UNITED STATES of America, Plaintiff-Appellee, v. Jerry Lee BURKHOLDER, Defendant-Appellant.
No. 13-8094.
United States Court of Appeals, Tenth Circuit.
March 4, 2016.
816 F.3d 607
The Utah statute does not expressly require proof of any mens rea for the least of the acts criminalized by that statute-sexual intercourse or sex acts involving the genitals of one pеrson and the mouth or anus of another,
Because it requires no mens rea, the Utah statute punishes a broader range of conduct than the conduct that falls within the INA‘s generic “sexual abuse of a minor” offense, which requires proof of at least a “knowing” mens rea. A conviction under the Utah statute, then, does not fall categorically within the INA‘s generic “sexual abuse of a minor” offense; Rangel-Perez‘s Utah conviction does not qualify as an “aggravated felony” under the INA; and he is not disqualified from seeking discretionary cancellation of removal.
III. CONCLUSION
For the foregoing reasons, we GRANT Rangel-Perez‘s petition for review, REVERSE the BIA‘s decision that Rangel-Perez is not eligible for cancellation of removal because he had an “aggravated” fеlony conviction, and REMAND this case for further proceedings.
O. Dean Sanderford, Assistant Federal Defender, Denver, CO, (Virginia L. Grady, Interim Federal Public Defender, with him on the briefs), for Defendant-Appellant.
Eric J. Heimann, Assistant United States Attorney, Cheyenne, WY, (Christopher A. Crofts, United States Attorney, with him on the brief), for Plaintiff-Appellee.
Before BRISCOE, HOLMES, and BACHARACH, Circuit Judges.
Jerry Lee Burkholder was charged with distributing a controlled substance, the use of which resulted in the death of Kyle Dollar, in violation of
I
On the evening of November 8, 2012, Kyle Dollar (the decedent) spent several hours drinking alcoholic beverages with friends at a residence in Rock Springs, Wyoming. Lаter that evening, the group traveled to the Astro Lounge club. Some time after midnight, Mr. Dollar wandered away from his friends at the club to talk to other people. When he rejoined the group, Mr. Dollar told them that he was leaving; his brother came to the club to pick him up and took Mr. Dollar home. Later that night, Mr. Dollar returned to the Rock Springs address where earlier he had been drinking; he remarked that he “felt great,” and socialized before falling asleep. R., Vol. III, at 355-56 (Trial Tr., dated Sept. 24, 2013). The next morning, Mr. Dollar‘s friends found him unresponsive and without a pulse; he was dead.
Local law-enforcement officers found no blood, vomit, or obvious injuries on Mr. Dollar, and no drugs or drug paraphernalia. But they did review the text messages in Mr. Dollar‘s cell phone; they revealed an exchange of messages between Mr. Dollar and Mr. Burkholder (the defendant) between 2:30 a.m. and 4:30 a.m. on November 9. These messages, as well as subsequent interviews, led the officers to search Mr. Burkholder‘s residence. They seized there a Crown Royal bag containing Suboxone tablets and Suboxone wrappers.
Mr. Burkholder was subsequently placed under arrest and indicted by a federal grand jury on one count of “knowingly, intentionally, and unlawfully distribut[ing] buprenorphine, a Schedule III controlled substance, the use of which resulted in the death of Kyle Dollar,” in violation of
Mr. Burkholder‘s own expert—a toxicologist, Robert Lantz—agreed that Mr. Dollar had ingested buprenorphine and was “metabolizing some of it” prior to his death, id. at 585-86, but viewed Dr. Wilkerson‘s conclusion that buprenorphine was the cause of Mr. Burkholder‘s death to be unsupported. According to Dr. Lantz, buprenorphine has a “ceiling effect” and does not depress a person‘s respiration beyond a certain point. Id. at 560-61. Instead, he believed it was more likely that Mr. Dollar had died from overdosing on a “synthetic” drug, which general drug-screening procedures would not have detected. Id. at 561. Further, Dr. Marvin Couch, who prescribed Mr. Burkholder the Suboxone, testified that he would not have anticipated that death would result from the low dosage Mr. Dollar apparently consumed.
At the jury-instruction conference, Mr. Burkholder asked the court to instruct the jury that, in order to convict him under
Before you may find the Defendant guilty of the offense charged in the indictment, you must find by proof beyond a reasonable doubt that Kyle Dollar‘s death resulted from the use of the buprenorphine distributed by the Defendant.
This standard is satisfied upon a finding by you that, but for Kyle Dollar ingesting the buprenorphine distributed by the Defendant, Kyle Dollar would not have died.
R., Vol. I, at 111 (Jury Instrs., filed Sept. 26, 2013) (emphasis added). After receiving the court‘s instructions, including this one—and considering the evidence—the jury fоund Mr. Burkholder guilty. Mr. Burkholder timely appealed from the district court‘s judgment.3
II
The sole issue Mr. Burkholder raises on appeal is whether the district court erred in declining to instruct the jury that, in order to convict him under
To the extent that Mr. Burkholder challenges “the district court‘s instruction because the court allegedly failed to accurately give the jury the correct law“—and to the extent that determining the “correct law” requires us to engage in statutory
A
1
At the outset, we provide a brief overview of the structure of
in the case of any controlled substance in schedule III, such person shall be sentenced to a term of imprisonment of not more than 10 years and if death or serious bodily injury results from the use of such substance shall be sentenced to a term of imprisonment of not more than 15 years.
It is undisputed here that the inquiry into whether death “results from the use” of the distributed controlled substance is, at bottom, one of causation (i.e., Was the death caused by the use?).5 Mr. Burkholder
In Mr. Burkholder‘s view,
We recognize that the Dissent is not alone in this confusion. Indeed, in addressing identical language in
2
“As with all statutory interpretation cases, we begin with the language of the statute.” Salazar v. Butterball, LLC, 644 F.3d 1130, 1136 (10th Cir. 2011). The plainness of statutory language “is determined by reference to the language itself, the specific context in which that language is used, and the broader context of the statute as a whole.” Id. at 1137 (quoting Robinson v. Shell Oil Co., 519 U.S. 337, 341 (1997)).
In that regard, Congress‘s specific choice of the words in
Further, the use of the passive voice evinces a concern with “whether something happened—not how or why it happened.” Dean v. United States, 556 U.S. 568, 572 (2009); see Dubbs v. Head Start, Inc., 336 F.3d 1194, 1206 (10th Cir. 2003) (“The [Fourth] Amendment is expressed in passive voice... Thе focus of the Amendment is thus on the security of the person, not the identity of the searcher or the purpose of the search.“); see also E.I. du Pont de Nemours & Co. v. Train, 430 U.S. 112, 128 (1977) (“The question of the form of § 301 limitations is tied to the question whether the Act requires the Administrator or the permit issuer to establish the limitations. Section 301 does not itself answer this question, for it speaks only in the passive voice of the achievement and establishment of the limitations.” (emphasis added)); cf. Jones v. United States, 526 U.S. 227, 258 (1999) (“[T]here is some significance in the use of the active voice in the main paragraph and the passive voice in clauses (2) and (3) of § 2119. In the more common practice, criminal statutes use the active voice to define prohibited conduct.” (emphasis added)). In this vein, interpreting identical language in another clause of
Furthermore, the omission of such proximate-cause language is especially suggestive of Congress‘s intent not to require proximate causation in
In sum, based on the foregoing, we reach the conclusion that
B
In arguing against this outcome, Mr. Burkholder holds steadfastly to “the notion that Congress makes law with an awareness of common-law rules,” Aplt. Opening Br. at 18, and asks that we interpret
As an initial matter, while we recognize that “[i]n order to abrogate a common-law principle, the statute must ‘speak directly to the question addressed by the common law,‘” United States v. Texas, 507 U.S. 529, 534 (1993) (quoting Mobil Oil Corp. v. Higginbotham, 436 U.S. 618, 625 (1978)), our earlier examinаtion of the plain language and statutory context of
Moreover, none of the three cases on which Mr. Burkholder relies compels a different result. He first directs us to Burrage v. United States, 571 U.S. 204 (2014), where the Supreme Court granted certiorari to address the causation requirement imposed by
Indeed, much of the Court‘s discussion in Burrage of “results from” tends to undermine his claim. The Court specifically noted that the “ordinary meaning” of “results from” bespeaks but-for causation, id., and observed that “[w]here there is no textual or contextual indication to the contrary, courts regularly read phrases like ‘results from’ to require but-for causality,” id. at 888; see also id. at 889 (“[I]t is one of the traditional background principles ‘against which Congress legislate[s],’ that a phrase such as ‘results from’ imposes a requirement of but-for causation.” (second alteration in original) (citation omitted)). Therefore, Mr. Burkholder‘s reliance on Burrage is wholly misplaced.
Nor does his second Supreme Court case, Paroline v. United States, 572 U.S. 434 (2014), provide Mr. Burkholder any succor. There, the Court faced a statute dealing with the restitution owed to child-pornography victims; this statute explicitly included a proximate-cause requirement in a catchall provision. Paroline, 134 S.Ct. at 1720. This circumstance, the court concluded, made its “interpretive task ... easier.” Id. In contrast,
Furthermore, although the Court indicated that even in the absence of an “express reference to proximate causation, [it] might well [have held] that a showing of proximate cause was required,” id., this dicta does not avаil Mr. Burkholder. While we are undoubtedly “bound by the Supreme Court‘s considered dicta almost as firmly as by the Court‘s outright holdings,” Tokoph v. United States, 774 F.3d 1300, 1303-04 (10th Cir. 2014) (quoting Pittsburg & Midway Coal Mining Co. v. Watchman, 52 F.3d 1531, 1540 n. 10 (10th Cir. 1995)), the general possibility that the Court might read a proximate-cause requirement into another statute—in the absence of any express reference to it—does not mean that we should, much less must, do so in the context of
Finally, Mr. Burkholder looks to our decision in United States v. Woodlee, 136 F.3d 1399 (10th Cir. 1998). He claims that, in that case, we read the phrase “if bodily injury results” in a felony prosecution under
We dispatch Mr. Burkholder‘s argument by zeroing in on the critical logical distinction between that case and this one, which his contentions elide: the focus in Woodlee was on what is sufficient for the imposition of the penalty enhancement—not, as here, on what is necessary. In Woodlee, after acknowledging at the outset that the issue presented was really one of causation and not mens rea, see 136 F.3d at 1405, the court concluded that the government was not obliged to prove that the defendants intended to cause the bodily injury in order to make them eligible for
Yet, as a logical matter, it does not ineluctably follow from Woodlee‘s holding that foreseeability is a necessary causation standard, in addition to being a sufficient one. In other words, Woodlee is silent regarding whether, absent a showing of foreseeability, the government would have been unable to establish a felony under
In sum, where Congress has unambiguously expressed a desire to deviate from background common-law principles, we must give effect to this intent. Here, we are convinced that the plain language and statutory context of the “results from” language in
C
We thus hold that
III
For the foregoing reasons, we AFFIRM the district court‘s judgment.
BRISCOE, Circuit Judge, dissenting.
I respectfully dissent. Unlike the majority, I am not convinced that the “results from” language of
I
At issue in this appeal is whether the district court properly instructed the jury regarding the necessary findings it had to make in order to convict Burkholder of violating
[A]ny person who violates subsection (a) of this section shall be sentenced as follows:
***
(E)(i) Except as provided in subparagraphs (C) and (D), in the case of any controlled substance in schedule III, such person shall be sentenced to a term
of imprisonment of not more than 10 years and if death or serious bodily injury results from the use of such substance shall be sentenced to a term of imprisonment of not more than 15 years....
“Because th[is] ‘death results’ enhancement increased the ... maximum sentence[] to which [Burkholder] was exposed, it is an element that must be submitted to the jury and found beyond a reasonable doubt.” Burrage v. United States, 571 U.S. 204, 134 S.Ct. 881, 887 (2014). Generally speaking, that element requires the jury to find “death caused by (‘resulting from‘) the use of th[e] drug” distributed by the defendant. Id. The more difficult question, and the one posed by Burkholder in this appeal, is whether, as part of that finding, the jury must find that “the victim‘s death was a foreseeable result of the defendant‘s drug-trafficking offense.” Id. In other words, did Congress intend for the “death results” provision of
II
The Supreme Court granted certiorari in Burrage to address the very same question regarding the identically-worded “death results” provision of
At the outset of its analysis, the Supreme Court in Burrage noted that “[t]he law has long considered causation a hybrid concept, сonsisting of two constituent parts: actual cause and legal cause.” Id. The Court explained that “[w]hen a crime requires ‘not merely conduct but also a specified result of conduct,’ a defendant generally may not be convicted unless his conduct is ‘both (1) the actual cause, and (2) the “legal” cause (often called the “proximate cause“) of the result.‘” Id. (quoting 1 Wayne LaFave, Substantive Criminal Law, § 6.4(a) (2d ed.2003)). As noted, the Court resolved the question of whether the “death results” language includes an actual cause requirement, but left open the question we now face: whether this language also includes a legal cause requirement.
In resolving the actual cause issue, the Court in Burrage examined and interpreted precisely the same language we are now tasked with interpreting. In doing so, the Court noted that “[t]he Controlled Substances Act does not define the phrase ‘results from,‘” and thus the Court began by “giv[ing] it its ordinary meaning.” Id. “A thing ‘results,‘” the Court noted, “when it ‘[a]rise[s] as an effect, issue, or outcome from some action, process or design.‘” Id. (quoting 2 The New Shorter Oxford English Dictionary 2570 (1993)) (emphasis omitted).
But the Court did not stop there in interpreting the phrase‘s meaning. It instead looked to the Model Penal Code‘s “traditional understanding” of cause in the criminal setting, id. at 888, to the “common understanding of cause,” id., and to case law interpreting “phrases like ‘results from,‘” id., in order to determine “the
III
Because we are faced in this appeal with interpreting the same statutory language (albeit in a different subsection of the same statute), I believe that we are best served by following, if not bound to adhere to, the analytical framework outlined in Burrage. Treating the statutory language at issue as ambiguous, I therefore turn first, as did the Court in Burrage, to the traditional background principles against which Congress legislates, and which it must take into account, in imposing criminal liability.
One of the leading treatises on criminal law, and the one specifically cited in Burrage, states that where a criminal offense requires proof of “a specified result of conduct, the defendant‘s conduct must be the ‘legal’ or ‘proximate’ cause of the result.” LaFave, supra, § 6.4.
The Model Penal Code, which the Court also referenced in Burrage, states, with regard to strict liability offenses: “[w]hen causing a particular result is a material element of an offense for whiсh absolute liability is imposed by law, the element is not established unless the actual result is a probable consequence of the actor‘s conduct.” Model Penal Code § 2.03(4) (Am. Law Inst.2001). In other words, the Model Penal Code “provides that the causal element is not established” for strict liability offenses “unless the actual result is a probable consequence of the actor‘s conduct, a minimal protection against the limitless extrapolation of liability without fault.” Id., cmt.
As for case law, the Supreme Court has long held that strict-liability criminal offenses are “generally disfavored,” and that “[c]ertainly far more than the simple omission of the appropriate phrase from the statutory definition is necessary to justify dispensing with an intent requirement.”2 United States v. U.S. Gypsum Co., 438 U.S. 422, 438 (1978). Indeed, the Supreme Court has stated that the simple “omission ... of intent [in a criminal statute], will not be construed as eliminating that element from
The Supreme Court has also generally outlined “[t]he situations in which strict [criminal] liability may be imposed“:
(W)here a federal criminal statute omits mention of intent and where it seems to involve what is basically a matter of policy, where the standard imposed is, under the circumstances, reasonable and adherence thereto properly expected of a person, where the penalty is relatively small, where conviction does not gravely besmirch, where the statutory crime is not one taken over from the common law, and where congressional purpose is supporting, the statute can be construed as one not requiring criminal intent.
United States v. Freed, 401 U.S. 601, 613 n. 4 (1971) (Brennan, J., concurring in the judgment) (quoting Holdridge v. United States, 282 F.2d 302, 310 (8th Cir. 1960)).
As far as I can determine, the Supreme Court has not abandoned these principles. For example, in Paroline v. United States, 572 U.S. 434 (2014), the Supreme Court recently considered whether
Considering the bare language of
IV
The majority stakes its conclusion, in part, on what it characterizes as the “plain language ... of the ‘results from’ language in § 841(b)(1)(E).” Maj. Op. at 621. But that characterization of the “results from” language is seemingly at odds with the Supreme Court‘s own characterization of the same language in Burrage. And, by stating that its interpretation is tethered to the “plain language” of the statute, the majority is most assuredly at odds with its decision to then “[b]roaden [its] analytical lens” and look beyond the statutory language for other signs of Congressional intent.5 Id. at 615. Generally, speaking, only ambiguity or the possibility of an odd result compels a court to look beyond the language of the statute it is interpreting. E.g., Zuni Pub. Sch. Dist. No. 89 v. Dep‘t of Educ., 550 U.S. 81, 99 (2007) (concluding that statutory language was susceptible to more than one meaning); Public Citizen v. Dep‘t of Justice, 491 U.S. 440, 454 (1989) (holding that a court can look beyond the statutory language when plain meaning would “compel an odd result“).
In looking beyond the statutory language, the majority curiously downplays the relevance of Burrage and ignores the above-cited background sources in favor of other, less-persuasive sources. For example, the majority cites to our decision in United States v. Cardena-Garcia, 362 F.3d 663, 666 (10th Cir. 2004), and the Fifth Circuit‘s more recent decision in United States v. Ramos-Delgado, 763 F.3d 398, 401 (5th Cir. 2014). According to the majority, these two cases stand for the principle that the phrase “results from” imposes only but-for, and not proximate, causation. Notably, however, both of these cases dealt with language found in the United States Sentencing Guidelines, rather than the language of a statute imposing criminal liability. As a result, these two cases are inapposite.
The majority also (and again in conflict with its conclusion that the statutory language is unambiguous) makes much of the fact that “Congress included the language at issue here—viz., “death ... results from the use“—in 2008, after our sister
V
There is another, entirely separate reason—existing Tenth Circuit precedent—that I believe compels us to conclude in this case that
In considering and rejecting the defendants’ argument that there was insufficient evidence for them to be penalized for the victim‘s undisputed injuries, this court held that the statute required proof that the bodily injury was a foreseeable, rather than intentional, result of the rights-violating conduct. Woodlee, 136 F.3d at 1405. At no point did this court even consider
Because there is no logical distinction between the statutory language at issue in Woodlee and the language of
In an attempt to avoid this confliсt, the majority suggests there is a “critical logical distinction between” the two cases because “the focus in Woodlee was on what is sufficient for the imposition of the penalty enhancement—not, as here, on what is necessary.” Maj. Op. at 620 (italics in original). The majority explains that “it does not ineluctably follow from Woodlee‘s holding that foreseeability is a necessary causation standard, in addition to being a sufficient one.” Id. at 620 (italics in original). “Indeed,” the majority asserts, ”Woodlee does not necessarily preclude the possibility that a less-demanding causation standard—such as but-for causation—would also be sufficient to provide the basis for a felony under
The majority‘s proffered distinction, however, cannot withstand close scrutiny. When we review a sufficiency-of-the-evidence challenge, as this court did in Woodlee, we necessarily focus on the “essential elements of the crime” and, in turn, the minimum proof necessary for conviction under that statute. Musacchio v. United States, 577 U.S. 237, 136 S.Ct. 709, 715 (2016) (quoting Jackson v. Virginia, 443 U.S. 307, 319 (1979)). In other words, and contrary to the majority‘s suggestion, “[s]ufficiency review essentially addresses whether ‘the government‘s case was so lacking that it should not have even been submitted to the jury.‘” Id. (quoting Burks v. United States, 437 U.S. 1, 16 (1978) (emphasis deleted)). As a result, the decision in
VI
For these reasons, I conclude that the district court failed to properly instruct the jury in Burkholder‘s case regаrding the essential elements of
Notes
We have some misgivings about interpreting “results from” in the statute to impose strict liability. That could lead to some strange results. Suppose that, unbeknownst to the seller of an illegal drug, his buyer was intending to commit suicide by taking an overdose of drugs, bought from that seller, that were not abnormally strong, and in addition the seller had informed the buyer of the strength of the drugs, so that there was no reasonable likelihood of an accidental overdose. Yet the cases are unanimous and emphatic that section 841(b)(1)(C) imposes strict liability.... The cases emphasize the “plain meaning” of the statute, by which they mean simply the omission of any reference to foreseeability or state of mind, and point out that criminal statutes commonly do specify the required state of mind or other ground of culpability (such as negligence) rather than leaving it to be filled in by the judges (as under the Model Penal Code, which provides that proof of guilt of a statute that does not specify a state of mind or other standard of culpability requires proof of at least recklessness). And from this they infer that the omission of any such requirement from section 841(b)(1)(C) was deliberate, and so liability must be strict.
Id. (emphasis added) (citations omitted).
