JULIO CESAR NAJERA-RODRIGUEZ, Petitioner, v. WILLIAM P. BARR, Attorney General of the United States, Respondent.
No. 18-2416
United States Court of Appeals For the Seventh Circuit
ARGUED APRIL 4, 2019 — DECIDED JUNE 4, 2019
Petition for Review of an Order of the Board of Immigration Appeals. No. A060-280-595.
Before RIPPLE, HAMILTON, and ST. EVE, Circuit Judges.
I. Facts and Procedural History
Julio Cesar Najera-Rodriguez is a thirty-year-old lawful permanent resident. He moved from Mexico to the United States when he was ten years old. In 2016, he pleaded guilty to unlawful possession of a controlled substance in violation of
In October 2017, the Department of Homeland Security began proceedings to remove Najera-Rodriguez under
II. The Legal Framework
Some background is needed even to understand what it means to ask whether Illinois‘s
A. The Categorical Method
The applicable immigration provision,
The parties here agree that
B. The Modified Categorical Approach
Illinois‘s
When a criminal law can be violated in many ways, applying the categorical method requires consideration of whether the statute is “divisible,” meaning that it defines distinct crimes with different elements, not just different means for committing the same crime. Mathis v. United States, 136 S. Ct. 2243, 2248–49 (2016). If the statute is divisible, a court can turn to the “modified categorical approach,” which permits a court “to consult a limited class of documents, such as indictments and jury instructions, to determine which alternative formed the basis of the defendant‘s conviction.” Descamps v. United States, 570 U.S. 254, 257 (2013). The modified categorical approach still does not authorize a court or the Board of Immigration Appeals to dig through the facts of the underlying case. Rather, once the elements of conviction have been identified, the court or the Board compares the elements of the specific crime of conviction to the elements the federal statute requires to trigger the additional consequences. Id.
If
The difference between “elements” and “means” can seem slippery, sometimes almost metaphysical, but significant legal consequences flow from that difference. “‘Elements’ are the ‘constituent parts’ of a crime‘s legal definition—the things the ‘prosecution must prove to sustain
Mathis provides the Supreme Court‘s most recent guidance for distinguishing between elements and means, and thus for determining whether a statute is divisible for these purposes. The issue in Mathis was whether the Iowa burglary statute was divisible for purposes of the Armed Career Criminal Act. The Iowa burglary statute was broader than the generic burglary offense for purposes of federal law because it covered unlawful entry, with criminal purpose, of locations other than buildings. The Supreme Court found that the different locations in the state statute showed only different means for committing one crime of burglary, so that the burglary statute was not divisible and thus that the defendant‘s Iowa burglary convictions did not qualify for enhanced penalties under the Armed Career Criminal Act. The Court‘s opinion noted that its approach to divisibility would also apply under immigration statutes that depend on criminal convictions. Mathis, 136 S. Ct. at 2251–52 & n.2.
In broad strokes, Mathis directs federal courts (and agencies) to seek first a definitive state-court decision. Id. at 2256. If a decision by the state‘s highest court “definitively answers the question” of elements versus means, then the federal courts can just follow along. Given the consequences of deeming a particular factual finding to be an element that requires proof beyond a reasonable doubt and juror unanimity, one could expect a court‘s holding regarding a crime‘s elements to be stated clearly. See, e.g., Neder v. United States, 527 U.S. 1, 25 (1999) (“Accordingly, we hold that materiality of falsehood is an element of the federal mail fraud, wire fraud, and bank fraud statutes.“); see also Mathis, 136 S. Ct. at 2256 (observing that Iowa Supreme Court “definitively answer[ed] the question” by holding that “[t]he listed premises in Iowa‘s burglary law … are ‘alternative method[s]’ of committing one offense, so that a jury need not agree whether the burgled location was a building, other structure, or vehicle“), quoting State v. Duncan, 312 N.W.2d 519, 523 (Iowa 1981).
In other easy cases, the statute‘s text may resolve the issue. Mathis, 136 S. Ct. at 2256. A statute is clearly divisible if the statute “itself identif[ies] which things must be charged (and so are elements),” or if its “alternatives carry different punishments,” which also means “they must be elements.” Id.; Alleyne v. United States, 570 U.S. 99, 111 (2013) (“any ‘facts that increase the prescribed range of penalties to which a criminal defendant is
But “if state law fails to provide clear answers, federal judges have another place to look: the record of a prior conviction itself.” Id. This “peek” at the record is permitted “for the sole and limited purpose” of determining whether the listed items are elements of the offense.” Id. at 2256–57. So, for example, if an indictment, jury instructions, and sentencing document (or perhaps another charging document, plea agreement, and sentencing document) all “referenc[e] one alternative term to the exclusion of all others,” then one could say “that the statute contains a list of elements, each one of which goes toward a separate crime.” Id. at 2257. On the other hand, a statute may be indivisible if the records of conviction are not so specific and simply “use a single umbrella term” to signal what the prosecutor must prove and need not prove. Id. The peek at the record does not, however, authorize a look at the facts of the defendant‘s individual offense to decide whether his actual conduct justifies the enhanced sentence or removal from the United States. The focus must remain on the elements of the crime in question. With this background, we turn to the specifics of Illinois‘s
III. Analysis
A. Standard of Review
We review only the Board of Immigration Appeals’ decision because it was independent of the immigration judge‘s ruling. Lenjinac v. Holder, 780 F.3d 852, 855 (7th Cir. 2015). The issue here is a question of law that we have jurisdiction to review under
B. Whether § 402(c) is Divisible
To determine whether the different ways to violate
1. The Statutory Text
If the text of the statute shows clearly that it is divisible—e.g., by stating plainly that listed alternatives are elements of the offense or carry different punishments—we can feel confident in relying on this state-law source when opining on this issue. Mathis, 136 S. Ct. at 2256. We are aided in this task by reading
Any person who violates this Section with regard to an amount of a controlled substance other than methamphetamine or counterfeit substance not set forth in subsection (a) or (d) is guilty of a Class 4 felony. The fine for a violation punishable
under this subsection (c) shall not be more than $25,000.
The text of
Subsection 402(a) addresses Class 1 felonies and contains close to 30 separate paragraphs. Each paragraph separately identifies different substances, specific drug amounts, and the corresponding penalties. Here are some representative samples:
(a) Any person who violates this Section with respect to the following controlled or counterfeit substances and amounts … is guilty of a Class 1 felony and shall, if sentenced to a term of imprisonment, be sentenced … as provided in this subsection (a) and fined as provided in subsection (b):
(1)(A) not less than 4 years and not more than 15 years with respect to 15 grams or more but less than 100 grams of a substance containing heroin; …
(2)(A) not less than 4 years and not more than 15 years with respect to 15 grams or more but less than 100 grams of any substance containing cocaine; …
(7)(D) not less than 10 years and not more than 50 years with respect to: (i) 900 grams or more of any substance containing lysergic acid diethylamide (LSD), or an analog thereof, or (ii) 1500 or more objects or 1500 or more segregated parts of an object or objects containing in them or having upon them any amount of a substance containing lysergic acid diethylamide (LSD), or an analog thereof.
The different penalties for separate paragraphs in
Returning to
Under the language of
Our analysis in United States v. Elder, 900 F.3d 491 (7th Cir. 2018), regarding the divisibility of a similar statute, is instructive. In Elder we considered a conviction under an Arizona statute that prohibited a person from knowingly “possess[ing] equipment or chemicals, or both, for the purpose of manufacturing a dangerous drug.” Id. at 494. The issue was whether that conviction could serve as a predicate offense for a later sentencing enhancement. The state statute was categorically broader than the relevant federal drug offense, so it could not serve as a predicate offense unless the statute were divisible. Id. at 501–02. To decide that, we observed that the statute “criminalize[d] conduct related to ‘dangerous drug[s]’ as a broad category, rather than any specific drugs,” and that the term “dangerous drug” was defined in a separate part of the statute, which listed various substances by category of drug. Id. at 495. We concluded: “The structural separation of the term ‘dangerous drug’ from its definition makes its indivisibility clear,” and although a prosecutor would have to prove the existence of a “dangerous drug” as an element of a conviction, the prosecutor would not have to do so for “the type of dangerous drug.” Id. at 503.
The government contends, however, that there is a clear textual signal that
2. State Court Decisions and Pattern Jury Instructions
Without a ruling by the Illinois Supreme Court that is directly on point or statutory text that clearly shows that
The Illinois Supreme Court case that comes closest to addressing the elements of
The few cases that cite Hagberg for its statement of
The government also cites an Illinois Supreme Court case concerning a felon‘s possession of a weapon, People v. Carter, 821 N.E.2d 233, 235 (Ill. 2004), which held: “in the absence of a specific statutory provision to the contrary, and under the particular facts of this case, the simultaneous possession of multiple firearms and firearm ammunition by defendant constituted a single offense.” The defendant in Carter analogized his weapons charges to drug-possession charges in an earlier Illinois case, People v. Manning, 374 N.E.2d 200 (Ill. 1978). Carter, 821 N.E.2d at 236. Manning had applied the rule of lenity to charges of possession of controlled substances under
The government cites several intermediate appellate decisions that also do not address head-on the elements of
Without textual support or a clear decision by the Illinois Supreme Court treating the identity of the controlled substance as an element of a
The government also argues that we should consider Illinois‘s relevant pattern jury instructions. Those instructions are at best ambiguous and, if anything, offer some support for Najera-Rodriguez‘s position that the identity of the particular controlled substance is not an element under
Neither Illinois court decisions nor the pattern jury instructions persuade us that the identity of the particular controlled substance is an element for a charge under
3. Records of Conviction
Because the most reliable sources of state law do not provide a clear sign of divisibility, we are permitted to look at “the record of a prior conviction itself” to determine whether the state statute is divisible. Mathis, 136 S. Ct. at 2256. For these purposes, such documents must be used with care because charging documents often include factual details that are not elements but provide the particulars of the accusation.3
Najera-Rodriguez was charged with “UNLAWFUL POSSESSION OF A CONTROLLED SUBSTANCE, in that [he] knowingly and unlawfully had in his possession pills containing in them or having upon them a substance containing alprazolam, also known as Xanax, a controlled substance, in violation of
Our reluctance to place too much weight on Najera-Rodriguez‘s charging document grows in light of his sentencing document, which states only that the sentence is the result of a “negotiated plea of guilty” for “unlawful poss. [of a] cont. substance” under
If Najera-Rodriguez had “known that the Board would consider this statute of conviction categorically” to involve a federal controlled substance, “he may have gone to trial, or he may have pleaded guilty to a different statutory violation calling for additional incarceration but less serious immigration consequences.” Garcia-Martinez v. Barr, 921 F.3d 674, 683 (7th Cir. 2019), citing Mellouli, 135 S. Ct. at 1987 (explaining prevalence of “safe harbor” guilty pleas that permit defendants to avoid immigration consequences). The state law sources, let alone the record materials, do not “speak plainly,” so we are not “able to satisfy ‘Taylor‘s demand for certainty.‘” See Mathis, 136 S. Ct. at 2257, quoting Shepard v. United States, 544 U.S. 13, 21 (2005), citing in turn Taylor v. United States, 495 U.S. 575, 602 (1990) (adopting categorical method for applying Armed Career Criminal Act).
Finally, we add a note of caution. In applying this now-extensive body of law concerning collateral federal consequences of state convictions, lawyers for the federal government often urge federal courts to define the elements of state criminal offenses in particular ways essential or helpful in the particular case. If federal courts interpret state law incorrectly, by finding that state laws include essential elements that state courts have not treated as such, we could mistakenly cast doubt on the much higher volume of state criminal prosecutions under those same state statutes. To reduce that risk, we need to insist on clear signals—signals that convince us to a certainty that the elements are correct and support divisibility before imposing additional federal consequences for those state convictions.
We GRANT the petition for review, VACATE the order of removal, and REMAND this case to the Board of Immigration Appeals for further proceedings consistent with this opinion.
Notes
(1) Involve convictions not under
(2) Merely mention the substance at issue, which the government urges us to interpret as an authoritative statement of
