantâs apparent âwillingness to tamper with the judicial processâ will support the use of an anonymous panel. United States v. Aulicino, 44 F.3d 1102, 1116 (2d Cir.1995) (internal quotation marks and ellipses omitted). Where otherwise warranted,
the use of an anonymous jury does not infringe a defendantâs constitutional rights, so long as the court conducts a careful voir dire designed to uncover any bias as to the issues or the defendants and takes care to give the jurors a plausible and non-prejudicial reason for not disclosing their identities.
Id. If âthere is evidence to support the district courtâs finding of reason to believe the jury needs protection,â and if âthe court has taken reasonable precautions to minimize any prejudicial effects on the defendant and to ensure protection of his fundamental rights, the decision to empanel an anonymous jury is reviewed only for abuse of discretion.â United States v. Thai, 29 F.3d 785, 801 (2d Cir.), cert. denied, 513 U.S. 977, 115 S.Ct. 456, 130 L.Ed.2d 364 (1994).
c. Pre-Trial Suppression of Evidence
i. Suppression of Evidence Obtained Pursuant to FISA The defendants argue that evidence obtained from electronic surveillance pursuant to FISA should have been suppressed because such surveillance was improperly instituted for the purpose of a criminal investigation, rather than for the gathering of intelligence, and because FISA was unconstitutional as applied in this case.
By Opinion and Order dated September 15, 2003, the district court denied the defendantsâ motions to suppress the relevant evidence. Sattar II, 2003 WL 22137012, at *22, 2003 U.S. Dist. LEXIS 16164, at *70. At a pretrial hearing held on April 9, 2002, the government informed the district court and the defendants that it had
conducted a series of court-authorized electronic surveillance over a period of several years authorized under [FISA], consisting of the electronic surveillance of defendant Sattarâs home phone, his computer, [and] fax machine, [and] defendant Yousryâs telephone. The government also monitored several prison visits, both audio and video, to Sheik Abdel Rahman over the past several years, one of which involved defendant Stewart in May of 2000.
Id. at *2, 2003 U.S. Dist. LEXIS 16164, at *6. A month later, by letter dated May 8, 2002, the government also informed the defendants that âinformation obtained or derived pursuant to the authority of the FISA was used, and will, continue to be used, in connection with the prosecution of [this] case.â Id.; see 50 U.S.C. § 1806(c) (providing that where the government intends to disclose information obtained from FISA surveillance, the government âshall, prior to the trial ... notify the aggrieved person and the court ... that the Government intends to so disclose or so use such informationâ).
As part of its pretrial obligations under FISA, the government
made extensive disclosures to the defendants, including over 85,000 audio recordings of voice calls, fax-machine sounds, and computer-modem sounds obtained through audio surveillance of telephone numbers used by Sattar and Yousry; the FBIâs written summaries ... of approximately 5,300 voice calls that the FBI deemed to contain foreign intelligence information and therefore did not minimize; approximately 150 draft transcripts of voice calls; and approximately 10,000 pages of e-mails obtained through electronic surveillance of an e-mail account used by Sattar. The Government has also disclosed certain evidence solely to Stewart and Yousry, including audiotapes of 63 telephone conversations between the imprisoned Sheikh Abdel Rahman and his attorneys and Yousry, and audio and video recordings of three prison visits to Sheikh Abdel Rahman by his attorneys and Yousry on February 19, 2000, May 19 and 20, 2000, and July 13 and 14, 2001.
Sattar II, 2003 WL 22137012, at *2, 2003 U.S. Dist. LEXIS 16164, at *7.
After reviewing the classified materials, the district court concluded that âall of the requirements of FISA were satisfiedâ and âeach of the FISA surveillances was authorized by a FISA Court order that complied with the statutory requirements for such orders and was supported by the statements and certifications required by the statute.â Id. at *6, 2003 U.S. Dist. LEXIS 16164, at *21. The district court also concluded that this was ânot a case where disclosure [of the classified FISA materials] was necessary or where a review of all of the materials suggested that due process required disclosure to the defendants.â Id. at *6, 2003 U.S. Dist. LEXIS 16164, at *22.
On appeal, Stewart argues that the materials generated pursuant to the FISA surveillance should have been suppressed because the surveillance was instituted for the purposes of a criminal investigation, not for the purpose of intelligence gathering. In addition, Stewart contends that the FISA review process lacks meaningful judicial review, and that due process required that her counsel have access to the FISA applications and warrants.
Stewartâs attacks on the constitutionality of the FISA statute are foreclosed by this Courtâs decision in United States v. Duggan, 743 F.2d 59 (2d Cir.1984), which, despite its age, remains binding precedent in this Circuit. There, we concluded that âthe procedures fashioned in FISA [are] a constitutionally adequate balancing of the individualâs Fourth Amendment rights against the nationâs need to obtain foreign intelligence information.â Id. at 73.
Congress created the FISA system in an attempt to accommodate âthe legitimate need of Government for intelligence information and the protected rights of our citizens.â United States v. U.S. District Court, 407 U.S. 297, 322-23, 92 S.Ct. 2125, 32 L.Ed.2d 752 (1972). As we have explained, âCongress passed FISA to settle what it believed to be the unresolved question of the applicability of the Fourth Amendment warrant requirement to electronic surveillance for foreign intelligence purposes, and to remove any doubt as to the lawfulness of such surveillance.â Duggan, 743 F.2d at 73 (internal quotation marks omitted). FISAâs primary focus is surveillance for the purpose of gathering foreign intelligence information, which is defined to include âinformation that relates to, and if concerning a United States person is necessary to, the ability of the United States to protect against [inter alia] international terrorism.â 50 U.S.C. § 1801(e)(1).
FISA established a court (the âFISA Courtâ) comprised of designated district
In order to secure an order authorizing surveillance from a FISA Judge, the officerâs application must meet the statutory requirements set forth in 50 U.S.C. § 1804. For example, the application must set forth the identity or description of the target of the surveillance, id. § 1804(a)(2), and a statement of facts and circumstances relied upon to justify the officerâs belief that the target is a foreign power or agent of a foreign power and that each facility or location to be subjected to surveillance is being used or is about to be used by the target, id. § 1804(a)(3). Prior to October 26, 2001, such a federal officer was required to certify to the FISA judge that âthe purposeâ of the FISA surveillance was the interception of foreign intelligence information. See id. § 1804(a)(7)(B) (2000). In Duggan, we interpreted this provision to mean that the interception of foreign intelligence information must be the âprimary objectiveâ of the surveillance. Duggan, 743 F.2d at 77. The statute was changed in the wake of the events of September 11, 2001, however, to require only that âa significant purposeâ of the surveillance be the interception of such information. See 50 U.S.C. § 1804(a)(7)(B)(2003); see also 50 U.S.C. § 1804(a)(6)(B) (2008) (redesignated from (a)(7)).
Only after a FISA Judge has been satisfied that the application meets FISAâs requirements will he or she authorize the surveillance. To enter an order approving surveillance, the FISA Judge must find that the application was properly filed and properly authorized by the Attorney General; that associated procedures designed to minimize the acquisition and retention of non-publicly available information concerning âUnited States personsâ satisfy FISAâs requirements, see id. § 1801(h); that the facts set forth in the application provide probable cause to believe that the target is a foreign power or agent of such a power; and that the locations to be subject to surveillance are being used, or are about to be used, by the target, id. § 1805(a).
When the application is complete and properly certified by an executive branch official, however,
it is, under FISA, subjected to only minimal scrutiny by the courts. Congress deemed it a sufficient check in this regard to require the FISA Judge (1) to find probable cause to believe that the target of the requested surveillance is an agent of a foreign power; (2) to find that the application is complete and in proper form; and (3) when the target is a United States person, to find that the certifications are not âclearly erroneous.â
Duggan, 743 F.2d at 77. Stewartâs argument that FISA does not ensure adequate
Although the purpose of the surveillance must be to obtain foreign intelligence information, âotherwise valid FISA surveillance is not tainted simply because the government can anticipate that the fruits of such surveillance may later be used ... as evidence in a criminal trial.â Id. at 78. To the contrary, the statute specifically contemplates the introduction of FISA surveillance evidence in criminal prosecutions. See 50 U.S.C. § 1806(b). As both Congress and this Court have recognized, âin many cases the concerns of the government with respect to foreign intelligence will overlap those with respect to law enforcement.â Duggan, 743 F.2d at 78.
When such FISA information is introduced in the course of a criminal prosecution, and upon review of a suppression motion, the trial court has the opportunity to review the FISA Courtâs order, issued pursuant to 50 U.S.C. § 1805, in light of the underlying applications for surveillance, filed pursuant to 50 U.S.C. § 1804, in order âto determine whether the surveillance [at issue] was lawfully authorized and conducted.â 50 U.S.C. § 1806(f). The district courtâs review of the FISA Judgeâs decision is, like the FISA Judgeâs decision itself, deferential. â[A] reviewing court [has] no greater authority to second-guess the executive branchâs certifications than has the FISA Judge.â Duggan, 743 F.2d at 77.
FISA applications are likely to contain allegedly sensitive information relating to perceived issues of national security. The applications are required to set forth how and why the Executive Branch knows what it knows, which may include references to covert agents and informers. For. this reason, â âex parte, in camera determination is to be the rule.â â Id. at 78 (quoting United States v. Belfield, 692 F.2d 141, 147 (D.C.Cir.1982)). The district court has the âdiscretion to disclose portions of [relevant materials], under appropriate protective procedures, [but] only if [it] decides that such disclosure is ânecessary to make an accurate determination of the legality of the surveillanceâ â or is otherwise required by due process. Id. (quoting 50 U.S.C. § 1806(f)).
Stewart argues on appeal that the âprimary purposeâ of the FISA wiretapping in this case was to pursue a criminal investigation, not to collect foreign intelligence information. The district court, having reviewed the FISA materials, concluded that âall of the surveillance at issue was conducted with the appropriate purpose,â whether with a âprimary purposeâ or âa significant purposeâ to obtain foreign intelligence information. Sattar II, 2003 WL 22137012, at *12-*13, 2003 U.S. Dist. LEXIS 16164, at *40-*42.
Upon our own in camera review of the underlying material and the district courtâs order filed under seal, we are confident that the district court did not err in so concluding. Since the interceptions meet the âprimary purposeâ test, we, like the district court, need not and do not address Stewartâs argument that FISAâs new and less demanding âsignificant purposeâ test is unconstitutional. Cf. In re Sealed Case, 310 F.3d 717, 735 (FISA Ct. Rev.2002) (rejecting the âprimary purposeâ test in favor of a âsignificant purposeâ test). Similarly, based on the relevant evidence which, as adduced at trial, is outlined above, the district court did not err in finding there to be âample probable cause to believe that the targets of the relevant surveillance â Sattar, Yousry, and Sheikh Abdel Rahman â were acting as agents of a foreign powerâ as defined by FISA, i.e., alGamaâa, âand that each of the facilities at which the surveillance was directed was being used, or was about to be used, by
Stewart also argues that she was an inappropriate target of the surveillance. As the district court noted, however, Stewart was never designated as a target in any of the applications at issue; her alleged co-conspirators were. âOnce the proper preconditions are established with respect to a particular target, there is no requirement in FISA that all those likely to be overheard engaging in foreign intelligence conversations be named.â Duggan, 743 F.2d at 79. Because Stewartâs co-conspirators were targeted pursuant to proper procedures, the Fourth Amendment did not require that Stewart also be identified or described as a target in order for her intercepted conversations to be used in a criminal prosecution. Id. at 79 n. 7.
Stewart further argues that the district court erred in declining to disclose FISA materials to her counsel. The district court may order disclosure of FISA materials âunder appropriate security procedures and protective orders,â but âonly where such disclosure is necessary to make an accurate determination of the legality of the surveillance.â 50 U.S.C. § 1806(f). When the district court âdetermines that the surveillance was lawfully authorized and conducted, it shall deny the motion of the aggrieved person except to the extent that due process requires discovery or disclosure.â Id. § 1806(g).
As we have noted, in these circumstances disclosure is the exception and â âex parte, in camera determination is [ ] the rule.â â Duggan, 743 F.2d at 78. The need to disclose materials to defense counsel may arise if the judge determines there to be âpotential irregularities such as possible misrepresentation of fact, vague identification of the persons to be surveilled or surveillance records which include a significant amount of nonforeign intelligence information, calling into question compliance with the minimization standards contained in the order.â Id. (internal quotation marks and brackets omitted). But Stewart does not point to any case where any court has ordered disclosure in a situation similar to hers. Upon our own review of the materials, we conclude that there was no error in the district courtâs determination that disclosure was unnecessary for an accurate determination of the legality of the surveillance at issue or to satisfy the requirements of due process.
ii. Disclosure Regarding NSA Surveillance. On June 16, 2006, Stewart moved to compel disclosure as to whether she or any of her co-defendants were subject to surveillance by the National Security Agency (âNSAâ). The government filed, ex parte, a classified response to be reviewed in camera. At a hearing on September 25, 2006, the government insisted that its classified submission was properly filed under section 4 of the Classified Information Procedures Act (âCIPAâ), Pub.L. No. 96-456, 94 Stat. 2025 (1980) (codified at 18 U.S.C. app. 3). The government also argued that none of the defense counsel was properly cleared for access to the information and that, âwithout going into the details of the classification level of our submission, I donât think any defense counsel would ever have a need to know the details of the terrorist surveillance program, especially in this case.â Hâg Tr. 13-14, Sept. 25, 2006. Following the hearing and in response to subsequent orders from the district court, the government filed supplemental ex parte confidential responses dated October 6, 2006, October 12, 2006, and October 13, 2006 for in camera review. After additional materials were submitted by the government, the district court granted, in part, the motion for dis
compelling reason for filing the additional Order ex parte and under seal because it contains classified information that cannot reasonably be segregated from the other material in the Order, and that such a filing is consistent with the Classified Procedures Act and the rights of the defendants. See [United States] v. Yunis, 867 F.2d 617, 622-25 (D.C.Cir.1989).
Through CIPA, Congress established procedures for handling classified information in criminal cases. âClassified informationâ is defined to include âinformation or material that has been determined by the United States Government pursuant to an Executive order, statute, or regulation, to require protection against unauthorized disclosure for reasons of national security.â 18 U.S.C. app. 3 § 1(a). CIPA is âmeant to protect and restrict the discovery of classified information in a way that does not impair the defendantâs right to a fair trial.â United States v. Aref, 533 F.3d 72, 78 (2d Cir.2008) (alterations and internal quotation marks omitted), cert. denied., - U.S. -, 129 S.Ct. 1582, 173 L.Ed.2d 679 (2009).
Section 4 of CIPA establishes procedures for discovery of classified information. It provides:
The court, upon a sufficient showing, may authorize the United States to delete specified items of classified information from documents to be made available to the defendant through discovery under the Federal Rules of Criminal Procedure, to substitute a summary of the information for such classified documents, or to substitute a statement admitting relevant facts that the classified information would tend to prove. The court may permit the United States to make a request for such authorization in the form of a written statement to be inspected by the court alone. If the court enters an order granting relief following such an ex parte showing, the entire text of the statement of the United States shall be sealed and preserved in the records of the court to be made available to the appellate court in the event of an appeal.
18 U.S.C. app. 3 § 4.
This section âclarifies district courtsâ power under Federal Rule of Criminal Procedure 16(d)(1) to issue protective orders denying or restricting discovery for good cause,â which includes âinformation vital to the national security.â Aref, 533 F.3d at 78 (internal quotation marks omitted). CIPA does not itself create a government privilege against the disclosure of classified information; it presupposes one. Id. The âmost likely source for the protection of classified information lies in the common-law privilege against disclosure of state secrets.â Id.
First, the district court must determine whether the material in dispute is discoverable, and if so, whether the state-secrets privilege applies. Id. at 80. It applies if â(1) there is âa reasonable danger that compulsion of the evidence will expose ... matters which, in the interest of national security, should not be divulged,â and (2) the privilege is âlodged by the head of the department which has control over the matter, after actual personal consideration by that officer.â â Id. at 80 (quoting United States v. Reynolds, 345 U.S. 1, 8, 10, 73 S.Ct. 528, 97 L.Ed. 727 (1953)). If the information is discoverable but the privilege applies, then the district court must determine âwhether the information is helpful or material to the defense, i.e., useful âto counter the governmentâs case or to bolster a defense.â â Id. (citation omitted). In order to be helpful or material, the evidence âneed not rise to the level that would trigger the Governmentâs obligation under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194,10 L.Ed.2d 215 (1963), to disclose exculpatory information.â Id.
We review the district courtâs decision to issue a protective order under CIPA section 4 and Federal Rule of Criminal Procedure 16(d)(1) for abuse of discretion. Aref 533 F.3d at 80. Similarly, we review for abuse of discretion the district courtâs finding whether evidence is âhelpfulâ or âmaterial to the defense.â Id.
At the time of the district courtâs decision and order, our decision in Aref had not yet issued. As noted in the district courtâs public order denying the motion to compel, however, the district court relied on an opinion by a sister circuit embracing a test similar to that embraced by the Aref panel. Order, Oct. 17, 2006, at 2 (citing United States v. Yunis, 867 F.2d 617, 622-25 (D.C.Cir.1989)).
Here, the government has invoked the state-secrets privilege. It asserts that the details of the NSAâs operations, including the surveillance vel non of any particular individual or group, implicate national security and are among âthe nationâs most guarded secrets.â Govât Br. 389-90; id.
In light of these general concerns and the principles set forth in Yunis and Aref, and based on our own review of the underlying materials and the district courtâs sealed order, we are satisfied that the district court did not abuse its discretion or otherwise err in denying Stewartâs motion to compel disclosure.
We note, as we did in Aref, which postdated the district courtâs order here, the absence of a formal public âclaim of privilege[] lodged by the head of the department which has control over the matter, after actual personal consideration by that officer.â Reynolds, 345 U.S. at 7-8, 73 S.Ct. 528; see Aref, 533 F.3d at 80. As in Aref, we conclude that in the pre-Aref context, such a flaw âis not necessarily fatal,â and that â[i]t would âbe of little or no benefitâ for us to remand for the purpose of having the department head agree that disclosure of the classified information would pose a risk to national security here.â Aref, 533 F.3d at 80. But the absence of the formal claim is not a trivial matter. We do not demean it. We expect that, in light of the holding in Aref, we will not need to address this issue in appeals from future prosecutions in which the state-secrets privilege is invoked as the government is now well-informed of this obligation. Cf. id. (âBased on our holding today ... we trust that this issue will not arise in future CIPA cases.â).
We reject Stewartâs claim that the district court erred in reviewing materials ex parte and in camera. As we noted in Aref, â[b]oth CIPA section 4 and Rule 16(d)(1) authorize ex parte submissions .... When the âgovernment is seeking to withhold classified information from the defendant, an adversary hearing with defense knowledge would defeat the very purpose of the discovery rules.â â Aref, 533 F.3d at 81.
The CIPA procedures followed by the district court place all parties involved (except perhaps the government) at a substantial disadvantage: defendants are hampered in contesting the assertions that are being made to the court by the government; district courts and courts of appeals are deprived of the opportunity for an adversarial proceeding upon which they are typically dependent in attempting fairly and properly to resolve disputes; and the public, as well as the litigants, are deprived of the assurances that come with public scrutiny of the work of the courts. The procedures are also, of course, subject to abuse by the executive. But a method for protection of classified material is necessary, and these procedures have been established by Congress and held to be constitutional. We, as did the district court, therefore accept them as a necessary, if imperfect, accommodation of the varied interests implicated.
2. Alleged Trial Errors. Both Sattar and Yousry challenge various evidentiary rulings made by the district court. Sattar argues that the court abused its discretion by admitting a book by Taha and a videotape of Taha, Osama Bin Laden, and other al-Gamaâa members encouraging violence, and by excluding news footage purporting to depict Israeli
We review a district courtâs evidentiary rulings for abuse of discretion. See United States v. Kelley, 551 F.3d 171, 174 (2d Cir.2009) (per curiam); United States v. Anglin, 169 F.3d 154, 162 (2d Cir.1999). Here, the district court did not abuse its discretion with respect to any such rulings.
We are guided by certain basic principles established by the Federal Rules of Evidence â that, as a general rule, â[a]ll relevant evidence is admissible,â Fed. R.Evid. 402, but that even relevant evidence, although admissible, may be excluded by the district court âif its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence,â Fed.R.Evid. 403. âA district court is obviously in the best position to do the balancing mandated by Rule 403.â Salameh, 152 F.3d at 110. âWe will second-guess a district court only if there is a clear showing that the court abused its discretion or acted arbitrarily or irrationally.â Id. (internal quotation marks omitted); accord United States v. Szur, 289 F.3d 200, 217 (2d Cir.2002).
Tahaâs book was relevant and admissible as evidence of the existence of the Count-Two conspiracy to murder persons in a foreign country. The Bin Laden video was similarly admissible, and relevant to Tahaâs intent to murder or kidnap. The district court did not err in failing to find that the evidence was unduly prejudicial.
It was also within the district courtâs discretion to exclude both the news video, which it found to be of minimal relevance yet highly prejudicial and confusing, and Yousryâs statements to the FBI, which it found to be essentially duplicative of Yousryâs own testimony.
The district court made a âconscientious assessment of whether unfair prejudice substantially outweigh[ed] probative value,â Salameh, 152 F.3d at 110 (internal quotation marks omitted), and did not otherwise abuse its discretion in making this assessment. We therefore will not disturb its judgments on these grounds.
3. Allegations of Juror Misconduct. It was brought to the district courtâs attention after the jury rendered its verdict that a juror, referred to by the parties as âJuror # 39,â had come forward with allegations concerning improprieties during the juryâs deliberations. The defendants requested that the district court â âfollow upâ and conduct an inquiryâ into these allegations. Sattar IV, 395 F.Supp.2d at 74-78. By written opinion, the district court denied the request. Id. Sattar argues on appeal that the district courtâs actions were an abuse of its discretion, insisting that the court should have met, post-verdict, with Juror # 39 to conduct an inquiry. We disagree.
The district court properly construed the request as one for an evidentiary hearing, and concluded that there was no âclear, strong, substantial and incontrovertible evidence ... that a specific, non-speculative impropriety has occurred,â United States v. Ianniello, 866 F.2d 540, 543 (2d Cir.1989), especially in light of the fact that the juror had âseveral opportunities to communicate directly with the courtâ regarding any potential improprieties, but failed to do so, Jacobson v. Henderson, 765 F.2d 12, 15 (2d Cir.1985). As the district court explained, âthe fact that Juror #39 had direct access to the Court and did not complain of any problems supports the conclusion that these allegations are post hoc efforts caused by
k. Cumulative Error Doctrine. Yousry also argues on appeal that we should reverse under the cumulative error doctrine. But the defendants have not identified any error in the district courtâs rulings, âand the accumulation of non-errors does not warrant a new trial.â United States v. Lumpkin, 192 F.3d 280, 290 (2d Cir.1999).
VII. Propriety of the Sentences
The government appeals from the sentences imposed on the defendants, asserting that they are unreasonable and unduly lenient. The governmentâs principal brief was submitted prior to the Supreme Courtâs decisions in Gall v. United States, 552 U.S. 38, 128 S.Ct. 586, 169 L.Ed.2d 445 (2007), and Kimbrough v. United States, 552 U.S. 85, 128 S.Ct. 558, 169 L.Ed.2d 481 (2007), which, as recognized by this Circuit in its en banc decision in United States v. Cavera, 550 F.3d 180 (2d Cir.2008), have significantly altered the landscape of sen-fencing jurisprudence. The Supreme Court issued both Gall and Kimbrough before the government filed its reply brief and oral argument took place, but not before this Circuit had spoken in Cavera.
A. Standard of Review
The principles that guide our review of the district courtâs sentences are, âat first glance, beguilingly simple.â Cavera, 550 F.3d at 188. Generally, we review for abuse of discretion. Id. at 189. That âdeferentialâ scrutiny âencompasses two components: procedural review and substantive review.â Id.
1. Procedural Review. We first determine whether the sentence was procedurally reasonable. See id. Ordinarily, the district court must first correctly calculate the appropriate range set forth by the United States Sentencing Guidelines. Id. at 190. Then it âmust form its own view of the nature and circumstances of the offense and the history and characteristics of the defendant,â id. at 188, as mandated and guided by 18 U.S.C. § 3553(a)(1).
District courts are âgenerally free to impose sentences outside the recommended [Guidelines] rangeâ but âmust consider the extent of the deviation and ensure that the justification is sufficiently compelling to support the degree of the variance.â Id. at 189 (citations and internal quotation marks omitted).
Thus, a district court âmust satisfy us that it has âconsidered the partiesâ argumentsâ and that it has a âreasoned basis for exercising [its] own legal decisionmaking authority.ââ Id. at 193 (quoting Rita v. United States, 551 U.S. 338, 356, 127 S.Ct. 2456, 168 L.Ed.2d 203 (2007)) (brackets in Cavera). When a court commits âsignificant procedural error,â we may âremand to the district court so that it can either explain what it was trying to do, or correct its mistake and exercise its discretion anew ... rather than ... proceeding] to review the sentence for substantive reasonableness.â Id. at 190 (citations and internal quotation marks omitted).
2. Substantive Review. Once we are satisfied that a sentence was procedurally proper, we then review the district courtâs determination for substantive reasonableness, âtak[ing] into account the totality of the circumstances, giving due deference to the sentencing judgeâs exercise of discretion, and bearing in mind the institutional advantages of district courts.â* Id. at 190. Our role is no more than to âpatrol the boundaries of reasonableness.â Id. at 191. Indeed, we âmust defer heavily to the expertise of district judges,â id. at 193, and will âset aside a district courtâs substantive determination only in exceptional cases where the trial courtâs decision cannot be located within the range of permissible decisions,â id. at 189 (internal quotation marks and emphasis omitted).
We do not âpresume that a non-Guidelines sentence is unreasonable,â nor do we ârequire âextraordinaryâ circumstances to justify a deviation from the Guidelines range.â Id. at 190 (quoting Gall, 128 S.Ct. at 595). In evaluating a sentenceâs substantive reasonableness, âwe may take the degree of variance into account and consider the extent of a deviation from the Guidelines.â â Id. We may âconsider whether the factor, as explained by the district court, can bear the weight assigned it under the totality of circumstances in the case.â Id. at 191. â[A] major departure should be supported by a more significant justification than a minor one.â Gall, 128 S.Ct. at 597. âBut we must not employ a rigid mathematical formula that uses the percentage of a departure as the standard for determining the strength of the justifications required for a specific sentence.â Cavera, 550 F.3d at 190 (internal quotation marks omitted).
Some decisions by the district court may be entitled to more deference than others. For example, as both the Supreme Court and we have noted, variations from the Guidelines âmay attract greatest respect when the sentencing judge finds a particu
But such âcloser reviewâ is less appropriate where the Guideline in question is not based on empirical data and national history. The issuance of that sort of Guideline âdo[es] not exemplify the Commissionâs exercise of its characteristic institutional role.â Id. â[A] categorical disagreement with and variance from [such a] Guideline!],â or, at least from the crack cocaine Guidelines, âis not suspect.â Spears v. United States, â U.S. -, 129 S.Ct. 840, 843, 172 L.Ed.2d 596 (2009) (per curiam).
The Supreme Court has yet to address fully the contours of the ârespectâ that should be afforded to âan âinside the heartlandâ departure,â id., from Guidelines created by the Commission pursuant to its characteristic institutional role. Such a departure would ânecessarily [be] based on a policy disagreement with the Guidelinesâ and would ânecessarily disagree!] [with the Guidelines] on a âcategorical basis.â â Id. We have recognized, however, that âsome Guidelines enhancements and reductions apply without modulation to a wide range of conduct.â Cavera, 550 F.3d at 192. Thus, âa district court may find that even after giving weight to the [factors that drive the enhancement or reduction] there is [still] a wide variety of culpability amongst defendants and, as a result, impose different sentences based on the factors identified in § 3553(a).â Id. Of course, irrespective of whether the conduct is found to be inside or outside the âheartland,â the âdistrict court must explain its reasons for its chosen sentence.â Id.
Affording greater discretion to the district courts may result in greater apparent disparities in sentences. But âthe Supreme Court has made clear its view that disparities in sentences imposed by different district judges are more likely to reflect justified differences than are those arising from differences of opinion among appellate panels.â Cavera, 550 F.3d at 193.
B. Application to This Case
The governmentâs principal claim of error on appeal is that the district court abused its discretion by imposing unreasonably lenient sentences. The government also argues that the district court erred as a matter of law by failing to apply the Guidelines terrorism adjustment, U.S.S.G. § 3A1.4, to Yousryâs offense level.
1. Yousryâs Sentence. The district court initially calculated Yousryâs Guidelines range based on a total offense level of 28 and a criminal history category of I, for a range of 78 to 97 months. According to the government, Yousryâs applicable Guidelines range should have been enhanced in accordance with the terrorism enhancement provided by the Guidelines, U.S.S.G. § 3A1.4. The district court concluded to the contrary that the terrorism enhancement did not apply to Yousry because he did not act with the requisite state of mind. Based on the district
Upon consideration of the various factors set forth in section 3553(a), the district court concluded that a significant downward variance
a. Guidelines Calculations
We review the district courtâs interpretation of the Guidelines de novo, and the district courtâs findings of fact for clear error. United States v. Legros, 529 F.3d 470, 474 (2d Cir.2008). We interpret the Guidelines as though they were a statute, giving the words used their common meaning. United States v. Kirvan, 86 F.3d 309, 311 (2d Cir.1996). Section 3A1.4, the so-called âterrorism enhancement,â provides:
(a) If the offense is a felony that involved, or was intended to promote, a federal crime of terrorism, increase by 12 levels; but if the resulting offense level is less than level 32, increase to level 32.
(b) In each such case, the defendantâs criminal history ... shall be Category VI.
U.S.S.G. § 3A1.4. The application notes incorporate 18 U.S.C. § 2332b(g)(5) by reference. See id. cmt. n. 1. That section defines a âFederal crime of terrorismâ as:
an offense thatâ
(A) is calculated to influence or affect the conduct of government by intimidation or coercion, or to retaliate against government conduct; and
(B) is a violation of [any one of many statutes, including 18 U.S.C. § 2339A, relating to the provision of material support to terrorists, and 18 U.S.C. § 956(a)(1), relating to conspiracies to murder persons abroad].
18 U.S.C. § 2332b(g)(5). The conventional meaning of âcalculatedâ is âdevised with forethought.â II Oxford English Dictionary 111 (2d ed.1999). Therefore, if a defendantâs purpose in committing an offense is to âinfluence or affect the conduct of government by intimidation or coercion, or to retaliate against government conduct,â the first requirement of section 2332b(g)(5)(A) is satisfied. If, however, there is no evidence that the defendant âsought to influence or affect the conduct of the government,â the crime is not a federal crime of terrorism. See United States v. Leahy, 169 F.3d 433, 446 (7th Cir.1999).
The enhancement is not limited, however, to offenses that are themselves federal crimes of terrorism. By including the âintended to promoteâ language, the drafters of the Guideline âunambiguously cast a broader net.â United States v. Mandhai, 375 F.3d 1243, 1247 (11th Cir.2004), cert. denied, 549 U.S. 923, 127 S.Ct. 284, 166 L.Ed.2d 217 (2006). The criminal conduct at issue need not itself meet the statutory definition of a federal crime of terrorism if âa goal or purpose [of the defendantâs act] was to bring or help bring into being a crime listed in 18 U.S.C. 2332b(g)(5)(B).â
The district court declined to apply the terrorism enhancement to Yousryâs sentence. The court explained:
This is a motivational requirement and focuses on the defendantâs purpose. The government has conceded the lack of motivation or purpose and has failed to show that the defendantâs offenses were calculated to influence or affect the conduct of government by intimidation or coercion or to retaliate against government action.
Sentâg Tr. 143-44; see 18 U.S.C. § 2332b(g)(5)(A) (defining âFederal crime of terrorismâ). The government does not challenge this finding, which we conclude to be consistent with the record and not clearly erroneous.
Nonetheless, the government argues that the enhancement is appropriate despite the fact that Yousry has committed neither a federal crime of terrorism nor any other crime with the intent to promote such a crime. According to the government, the enhancement applies because Yousryâs offense was âa felony that involved ... a federal crime of terrorism.â U.S.S.G. § 3A1.4 (emphasis added). But under the âinvolvedâ prong of section 3A1.4, the enhancement would be applicable to Yousry only if he himself had committed a federal crime of terrorism. See Amaout, 431 F.3d at 1001 (âThe ordinary and plain meaning of âinvolvedâ means âto include.â â); United States v. Graham, 275 F.3d 490, 516 (6th Cir.2001), cert. denied, 535 U.S. 1026, 122 S.Ct. 1625, 152 L.Ed.2d 636 (2002) (â[W]e believe that in the context at hand, the word âinvolvedâ signifies that a defendantâs offense included a federal crime of terrorism; in other words, that a defendant committed, attempted, or conspired to commit a federal crime of terrorism as defined in 18 U.S.C. § 2332b(g)(5).â). And, as the Fourth Circuit has recognized, commission of a federal crime of terrorism, which would trigger the âinvolvedâ prong of the enhancement, incorporates âa specific intent requirement, namely, that the underlying felony was âcalculated to influence or affect the conduct of government by intimidation or coercion, or to retaliate against government conduct.â 18 U.S.C. § 2332b(g)(5).â United States v. Chandia, 514 F.3d 365, 376 (4th Cir.2008). So the problem for the government remains: there is no evidence that Yousry himself sought to influence or affect the conduct of a government. The enhancement therefore does not apply under the âinvolvedâ prong. See Leahy, 169 F.3d at 446.
The government maintains that any motivational requirement imposed by the terrorism enhancement can be imputed to Yousry from his co-conspiratorsâ relevant conduct under section IB 1.3(a) of the Guidelines. It provides, in relevant part:
[Adjustments in Chapter Three [including the terrorism enhancement] shall be determined on the basis of the following:
(1)(A) all acts and omissions committed, aided, abetted, counseled, commanded, induced, procured, or willfully caused by the defendant; and
(B) in the case of a jointly undertaken criminal activity (a criminal plan, scheme, endeavor, or enterprise undertaken by the defendant in concert with others, whether or not charged as a conspiracy), all reasonably foreseeable acts and omissions of others in furtherance of the jointly undertaken criminal activity, that occurred during the commission of the offense of conviction, in preparation for that offense, or in the course of attempting to avoid detection or responsibility for that offense....
U.S.S.G. § lB1.3(a). The government asserts that it was reasonably foreseeable to
But sections lB1.3(a)(l)(A) and (B) apply to âacts and omissions,â while, as noted above, section 2332b(g)(5)(A) describes a motivational requirement, a âspecific intent.â Ckcmdia, 514 F.3d at 376. We cannot conflate Yousryâs acts with his co-defendantsâ mental states. As one member of this Court has pointed out, âWe have never regarded mens rea as an âactâ of the defendant for purposes of the relevant conduct guideline, nor should we.â United States v. McHugh, 122 F.3d 153, 158 (2d Cir.1997) (Newman, J., concurring). âSection lB1.3(a)(l)(A) permits selection of an enhanced guideline for âactsâ committed by the defendant.... The natural meaning of âactâ connotes conduct, and the meaning of the guideline should not be strained to include state of mind.â Id. Here, too, the terrorism enhancementâs motivational requirement, as incorporated by reference to section 2332b(g)(5)(A), is not an âactâ or âomissionâ under section lB1.3(a)(l)(B). The enhancement is therefore not applicable.
We have examined the other arguments made by the government in support of its expansive reading of the âinvolvedâ prong of the terrorism enhancement and we find them to be similarly without merit.
b. Section 3553(a) Factors
We conclude, then, that the district court properly calculated Yousryâs Guidelines range to be 78 to 97 months. We must therefore determine in light of that range and the totality of the circumstances whether Yousryâs sentence of 20 months of imprisonment, imposed following the district courtâs section 3553(a) inquiry, was substantively unreasonable.
We need not outline again the nature of the crimes of which Yousry was convicted. We focus instead on the reasons given by the district court in support of its downward variance.
First, the court found that Yousryâs conduct was âunusual and f[e]ll outside the heartland of material support for terrorist activity.â Sentâg Tr. 150. â[A] district courtâs decision to vary from the Guidelines âmay attract greatest respect when the sentencing judge finds a particular case outside the âheartlandâ to which the Commission intends individual Guidelines to apply.â â Cavera, 550 F.3d at 192 (quoting Kimbrough, 128 S.Ct. at 574-75). We perceive no basis for concluding that the district court erred in deciding that to be the case with respect to Yousry, particularly because he was acting as a translator, not a lawyer or other professional.
Second, the district court found that âno actual harm to victims occurredâ although the court was âwell aware that such harm is not required and that if such harm occurred the guideline range would be higher.â Sentâg Tr. 150. We conclude that it was not unreasonable for the district judge to decide that the fact that no injury occurred in the case mitigated the gravity of Yousryâs offense.
Third, the court noted that although Yousryâs offenses were âplainly serious,â his ârole in the offenses was subservient to the others involvedâ in the conspiracy. Sentâg Tr. 150. The Guidelines were âintended to eliminate national disparity,â but â[w]e do not, as a general matter, object to district courtsâ consideration of similarities and differences among co-defendants when imposing a sentence.â United States v. Wills, 476 F.3d 103, 109, 110 (2d Cir.2007) (emphasis omitted), abrogated on other grounds by Kimbrough, 128 S.Ct. at 574-75, as recognized in Cavern, 550 F.3d at 191; accord United States v. Williams, 524 F.3d 209, 216 (2d Cir.2008). We also defer to the district courtâs conclusion that Yousryâs conduct was less culpable than that of his co-conspirators. On this basis, we conclude that the district court did not err by giving weight to this factor.
Fourth, the district court found that Yousry âdid not engage in the offenses for profit and ... did not support or believe in the use of violence to achieve what he wanted.â Sentâg Tr. 150. These facts mitigate the gravity of the conduct at issue. They also affect consideration of the âhistory and characteristics of the defendantâ and the need to âprotect the public from further crimes of the defendantâ and to âafford adequate deterrence.â 18 U.S.C. § 3553(a). The court concluded that a substantial downward variance was thus justified on the grounds that a lesser degree of punishment than otherwise called for would be sufficient for purposes of deterrence and the protection of the public. As the Gall Court noted, a district court is well-situated to make determinations about the âcharacter of the defendantâ and whether, given such a character, the defendant is more or less likely âto return to criminal behaviorâ or constitute âa danger to society.â Gall, 128 S.Ct. at 600-01.
The district court did not err in finding that Yousry was not motivated by potential profit and did not believe in the use of violence. Nor did it err in considering these factors while fashioning a non-Guidelines sentence for him. In evaluating culpability, we cannot discount the relevance of the defendantâs motivations- â i.e., whether mercenary, see, e.g., 18 U.S.C. § 1958
Fifth, the district court found that Yousryâs conviction made it âdoubtful that the defendant could pursueâ his career as an academic or translator, and therefore that the need for further deterrence and protection of the public is lessened because the conviction itself âalready visits substantial punishment on the defendant.â Sentâg Tr. 151. The district court is specifically required by section 3553(a) to consider the âjust punishment for the offense.â 18 U.S.C. § 3553(a)(2)(A). It is difficult to see how a court can properly calibrate a âjust punishmentâ if it does not consider the collateral effects of a particular sentence. Upon careful review of the record and the reasons given by the court, we are convinced that the court did so appropriately.
Sixth, the district court found that Yousry provided âextensive ... cooperationâ to the government following the terrorist attacks of September 11, 2001. Sentâg Tr. 151. The court concluded that this cooperation âdemonstrates a willingness to help law enforcement and reduces the need for rehabilitation and deterrence.â Id. We defer to the district courtâs evaluation of the extent of Yousryâs cooperation. And of course, use of a defendantâs cooperation to justify significant variances or departures from the otherwise applicable Guidelines calculations is commonplace. The government argues that Yousryâs assistance was not as extensive as the district court found it to be, but we have been given no cause to question the courtâs relevant findings of fact or the manner in which it accounted for them in sentencing.
Seventh, the court found that Yousry âwill not be in a situation to commit the offenses of conviction again,â because âit is unlikely that he will ever be able to serve as an interpreter in an official capacity.â Id. We defer to this finding, too. It is not error for a district court to evaluate, based on the defendantâs individual circumstances, the extent of punishment ânecessary to deter [him] from engaging in future criminal conduct or to protect the public from his future criminal acts.â Gall, 128 S.Ct. at 602; see 18 U.S.C. § 3553(a)(2)(B) & (C).
The district court did not, of course, assign precise weights to particular factors. Doing so would presuppose âthe existence of some ascertainable method of assigning percentages to various justifications,â and would constitute a species of âmathematical approachâ which has been expressly disavowed by the Supreme Court as âa classic example of attempting to measure an inventory of apples by counting oranges.â Gall, 128 S.Ct. at 596.
In evaluating the ultimate substantive reasonableness of Yousryâs sentence, we must determine, under the totality of the circumstances, whether these various factors can âbear the weightâ assigned to them by the district court. We are satisfied that they can. We are equally satisfied that the district court âconsidered] the extent of the deviation and ensure[d] that the justification [was] sufficiently compelling to support the degree of variance.â Id. at 597.
In conducting our review, we are further satisfied that the district court did not ignore the Guidelines or âtreat them merely as a body of casual advice.â Gavera, 550 F.3d at 189 (internal quotation marks omitted). Even were we inclined to think that the district court did not appreciate the weight of the Guidelines â which, as we say, we are not â in light of all of the
2. Sattarâs Sentence. The district court calculated Sattarâs total offense level to be 43 and his criminal history category to be VI, for a Guidelines ârangeâ of life imprisonment. But in conducting its own independent review, as guided by section 3553(a), the district court concluded that such a sentence would be âseriously disproportionateâ to the offense. Sentâg Tr. 35. The court imposed a sentence of 24 years (288 months) of imprisonment, to be followed by five years of supervised release.
a. Guidelines Calculation
The district court calculated Sattarâs sentence, as it did Yousryâs, under the November 2000 Guidelines. The court ultimately adopted the recommendations of the Probation Department in making its Guidelines calculation, except insofar as the district court added enhancements based on Sattarâs obstruction of justice.
i. Enhancements. Sattarâs Guidelines ârangeâ of life imprisonment was arrived at based in part on the sentencing courtâs determination that the terrorism enhancement applied to both Sattarâs Count-Two and Count-One conduct. The district court also enhanced Sattarâs sentence on the ground that he obstructed justice. See U.S.S.G. § 3C1.1.
ii. Departures. Sattar moved for a downward departure based on the conditions of his confinement. The district court recognized that it was able to depart under the Guidelines for severe conditions of detention, but âbecause thus far th[ose conditions] reflect only strict security measures rather than an abuse of those measures,â it declined to do so. Sentâg Tr. 33. Instead, the court concluded that it would take Sattarâs conditions of confinement into account in considering the section 3553(a) factors.
b. Section 3553(a) Factors
The district court began its section 3553(a) analysis with a correct calculation of the applicable Guidelines ârangeâ â life imprisonment. The court then imposed the non-Guidelines sentence of 24 yearsâ imprisonment, for which it gave three principal reasons.
First, the court concluded that the terrorism enhancement overstated the seriousness of Sattarâs crime by. transforming a Guidelines range of 97 to 121 months to life imprisonment. The court found that the otherwise-applicable Guideline range was ârelatively lowâ because Sattar was convicted of conspiracy to murder and not of murder itself, and that the terrorism enhancement failed to account for the fact that âno injury actually occurred in this case.â Sentâg Tr. 35. The district court noted that a variance downward from a Guidelines range driven upward by the enhancement is permissible when the enhancement âprevents the penalty from fitting the crime, based on the facts of th[e] record.â Id. at 35-36 (citing Mandhai, 375 F.3d at 1249).
Second, the terrorism enhancement put Sattar in the highest criminal history category, VI, âwithout a single past criminal history point.â Id. at 36. The district court concluded that such a jump âoverstates [Sattarâs] past conduct and the like
Third, the court noted that Sattar had been under âextremely restrictive conditions of confinement for 4-1/2 years,â and there âis every reason to expect that his conditions of confinement will continue to be substantially more severe than the average prisoner.â Id. at 37. These conditions include being kept in a cell for 23 hours a day and under constant surveillance. As a result, the court concluded, âthe punitive aspects of the defendantâs confinement are increased and the deterrent effect of the defendantâs confinement is also increased.â Id.
The court further noted that, for reasons explained in part under seal, a downward variance is warranted based on factors relevant to the history and characteristics of the defendant and the need to afford adequate deterrence.
c. Analysis
The governmentâs principal argument on cross-appeal is that Sattarâs sentence is substantively unreasonable in light of his conduct and âlong-term dedication to violence.â Govât Reply Br. 39. We have no quarrel with the government as to the nature and quality of Sattarâs conduct. Neither, to any significant extent, did the district court. It considered, at length, the seriousness of Sattarâs crimes.
â[A] sentence outside the Guidelines carries no presumption of unreasonableness.â Irizarry v. United States, 553 U.S. 708, 128 S.Ct. 2198, 2202, 171 L.Ed.2d 28 (2008). â[T]he Guidelines are only one of the factors to consider when imposing sentence. ...â Gall, 128 S.Ct. at 602. Taking those precepts as a starting point, we are satisfied that in fashioning a non-GuideIines sentence, the district court did not clearly err in according weight to the factors it identified. As we recently noted in Cavera, âat the procedural part of review, we will not categorically proscribe any factor âconcerning the background, character, and conductâ of the defendant, with the exception of invidious factors.â Cavera, 550 F.3d at 191. The object is always to fashion a sentence âsufficient, but not greater than necessaryâ to accomplish the purposes set forth in 18 U.S.C. 3553(a). And it was not clear error for the district court to conclude that a criminal history category of VI significantly overstated Sat-tarâs criminal history and likelihood of committing further offenses.
We have recognized that âthe Sentencing Commission had a rational basis for creating a uniform criminal history category for all terrorists under [U.S.S.G.] § 3A1.4(b), because even terrorists with no prior criminal behavior are unique among criminals in the likelihood of recidivism, the difficulty of rehabilitation, and the need for incapacitation.â United States v. Meskini, 319 F.3d 88, 92 (2d Cir.), cert. denied, 538 U.S. 1068, 123 S.Ct. 2240, 155 L.Ed.2d 1125 (2003). But in the same virtual breath, we said, â[a] judge determining that § 3A1.4(b) over-represents âthe seriousness of the defendantâs past criminal conduct or the likelihood that the defendant will commit other crimesâ always
And even with enhancements of magnitude â i.e., those that âsharply increase the recommended sentencesâ â there still may be âa wide variety of culpability amongst defendants.â Cavern, 550 F.3d at 192. There may therefore be âdifferent sentences based on the factors identified in § 3553(a).â Id. Sattarâs crimes are indeed grave; he may well be the most culpable of these defendants. But the district court has a responsibility, inter alia, âto avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct,â 18 U.S.C. § 3553(a)(6). Perhaps all who merit this enhancement are culpable and dangerous â but some among them are more culpable, more dangerous, with crimes more serious, than others. It is the district court that is primarily charged with the responsibility for making such distinctions.
The district court is also in the best position to make an individual determination about the âhistory and characteristicsâ of a particular defendant, and to adjust the individualized sentence accordingly. See 18 U.S.C. § 3553(a); cf. U.S.S.G. § 4A1.3 (permitting downward departure where âthe court concludes that a defendantâs criminal history category significantly over-represents the seriousness of a defendantâs criminal history or the likelihood that the defendant will commit further crimesâ). Upon examining the reasons the district court gave, we have no reason not to defer to its assessment here.
It was not unreasonable for the district court to conclude that the severity of the conditions of confinement would increase the severity of the punishment and the amount of deterrence associated with a given term of imprisonment in light of the particular conditions of confinement under which Sattar is incarcerated. The district court did not abuse its discretion in varying downward based on those conditions here. We think that the factors upon which the district court relied in determining Sattarâs appropriate sentence can âbear the weightâ the district court assigned to them. Cavera, 550 F.3d at 191.
We note, finally, that the court sentenced Sattar to more than twice what the maximum Guideline sentence would have been without the terrorism enhancement.
The sentence thus adequately reflected the severity of the crime.
3. Stewartâs Sentence. Befox-e sentencing Stewart, the district court calculated her offense level under the November 2000 Guidelines to be 41, her cxdminal history category to be VI, and her Guidelines range to be 360 months, or 30 years, the statutory maximum. The court concluded, however, that a sentence of 28 monthsâ imprisonment was sufficient but no greater than necessary to accomplish the purposes set forth in 18 U.S.C. § 3553(a).
a. Guidelines Calculations
i. Enhancements. Over Stewartâs objection, the district coxxrt concluded that the terrorism enhancement of section 3A1.4 applied because she had committed a federal crime of terrorism. The enhancement was triggered in part by the district courtâs finding that Stewartâs actions were âcalculated to affect the conduct of the Egyptian government through intimidation and coercion.â Sentâg Tr. 108. The district court noted that Stewartâs âconduct cannot be found to be outside the heartland of the enhancement,â but stated that it nonetheless would âtake all of the defendantâs arguments [as to why the enhancement did not properly apply to her
The district court noted that the terrorism enhancement automatically placed Stewart in criminal history category VI. The court appeared to accept Stewartâs argument that the enhancement overstated the seriousness of her past conduct or the likelihood that she would commit further crimes. Instead of adjusting the criminal history in the context of the Guidelines calculations themselves, however, the court found this to be âone of the rare casesâ under United States v. Crosby, 397 F.3d 103, 112 (2d Cir.2005), where it would be more appropriate to determine the extent of the downward adjustment in the context of the section 3553(a) analysis. Sentâg Tr. 109.
The government also sought an enhancement of Stewartâs sentence on the ground that she obstructed justice. The Guidelines provide that where a defendant âwillfully obstructed or impeded, or attempted to obstruct or impede, the administration of justice with respect to the investigation, prosecution, or sentencing of the instant offense of convictionâ and where the obstructive conduct related to the offense of conviction or a closely related offense, that the applicable Guidelines should be enhanced by 2 levels. U.S.S.G. § 3C1.1. The government argued that Stewart committed perjury by testifying âthat she understood that there was a bubble built into the SAMs whereby the attorneys could issue press releases containing Abdel Rahmanâs statements as part of their representation of himâ and testifying about her purported lack of knowledge of Taha. Sentâg Tr. 111. As we have noted, Taha was a follower of Abdel Rahman and a military leader in al-Gamaâa who claimed responsibility for the November 1997 massacre at Luxor, and was allegedly part of the CounL-Two conspiracy. The district court noted that there was âevidence to indicate that [Stewartâs] statements were false statements.â Id. It concluded, however, that it was âunnecessary to reach [the question] whether the defendant knowingly gave false testimony with the intent to obstruct the proceedingsâ for two reasons: First, the Guidelines calculation already provided for the statutory maximum permitted by the statutes of conviction, and second, a non-Guidelines sentence was, in the estimation of the court, âreasonable and most consistent with the factors set forth in Section 3553(a).â Id. at 111-12.
ii Departures. Stewart sought a downward departure pursuant to section 5H1.4 of the Guidelines, which provides that while â[p]hysical condition ... is not ordinarily relevant in determining whether a sentence should be outside the applicable guideline range,â nonetheless âan extraordinary physical impairment may be a reason to impose a sentence below the applicable guideline range.â U.S.S.G. § 5H1.4. Stewart proffered substantial documentation of serious illness. As with Stewartâs criminal history calculations, the district court concluded that it â[did] not have to reach the question of whether [Stewartâs] medical condition, given her age and continuing treatment, is sufficient in itself to warrant a departure from the guidelines,â because it would take that condition into
The district court declined to adjust the Guidelines calculations based on Stewartâs argument that she committed her crime in order to avoid a perceived greater harm as set forth in âLesser Harmsâ policy statement of the Guidelines. See U.S.S.G. § 5K2.11. Stewart argued before the district court that her conduct âwas the product of her perception that her clientâs health and well-being [were] seriously jeopardized by his continued imprisonment in the United States.â Stewart Sentâg Br. 44-45. Under the policy statement, where a defendant âcommitfs] a crime in order to avoid a perceived greater harm,â âa reduced sentence may be appropriate, provided that the circumstances significantly diminish societyâs interest in punishing the conduct, for example, in the case of a mercy killing.â U.S.S.G. § 5K2.11. However, â[w]here the interest in punishment or deterrence is not reduced, a reduction in sentence is not warranted.â Id. Here, the district court found this case not to be one where the interest in punishment or deterrence is reduced.
The policy statement further provides that a reduction in the otherwise applicable sentence might be appropriate where âconduct may not cause or threaten the harm or evil sought to be prevented by the law proscribing the offense at issueâ such as âwhere a war veteran possessed a machine gun or grenade as a trophy, or a school teacher possessed controlled substances for display in a drug education program.â U.S.S.G. § 5K2.11. But the court declined to conclude that Stewartâs conduct did not cause or threaten the harm sought to be prevented by the statutes that Stewart violated.
Stewart also moved for a departure on the ground that her conduct was âaberrational.â A Guidelines policy statement provides that â[a] sentence below the applicable guideline range may be warranted in an extraordinary case if the defendantâs criminal conduct constituted aberrant behavior.â U.S.S.G. § 5K2.20. But the court, noting that Stewartâs conduct was âcommitted over an extended period of time, involv[ing] repeated acts of deception, and ... significant planning,â Sentâg Tr. 110, concluded that such a departure would be inappropriate, and declined to grant it.
The district court thus reached its final Guidelines calculation, using the November 2000 Guidelines, with a total offense level of 41, a criminal history category of VI, and therefore a Guidelines ârangeâ of 360 months, the statutory maximum. The government sought a term of life imprisonment; Stewart sought a non-incarceratory sentence.
b. Section 3553(a) Factors
Based on its section 3553(a) analysis, the district courtâs sentence substantially varied from the applicable Guidelines range.
As the starting point for its section 3553(a) analysis, the court addressed the applicability of the terrorism enhancement, which âwhile correct under the guidelines, would result in an unreasonable result ... and produce a guideline range about quadruple the range [that would otherwise apply] without the enhancement.â Sentâg Tr. 114. The district court then observed:
First, that Stewartâs was an âatypical caseâ for the terrorism enhancement inasmuch as âthe thrust of the violation was the provision of a co-conspirator to a terrorist conspiracy,â id. at 113; second, as with Sattar, that the structure of the terrorism enhancement prevented the Guidelines from taking into account the fact that no victim was harmed as a result of the offense as charged; and third, again as with Sattar, that the enhancement operat
The court therefore concluded that the terrorism enhancement was âdramatically unreasonableâ and âoverstates the seriousness of [her] past conduct and the likelihood that [she] will repeat the offense.â Id. Stewart âhas no criminal history and yet is placed in the highest criminal history category equal to that of repeat felony offenders for the most serious offenses including murder and drug trafficking.â Id. at 113-14. The criminal history category was inappropriate, the court determined, in light of âthe likelihood of recidivism, the difficulty of rehabilitation and the need for incapacitation.â Id. at 114.
The court found that Stewartâs opportunity to repeat âthe crimes to which she had been convicted will be nilâ because she âwill lose her license to practice lawâ and âwill be forever separated from any contact with Sheikh Omar Abdel Rahman.â Id. Loss of her license to practice law both removes âthe occasion for her offensesâ and âis itself a punishment.â Id. at 116.
The district court viewed Stewartâs personal characteristics as âextraordinaryâ and thought they âargue[d] strongly in favor of a substantial downward variance.â Id. at 114. The court described her as a dedicated public servant who had, throughout her career, ârepresented the poor, the disadvantaged and the unpopular, often as a Court-appointed attorney,â thereby providing a âservice not only to her clients but to the nation.â Id. at 115-16. And â[h]aving spent her professional career often representing the poor, she is now, at the end of her career, financially destitute.â Id. at 115.
The court also took into account Stewartâs ill health â she had, for example, suffered from cancer, for which she had undergone surgery and radiation therapy, and for which there is a significant chance of recurrence. The district court was of the view that in light of those conditions and her age, 67 years old at the time, prison would be âparticularly difficultâ for her, and that at her age, moreover, her sentence would ârepresent a greater portion of her remaining life than for a younger defendant and provide increased punishment.â Id. at 117.
c. Analysis
i. The Scope of Review. The governmentâs principal argument on appeal is that in light of the crimes of which Stewart stands convicted, her sentence was substantively unreasonable. Section 3553(a) instructs that the sentence must âreflect the seriousness of the offense, ... promote respect for the law, and ... provide just punishment for the offenseâ and âafford adequate deterrence to criminal conduct.â 18 U.S.C. § 3553(a)(2)(A) & (B). Our review for substantive reasonableness is a âparticularly deferential form of abuse-of-discretion review.â Cavera, 550 F.3d at 188 n. 5 (citing Gall 128 S.Ct. at 591). But our review must also be âmeaningful.â Gall, 128 S.Ct. at 597; cf. Gerard E. Lynch, Letting Guidelines Be Guidelines (And Judges Be Judges), Ohio St. J.Crim. L. Amici: Views From the Field (Jan. 2008), at http://osjcl.blogspot.com/ (â[W]e should let (appellate) judges be judges ..., performing their traditional function of reining in excess and gradually developing a âcommon lawâ of what is and is not sensible.â (emphasis deleted)).
Like the district court, we are impressed by the factors that figured in Stewartâs
We also recognize, as did the district court, that the terrorism enhancement may apply to persons who are culpable in substantially different degrees; that Stewartâs culpability may well be understood to be less than Sattarâs; and that the district court may differentiate between different levels of culpable conduct that nonetheless trigger the same substantial enhancement. Yet Stewartâs sentence is strikingly low in light of what the district court correctly described as the âirreducible core of [her] extraordinarily severe criminal conduct,â Sentâg Tr. 118, âwhich was committed over an extended period of time, involved repeated acts of deception, and involve[d] significant planning,â id. at 110.
We are obliged to âpatrol the boundaries of [the] reasonablenessâ of a sentence. Cavera, 550 F.3d at 191. While we will not lightly deem unreasonable a sentence imposed by the judge who has âaccess to, and greater familiarity with, the individual case and the individual defendant before him than the [Sentencing] Commission or the appeals court,â Rita, 551 U.S. at 357-58, 127 S.Ct. 2456, we think that in light of the fact Stewart used her privileged status as a lawyer to facilitate her serious violation of the law, and possibly committed perjury at trial in an attempt to avoid punishment for her conduct, her sentence at least tests those âboundaries.â
ii. Stewartâs Abuse of Her Status As a Member of the Bar. Stewart argues that she did no more than serve as a zealous advocate for her client. That belief, if indeed she harbored it, gave her no license to violate the law. Stewartâs actions tended ultimately and ironically to subvert the same fundamental right of which she took advantage â the constitutional right to counsel â by making it less likely that other incarcerated persons will have the same level of access to counsel that her client was given.
The district court seemed to appreciate that fact, noting that Stewart âabused her position as a lawyerâ in committing her crimes. Sentâg Tr. 118. The court did not, however, explain how and to what extent the sentence reflected the seriousness of the crimes of conviction in light of the fact that Stewart was engaged as a member of the bar when she committed them.
The question therefore remains whether, because she was an experienced and dedicated lawyer acting as such when she broke the law in the manner that she did, her punishment should have been greater than it was.
Yet Yousryâs sentence was 20 months; Stewartâs only eight months longer.
iv. Steivartâs Alleged Perjury. Also unlike Yousry, Stewart may well have obstructed justice at trial. The government, supported by substantial evidence, argued that Stewart committed perjury at trial. The district court summarized the argument as follows:
First, the government contends that Ms. Stewart knowingly gave false testimony when she testified that she understood that there was a bubble built into the SAMs whereby the attorneys could issue press releases containing Abdel Rah-manâs statements as part of their representation of him.
The government also contends that Ms. Stewart testified falsely when she denied knowing who Taha was until learning about him in the course of the trial except for an article that she came across in her representation of Yasir Ahmed.
Sentâg Tr. 111. The court, having thus recited the allegations at sentencing, declined to decide the issue.
As noted, the district court gave two reasons for not making such a finding. First, it concluded that because Stewartâs Guidelines calculations had reached the statutory maximum of 360 months, a finding of obstruction of justice would not have changed the calculation. This would be true if the terrorism enhancement had been applied in Stewartâs case, but the district court, after determining that Stewartâs conduct was in the enhancementâs âheartland,â may not have applied it. See infra 150-51. And even were it true, the question of Stewartâs perjury is nonetheless relevant to her sentence pursuant to section 3553. Section 3553(a) requires the district court to impose a sentence âsufficient, but not greater than necessaryâ to, among other things, promote respect for the law. See 18 U.S.C. § 3553(a)(2). Whether Stewart lied to the jury under oath or upon affirmation at her trial is relevant to whether her sentence was âsufficientâ under the circumstances.
The district courtâs second reason for declining to determine whether Stewart committed perjury during the course of her testimony was that it had determined that a non-Guidelines sentence was âreasonable and most consistent with the factors set forth in Section 3553(a).â Sentâg Tr. 111-12. But as noted, we think that whether Stewart lied under oath at her trial is directly relevant to whether her
We conclude that by declining to decide whether Stewart committed perjury or otherwise obstructed justice, the district court procedurally erred.
v. Effect of Lack of Harm. Noting particularly that the absence of harm was fortuitous and not the result of efforts by Stewart to prevent harm, Judge Walker argues that it was error both procedural and substantive for the district court to use that factor as a basis for downward variance, especially such a large one. The issue is discussed also in Judge Calabresiâs opinion. This Court makes no ruling on that issue now, in the circumstances of Stewartâs case. We note simply that it is a serious issue to be given consideration by the district court upon reevaluating Stewartâs sentence. In view of the fact that the court must resentence, we think it preferable to defer this issue until after it has been reconsidered by the court, upon its consideration of the commentary in the opinions of Judges Walker and Calabresi.
vi. The Terrorism Enhancement. The terrorism enhancement is set forth in section 3A1.4 of the Guidelines. Terrorism
(a) If the offense is a felony that involved, or was intended to promote, a federal crime of terrorism, increase by 12 levels; but if the resulting offense level is less than level 32, increase to level 32.
(b) In each such case, the defendantâs criminal history category from Chapter Four (Criminal History and Criminal Livelihood) shall be Category VI.
U.S.S.G. § 3A1.4.
Whether or not the district court applied the terrorism enhancement to Stewart in its Guidelines calculation may be subject to disagreement. Without reaching that issue, we nonetheless note that in light of the facts of this case and the judgments of conviction, which we affirm, the terrorism enhancement plainly applies as a matter of law to the district courtâs calculation of the applicable Guidelines range, irrespective of whether Stewartâs behavior was âatypicalâ and whether it resulted in death or injury,
Whether or not the district court gave appropriate consideration in its section 3553(a) analysis to whether support of terrorism is an aggravating factor in this case, similarly, may be subject to disagreement. Judge Walker argues that the district courtâs sentence was deficient in this respect, and constituted both procedural and substantive error. But we need not decide whether error in this respect, if any, would be procedural or substantive. Without reaching these issues, and without suggesting that the district court was bound to follow either the Guidelines generally or any Guidelines enhancement specifically in imposing its section 3553(a) sentence, we note that the district courtâs section 3553(a) analysis must include consideration of whether support of terrorism is an aggravating factor in light of the court's obligation to consider âthe nature and circumstances of [Stewartâs] offenseâ and âthe need for the sentence imposed ... to reflect the seriousness of the offense.â 18 U.S.C. § 3553(a)(l)-(2)(A).
d. Remand
A district courtâs failure to find particular facts will in no way impede our review in some, perhaps in most, situations; this, however, is not one of them. Especially in light of the absence of a finding that Stewart did not commit perjury at trial or otherwise obstruct justice, we think it preferable not to determine whether her sentence was substantively reasonable.
We therefore remand this matter to the district court for resentencing, in the course of which we direct the court to determine the issue of perjury and if it finds such perjury, to resentence Stewart so as to reflect that finding. The district court should also consider whether Stewartâs conduct as a lawyer triggers the special-skill/abuse-of-trust enhancement under the Guidelines, see U.S.S.G. § 3B1.3, and reconsider the extent to which Stewartâs status as a lawyer affects the appropriate sentence. Finally, the district court should further consider the overall question whether the sentence to be given is appropriate in view of the magnitude of the offense, which the court itself has explicitly recognized. Although we do not preclude the district courtâs election to continue to impose a non-Guidelines sentence, we do require that such a sentence, selected after the reconsideration we have directed, begin with the terrorism enhancement and take that enhancement into account. We have serious doubts that the sentence given was reasonable, but think it appropriate to hear from the district court further before deciding the issue.
We have identified actions taken or not taken by the district court in imposing sentence that we conclude constituted procedural error and thus require resentencing. Other issues are raised by Judge Walker, who finds that they resulted in procedural error and substantive unreasonableness, and addressed by Judge Calabresi in response. To the extent we did not discuss or rule on those issues in this majority opinion, our silence should not be construed by the district court, or by others relying on this opinion, to mean that the majority has adopted Judge Calabresiâs views or rejected Judge Walkerâs. We have not.
Although we find no procedural or substantive error in connection with the sen
After the district court completes the resentencing, jurisdiction may be restored to this Court by letter from any party, and the Office of the Clerk of this Court shall set an expeditious briefing schedule and refer the matter to this panel for further review.
CONCLUSION
For the foregoing reasons, we affirm the conviction of Stewart, but remand this cause to the district court for resentencing of Stewart, see United States v. Phillips, 431 F.3d 86, 90 (2d Cir.2005), and resentencing of Sattar or Yousry or both if the district court determines that they should receive different sentences in light of the sentence imposed on Stewart. Inasmuch as the current sentences will remain in effect as to Stewart and Yousry until the district court resentenees Stewart â and Sattar or Yousry if it decides to do soâ and in light of the fact that we affirm on all issues related to the guilt of all defendants, the district court is directed to order Stewart and Yousry to surrender forthwith to begin serving their terms of incarceration.
. See also United States v. Sattar, No. S1 02 Cr. 395(JGK), 2006 WL 3165791, 2006 U.S. Dist. LEXIS 79328 (S.D.N.Y. Oct. 27, 2006); United States v. Sattar, No. 02 Cr. 395(JGK), 2003 WL 22510398, 2003 U.S. Dist. LEXIS 19770 (S.D.N.Y. Nov. 5, 2003); United States v. Sattar, No. 02 Cr. 395(JGK), 2003 WL 22510435, 2003 U.S. Dist. LEXIS 19772 (S.D.N.Y. Nov. 5, 2003); United States v. Sat-tar, No. 02 Cr. 395(JGK), 2002 WL 1836755, 2002 U.S. Dist. LEXIS 14798 (S.D.N.Y. Aug. 12, 2002).
. Excluding fifty pages of tables of contents and authorities, the governmentâs principal brief alone approaches within several thousand words of the length of Charles Dickens's A Tale of Two Cities, see http://www. gutenberg.org/files/98/98.txt (last visited April 4, 2009), and is about as long as the recent popular novel "Atonement,â see http; //store.scriptbuddy.com/producls/Atonement/78622/ (last visited April 4, 2009).
. A fatwa has elsewhere been defined as âa religious opinion on Islamic law issued by an Islamic scholar.â Sattar III, 314 F.Supp.2d at 289; cf. United States v. Al-Moayad, 545 F.3d 139, 151 (2d Cir.2008) (referring to it as a "religious rulingâ).
. In 1998, Taha joined with Osama Bin Laden and Ayman Al-Zawahiri to sign a fatwa entitled "Jihad against the United States and the Jews.â See Translation of World Islamic Front's Statement Urging Jihad Against Jews and Crusaders.
. Similar citations to transcripts of audiovisual recordings of prison visits to Abdel Rah-man will follow the same format, i.e., "Video Tr. May 19, 2000, Tape 1,â âVideo Tr. May 20, 2000, Tape 1,â "Video Tr. May 20, 2000, Tape 2,â and "Video Tr. July 13, 2001, Tape 2.â
. "UIâ stands for âunintelligible.â
. These bracketed comments, which are in the original transcripts of the audiovisual recordings that were introduced as exhibits, are descriptions of relevant visual information.
. Sattar read the fatwa to Yassir Al-Sirri, a London-based supporter of al-Gama'a and an unindicted co-conspirator, during a telephone conversation that was intercepted by U.S. agents. Another portion of the transcript of the conversation reads in small part:
A statement to the nation, the old and the young: Fatwah mandating the killing of the Israelis everywhere.... I, as a Muslim scholar ... I appeal to my brothers, the scholars all ... over our Islamic world:.... From our Islamic world, to portray their role, and issue a unanimous Fatwah calling on the Islamic nation to mandate the killing [of] the Jews wherever they are (UI) and wherever they are found.... [T]he Jihad today is the duty of the entire nation until Palestine and the Aqsa Mosque are liberated, and till the Jews are driven to their graves or out to the countries where they had come from.... The Muslim youth everywhere, especially in Palestine, Egypt, Syria, Lebanon and Jordan, as nations neighboring the Aqsa Mosque ... they have to fight the Jews by all possible means of Jihad, either by killing them as individuals or by targeting their interests and their advocates, as much as they can.
*108 Your Brother, Omar Abdel Rahman ... [i]n the USAâs prisons, and a scholar of the Azhar.
Audio Tr. Oct. 4 at 13, 15-17.
. We are aware of a statement famously attributed to Stewart by, inter alia, the Los Angeles Times, immediately following her sentencing: "I can do that [time] standing on my head.â Ellen Barry, Terroristâs Lawyer Gets Two-Year Term, L.A. Times, Oct. 17, 2006, at A12. A fuller purported quotation in the article reads, âI donât think anybody would say that to go to jail for two years is anything to look forward to. But â as some of my clients once put it â I can do that standing on my head.â Id. Whether Stewart made this statement in full, in part, or not at all, is obviously entirely irrelevant to any of the issues before us.
. The word "zealot,â taken from a first century A.D. anti-Roman Jewish movement, carries with it overtones of fanaticism, see The American Heritage Dictionary of the English Language 2000 (4th ed.2000). The American Heritage Dictionary lists as principal definitions: "la. One who is zealous, especially excessively so. b. A fanatically committed person.â Id.
The word has historically been used as a positive commandment, however, with respect to the ethical obligations of members of the bar. Until recently, for example, Canon 7 of the New York Lawyerâs Code of Professional Responsibility provided: "A Lawyer Should Represent a Client Zealously Within the Bounds of the Law.â It is in that sense that we understand Stewart to use the term here.
. The fraudulent scheme in Dennis related to a statutory scheme, whereas the fraudulent conduct here related to a regulatory one. The fundamental principles, however, remain the same; the central issue remains the deceitful act, not the form or nature of the governmental conduct that prompted the deceit.
. The defendants here are not, of course, subject to a contempt proceeding for violation of an injunction. But we note some similarity between the principles established in Dennis and the collateral bar rule of Walker v. Birmingham, 388 U.S. 307, 315, 87 S.Ct. 1824, 18 L.Ed.2d 1210 (1967), which limits the ability to defend against charges of contempt for violating a court-ordered injunction on the ground that the injunction itself was unconstitutional, see Matter of Providence Journal Co., 820 F.2d 1342, 1346 (1st Cir.1986), modified, 820 F.2d 1354 (1st Cir.1987), cert. dismissed, 485 U.S. 693, 108 S.Ct 1502, 99 L.Ed.2d 785 (1988) ("As a general rule, a party may not violate [a court] order and raise the issue of its unconstitutionality collaterally as a defense in the criminal contempt proceeding. Rather, the appropriate method to challenge a court order is to petition to have the order vacated or amended.â). With respect to exceptions to the "general rule,â there is also some similarity between Barra, 149 F.2d at 490 (allowing prosecution for making false statements in connection with government requests for information so long as the government âhas colorable authority to do what it is doingâ â) and Matter of Providence Journal Co., 820 F.2d at 1344, 1352 (allowing collateral attack on an injunction in contempt proceeding for violating that injunction where it was a "transparently invalid prior restraint on pure speechâ).
. By special verdict, the jury concluded that the object of the Count-Two conspiracy was murder, not kidnaping.
. By special verdict, the jury concluded that the crimes of violence Sattar solicited were murder and conspiracy to murder.
. At the time of the relevant offense conduct, section 2339B provided, in relevant part, that "[w]hoever, within the United States or subject to the jurisdiction of the United States, knowingly provides material support or resources to a foreign terrorist organization, or attempts or conspires to do so, shall be [guilty of a crime.]" 18 U.S.C. § 2339B(a)(l) (2000).
. The constitutionality of 18 U.S.C. § 2339B is not before us.
. The superseding indictment did not charge Sattar with violating section 2339B; instead, he was charged with conspiracy to murder persons in a foreign country in violation of 18 U.S.C. § 956, i.e., Count Two.
. Section 2339B criminalizes the knowing provision of material support. See 18 U.S.C. § 2339B(a)(l) (2000). Section 2339A criminalizes the provision of material support knowing or intending that such support is used to aid crimes of terrorism. See 18 U.S.C. § 2339A(a) (2000). Therefore, the mental state in section 2339A extends both to the support itself, and to the underlying purposes for which the support is given.
. As noted above, the jury found that the underlying conspiracy involved the murder, not the kidnaping, of persons abroad.
. As already noted, the propriety of the district courtâs dismissal of the section 2339B charges from the initial indictment is not before us; we assume for purposes of this discussion that the district court was correct.
. At the time of the alleged criminal acts, "personnelâ was undefined. In December 2004, the term "personnelâ was changed to "personnel (1 or more individuals who may be or include oneself).â See Intelligence Reform and Terrorism Prevention Act, Pub.L. No. 108-458, § 6603(b), 118 Stat. 3638, 3762 (codified at 18 U.S.C. § 2339A(b)(l)). By the same act, the term was defined in more detail for purposes of section 2339B:
No person may be prosecuted under [section 2339B] in connection with the term "personnelâ unless that person has knowingly provided, attempted to provide, or conspired to provide a foreign terrorist organization with 1 or more individuals (who may be or include himself) to work under that terrorist organization's direction or control or to organize, manage, supervise, or otherwise direct the operation of that organization. Individuals who act entirely independently of the foreign terrorist organization to advance its goals or objectives shall not be considered to be working under the foreign terrorist organization's direction and control.
Id. § 6603(f), 118 Stat. at 3763 (codified at 18 U.S.C. § 2339B(h)). This amended definition applies to section 2339B but not to section 2339A.
. We note nonetheless that the defendants do not provide authority for their argument that a "multi-level inchoate offenseâ such as a conspiracy to conspire would violate the Due Process Clause.
. In rejecting Stewartâs selective prosecution claim in part by comparison with Clarkâs and Jabaraâs alleged misbehavior, we do not, of course, suggest our approval of Clark's or Jabara's remarkable alleged courses of conduct. But neither of them was indicted or tried for, let alone convicted of, a crime. We are therefore reluctant to comment on their alleged misdeeds at any length. Stewart cites them as evidence of selective prosecution, however, and we therefore note an important difference between Clark and Jabaraâs alleged actions and Stewartâs â that she, unlike either of them, was willing to issue a public statement regarding Abdel Rahmanâs changed position on the cease-fire.
. In addition to the defendants here, the initial indictment also named Yassir Al-Sirri, a/k/a "Abu Ammar,â as a defendant. The superseding indictment named him as an unindicted co-conspirator, instead.
. The ordered disclosures do not appear to be in the record on appeal. According to Stewart, by letter dated October 13, 2006, the government informed her that certain telephone conversations between a third party and Sattar were intercepted pursuant to a court-authorized Title III warrant in 1994, that these conversations, or the "fruitsâ of those conversations, were not used as evidence in the present case, and that there was no Brady material. Stewart Br. 211.
. The privilege is "in reality the Government's privilege to withhold from disclosure the identity of persons who furnish information of violations of law to officers charged with enforcement of that law,â and it "recognizes the obligation of citizens to communicate their knowledge of the commission of crimes to law-enforcement officials and, by preserving their anonymity, encourages them to perform that obligation.â Roviaro, 353 U.S. at 59, 77 S.Ct. 623.
. Under the D.C. Circuit's decision in Yunis, first, the district court must determine, in camera and ex parte, whether the information at issue is relevant. Yunis, 867 F.2d at 623. If irrelevant, the inquiry ends. If relevant, however, the district court must determine whether "the assertion of privilege by the government is at least a colorable one.â Id. If the claim is colorable, the court must then determine whether the information is "at least 'helpful to the defense.â " Id. (quoting Roviaro, 353 U.S. at 60-61, 77 S.Ct. 623). "Where the government asserts a privilege, a trial court abuses its discretion if it orders disclosure âabsent a showing of materiality.' â Id. at 622. The court in Yunis left open the question of whether otherwise privileged information is protected from disclosure where such information has "more than theoretical relevanceâ and is "genuinely helpful to [the] defense.â Id. at 625.
. We make neither reference to nor conclusions regarding the material at issue in the instant case.
. As noted in this case's caption, this appeal was argued on January 29, 2008. On December 12, 2007, approximately one month prior thereto, a majority of the active judges of this Court voted to vacate the initial three-judge panel's decision in Cavera, 505 F.3d 216 (2d Cir.2007), and to rehear the case en banc. As Cavera preceded this case and would address many issues critical to the resolution of this appeal, and as noted in footnote [*], we deemed it prudent to stay our resolution of this case pending this Court's en banc resolution of Cavera, despite the unfortunate delay involved. The en banc opinion issued on December 4, 2008.
. Section 3553(a) provides, in pertinent part: The court shall impose a sentence sufficient, but not greater than necessary, to comply with the purposes set forth in paragraph (2) of this subsection. The court, in determining the particular sentence to be imposed, shall consider'â
(1) the nature and circumstances of the offense and the history and characteristics of the defendant;
(2) the need for the sentence imposedâ
(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner;
(3) the kinds of sentences available;
(4) the kinds of sentence and the sentencing range established [and recommended by the Sentencing Guidelines];
(5) any pertinent policy statement ... issued by the Sentencing Commission ...;
*135 (6) the need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct; and
(7) the need to provide restitution to any victims of the offense.
18 U.S.C. § 3553(a).
. As is discussed in more detail below, the district court found that the terrorism enhancement did not apply to Yousryâs conduct, and that his conduct fell outside the heartland of material support for terrorist activity crimes. The district court found Sattarâs and Stewart's conduct to merit the terrorism enhancement, but, at least for Stewart, found the case to be an unusual one for the enhancement.
. We distinguish between "a 'variance' from the advisory Guidelinesâ and "a 'departure' within the Guidelines.â Irizarry v. United States, 553 U.S. 708, 128 S.Ct. 2198, 2204, 171 L.Ed.2d 28 (2008) (Breyer, J., dissenting) (emphasis in original). As the Supreme Court noted in Irizarry, " '[d]eparture' is a term of art under the Guidelines and refers only to non-Guidelines sentences imposed under the framework set out in the Guidelines.â Id. at 2202. In contrast, a variance is a modification of the applicable Guidelines sentence "that a District Court may find justified under the sentencing factors set forth in 18 U.S.C. [§ 3553(a)].â Id. at 2203.
. At least in cases like Yousiyâs where the terrorism enhancement is found not to apply, as a procedural matter, we conclude that a district court may rely on the fact that no harm resulted from the criminal act at issue. The weight that such a factor can bear in any particular instance, however, is an analytically separate, and substantive, question. We conclude that the district court did not procedurally err by considering the absence of harm as one factor relevant to the proper sentence of Yousry. We also conclude that both Sattar's and Yousry's sentences are substantively reasonable â i.e., that the factors identified by the district court can bear the weight assigned to them. Because we vacate
. We have reviewed the document under seal. See Sattar Statement of Reasons, Oct. 26, 2006.
. In Crosby, we said that "a sentencing judge will normally have to determine the applicable Guidelines rangeâ but that precise calculation of the range may not be necessary in "situations ... where either of two Guidelines ranges, whether or not adjacent, is applicable, but the sentencing judge, having complied with section 3553(a), makes a decision to impose a non-Guidelines sentence, regardless of which of the two ranges applies.â Crosby, 397 F.3d at 111-12.
. The district court did not address whether Stewart "abused a position of public or private trust, or used a special skill, in a manner that significantly facilitated the commission or concealment of the offense," meriting a two-level enhancement under the Guidelines. See U.S.S.G. § 3B1.3; see also United States v. Reich, 479 F.3d 179, 192 (2d Cir.), cert. denied, 552 U.S. 819, 128 S.Ct. 115, 169 L.Ed.2d 26 (2007) (concluding that district court did not err in applying enhancement where the defendant "used his special skills as a lawyerâ to facilitate the crime). Judge Walker, in his opinion, criticizes the district court for "fail[ing] to explain why an enhancement for abuse of trust is not plainly
. It seems possible that, in fact, the district court rejected the terrorism enhancement based on United States v. Crosby, 397 F.3d 103 (2d Cir.2005), by deeming this to be one of those cases where it would be more appropriate to determine the extent of the downward adjustment in the context of the section 3553(a) analysis. It may be that this invocation of Crosby led the district court to redetermine an adjusted offense level without application of the terrorism enhancement and then consider, in its section 3553(a) analysis, whether Stewart's personal characteristics warranted a variance below the sentencing range calculated without the enhancement. If the district court ultimately sentenced Stewart without "precise calculation of the applicable Guidelines range," Crosby, 397 F.3d at 112, it would, we conclude, be error.
It is possible to read the record to indicate that although, in compliance with Supreme Court instructions, the district court began its Guidelines analysis by correctly calculating an adjusted offense level of 41 with a resulting sentencing range of 360 months, see Gall, 128 S.Ct. at 596, the court nonetheless treated the terrorism enhancement as inapplicable and redetermined a sentencing range of 78 to 97 months without that enhancement. Perhaps the court then relied on its view of Stewart's personal characteristics to justify a variance substantially below this redeter