UNITED STATES of America, Plaintiff-Appellee, v. Alfredo GRACIDAS-ULIBARRY, Defendant-Appellant.
No. 98-50610
United States Court of Appeals, Ninth Circuit
Nov. 7, 2000
231 F.3d 1188
REVERSED and REMANDED.
Steven F. Hubachek, Julie A. Blair, Federal Defenders of San Diego, Inc., San Diego, California, for the defendant-appellant.
Roger W. Haines, Assistant United States Attorney, Larry A. Sebastian, Special Assistant United States Attorney, Criminal Division, San Diego, California, for the plaintiff-appellee.
Before: HUG, CHIEF JUDGE, PREGERSON, REINHARDT, FERNANDEZ, T.G. NELSON, KLEINFELD, THOMAS, GRABER, W. FLETCHER, FISHER and PAEZ, Circuit Judges.
Opinion by Judge FISHER; Concurrence by Judge FERNANDEZ.
Under
FACTUAL and PROCEDURAL BACKGROUND
On the morning after he was deported from the Calexico, California, port
At secondary inspection, Gracidas again claimed he was a United States citizen, born in Texas, and gave his name as “Arturo Cabral-Rodriguez.” Gracidas said he did not have any identification because his wallet had been stolen two weeks earlier. After an inspector ran several computer checks and informed Gracidas that the computer listed several possible convictions for “Arturo Cabral-Rodriguez,” Gracidas admitted he was a Mexican citizen and had been previously deported. The inspectors referred Gracidas to an Immigration and Naturalization Service (“INS“) prosecution unit, which ran further computer checks and fingerprint comparisons revealing Gracidas’ true identity and that he had been deported just the previous day after having served two years in prison for a felony conviction for sale of a controlled substance.
After being advised of his Miranda rights and deciding to answer questions without the assistance of counsel, Gracidas admitted to the inspectors his true name and that he had given a false name at secondary inspection. Gracidas further confirmed his Mexican citizenship, his deportation the previous day and his prison record. He also admitted knowing that he needed to ask the U.S. government for permission to apply to reenter the United States, but claimed he did not do so because he urgently wanted to see his child, who resides in the United States.
Gracidas was charged with attempted illegal reentry in violation of
Having reheard this case en banc, and reviewing de novo whether the jury instruction misstated an element of the statutory crime, see United States v. Gergen, 172 F.3d 719, 724 (9th Cir.1999), we now conclude that the district court‘s instruction was erroneous. We hold that the attempt prong of
DISCUSSION
I. Whether Attempted Illegal Reentry Under 8 U.S.C. § 1326 is a General or Specific Intent Crime
A. The Common Law Background of the Term “Attempt”
The common law meaning of “attempt” is the specific intent to “engage in criminal conduct and ... an overt act which is a substantial step towards committing the crime.” Arbelaez, 812 F.2d at 534; accord United States v. Bailey, 444 U.S. 394, 405 (1980); Wooldridge v. United States, 237 F. 775, 778-79 (9th Cir.1916) (collecting common law sources “holding that, to constitute an attempt, there must be the intent to commit a crime and some act done toward its consummation, and that the term ‘attempt’ signifies both an act and the intent with which it is done“); Model Penal Code & Commentaries § 5.01 cmt. at 305 (1985) (noting that Code‘s definition of attempt “retains the common law requirement of purposive conduct [the Code‘s term for specific intent] as a prerequisite for attempt liability“); Black‘s Law Dictionary 123-24 (7th ed. 1999) (“‘Every attempt is an act done with intent to commit the offence so attempted.‘“) (quoting John Salmond, Jurisprudence 387 (Glanville L. Williams ed., 10th ed.1947)); 2 Wayne R. LaFave & Austin W. Scott, Jr., Substantive Criminal Law § 6.2, at 18 (1986) (“The crime of attempt ... [at] common law ... consists of: (1) an intent to do an act or to bring about certain consequences which would in law amount to a crime; and (2) an act in furtherance of that intent which ... goes beyond mere preparation.“); Rollin M. Perkins & Ronald N. Boyce, Criminal Law § 3.A.7, at 637 (3d ed. 1982) (“[A]n attempt to commit any crime requires a specific intent to commit that particular offense.“); 4 Charles E. Torcia, Wharton‘s Criminal Law § 693, at 580 (15th ed. 1996) (“At common law, a person commits an attempt when, with intent to commit a particular crime, he performs an act which tends toward but falls short of consummation of such crime.“). This accepted common law definition is the basis for the doctrine that the crime of attempt requires a showing of “‘specific intent even if the crime attempted does not.‘” United States v. Hadley, 918 F.2d 848, 853 (9th Cir.1990) (quoting United States v. Sneezer, 900 F.2d 177, 179 (9th Cir.1990)); accord 4 Torcia, supra, § 695, at 591-97.
Accordingly, we have held that Congress’ use of the term “attempts” in a criminal statute manifested a requirement of specific intent to commit the crime attempted, even when the statute did not contain an explicit intent requirement. For example, we held in Sneezer that a conviction for attempted sexual abuse under
The reason for requiring specific intent for attempt crimes is to resolve the uncertainty whether the defendant‘s purpose was indeed to engage in criminal, rather than innocent, conduct. See Bailey, 444 U.S. at 405; United States v. Sayetsitty, 107 F.3d 1405, 1412 (9th Cir.1997). This uncertainty is not present when the defendant has completed the underlying crime, because the completed act is itself culpable conduct. When the defendant‘s conduct does not constitute a completed criminal act, however, a heightened intent requirement is necessary to ensure that the conduct is truly culpable.7 See Sneezer, 900 F.2d at 180.
B. Whether Congress Intended to Incorporate the Common Law Meaning of “Attempt” into Attempted Illegal Reentry Under 8 U.S.C. § 1326
In determining the level of mental culpability required for a particular statutory offense, we must first look to the intent of Congress. See Bailey, 444 U.S. at 406. Although Congress did not include an explicit intent requirement for the crime of illegal attempt to reenter in
Neither the text of
Congress may have had good reason to incorporate the common law meaning of attempt into the crime of attempted illegal reentry under
These concerns are not merely hypothetical. In United States v. Morales-Tovar, 37 F.Supp.2d 846 (W.D.Tex.1999), the defendant entered a port of entry, presented his Mexican birth certificate and asked to reapply for a resident alien card. There was no evidence that he actually applied for admission into the United States. See id. at 849. Nevertheless, the government arrested him under
The government, however, argues that the common law doctrine of attempt does not apply to this statutory crime. Instead, it relies on our conclusion in Pena-Cabanillas that actual, illegal reentry is a crime of general intent. It also invokes our reasoning in Pena-Cabanillas that
The only other circuit to address, in a published opinion binding in its own courts, the level of intent required for the crime of attempted illegal reentry is the Eleventh Circuit, which held in United States v. Peralt-Reyes, 131 F.3d 956 (11th Cir.1997), that attempted illegal reentry is a general intent crime.10 However, the Peralt-Reyes opinion provides no analysis other than the court‘s adoption of the holding of an unpublished First Circuit decision which has no precedential value. See id. at 957 (citing and adopting the holding of United States v. Reyes-Medina, No. 94-1923, 1995 WL 247343 (1st Cir. Apr.25, 1995)). The unpublished First Circuit decision, in turn, did not analyze attempted illegal reentry in
We find these decisions unpersuasive. They do not consider the common law meaning of the term “attempt.” Nor do they provide any reason for concluding Congress intended not to incorporate the common law meaning of the term into
Our conclusion is consistent with our recent decision in Blanco-Gallegos. In Blanco-Gallegos, the defendant argued he did not have the requisite intent for attempted illegal reentry under
C. The Meaning of “Specific” Intent As an Element of Attempt to Reenter Illegally Under 8 U.S.C. § 1326
Having concluded that attempted illegal reentry is a crime of specific intent, an explanation of the meaning of specific intent is necessary to give guidance as to the proper jury instruction for this crime. As the Supreme Court has noted, the distinction between specific in
The confusion between general and specific intent has been the catalyst for a movement to replace these categories with a hierarchy of four levels of culpable states of mind, defined with greater clarity: purpose, knowledge, recklessness and negligence. See Bailey, 444 U.S. at 404; Model Penal Code & Commentaries, supra, § 2.02, at 225-26; see also 1 LaFave & Scott, supra, § 3.4(c), at 299-300. This movement is best exemplified in the Model Penal Code, which the Supreme Court has relied upon as a “source of guidance ... to illuminate” the meaning of and distinctions between intent requirements. United States v. United States Gypsum Co., 438 U.S. 422, 444 (1978). In general, “purpose” corresponds to the concept of specific intent, while “knowledge” corresponds to general intent. See Bailey, 444 U.S. at 405; Model Penal Code & Commentaries, supra, § 2.02 cmt. at 233-34. A person who causes a result prohibited by common law or statute is said to have acted purposely if he or she consciously desired that result, whatever the likelihood of that result ensuing from his or her actions. See Bailey, 444 U.S. at 404; United States Gypsum, 438 U.S. at 444; Model Penal Code & Commentaries, supra, § 2.02, at 225.
Applying these principles to the present case, we hold the elements of the crime of attempted illegal reentry into the United States under
We conclude the district court committed constitutional error by failing to instruct the jury on the specific intent element of the crime. See United States v. Fei Lin, 139 F.3d 1303, 1309 (9th Cir.1998) (holding that failure to instruct as to specific intent is constitutional error); Martinez v. Borg, 937 F.2d 422, 423 (9th Cir.1991); see also United States v. Gaudin, 515 U.S. 506, 510 (1995) (concluding that Due Process Clause and Sixth Amendment re
II. Harmless Error
The district court‘s failure to instruct the jury on the intent element of the offense was harmless error if we conclude that it is “clear beyond a reasonable doubt that a rational jury would have found the defendant guilty absent the error.” Neder, 527 U.S. at 18; see also Chapman v. California, 386 U.S. 18, 24 (1967) (concluding an error is harmless when it appears “beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained“). In Neder, the Supreme Court held that the omission of an element of a crime from a jury instruction was harmless error when the omitted element was uncontested and supported by overwhelming evidence. See 527 U.S. at 17. Similarly, in this case the government offered undisputed testimony by three INS inspectors who dealt with Gracidas at the San Ysidro port of entry that demonstrated his conscious desire to enter the United States without first obtaining express consent.
The INS inspectors testified that Gracidas admitted that he had lied about being a U.S. citizen, that he gave INS inspectors a false name and that he had recently been deported after serving a sentence in the United States for a felony. Significantly, Gracidas admitted he had not asked the U.S. government for permission to reenter because he wanted to see his child, who was living in the United States, as soon as possible. The government also produced a certificate of nonexistence of record based on Gracidas’ INS A-file to demonstrate that Gracidas was deported the day before he attempted to reenter and had not applied for permission to reenter. See Blanco-Gallegos, 188 F.3d at 1075 (holding that certificate of nonexistence of record from INS A-file is sufficient evidence to demonstrate the defendant did not seek permission to reapply to reenter the U.S.). Gracidas did not call any witnesses to contradict any of the government‘s evidence. In the absence of any evidence to the contrary, the government‘s evidence is so overwhelming as to leave it beyond a reasonable doubt that the verdict resting on the erroneous instruction would have been the same in the absence of the error. See Yates v. Evatt, 500 U.S. 391, 405 (1991); United States v. Manuel, 706 F.2d 908, 915 (9th Cir.1983) (holding that district court‘s erroneous jury instruction was harmless because uncontradicted evidence supported the conviction).
Gracidas’ defense, that he did not have specific intent because he was asleep when the car was driven to the port of entry, does not undermine this conclusion. Gracidas did not support this defense with any evidence, and the INS inspector at primary inspection testified that Gracidas was
CONCLUSION
We hold that a conviction for attempt to reenter the United States without the consent of the Attorney General under
AFFIRMED IN PART, REVERSED IN PART AND REMANDED for further proceedings consistent with this opinion.
FERNANDEZ, Circuit Judge, concurring:
Because I agree with the persuasive reasoning of the majority opinion in United States v. Gracidas-Ulibarry, 192 F.3d 926 (9th Cir.1999), which I now adopt, I concur in the result.
