UNITED STATES of America, Plaintiff-Appellee, v. Alvaro GONZALEZ-MONTERROSO, AKA Alvaro Gonzalez, Defendant-Appellant.
No. 12-10158.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted Oct. 10, 2013. Filed Feb. 14, 2014.
745 F.3d 1237
Roger H. Sigal, Law Offices of Roger H. Sigal, Tucson, AZ, for Defendant-Appellant.
Erica Anderson McCallum (argued), Assistant United States Attorney; John S. Leonardo, United States Attorney; Robert L. Miskell, Appellate Chief, United States Attorney‘s Office, Tucson, AZ, for Plaintiff-Appellee.
Before: J. CLIFFORD WALLACE, MILAN D. SMITH, JR., and SANDRA S. IKUTA, Circuit Judges.
OPINION
IKUTA, Circuit Judge:
This appeal raises the question whether Delaware‘s criminal attempt statutes, see
I
On August 4, 2011, Alvaro Gonzalez-Monterroso pleaded guilty to one count of illegal reentry, pursuant to
To analyze this appeal, we first set forth the statutory framework. The Sentencing Guidelines impose a base offense level of 8 for an alien convicted of unlawful reentry in violation of
To determine whether a prior state court conviction constitutes a “crime of violence” warranting a 16-level enhancement, a sentencing court must employ the approach outlined in Taylor v. United States, 495 U.S. 575, 110 S.Ct. 2143, 109 L.Ed.2d 607 (1990). First, the court compares the elements of the state statute of conviction with the federal generic definition of the crime. United States v. Velasquez-Bosque, 601 F.3d 955, 957-58 (9th Cir.2010). Where the federal generic offense encompasses numerous crimes, as is the case with the “crime of violence” offense, the court must compare the crime of conviction with each of the crimes falling within that offense category. Rodriguez-Castellon v. Holder, 733 F.3d 847, 853 (9th Cir.2013); see also Cerezo v. Mukasey, 512 F.3d 1163, 1166 (9th Cir.2008).
If the defendant is convicted of an attempt crime, a sentencing court must determine: “whether the defendant‘s conviction establishes that he committed the elements of the generic definition of ‘attempt’ and that the underlying offense he attempted meets the generic definition of that offense.” United States v. Gomez-Hernandez, 680 F.3d 1171, 1175 (9th Cir.2012). If the state attempt statute criminalizes more conduct than the federal generic definition of “attempt,” a state attempt crime does not categorically constitute a generic federal attempt crime. If the state attempt statute is a categorical match for the federal generic definition of “attempt,” then the court must proceed to determine whether the state crime of conviction for the underlying offense is a categorical match for any of the federal generic offenses that are listed as crimes of violence. See id. In sum, in dealing with attempt crimes, the district court can impose the 16-level enhancement under
We apply the same modified categorical analysis in cases where the defendant was convicted of an attempt crime, if the state attempt statute is divisible and some of the alternative definitions of “attempt” do not categorically match the federal generic definition of “attempt.” In such a case, the sentencing court may determine, based on judicially noticeable documents, whether the defendant was convicted of a statutory definition of “attempt” that meets the federal generic definition. See id.
II
We now turn to the facts of this case. Gonzalez was born in 1981 in Guatemala. At the age of 19, he entered the United States illegally. He eventually settled in Delaware, where he resided for almost a decade.
In January 2010, Gonzalez pleaded guilty in Delaware state court to attempted rape in the fourth degree, in violation of
At a sentencing hearing on January 4, 2010, the state prosecutor briefly described the allegations supporting Gonzalez‘s conviction. The victim “was 14 years old, the defendant was driving her home from church. He drove past her house, pulled onto the shoulder of the road, began rubbing on her thigh, tried to kiss her, and asked her to have sex with him.” Gonzalez was 28 years old at the time of the incident.
Shortly after the court entered judgment in the Delaware proceeding, the government deported Gonzalez to his native Guatemala. He spent several months outside the United States. On July 26, 2010, Gonzalez was arrested in Arizona by U.S. Border Patrol agents. He was indicted on one count of illegal reentry under
In calculating Gonzalez‘s total offense level under the Sentencing Guidelines, the Presentence Investigation Report (PSR) imposed a 16-level enhancement under
Gonzalez objected to this conclusion on the ground that his prior state conviction did not qualify as a crime of violence even under the modified categorical approach. He argued (among other reasons) that he had been convicted of an “attempt” crime, and Delaware‘s definition of “attempt” criminalized more conduct than the federal generic attempt offense.
At the sentencing hearing, the district court rejected Gonzalez‘s objections. Because the district court did not have the benefit of the Supreme Court‘s decision in Descamps, it followed the PSR in its application of the modified categorical approach. Relying on the judicially noticeable documents in the record, the district court determined that Gonzalez had been 30 years of age, and his victim had been 14 at the time of the state offense, which supported the conclusion that Gonzalez had been convicted of a crime of violence warranting a 16-level enhancement. Accordingly, the district court adopted the PSR‘s guidelines calculation and the corre
III
On appeal, Gonzalez claims that his state court conviction for attempted rape in the fourth degree under section 770 of the Delaware Criminal Code does not constitute a “crime of violence” for purposes of
Analyzing this claim requires us to first determine whether Delaware‘s attempt statute is a categorical match for the federal definition of “attempt.” Id. at 1175. We have defined “attempt” as requiring “[1] an intent to commit” the underlying offense, along with “[2] an overt act constituting a substantial step towards the commission of the offense.” Hernandez-Cruz v. Holder, 651 F.3d 1094, 1100 (9th Cir.2011) (alterations in original); see also United States v. Rivera-Ramos, 578 F.3d 1111, 1113–14 (9th Cir.2009). “‘Mere preparation’ to commit a crime ‘does not constitute a substantial step.‘” Hernandez-Cruz, 651 F.3d at 1102 (quoting United States v. Buffington, 815 F.2d 1292, 1301 (9th Cir.1987)). A substantial step occurs when a defendant‘s “actions ‘unequivocally demonstrat[e] that the crime will take place unless interrupted by independent circumstances.‘” Id. (alteration in original) (quoting United States v. Goetzke, 494 F.3d 1231, 1237 (9th Cir.2007) (per curiam)). “Even when the defendant‘s intent is clear, his actions must cross the line between preparation and attempt....” United States v. Yossunthorn, 167 F.3d 1267, 1271 (9th Cir.1999) (internal quotation omitted). In Yossunthorn, for instance, we reversed a defendant‘s conviction for attempted possession of heroin with intent to distribute because there was insufficient evidence to show that the defendant had taken a substantial step toward completing the violation. Id. at 1270-71. The evidence established that the defendant had tried to schedule a meeting with a heroin dealer at a local McDonald‘s in order to make a purchase, and had conducted countersurveillance in the restaurant parking lot to detect law enforcement activity. Id. at 1269. While there was “no question that there was sufficient evidence that [the defendant] intended to possess heroin with intent to distribute,” id. at 1270, we held that the defendant‘s act of surveying the McDonald‘s was not a substantial step because it “did not constitute an appreciable fragment of the crime of drug possession with intent to distribute,” id. at 1272 (internal quotation omitted). Nor did making an appointment to purchase the heroin constitute a substantial step, because the defendant “had not agreed to purchase any particular quantity of heroin or arranged for its delivery.” Id. at 1273.
We next compare this federal generic definition of “attempt” to the Delaware definition of “attempt” for purposes of its state attempt crimes. Under Delaware law, a person is guilty of an attempt crime if that person either “[i]ntentionally engages in conduct which would constitute the crime if the attendant circumstances were as the person believes them to be,”
For purposes of
Delaware courts recognize the breadth of the statutory definition of “substantial step.” As explained by the Delaware Supreme Court, the definition of “substantial step” is “‘without precedent in other statutes‘” because it focuses on the defendant‘s intent rather than on whether the defendant has taken an overt act that qualifies as a substantial step. See Gronenthal v. State, 779 A.2d 876, 880 (Del.2001) (quoting Del.Crim.Code with Commentary
Because Delaware‘s statutory definition of “substantial step” is materially different from and encompasses more conduct than the federal generic definition, the Delaware attempt statute criminalizes more conduct than the federal generic attempt offense. Therefore, Gonzalez‘s prior state conviction for an attempt offense (attempt-
The government argues that we may nevertheless conduct a modified categorical analysis of the Delaware attempt statute. Under the modified categorical approach, the government argues, we can take note of Gonzalez‘s admission in the change of plea hearing that he rubbed the victim‘s thigh, attempted to kiss her, and asked her to have sex with him. According to the government, this shows both Gonzalez‘s specific intent to engage in sex with the victim and an overt act which was a substantial step toward committing the crime.
We disagree, because the modified categorical approach is not available in this context. Under Descamps, we may apply the modified categorical approach only to state statutes that are divisible, meaning they set forth alternative ways to commit an offense. 133 S.Ct. at 2283-85. Here, while Delaware‘s Criminal Code offers two alternative ways a person could be guilty of attempting to commit a crime, the first alternative,
Because Gonzalez‘s attempt crime does not qualify as a federal generic attempt crime for purposes of
REVERSED AND REMANDED.
WALLACE, Circuit Judge, concurring:
Recently, the Supreme Court expressly reserved “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.” Descamps v. United States, 133 S.Ct. 2276, 2291, 186 L.Ed.2d 438 (2013). As a matter of judicial restraint, we should not declare a principle of law unless we must. Local No. 8-6, Oil, Chem. & Atomic Workers Int‘l Union, AFL-CIO v. Missouri, 361 U.S. 363, 367, 80 S.Ct. 391, 4 L.Ed.2d 373 (1960) (“the duty of this Court is to decide actual controversies by a judgment which can be carried into effect, and not to give opinions upon moot questions or abstract propositions, or to declare principles or rules of law which cannot affect the matter in issue in the case before it“) (citation omitted). Thus, if the Supreme Court has expressly reserved a question, and we can resolve an appeal without addressing that question, principles of judicial restraint direct us to resolve the appeal on a different ground.
The majority recognizes that the Supreme Court has reserved whether sentencing courts should look to state judicial rulings interpreting the state‘s criminal statutory law. Supra at 1244-45 (citing Descamps). The majority states that they are not answering that reserved question, but they do analyze decisions of the Delaware Supreme Court about the definition of “attempt” under Delaware law. Supra at 1244-45.
Gonzalez pleaded guilty to attempted rape in the fourth degree in Delaware in 2009. At the time of conviction, rape in the fourth degree was defined in the Delaware Criminal Code as occurring when a person:
(1) Intentionally engages in sexual intercourse with another person, and the victim has not yet reached that victim‘s sixteenth birthday; or
(2) Intentionally engages in sexual intercourse with another person, and the victim has not yet reached that victim‘s eighteenth birthday, and the person is 30 years of age or older, except that such intercourse shall not be unlawful if the victim and person are married at the time of such intercourse; or
(3) Intentionally engages in sexual penetration with another person under any of the following circumstances:
a. The sexual penetration occurs without the victim‘s consent; or
b. The victim has not reached that victim‘s sixteenth birthday; or
(4) Intentionally engages in sexual intercourse or sexual penetration with another person, and the victim has reached that victim‘s sixteenth birthday but has not yet reached that victim‘s eighteenth birthday and the defendant stands in a position of trust, authority or supervision over the child, or is an invitee or designee of a person who stands in a position of trust, authority or supervision over the child.
our recent precedent, it is clear that both arguments are untenable under either the categorical or modified categorical approaches.
The government argues that because Gonzalez‘s victim was under the age of 16, she “was legally unable to give consent” under Delaware law, and under a plain reading of the Sentencing Guidelines, his sex offense conviction was forcible. As of the date of argument in this case, whether a sex crime where the victim could not consent due to age is necessarily a forcible sex offense remained an open question in this Circuit. Compare United States v. Banos-Mejia, 2013 WL 1613222, at *2 (9th Cir. Apr. 16, 2013) (unpub.) (a conviction for a sexual offense when the victim “is not legally competent to consent because of her age ... constitutes a ‘forcible sex offense’ and, therefore, it categorically qualifies as a ‘crime of violence‘“), withdrawn on denial of reh‘g en banc, 2013 WL 4038591 (9th Cir. July 19, 2013) with United States v. Gonzalez-Aparicio, 663 F.3d 419, 437 n. 5 (9th Cir.2011) (Tashima, J., dissenting) (“But [the government‘s] reading would render the term ‘statutory rape’ superfluous: if statutory rape crimes are ‘forcible sex offenses’ simply because the minor‘s consent is invalid under state law, then why does the commentary list statutory rape separately?“)
This is no longer an open question. Not all convictions for sexual conduct with minors are “forcible sex offenses.” Caceres-Olla, 738 F.3d at 1056. The Sentencing Guidelines commentary lists three separate categories of sex crimes: “forcible sex offenses,” “statutory rape,” and “sexual abuse of a minor.”
At one point in its brief, the government suggests that the police report from Gonzalez‘s arrest shows he actually compelled his victim. But the sentencing court could not consider the police report, because the report was not incorporated by reference in the plea agreement for Gonzalez‘s conviction, nor stipulated to by Gonzalez‘s attorney during the plea colloquy. See United States v. Almazan-Becerra, 537 F.3d 1094, 1098 (9th Cir.2008).
Further, the Delaware courts themselves call section 770 a law barring “statutory rape.”2 See Pritchard v. State, 842
There is nothing in the record properly subject to judicial notice to indicate that Gonzalez actually compelled his victim. The government has instead consistently argued his crime was a forcible sex offense solely because of the victim‘s age. That argument is foreclosed by Caceres-Olla. Gonzalez was not convicted of a generic “forcible sex offense.”
The government alternatively argues that Gonzalez was convicted of generic “statutory rape.” The generic definition of that crime was somewhat unclear until recently, but we have now resolved any confusion. “Statutory rape” has four elements: “(1) a mens rea level of knowingly; (2) a sexual act; (3) with a minor between the ages of 12 and 16; and (4) an age difference of at least four years between the defendant and the minor.” United States v. Gomez, 732 F.3d 971, 988 (9th Cir.2013). In Gomez, we rejected the government‘s argument that the generic definition does not include that four-year age differential. Id. at 988 n. 18.
As the government admits, Gonzalez‘s prior conviction fell under either subsections 770(a)(1) or (a)(3). Neither subsection requires a four-year age differential between the defendant and victim, and both are therefore broader than the generic federal definition of statutory rape. Delaware does create an affirmative defense to a prosecution under section 770 if the defendant “is no more than 4 years older than the victim,” but that is an affirmative defense, not an element of the crime.
There is no need to determine whether section 770 is divisible, because Gonzalez could not have been convicted of either a forcible sex offense or statutory rape under the Sentencing Guidelines, and thus did not commit a crime of violence under either the categorical or modified categorical approach.
Our recent decisions in Caceres-Olla and Gomez clearly foreclose the government‘s arguments. Instead of looking to those decisions, which provide the “best and narrowest ground available,” the majority improperly answers an unnecessary question. See Air Courier Conf. of Am. v. Am. Postal Workers Union, AFL-CIO, 498 U.S. 517, 531, 111 S.Ct. 913, 112 L.Ed.2d 1125 (1991) (Stevens, J., concurring). On the basis of our recent precedent, rather than unnecessary resolution of the reserved issue stated in Descamps, I concur with the majority result that the district court erred in applying the 16-level crime of violence enhancement, and agree that we must reverse and remand for re-sentencing.
