Case Information
*2
SESSIONS, District Judge:
Dеfendant-appellant Rosario Vazquez-Hernandez appeals his conviction for attempted illegal reentry under *3 8 U.S.C. § 1326 on the ground that there was insufficient evidence to support his conviction. Vazquez-Hernandez also notes that the district court’s instruction at trial failed to properly inform the jury of the essential elements of the offense.
The lack of an instruction to the jury that Vazquez- Hernandez had to have a conscious desire to reenter the United States free from official restraint to be found guilty of the crime of attempted illegal reentry was plаin error. Moreover, we conclude that even if the jury applied the correct legal standard, the trial record provides insufficient evidence to allow any rational trier of fact to find the essential elements of attempted illegal reentry beyond a reasonable doubt. Therefore, we vacate Vazquez- Hernandez’s conviction and remand to the district court to enter a judgment of acquittal.
I. Background
Prior to his conviction, Vazquez-Hernandez, a citizen of Mexico, frequently earned money washing car windows at the Mariposa port of entry into the Unitеd States in Nogales, Arizona. The U.S. inspection station at the Mariposa port of entry lies on U.S. territory, about 100 yards north of the border with Mexico. As a result, the United States invites foreign nationals and U.S. citizens traveling in vehicles to enter U.S. territory prior to their inspection by immigration officials. Pedestrians are invited to enter the pre-inspection area through a separate, designated lane, and are generally not permitted in the vehicle lanes for safety reasons. U.S. Border Patrol agents have on occasion, however, permitted individuals they presume to be U.S. citizens to enter the northbound vehicle lanes on foot. Although also not officially permitted, vendors and window washers commonly enter the pre-inspection area from Mexico on foot, touting their wares and services to stopped vehicles. The pre-inspection area is walled off on all sides except at the U.S. border with Mexico and at the Mexican and U.S. inspection points, and is monitored by hundreds of U.S. government cameras. United States “outbound operations” officers, armed with automatic rifles, monitor southbound lanes north of the Mexicаn government’s inspection points. Law enforcement agents stationed at the border sometimes screen individuals entering the pre-inspection area for those who could pose a safety threat and prevent them from entering the pre-inspection area.
Subject to this intermittent screening and control, foreign *4 nationals enter the pre-inspection area on U.S. territory on a daily basis, either in vehicles or on foot. Occasionally, U.S. Border Patrol agents attempt to arrest and detain individuals present on foot in the pre-inspection area who the agents believe, based on their behаvior and appearance, do not “have legal status” in the United States, without inquiring about their intent to go past the port of entry. When approached by Border Patrol agents, vendors and other individuals who do not intend to enter the United States beyond the pre-inspection area often flee the pre-inspection area and return to the Mexican side of the border. Pedestrians attempting to enter the United States without inspection sometimes run up the southbound lanes, bypassing the U.S. inspection points.
Before his arrest and conviction in 2014, Vazquez- Hernandez wаs previously removed from the United States three times, and was once previously convicted of illegal reentry. He was first removed in 2005, before he began his window-washing work. Since he began working at the Mariposa port of entry, he has twice been arrested in the pre- inspection area and subsequently deported, in 2010 and 2013. After his 2010 arrest, he was charged with illegal reentry and pled guilty to the offense.
Around the time he was arrested in 2014, Vazquez- Hernandez entered the pre-inspection area at the Mariposa port of entry to wash windows almost every day, including on the wеekends and in the afternoons and evenings. On April 5, 2014, two Border Patrol agents, Agent Adam Erfert and Joshua Thomas, saw Vazquez-Hernandez on surveillance cameras. The agents testified at trial that they became suspicious of Vazquez-Hernandez’s intentions because he appeared to be looking around and monitoring his environment, and because of his attentiveness and proximity to the southbound vehicle lanes. The two agents approached Vazquez-Hernandez and, despite Vazquez- Hernandez’s efforts to evade the agents’ grasp, arrested him. Vazquez-Hernandez wаs eventually charged with attempted *5 6 U NITED S TATES V . V AZQUEZ -H ERNANDEZ illegal reentry in violation of 8 U.S.C. § 1326 in a superseding indictment returned on October 1, 2014. The case proceeded to trial.
At trial, the district court judge instructed the jury on the elements of the offense of illegal reentry in the following manner:
[T]he government must prove each of the following elements beyond a reasonable doubt: First, the defendant was removed and/or deported from the United States; second, the defendant had the conscious desire to reenter the United States without consent; third, the defendant was an alien at the time of his аttempted reentry into the United States; fourth, the defendant had not obtained the consent of the Attorney General or the Secretary of the Department of Homeland Security to reapply for admission into the United States; and fifth, the defendant did something that was a substantial step toward committing the crime.
During the course of argument for a directed verdict, and outside the presence of the jury, the judge stated to counsel that the only question at issue was the defendant’s intent. [1] [1] Crossing the United States border from Mexico is a substantial step towards the commission of attempted illegal reentry. United States v. Leos-Maldonado , 302 F.3d 1061, 1063–64 (9th Cir. 2002). Because Vazquez-Hernandez acknowledged that he had formally crossed the border to enter into the pre-inspection area, the district court instructed the parties not to focus on the “substantial step” element of the charged offense.
After receiving the instruction on the elements of attempted illegal reentry, the jurors expressed confusion about the intent requirement. The jurors asked, “Does, as a matter of [l]aw, illegal reentry into the United States include the element of intent to stay in the United States? Or is there no mention of such intent in the statute?” In response, the court referred the jurors to the instruction it had already given on the elements of the offense. Vazquez-Hernandez did not object to the instructions at trial.
On October 8, 2014, the jury convicted Vazquez- Hernandez of attempted illegal reentry, the sole count in the superseding indictment. On December 18, 2014, the district court sentenced Vazquez-Hernandez to 40 months of imprisonment followed by three years of supervised release and imposed a $100 special assessment. Vazquez- Hernandez filed this timely appeal.
II. Discussion
A. Improper jury instruction
Although this Court generally reviews a jury instruction
that misstates the elements of a statutory crime de novo, we
review an instruction for plain error in the absence of a
timely objection to it below.
[2]
United States v. Kilbride
,
[2]
Although Vazquez-Hernandez did not independently challenge the
jury instruction on appeal, he did maintain that the instruction was
erroneous, as part of his argument that no jury could have determined
that he entered the United States free from official restraint, as required
by law. Whether the validity of the instruction was adequately raised on
appeal is debatable. In any event, although we typically refrain from
addressing issues that neither party рroperly raised on appeal, we may
do so in cases of a plain error that affects substantial rights.
See United
States v. Olano
,
i. Plain error
The district court’s failure to include an instruction on
freedom from official restraint at summation constituted
plain error. The Fifth and Sixth Amendments require
criminal convictions tо rest upon a jury determination that
the defendant is guilty of every element of the crime with
which he is charged beyond a reasonable doubt.
United
States v. Gaudin
, 515 U.S. 506, 509–10 (1995). Jury
instructions misstate the essential elements of an offense
when they do not adequately link the intent element of a
crime with the required object of that intent.
See United
States v. Montoya-Gaxiola
, 796 F.3d 1118, 1122–24 (9th
Cir. 2015) (finding plain error because jury instruction did
*7
not specify that, where defendant was charged with
possession of an unregistered firearm, the jury must find that
the defendant knew of the features of his weapon that
exercise our discretion to address these types of errors if the error
“seriously аffect[s] the fairness, integrity or public reputation of judicial
proceedings.”
Olano
,
The crime of attempted illegal reentry under 8 U.S.C.
§ 1326 is a specific intent crime that requires proof beyond
a reasonable doubt that the defendant had “the specific intent
‘to reenter without consent.’”
United States v. Lombera-
Valdovinos
, 429 F.3d 927, 929 (9th Cir. 2005) (quoting
United States v. Leos-Maldonado
,
The jury instructions here omitted this element of
attempted illegal reentry. The district court instructed the
jury only that it must find that Vazquez-Hernandez “had the
conscious desire to reenter the United States without
*8
10
U NITED S TATES V . V AZQUEZ -H ERNANDEZ consent,” making no mention of the intent to be free from
official restraint. This was plain error.
[3]
Gracidas-Ulibarry
is not to the contrary. There, this
Court held that “an explanation of the meaning of specific
intent is necessary to give guidance as to the proper jury
instruction for” attempted illegal reentry.
Gracidas-
Ulibarry
, 231 F.3d at 1195. Although
Gracidas-Ulibarry
did not specifically explain that § 1326 requires proof that
the defendant attempt to enter “free from official restraint,”
there was no dispute concerning whether the defendant in
that case was under official restraint, or whether he intended
to proceed past the border checkpoint.
See id.
at 1191. Here,
in contrast, greater elaboration on the specific intent
requirement was necessary because the conditions of thе pre-
inspection area at the Mariposa port of entry, combined with
[3]
This case does not involve a failure to define a term that was within
the comprehension of the average juror.
United States v. Tirouda
Likewise, our cases finding no error in the omission of a
jury instruction on freedom from official restraint when the
defendant was “found in” the United States in violation of
§ 1326 do not govern here.
See e.g.
,
United States v.
Castellanos-Garcia
, 270 F.3d 773, 777 (9th Cir. 2001)
(declining to require a trial judge to instruct a jury on the
“free from official restraint” requirement for entry in a case
alleging that the defendant was “found in” the United States
in violation of § 1326, where the defendant did not point to
evidence that would suggest that his entry was
not
free from
official restraint).
But see United States v. Bello-Bahena
,
ii. The error affected Vazquez-Hernandez’s substantial rights
The lack of a jury instruction regarding freedom from
official restraint affected Vazquez-Hernandez’s substantial
rights. An error affects substantial rights if there is “a
reasonable probability that the error affected the outcome of
the trial.”
United States v. Marcus
,
Our case law clearly does not support the first of those
theories. First, the official restraint doctrine was intended to
safeguard the presence of uninspected immigrants in
precisely the type of area in to which Vazquez-Hernandez
entered and where he remained. The freedom from official
restraint requirement addresses the practical concern that
failing to require such a finding would lead to the
criminalization of individuals who arrive at a port of entry
but have not yet had an opportunity to apply for inspection.
See Argueta-Rosales
, 819 F.3d at 1160 (“[T]he official
restraint doctrine is a practical necessity . . . . We doubt that
Congress intended to make criminals out of persons who, for
any number of reasons, approach immigration officials at the
border.”);
United States v. Vasilatos
,
Second, an alien is not free from official restraint when he is in an area that is subject to constant government surveillance. Pacheco-Medina , 212 F.3d at 1165; United States v. Aguilar , 883 F.2d 662, 681 (9th Cir. 1989), superseded by statute on other grounds , P.L. No. 99-603, 100 Stat. 3359, as stated in United States v. Gonzalez- Torres , 309 F.3d 594 (9th Cir. 2002) (“Continuous . surveillance by immigration authorities can be sufficient to place an alien under official restraint” for the purposes of applying the definition of entry to the crime of illegally bringing an alien into the United States). Here, the government’s witnesses testified that the pre-inspection area was subject to surveillance by hundreds of cameras, with small blind spots, and was surrounded on all sides either by walls or law enforcement agents.
The оnly time that Vazquez-Hernandez was not under
direct camera surveillance was when Border Patrol Agents
Erfert and Thomas were approaching him, with knowledge
of his location. Such a minor gap in surveillance is not
sufficient to break an officer’s “continuous observation”
necessary to establish official restraint.
United States v.
Gonzalez-Torres
,
Finally, the touchstone to determining whether a defendant is frеe from official restraint is whether the defendant was free to “go at large and at will within the
U NITED S TATES V . V AZQUEZ -H ERNANDEZ 15
United States.”
Id.
at 1164 (quoting
Ex parte Chow Chok
151 F. 627, 630 (N.D.N.Y.),
aff’d
, 163 F. 1021 (2d Cir.
1908));
see Gonzalez-Torres
,
iii. Miscarriage of justice
We exercise our discretion to correct the error in this case
because the jury’s possible reliance on a legally invalid
theory constitutes a miscarriage of justice which would
seriously affect “the fairness, integrity or public reputation
of judicial proceedings.”
Garrido
,
For these reasons, the omission of the freedom from official restraint requirement from the jury instruction constitutes plain error affecting Vazquez-Hernandez’s substantial rights. [4] We reverse.
B. Insufficient evidence to support the jury’s verdict
Vazquez-Hernandez argues that there is insufficient
evidence to support his conviction for attempted illegal
reentry, a claim which, “if successful, would entitle him to a
judgment of acquittal.”
See United States v. Shetler
[4]
For these same reasons, we exercise our discretion to review the
jury instruction, notwithstanding that Vazquez-Hernandez did not
directly raise the issue in his opening brief before this court.
See Olano,
As discussed above, if properly instructed on the official restraint doctrine, no rational jury could have concluded beyond a reasonable doubt that Vazquez-Hernandez was free from official restraint in the pre-inspection area, or that he intended to be simply by entering that area. Likewise, there is insufficient evidence in the record to support Vazquez-Hernandez’s guilt on the theory that hе intended to go beyond the pre-inspection area so as to be free to go at large and at will within the United States. The testimony of Agents Erfert and Thomas as to their observations and beliefs about Vazquez-Hernandez’s intentions is insufficient to prove beyond a reasonable doubt that Vazquez-Hernandez intended to proceed outside the pre-inspection area. In particular, Agent Erfert stated that Vazquez-Hernandez appeared to be “really worried about who was around him and what’s going on,” and Agent Thomas stated that Vazquez-Hernandez looked over thе wall dividing the northbound and southbound lanes once and that he looked distracted while washing windows. Vazquez-Hernandez could have looked around cautiously to avoid arrest even if he did not intend to dart northward past the pre-inspection area on the southbound lanes. Vazquez-Hernandez had been arrested and convicted for washing windows in the pre-inspection area before, and it would be logical for him to want to avoid the possibility of another conviction.
Consistent with Vazquez-Hernandez’s experience, Agents Thomas and Erfert testified that they sometimes *15 attempt to arrest pedestrian vendors and window-washers rather than warning them that they are not authorized in the area. When approached, pedestrian vendors typically try to avoid arrest by running back to the Mexican side of the border. In light of these customary law enforcement practices, Vazquez-Hernandez’s apparent cautiousness was not sufficiently probative of an intent to run north past the pre-inspection area.
Agent Erfert speculated that Vazquez-Hernandez was attempting to see if there were any Border Patrol Agents in the southbound lanes, and that individuals who attempt to enter the United States past the pre-inspection area often do so by running up the southbound lanes. [5] However, Vazquez- Hernandez did not attempt to run northward past the inspection points after he saw that the southbound lanes were clear of law enforcement officers. Rather, he continued to wash windows after looking over the wall cautiously. Moreover, Agent Erfert testified that he never saw the appellant attempt to jump any of the fences surrounding the pre-inspection area that would lead into contiguous U.S. territory.
Circumstantial evidence also undermines the inference that Vazquez-Hernandez intended to proceed past the inspection points. On the day he was arrested, Vazquez- Hernandez carried with him only the supplies necessary to carry out window-washing activities. He had only a few coins in his possession. Although Vazquez-Hernandez entered the pre-inspection area around 7:30 p.m., when it was starting to get dark, he did not enter under the full cover of darkness. He also provided a plausible explanation for his arrival at the pre-inspection area late in the day: thаt he came to work after picking up his daughter from school. Although the agents testified that Vazquez-Hernandez was wearing a sweater or jacket, which one believed was unusual given the warm weather, the inference that he was dressed for a long 5 In contrast, Agent Thomas testified that he did not know whether the appellant’s intent was to go beyond the port of entry.
journey is weak. The inference is similarly weak that, because an agent saw Vazquez-Hernandez set a water bottle down on the dividing wall on one occasion, Vazquez- Hernandez was not using any water, and was not really there to wash windows. We conclude, therefore, that no rational juror could find beyond a reasonable doubt that Vazquez- Hernandez intended to travel northward beyond the points of inspection.
III. Conclusion
In light of the foregoing analysis, we conclude that the district court’s instruction failed to properly state the essential elements of attempted illegal reentry and permitted the government to advance, and the jury to convict on, an invalid theory of guilt. This was plain error. Because we further hold that no properly instructed, rational trier of fact could find Vazquez-Hernandez guilty of the crime of attempted illegal reentry, we reverse the defendant’s conviction and remand to the district court to enter a judgment of acquittal.
REVERSED and REMANDED.
