MATTHEW ROBERT DESCAMPS, PETITIONER v. UNITED STATES
No. 11-9540
SUPREME COURT OF THE UNITED STATES
Argued January 7, 2013—Decided June 20, 2013
570 U. S. ____ (2013)
OCTOBER TERM, 2012
NOTE: Where it is feasible, a syllabus (headnote) will be released, as is being done in connection with this case, at the time the opinion is issued. The syllabus constitutes no part of the opinion of the Court but has been prepared by the Reporter of Decisions for the convenience of the reader. See United States v. Detroit Timber & Lumber Co., 200 U. S. 321, 337.
SUPREME COURT OF THE UNITED STATES
Syllabus
DESCAMPS v. UNITED STATES
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
No. 11-9540. Argued January 7, 2013—Decided June 20, 2013
The Armed Career Criminal Act (ACCA) increases the sentences of certain federal defendants who have three prior convictions “for a violent felony,” including “burglary, arson, or extortion.”
Petitioner Descamps was convicted of being a felon in possession of a firearm. The Government sought an ACCA sentence enhancement, pointing to Descamps’ three prior convictions, including one for burglary under
Held: The modified categorical approach does not apply to statutes like
(a) This Court‘s caselaw all but resolves this case. In Taylor v. United States, 495 U. S. 575, and Shepard v. United States, 544 U. S. 13, the Court approved the use of a modified categorical approach in a “narrow range of cases” in which a divisible statute, listing potential offense elements in the alternative, renders opaque which element played a part in the defendant‘s conviction. Because a sentencing court cannot tell, simply by looking at a divisible statute, which version of the offense a defendant was convicted of, the court is permitted to consult extra-statutory documents—but only to assess whether the defendant was convicted of the particular “statutory definition” that corresponds to the generic offense. Nijhawan v. Holder, 557 U. S. 29, and Johnson v. United States, 559 U. S. 133, also emphasized this elements-based rationale for the modified categorical approach. That approach plays no role here, where the dispute does not concern alternative elements but a simple discrepancy between generic burglary and
(b) The Ninth Circuit‘s Aguila-Montes approach turns an elements-based inquiry into an evidence-based one, asking not whether “statutory definitions” necessarily require an adjudicator to find the generic offense, but whether the prosecutor‘s case realistically led the adjudicator to find certain facts. Aguila-Montes has no roots in this Court‘s precedents. In fact, it subverts those decisions, conflicting with each of the rationales supporting the categorical approach and threatening to undo all its benefits. Pp. 10–19.
(1) Taylor‘s elements-centric categorical approach comports with ACCA‘s text and history, avoids Sixth Amendment concerns that would arise from sentencing courts’ making factual findings that properly belong to juries, and averts “the practical difficulties and potential unfairness of a factual approach.” 495 U. S., at 601.
ACCA‘s language shows that Congress intended sentencing courts “to look only to the fact that the defendant had been convicted of crimes falling within certain categories, and not to the facts underlying the prior convictions.” Id., at 600. The Ninth Circuit‘s approach runs headlong into that congressional choice. Instead of reviewing extra-statutory documents only to determine which alternative element was the basis for the conviction, the Circuit looks to those materials to discover what the defendant actually did.
Under ACCA, the sentencing court‘s finding of a predicate offense indisputably increases the maximum penalty. Accordingly, that find-
The Ninth Circuit‘s decision also creates the same “daunting” difficulties and inequities that first encouraged the adoption of the categorical approach. 495 U. S., at 601-602. Sentencing courts following Aguila-Montes would have to expend resources examining (often aged) documents for evidence that a defendant admitted, or a prosecutor showed, facts that, although unnecessary to the crime of conviction, satisfied an element of the relevant generic offense. And the Aguila-Montes approach would also deprive many defendants of the benefits of their negotiated plea deals. Pp. 12-16.
(2) In defending Aguila-Montes, the Ninth Circuit denied any real distinction between divisible and indivisible statutes extending further than the generic offense. But the Circuit‘s efforts to imaginatively reconceive all indivisible statutes as divisible ones are unavailing. Only divisible statutes enable a sentencing court to conclude that a jury (or judge at a plea hearing) has convicted the defendant of every element of the generic crime. Pp. 16-19.
(c) The Government offers a slightly different argument: It contends that the modified categorical approach should apply where, as here, the mismatch of elements between the crime of conviction and the generic offense results not from a missing element but from an element‘s overbreadth. But that distinction is malleable and manipulable. And in any event, it is a distinction without a difference. Whether the statute of conviction has an overbroad or missing element, the problem is the same: Because of the mismatch in elements, a person convicted under that statute is never convicted of the generic crime. Pp. 19-22.
(d) Because generic unlawful entry is not an element, or an alternative element of,
466 Fed. Appx. 563, reversed.
KAGAN, J., delivered the opinion of the Court, in which ROBERTS, C. J., and SCALIA, KENNEDY, GINSBURG, BREYER, and SOTOMAYOR, JJ., joined. KENNEDY, J., filed a concurring opinion. THOMAS, J., filed an opinion concurring in the judgment. ALITO, J., filed a dissenting opinion.
NOTICE: This opinion is subject to formal revision before publication in the preliminary print of the United States Reports. Readers are requested to notify the Reporter of Decisions, Supreme Court of the United States, Washington, D. C. 20543, of any typographical or other formal errors, in order that corrections may be made before the preliminary print goes to press.
SUPREME COURT OF THE UNITED STATES
No. 11-9540
MATTHEW ROBERT DESCAMPS, PETITIONER v. UNITED STATES
ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
[June 20, 2013]
JUSTICE KAGAN delivered the opinion of the Court.
The Armed Career Criminal Act (ACCA or Act),
We have previously approved a variant of this method—labeled (not very inventively) the “modified categorical approach“—when a prior conviction is for violating a so-called “divisible statute.” That kind of statute sets out one or more elements of the offense in the alternative—for example, stating that burglary involves entry into a building or an automobile. If one alternative (say, a building) matches an element in the generic offense, but the other
This case presents the question whether sentencing courts may also consult those additional documents when a defendant was convicted under an “indivisible” statute—i.e., one not containing alternative elements—that criminalizes a broader swath of conduct than the relevant generic offense. That would enable a court to decide, based on information about a case‘s underlying facts, that the defendant‘s prior conviction qualifies as an ACCA predicate even though the elements of the crime fail to satisfy our categorical test. Because that result would contravene our prior decisions and the principles underlying them, we hold that sentencing courts may not apply the modified categorical approach when the crime of which the defendant was convicted has a single, indivisible set of elements.
I
Petitioner Michael Descamps was convicted of being a felon in possession of a firearm, in violation of
ACCA prescribes a mandatory minimum sentence of 15 years for a person who violates
Descamps argued that his prior burglary conviction could not count as an ACCA predicate offense under our categorical approach. He had pleaded guilty to violating
The District Court disagreed. According to the court, our modified categorical approach permitted it to examine certain documents, including the record of the plea colloquy, to discover whether Descamps had “admitted the elements of a generic burglary” when entering his plea. App. 50a. And that transcript, the court ruled, showed that Descamps had done so. At the plea hearing, the prosecutor proffered that the crime “‘involve[d] the breaking and entering of a grocery store,‘” and Descamps failed
The Court of Appeals for the Ninth Circuit affirmed, relying on its recently issued decision in United States v. Aguila-Montes de Oca, 655 F. 3d 915 (2011) (en banc) (per curiam). There, a divided en banc court took much the same view of the modified categorical approach as had the District Court in this case. The en banc court held that when a sentencing court considers a conviction under
We granted certiorari, 567 U. S. ____ (2012), to resolve a Circuit split on whether the modified categorical approach applies to statutes like
II
Our caselaw explaining the categorical approach and its “modified” counterpart all but resolves this case. In those decisions, as shown below, the modified approach serves a limited function: It helps effectuate the categorical analysis when a divisible statute, listing potential offense elements in the alternative, renders opaque which element played a part in the defendant‘s conviction. So understood, the modified approach cannot convert Descamps’ conviction under
We begin with Taylor v. United States, 495 U. S. 575 (1990), which established the rule for determining when a defendant‘s prior conviction counts as one of ACCA‘s enumerated predicate offenses (e.g., burglary). Taylor adopted a “formal categorical approach“: Sentencing courts may “look only to the statutory definitions“—i.e., the elements of a defendant‘s prior offenses, and not “to the particular facts underlying those convictions.” Id., at 600. If the relevant statute has the same elements as the “generic” ACCA crime, then the prior conviction can serve as an ACCA predicate; so too if the statute defines the crime more narrowly, because anyone convicted under that law is “necessarily guilty of all the [generic crime‘s] elements.” Id., at 599. But if the statute sweeps more broadly than the generic crime, a conviction under that law cannot count as an ACCA predicate, even if the defendant actually committed the offense in its generic form. The key, we emphasized, is elements, not facts. So, for example, we held that a defendant can receive an ACCA enhancement for burglary only if he was convicted of a crime having “the basic elements” of generic burglary—i.e., “unlawful or unprivileged entry into, or remaining in, a building or structure, with intent to commit a crime.” Ibid. And indeed, we indicated that the very statute at
At the same time, Taylor recognized a “narrow range of cases” in which sentencing courts—applying what we would later dub the “modified categorical approach“—may look beyond the statutory elements to “the charging paper and jury instructions” used in a case. Id., at 602. To explain when courts should resort to that approach, we hypothesized a statute with alternative elements—more particularly, a burglary statute (otherwise conforming to the generic crime) that prohibits “entry of an automobile as well as a building.” Ibid. One of those alternatives (a building) corresponds to an element in generic burglary, whereas the other (an automobile) does not. In a typical case brought under the statute, the prosecutor charges one of those two alternatives, and the judge instructs the jury accordingly. So if the case involves entry into a building, the jury is “actually required to find all the elements of generic burglary,” as the categorical approach demands. Ibid. But the statute alone does not disclose whether that has occurred. Because the statute is “divisible“—i.e., comprises multiple, alternative versions of the crime—a later sentencing court cannot tell, without reviewing something more, if the defendant‘s conviction was for the generic (building) or non-generic (automobile) form of burglary. Hence Taylor permitted sentencing courts, as a tool for implementing the categorical approach, to examine a limited class of documents to determine which of a statute‘s alternative elements formed the basis of the defendant‘s prior conviction.
In Shepard v. United States, 544 U. S. 13 (2005), the hypothetical we posited in Taylor became real: We confronted a Massachusetts burglary statute covering entries into “boats and cars” as well as buildings. 544 U. S., at 17. The defendant there pleaded guilty to violating the stat-
Two more recent decisions have further emphasized the elements-based rationale—applicable only to divisible statutes—for examining documents like an indictment or plea agreement. In Nijhawan v. Holder, 557 U. S. 29 (2009), we discussed another Massachusetts statute, this one prohibiting “‘Breaking and Entering at Night’ in any of four alternative places: a ‘building, ship, vessel, or vehicle.‘” Id., at 35. We recognized that when a statute so “refer[s] to several different crimes,” not all of which qualify as an ACCA predicate, a court must determine which crime formed the basis of the defendant‘s conviction. Ibid. That is why, we explained, Taylor and Shepard developed the modified categorical approach. By reviewing the extra-statutory materials approved in those cases, courts
Applied in that way—which is the only way we have ever allowed—the modified approach merely helps implement the categorical approach when a defendant was convicted of violating a divisible statute. The modified approach thus acts not as an exception, but instead as a tool. It retains the categorical approach‘s central feature: a focus on the elements, rather than the facts, of a crime. And it preserves the categorical approach‘s basic method: comparing those elements with the generic offense‘s. All the modified approach adds is a mechanism for making that comparison when a statute lists multiple, alternative elements, and so effectively creates “several different crimes.” Nijhawan, 557 U. S., at 41. If at least one, but not all of those crimes matches the generic version, a court needs a way to find out which the defendant was convicted of. That is the job, as we have always understood it, of the modified approach: to identify, from among several alternatives, the crime of conviction so that the court can compare it to the generic offense.2
The modified approach thus has no role to play in this case. The dispute here does not concern any list of alternative elements. Rather, it involves a simple discrepancy between generic burglary and the crime established in
III
The Court of Appeals took a different view. Dismissing everything we have said on the subject as “lack[ing] conclusive weight,” the Ninth Circuit held in Aguila-Montes that the modified categorical approach could turn a conviction under any statute into an ACCA predicate offense. 655 F. 3d, at 931. The statute, like
That approach—which an objecting judge aptly called “modified factual,” 655 F. 3d, at 948 (Berzon, J., concurring in judgment)—turns an elements-based inquiry into an evidence-based one. It asks not whether “statutory definitions” necessarily require an adjudicator to find the generic offense, but instead whether the prosecutor‘s case realistically led the adjudicator to make that determination. And it makes examination of extra-statutory documents not a tool used in a “narrow range of cases” to identify the relevant element from a statute with multiple alternatives, but rather a device employed in every case to evaluate the facts that the judge or jury found. By this point, it should be clear that the Ninth Circuit‘s new way of identifying ACCA predicates has no roots in our precedents. But more: Aguila-Montes subverts those decisions, conflict-
A
This Court offered three grounds for establishing our elements-centric, “formal categorical approach.” Taylor, 495 U. S., at 600. First, it comports with ACCA‘s text and history. Second, it avoids the Sixth Amendment concerns that would arise from sentencing courts’ making findings of fact that properly belong to juries. And third, it averts “the practical difficulties and potential unfairness of a factual approach.” Id., at 601. When assessed in light of those three reasons, the Ninth Circuit‘s ruling strikes out swinging.
Start with the statutory text and history. As we have long recognized, ACCA increases the sentence of a defendant who has three “previous convictions” for a violent felony—not a defendant who has thrice committed such a crime.
The Ninth Circuit‘s approach runs headlong into that congressional choice. Instead of reviewing documents like an indictment or plea colloquy only to determine “which statutory phrase was the basis for the conviction,” the Ninth Circuit looks to those materials to discover what the defendant actually did. Johnson, 559 U. S., at 144. This case demonstrates the point. Descamps was not convicted of generic burglary, because (as the Government agrees)
Similarly, consider (though Aguila-Montes did not) the categorical approach‘s Sixth Amendment underpinnings. We have held that “[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a
Yet again, the Ninth Circuit‘s ruling flouts our reasoning—here, by extending judicial factfinding beyond the recognition of a prior conviction. Our modified categorical approach merely assists the sentencing court in identifying the defendant‘s crime of conviction, as we have held the Sixth Amendment permits. But the Ninth Circuit‘s reworking authorizes the court to try to discern what a trial showed, or a plea proceeding revealed, about the defendant‘s underlying conduct. See Aguila-Montes, 655 F. 3d, at 937. And there‘s the constitutional rub. The Sixth Amendment contemplates that a jury—not a sentencing court—will find such facts, unanimously and beyond a reasonable doubt. And the only facts the court can be sure the jury so found are those constituting elements of the offense—as distinct from amplifying but legally extraneous circumstances. See, e.g., Richardson v. United States, 526 U. S. 813, 817 (1999). Similarly, as Shepard indicated, when a defendant pleads guilty to a crime, he waives his right to a jury determination of only that offense‘s elements; whatever he says, or fails to say,
Finally, the Ninth Circuit‘s decision creates the same “daunting” difficulties and inequities that first encouraged us to adopt the categorical approach. Taylor, 495 U. S., at 601-602. In case after case, sentencing courts following Aguila-Montes would have to expend resources examining (often aged) documents for evidence that a defendant admitted in a plea colloquy, or a prosecutor showed at trial, facts that, although unnecessary to the crime of conviction, satisfy an element of the relevant generic offense. The meaning of those documents will often be uncertain. And the statements of fact in them may be downright wrong. A defendant, after all, often has little incentive to contest facts that are not elements of the charged offense—and may have good reason not to. At trial, extraneous facts and arguments may confuse the jury. (Indeed, the court may prohibit them for that reason.) And during plea hearings, the defendant may not wish to irk the prosecutor or court by squabbling about superfluous factual allegations. In this case, for example, Descamps may have let the prosecutor‘s statement go by because it was irrelevant to the proceedings. He likely was not thinking about the possibility that his silence could come back to haunt him in an ACCA sentencing 30 years in the future. (Actually, he could not have been thinking that thought: ACCA was not even on the books at the time of Descamps’ burglary conviction.)
Still worse, the Aguila-Montes approach will deprive
B
The Ninth Circuit defended its (excessively) modified approach by denying any real distinction between divisible and indivisible statutes extending further than the generic offense. “The only conceptual difference,” the court reasoned, “is that [a divisible statute] creates an explicitly finite list of possible means of commission, while [an indivisible one] creates an implied list of every means of commission that otherwise fits the definition of a given crime.” Aguila-Montes, 655 F. 3d, at 927. For example, an indivisible statute “requir[ing] use of a ‘weapon’ is not meaningfully different“—or so says the Ninth Circuit—“from a statute that simply lists every kind of weapon in existence (‘gun, axe, sword, baton, slingshot, knife, machete, bat,’ and so on).” Ibid. In a similar way, every indivisible statute can be imaginatively reconstructed as a divisible one. And if that is true, the Ninth Circuit asks, why limit the modified categorical approach only to explicitly divisible statutes?
The simple answer is: Because only divisible statutes enable a sentencing court to conclude that a jury (or judge at a plea hearing) has convicted the defendant of every element of the generic crime. A prosecutor charging a violation of a divisible statute must generally select the relevant element from its list of alternatives. See, e.g., The Confiscation Cases, 20 Wall. 92, 104 (1874) (“[A]n indictment or a criminal information which charges the person accused, in the disjunctive, with being guilty of one or of another of several offences, would be destitute of the necessary certainty, and would be wholly insufficient“).4 And the jury, as instructions in the case will make clear, must then find that element, unanimously and beyond a reasonable doubt. So assume, along the lines of the Ninth Circuit‘s example, that a statute criminalizes assault with any of eight specified weapons; and suppose further, as the Ninth Circuit did, that only assault with a gun counts as an ACCA offense. A later sentencing court need only check the charging documents and instructions (“Do they refer to a gun or something else?“) to determine whether in convicting a defendant under that divisible statute, the jury necessarily found that he committed the ACCA-qualifying crime.
None of that is true of an overbroad, indivisible statute. A sentencing court, to be sure, can hypothetically reconceive such a statute in divisible terms. So, as Aguila-Montes reveals, a court blessed with sufficient time and
imagination could devise a laundry list of potential “weapons“—not just the eight the Ninth Circuit mentioned, but also (for starters) grenades, pipe bombs, spears, tire irons, BB guns, nunchucks, and crossbows. But the thing about hypothetical lists is that they are, well, hypothetical. As long as the statute itself requires only an indeterminate “weapon,” that is all the indictment must (or is likely to) allege and all the jury instructions must (or are likely to) mention. And most important, that is all the jury must find to convict the defendant. The jurors need not all agree on whether the defendant used a gun or a knife or a tire iron (or any other particular weapon that might appear in an imagined divisible statute), because the actual statute requires the jury to find only a “weapon.” And even if in many cases, the jury could have readily reached consensus on the weapon used, a later sentencing court cannot supply that missing judgment. Whatever the underlying facts or the evidence presented, the defendant still would not have been convicted, in the deliberate and considered way the Constitution guarantees, of an offense with the same (or narrower) elements as the supposed generic crime (assault with a gun).
Indeed, accepting the Ninth Circuit‘s contrary reasoning would altogether collapse the distinction between a categorical and a fact-specific approach. After all, the Ninth Circuit‘s “weapons” example is just the tip of the iceberg: Courts can go much further in reconceiving indivisible statutes as impliedly divisible ones. In fact, every element of every statute can be imaginatively transformed as the Ninth Circuit suggests—so that every crime is seen as containing an infinite number of sub-crimes corresponding to “all the possible ways an individual can commit” it. Aguila-Montes, 655 F. 3d, at 927. (Think: Professor Plum, in the ballroom, with the candlestick?; Colonel Mustard, in the conservatory, with the rope, on a snowy day, to cover up his affair with Mrs. Peacock?) If a sentencing court,
IV
The Government tries to distance itself from the Ninth Circuit by offering a purportedly narrower theory—that although an indivisible statute that is “truly missing” an element of the generic offense cannot give rise to an
Although elaborately developed in the Government‘s brief, this argument‘s first two steps turn out to be sideshows. We may reserve the question whether, in determining a crime‘s elements, a sentencing court should take account not only of the relevant statute‘s text, but of judicial rulings interpreting it. And we may assume, as the Government insists, that California caselaw treats
But for starters, we see no principled way to make that distinction. Most overbroad statutes can also be characterized as missing an element; and most statutes missing an element can also be labeled overbroad. Here is the only conclusion in Aguila-Montes we agree with: “[I]t is difficult, if not impossible” to determine which is which. 655 F. 3d, at 925. The example that court gave was as follows: A statute of conviction punishes possession of pornography, but a federal law carries a sentence enhancement for possession of child pornography. Is the statute of conviction overbroad because it includes both adult and child pornography; or is that law instead missing the element of involvement of minors? The same name game can be played with
In any event, and more fundamentally, we see no reason why the Government‘s distinction should matter. Whether the statute of conviction has an overbroad or missing element, the problem is the same: Because of the mismatch in elements, a person convicted under that statute is never convicted of the generic crime. In this case, for
V
Descamps may (or may not) have broken and entered, and so committed generic burglary. But
It is so ordered.
As the Court explains, this case concerns earlier convictions under state statutes classified by cases in the Courts of Appeals, and now in today‘s opinion for the Court, as “indivisible.” See, e.g., United States v. Aguila-Montes de Oca, 655 F. 3d 915 (CA9 2011) (en banc) (per curiam); United States v. Beardsley, 691 F. 3d 252 (CA2 2012). This category is used to describe a class of criminal statutes that are drafted with a single set of elements that are broader than those of the generic definition of the corresponding crime enumerated in the
Just one of the substantial concerns that the Court is correct to consider is that, in the regular course of the criminal process, convictions may be entered, often by guilty pleas, when either the attorney or the client, or both, have given no consideration to possible later consequences under
On due consideration, the concerns well expressed by the Court persuade me that it reaches the correct result. The disruption to the federal policy underlying
With these observations, I join the opinion of the Court.
Petitioner Matthew Descamps was convicted of being a felon in possession of a firearm,
I have previously explained that
In light of the foregoing, it does not matter whether a statute is “divisible” or “indivisible,” see ante, at 1-2, and courts should not have to struggle with the contours of the so-called “modified categorical” approach. Ibid. The only reason Descamps’
The Court holds, on highly technical grounds, that no California burglary conviction qualifies as a burglary conviction under the
I would give
I
Before petitioner was charged in the case now before us,
While the concept of a conviction for burglary might seem simple, things have not worked out that way under our case law. In Taylor v. United States, 495 U. S. 575, 599 (1990), we held that “burglary” under
Petitioner argues that his 1978 conviction for burglary under
The first, which does not preclude application of the modified categorical approach, concerns the place burglarized. While generic burglary applies only to offenses involving the entry of a building, the California provision also reaches offenses involving the entry of some other locations, see ibid. Under our cases, however, a federal court considering whether to apply
The second variation is more consequential. Whereas generic burglary requires an entry that is unlawful or unprivileged, the California statute refers without qualification to “[e]very person who enters.”
II
The Court holds that “sentencing courts may not apply the modified categorical approach when the crime of which the defendant was convicted has a single, indivisible set of
My understanding is that a statute is divisible, in the sense used by the Court, only if the offense in question includes as separate elements all of the elements of the generic offense. By an element, I understand the Court to mean something on which a jury must agree by the vote required to convict under the law of the applicable jurisdiction. See ante, at 14 (citing Richardson v. United States, 526 U. S. 813, 817 (1999)). And although the Court reserves decision on the question whether a sentencing court may take authoritative judicial decisions into account in identifying the elements of a statute, see ante, at 20, I will assume that a sentencing court may do so. While the elements of a criminal offense are generally set out in the statutory text, courts sometimes find that unmentioned elements are implicit. See, e.g., Neder v. United States, 527 U. S. 1, 20 (1999) (holding that federal mail fraud, wire fraud, and bank fraud statutes require proof of materiality even though that element is not mentioned in the statutory text). I cannot think of any reason why an authoritative decision of this sort should be ignored, and the Court has certainly not provided any. I therefore proceed on the assumption that a statute is divisible if the offense, as properly construed, has the requisite elements.
The Court‘s holding that the modified categorical approach may be used only when a statute is divisible in this sense is not required by
A
Nothing in the text of
Nor is an exclusively elements-based inquiry mandated by
B
The Court says that our precedents require an elements-based approach and accuses the Court of Appeals of “flout[ing] our reasoning” in Taylor, Shepard, Nijhawan, and Johnson, see ante, at 5-8, 14, but that charge is unfounded. In at least three of those cases, the Court thought that the modified categorical approach could be used in relation to statutes that may not have been divisible.
Shepard concerned prior convictions under two Massachusetts burglary statutes that applied not only to the entry of a “building” (as is the case with generic burglary)
In today‘s decision, the Court assumes that “building” and the other locations enumerated in the Massachusetts statutes, such as “vessel,” were alternative elements, but that is questionable. It is quite likely that the entry of a building and the entry of a vessel were simply alternative means of satisfying an element. See Commonwealth v. Cabrera, 449 Mass. 825, 827, 874 N. E. 2d 654, 657 (2007) (“The elements of breaking and entering in the nighttime with intent to commit a felony are (1) breaking and (2) entering a building, ship, vessel or vehicle belonging to another (3) at night, (4) with the intent to commit a felony“). “[L]egislatures frequently enumerate alternative means of committing a crime without intending to define separate elements or separate crimes.” Schad v. Arizona, 501 U. S. 624, 636 (1991) (plurality). The feature that distinguishes elements and means is the need for juror agreement, see Richardson, supra, at 817, and therefore in determining whether the entry of a building and the entry of a vessel are elements or means, the critical question is whether a jury would have to agree on the nature of the place that a defendant entered.
A case that we decided earlier this Term illustrates why “building” and “vessel” may have been means and not separate elements. In Lozman v. Riviera Beach, 568 U. S. 115 (2013), we were required to determine whether a “floating home” (a buoyant but not very sea-worthy dwelling) was a “vessel.” Seven of us thought it was not; two of us thought it might be. Compare id., at (slip op. at 1), with id., at (slip op., at 12). (SOTOMAYOR, J., dissent-
I have not found a Massachusetts decision squarely on point, but there is surely an argument that the Massachusetts Legislature did not want to demand juror agreement on this question. In other words, there is a strong argument that entry of a “building” and entry of a “vessel” are merely alternative means, not alternative elements. And if that is so, the reasoning in Shepard undermines the Court‘s argument that the modified categorical approach focuses solely on elements and not on conduct.
Johnson, like Shepard, involved a statute that may have set out alternative means, rather than alternative elements. Under the Florida statute involved in that case, a battery occurs when a person either “1. [a]ctually and intentionally touches or strikes another person against the will of the other; or 2. [i]ntentionally causes bodily harm to another person.”
Far from mandating the Court‘s approach, these decisions support a practical understanding of the modified categorical approach. Thus, in Shepard, we observed that the factual circumstances of a defendant‘s prior conviction may be relevant to determining whether it qualifies as a violent felony under
C
The Court fears that application of the modified categorical approach to statutes such as
D
The Court‘s approach, I must concede, does have one benefit: It provides an extra measure of assurance that a burglary conviction will not be counted as an
To see why this is so, compare what would happen under an indivisible burglary statute that simply requires entry invading a possessory right, and a divisible statute that has the following two alternative elements: (1) entry by trespass and (2) entry by invitation but with an undisclosed criminal intent. Under the former statute, the jury would be required to agree only that the defendant invaded a possessory right when entering the place in question, and therefore it would be possible for the jury to convict even if some jurors thought that the defendant entered by trespassing while others thought that he entered by invitation but with an undisclosed criminal intent. Under the latter statute, by contrast, the jury would have to agree either that he trespassed or that he entered by invitation but with an undisclosed criminal intent.
This requirement of unanimity would be of some practical value only if the evidence in a case pointed to both possibilities, and in a great many cases that will not be so. In cases prosecuted under the California burglary statute, I suspect, the evidence generally points either to a trespassory entry, typically involving breaking into a building or other covered place, or to an entry by invitation but with an undisclosed criminal intent (in many cases, shop-
In cases that end with a guilty plea—and most do—the benefit of divisibility is even less. A judge who accepts a guilty plea is typically required to confirm that there is a factual basis for the plea, see 5 id., §21.4(f), at 835-840 (3d ed. 2007 and Supp. 2011-2012), and the proffer of a factual basis will generally focus exclusively on one of the alternative elements.
The Court nevertheless suggests that the extra modicum of assurance provided in cases involving divisible statutes is needed to prevent violations of the Sixth Amendment jury trial right, ante, at 13-15, but I disagree. So long as a judge applying
III
While producing very modest benefits at most, the Court‘s holding will create several serious problems.
A
Determining whether a statute is divisible will often be harder than the Court acknowledges. What I have said about the statutes involved in Shepard and Johnson illustrates this point. The Court assumes that those statutes were divisible, but as I have explained, it is possible that they were not. See supra, at 5-7.
To determine whether a statute contains alternative elements, as opposed to merely alternative means of satisfying an element, a court called upon to apply
Even if a federal court applying
The only way to be sure whether particular items are alternative elements or simply alternative means of satisfying an element may be to find cases concerning the correctness of jury instructions that treat the items one way or the other. And such cases may not arise frequently. One of the Court‘s reasons for adopting the modified categorical approach was to simplify the work of
B
The Court‘s holding will also frustrate fundamental
The Court‘s holding will hamper the achievement of these objectives by artificially limiting
I would avoid these problems by applying the modified categorical approach to
IV
When the modified categorical approach is applied to petitioner‘s conviction, it is clear that he “necessarily admitted“—and therefore was convicted for committing—the elements of generic burglary: the unlawful or unprivi-
Both the complaint and information alleged that petitioner “unlawfully and feloniously enter[ed]” a building (the “CentroMart“) “with the intent to commit theft therein.” App. 14a-17a. When the trial court inquired into the factual basis for petitioner‘s plea, the prosecutor stated that petitioner‘s crime involved “the breaking and entering of a grocery store.” Id., at 25a. Neither petitioner nor his attorney voiced any objection.4 Ibid. In order to accept petitioner‘s plea, the trial court was required under California law to ensure that the plea had a factual basis, see
Even if that determination is reviewed, however, the lower courts’ conclusion should be sustained. Under the California burglary statute, as interpreted by the State
In this case, the judge who accepted petitioner‘s guilty plea must have relied on petitioner‘s implicit admission that he “broke” into the store, for if petitioner had admitted only that he entered the store, the judge would not have been able to assess whether he had invaded a possessory right. Nor would an admission to merely “entering” the store have permitted the judge to assess whether petitioner entered with the intent to commit a crime; petitioner‘s admission to “breaking” was therefore critical to that element, as well. Cf. Black‘s Law Dictionary 236 (rev. 4th ed. 1968) (“‘Breaking’ denotes the ‘tearing away or removal of any part of a house or of the locks, latches, or other fastenings intended to secure it, or otherwise exerting force to gain an entrance, with the intent to commit a felony‘“).
We have explained that burglary under
For these reasons, I would affirm the decision of the Court of Appeals, and I therefore respectfully dissent.
