Lead Opinion
Vernon Woods was convicted of two counts of distributing ecstasy, in violation of 21 U.S.C. § 841(a)(1), and one count of possession of a weapon by a felon, in violation of 18 U.S.C. § 922(g). The district court found that Woods was a career offender and thus was subject to an enhanced sentence under § 4B1.1 of the United States Sentencing Guidelines (“U.S.S.G.”). The court imposed a sentence of 192 months, well above the 84-month sentence Woods might have received without the career offender enhancement. Woods now appeals his sentence, challenging whether, following the Supreme Court’s decision in Begay v. United States, - U.S. -,
I
After being caught in October and November 2006 distributing methylenedioxymethamphetamine (commonly known as ecstasy) to an undercover police officer, Woods pleaded guilty both to that offense and the offense of being a felon in possession of a firearm and ammunition that had previously been transported in interstate commerce. In the presentence investigation report (“PSR”), the Probation Service concluded that Woods was a career offender as defined by U.S.S.G. § 4B1.1. In so doing, the Probation Service relied on two prior convictions in Woods’s record: (1) a 1993 Illinois conviction for possession of cocaine with intent to deliver; and (2) a 2001 Illinois conviction for involuntary manslaughter. It is the second conviction that concerns us here.
The facts underlying Woods’s earlier conviction for involuntary manslaughter were contested at crucial points. Woods had been babysitting his infant son for several days. At a change of plea hearing (held after a jury had failed to convict him
One possible explanation of those- facts is that Woods took violent action against the child, shaking him and causing injury that resulted in his death six months later. But Woods, in his response to the PSR, gave an alternative explanation. According to Woods, he had dropped the baby and never intended to hurt him. When the baby lost consciousness, he shook the baby in an effort to revive him, and then he called 911 and requested an ambulance.
At the sentencing hearing, Woods objected to the Government’s characterization of his involuntary manslaughter conviction as a crime of violence under the Guidelines. (He conceded that the first conviction fell within the definition of § 4B1.1 because it was a controlled substance offense.) Woods argued that his involuntary manslaughter offense was not a crime of violence for two principal reasons: first, because his actions did not create a “serious potential risk of physical injury to another”; and second, because the mens rea for involuntary manslaughter in Illinois requires only criminal recklessness, and recklessness was insufficient to trigger the enhanced sentencing range recommended by the Guidelines. Further, Woods argued that even if the court were to look beyond the statute of conviction, the transcript of the plea hearing did not demonstrate that he acted in a way that presented a serious potential risk of physical injury to another.
The district court rejected all of these arguments, holding that the involuntary manslaughter statute described behavior presenting a risk analogous to the Illinois offense of reckless discharge of a firearm. This court held that the latter offense fell within the scope of § 4B1.1 of the Guidelines in United States v. Newbem,
II
The Sentencing Guidelines designate any defendant convicted of a “crime of violence or a controlled substance offense” who also has at least two prior felony convictions of either a crime of violence or a controlled substance offense as a “career offender.” § 4B1.1. Career offenders are subject to an enhanced base offense level and are automatically assigned to Criminal History Category VI. A great deal therefore hangs on the proper characterization of a defendant’s past encounters with the law. For Woods, it meant the difference between an advisory Guidelines range of 84 to 105 months (without career criminal status) and a range of 188 to 235 months (with career criminal status).
In Woods’s case, as in many, we are concerned with the question whether the defendant’s prior offenses are properly characterized as crimes of violence. The Guidelines define a crime of violence as “any offense under federal or state law” that
(1) has as an element the use, attempted use, or threatened use of physical force against the person of another, or
(2) is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
U.S.S.G. § 4B1.2(a). In deciding whether a crime fits that definition, the Supreme Court has instructed lower courts to use a categorical approach. In James v. United States,
Under this approach, we “ ‘look only to the fact of conviction and the statutory definition of the prior offense,’ ” and do not generally consider the “particular facts disclosed by the record of conviction.” Shepard v. United States,544 U.S. 13 , 17,125 S.Ct. 1254 ,161 L.Ed.2d 205 (2005) (quoting Taylor [v. United States], 495 U.S. [575, 602,110 S.Ct. 2143 ,109 L.Ed.2d 607 (1990)]). That is, we consider whether the elements of the offense are of the type that would justify its inclusion within the residual provision, without inquiring into the specific conduct of this particular offender.
In applying the categorical approach, James recognized that the specific facts underlying certain offenses might reflect either a greater or a lesser degree of violence. The Court rejected the idea that a crime can never be one of violence, using the categorical approach, unless “every conceivable factual offense covered by [the] statute must necessarily present a serious potential risk of injury....”
Although the categorical approach, as it has developed, suffices to answer most questions about the proper characterization of a prior offense, it is not enough by itself in one class of cases: when a statute covers more than one offense. In such cases, the Court has permitted courts to consult “the terms of the charging document, the terms of a plea agreement or transcript of a colloquy between judge and defendant in which the factual basis for the plea was confirmed by the defendant, or to some comparable judicial record of this information,” in order to determine what the defendant’s prior conviction was for (i.e., generic burglary or some lesser offense). Shepard,
Problems often arise when statutes describe more than one offense, but only some parts of the statute would qualify as a crime of violence. In Smith, we explained how that issue must be approached, in light of the governing Supreme Court cases:
Under the categorical approach, we consider the offense generieally; we may not inquire into the specific conduct of a particular offender. Begay,128 S.Ct. at 1584 ; James,127 S.Ct. at 1594 . When a statute encompasses multiple categories of offense conduct — some of which would constitute a violent felony and some of which would not — we may expand our inquiry into a limited range of additional material [as set forth in Shepard, supra] in order to determine whether the jury actually convicted the defendant of (or, in the case of a guilty plea, the defendant expressly admitted to) violating a portion of the statute that constitutes a violent felony.... Such an examination, however, is “only to determine which part of the statute the defendant violated.” United States v. Howell,531 F.3d 621 , 623 (8th Cir.2008); see also [United States v.] Mathews, 453 F.3d [830, 834 (7th Cir.2006)]. This rule is not meant to circumvent the categorical approach by allowing courts to determine whether the actual conduct of the individual defendant constituted a purposeful, violent and aggressive act. See Shepard,544 U.S. at 25 ,125 S.Ct. 1254 (discussing the problems inherent in judicial fact-finding, particularly after Apprendi v. New Jersey,530 U.S. 466 ,120 S.Ct. 2348 ,147 L.Ed.2d 435 (2000), and noting that looking further into the facts surrounding a prior conviction likely would violate the standard set forth in*405 Apprendi); Mathews,453 F.3d at 834 n. 8 (discussing Shepard, and noting that “this limitation preserves the categorical approach of Taylor and ensures that a defendant was ‘necessarily’ convicted of a generic burglary”).
We emphasize the latter point because some confusion has arisen in our recent cases about the proper way to apply the modified categorical approach. In particular, our decision in Templeton,
[a] person in custody who intentionally escapes from custody under any of the following circumstances is guilty of a Class H felony....
Wis. Stat. § 946.42(3). We stated — accurately enough, as far as it goes — that “it is possible to violate Wis. Stat. § 946.42 in a manner that constitutes a crime of violence under § 4B1.1, and possible to do so in a way that does not.” Templeton,
If the words “in a way” in that sentence mean under one distinct portion of the statute or another, then Templeton is consistent with the line of Supreme Court decisions discussed above. If, however, the words “in a way” refer to the facts of the individual defendant’s case, then it is inconsistent with that line of cases and with our own Smith decision. In Temple-ton itself, the Wisconsin offense of escape covers a wide variety of conduct, some of which may pose a risk of violence and some of which may not, but the statute is not divisible in the sense called for by the modified categorical approach. Rather than specifying various subcategories of conduct, it simply states that “escape” is an offense and defines “escape” broadly to mean “leave [custody] in any manner without lawful permission or authority.” Wis. Stat. § 946.42(l)(b). We recognize that this definition can, as a factual matter, include conduct that would constitute a crime of violence as well as conduct that would not. Some may think that this is enough to justify a finding that the violent conduct is covered, if the charging papers or other permissible sources show that the particular offense was violent. One could argue that it is artificial to draw a line between, on the one hand, general statutes that prohibit both violent and nonviolent conduct, and, on the other, statutes that differentiate between violent and nonviolent offenses.
Whether this viewpoint would have merit on its own is, however, no longer open to us. The Supreme Court has spoken to the issue in a line of cases including Shepard, James, Begay, Chambers v. United States, - U.S. -,
Chambers made a point of noting that the failure-to-report offense at issue there was identified in a separate part of the statute. Thus, in Nijhawan, in the course of distinguishing between a statute like the ACCA, which uses a categorical approach, and a statute like the provision of the Immigration and Nationality Act directly at issue in Nijhawan’s case (8 U.S.C. § 1101(a)(43)(M)(i)), which uses a circumstance-specific approach, the Court discussed the categorical approach at length:
[T]he categorical method is not always easy to apply. That is because sometimes a separately numbered subsection of a criminal statute will refer to several different crimes, each described separately. And it can happen that some of these crimes involve violence while others do not. A single Massachusetts statute section entitled “Breaking and Entering at Night,” for example, criminalizes breaking into a “building, ship, vessel or vehicle.” Mass. Gen. Laws, ch. 266, § 16 (West 2006). In such an instance, we have said, a court must determine whether an offender’s prior conviction was for the violent, rather than the nonviolent, break-ins that this single five-word phrase describes (e.g., breaking into a building rather than into a vessel), by examining “the indictment or information and jury instructions,” Taylor, [495 U.S.] at 602 [110 S.Ct. 2143 ], or, if a guilty plea is at issue, by examining the plea agreement, plea colloquy or “some comparable judicial record” of the factual basis for the plea. Shepard v. United States,544 U.S. 13 , 26,125 S.Ct. 1254 ,161 L.Ed.2d 205 (2005).
Nijhawan supports our understanding that the permissible additional materials may be consulted only for the purpose of determining under which part of a divisible statute the defendant was charged. In the Massachusetts example given by the Court, that material could be used to determine whether the crime fit under the “building” or “vessel” part of the statute, but it could not be used to see whether a particular act of breaking into a vessel gave rise to a substantial risk of injury to a person. To the extent that
The dissent argues that Taylor cannot be reconciled with this approach because it deals with a non-divisible statute (one defining burglary as entry into a building with intent to commit a felony), yet it permits a sentencing judge to consider the charging papers or guilty-plea colloquy. We do not see Taylor this way. As the dissent concedes, post at 414-15, the statute before the Court in Taylor was a divisible one, as we are using that term. See
Once the prior crime has properly been identified, the court must ascertain whether it is expressly identified by the ACCA or Guidelines, or if it is covered (if at all) only by the residual clause, describing an offense that “otherwise involves conduct that presents a serious potential risk of physical injury to another.” We can put to one side for purposes of this opinion those offenses that are more specifically identified, either because they have as an element the use (or attempted or threatened use) of physical force against the person of another, or because they are included in the statutory list (burglary, arson, extortion, or something involving the use of explosives). It is the residual clause that has posed most of the problems, and it is the residual clause that we are concerned with in this case. In Begay, the Supreme Court held that the residual clause was limited to offenses that were similar to the listed crimes, both in kind as well as in degree of risk posed.
The Supreme Court recently addressed the issue of violence, for these purposes. As it had already noted in James, the offense must in the ordinary run of cases describe behavior that poses a sufficiently
The aspect of Begay that has come to the fore in Woods’s appeal is the requirement that the crime involve “purposeful” conduct. In Smith, we held that “those crimes with a mens rea of negligence or recklessness do not trigger the enhanced penalties mandated by the ACCA [or § 4B1.1].”
Before turning to the specifics of Woods’s case, it is helpful to review the general law of mens rea. The first point is one of the most important: the state of mind in question must exist, as the Model Penal Code (“MPC”) puts it, “with respect to each material element of the offense.” MPC § 2.02(1). It is possible, however, that the mental state required might differ with regard to each element of the crime. See generally 1 Wayne R. LaFave, Substantive Criminal Law § 5.1(d), at 338 (2d ed.2003). The important point is to match the mental state in question to the conduct that is being made criminal by the statute, rather than to incidental steps along the way. As another treatise puts it, “[C]on-duct is a neutral or indifferent term in the sense that it may or may not constitute a crime. It constitutes a crime only if the ‘act or omission’ is voluntary and penally prohibited, and only if the ‘accompanying mental state’ is a recognized culpable mental state.” 1 Wharton’s Criminal Law § 25, at 146 (Charles E. Torcia ed., 15th ed.1993).
A number of “recognized culpable mental states” exist. The MPC refers to these as the “kinds of culpability.” Section 2.02 identifies four levels or categories: purposely, knowingly, recklessly, and negligently. (Exceptions to this rule are set forth in MPC § 2.05, but they are not pertinent here.) Once again, the state of mind (or kind of culpability) must be linked to each material element of the crime. So, for example, here is the MPC language describing a reckless state of mind:
A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the nature and purpose of the actor’s conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actor’s situation.
MPC § 2.02(2)(c). It is noteworthy that the person must consciously disregard the risk in question. It is also important to bear in mind that he must be disregarding the risk that the material element exists or will result from his conduct.
The Supreme Court’s decision in Begay shows how these distinctions operate in practice. The petitioner, Larry Begay, pleaded guilty to being a felon in possession of a firearm, in violation of 18 U.S.C. § 922(g)(1). Begay,
Nothing in Begay, and nothing we say here, is meant to suggest that the presence of any recklessness component in a crime means that the conviction cannot be one of violence. An example that roughly reverses the facts of Begay illustrates the point. In this example, the drinking is reckless, and the dangerous driving is intentional; in Begay the opposite was true. Suppose that Jane goes to a party at which there are two large bowls of punch: one is nonalcoholic, and one is spiked with a clear, odorless, tasteless alcoholic drink. Knowing that one has a high alcoholic content, Jane nevertheless recklessly drinks from both bowls, paying no attention to which one she is using. At the party, she spots her ex-husband Tom leaving; she decides to follow him in her car. She does so, intending to bash her car into Tom’s so that he will have an expensive repair bill; unfortunately, however, Jane causes Tom’s car to swerve off the road and he dies in the resulting crash. The fact that Jane recklessly drank the alcohol would in no way insulate her from prosecution for the intentional assault on Tom in which she used her car as a weapon. That is true even though there is a reckless component to these events, since Jane might have had the sense not to assault Tom had she been sober.
What does remain important is the precise crime for which the defendant was convicted in the earlier case. It often will happen that a course of conduct could be charged under either a greater crime, such as murder or voluntary manslaughter, or a lesser crime, such as involuntary manslaughter. We are well aware that prosecutors sometimes begin with the greater charge and settle for the lesser charge after plea bargaining. That said, the only thing that counts for purposes of the ACCA or the career offender Guidelines is the prior crime for which the defendant was actually convicted. There is nothing that this court either could or should do about the prosecutorial discretion that is exercised at the charging stage. See In re United States,
Ill
We turn now to Woods and his prior conviction for involuntary manslaughter. Illinois defines involuntary manslaughter as follows:
A person who unintentionally kills an individual without lawful justification commits involuntary manslaughter if his acts lohether lawful or unlaioful which cause the death are such as are likely to cause death or great bodily harm to some individual, and he performs them recklessly.
720 ILCS 5/9-3(a) (emphasis added). The Illinois Criminal Code defines the term “recklessness” more precisely:
A person is reckless or acts recklessly, when he consciously disregards a substantial and unjustifiable risk that circumstances exist or that a result will follow, described by the statute defining the offense; and such disregard constitutes a gross deviation from the standard of care which a reasonable person would exercise in the situation.
720 ILCS 5/4-6 (emphasis added). No one argues that Illinois involuntary manslaughter falls within either U.S.S.G. § 4B1.2(a)(l), which requires that the offense have as an element the use, attempted use, or threatened use of physical force against the person of another, or the first part of U.S.S.G. § 4B1.2(a)(2), which covers burglary of a dwelling, arson, extortion, and the use of explosives. The question is whether Illinois’s involuntary manslaughter offense should be categorized as a crime of violence under the residual clause in U.S.S.G. § 4B1.2(a)(2) as one that otherwise involves conduct that presents a serious potential risk of physical injury to another.
Applying the categorical approach required by the Supreme Court, we held in Smith that crimes with the mens rea of negligence or recklessness do not trigger the enhanced penalties mandated by the ACCA. Woods argues that this holding disposes of his case as well. He relies on the fact that the statute under which he was convicted covers unintentional killings, resulting from either lawful or unlawful acts that are performed recklessly.
Recognizing that Smith poses a problem for its position, the Government suggests that Smith categorically excludes only some crimes of recklessness from the ambit of the residual clause. Specifically, the Government claims that the Illinois involuntary manslaughter statute is excluded from Smith’s scope because, under the statute, a defendant must consciously disregard a substantial and unjustifiable risk, and this conscious disregard is itself the kind of voluntary and purposeful act that Begay had in mind. That is, the Government claims that if a defendant, such as Woods, intends the act but was reckless as to the consequences of that act, then the crime is not excluded from the scope of the residual clause under Begay.
In our view, this is precisely the distinction that the Begay Court rejected. In Begay itself, the defendant intended both the act of drinking alcoholic beverages and the act of driving his car; he was reckless only with respect to the consequences of those acts. As we have explained at more length above, this position was entirely consistent with the classic line that has been drawn between the actus reus and the mens rea of a criminal offense. The Government’s argument not only blurs that line; it obliterates it. The proposed ground on which the Government attempts to distinguish Smith would require this
It is worth underscoring, as we did in Smith, that the enhanced sentencing range under the ACCA or the career offender guidelines is imposed in addition to any punishment that already has been imposed on a defendant. (Nor, in this post-Booker world, does our interpretation prevent a sentencing judge from taking the circumstances of the prior crime into account in the process of selecting a reasonable sentence for the current crime.) Within very broad constitutional bounds, the legislature is entitled to establish a penalty as harsh as it believes is warranted for the prior crime. In separating out purposeful, violent, and aggressive crimes as the bases for enhancement of a later, unrelated criminal sentence, Congress was attempting to focus on “those offenders whose criminal history evidenced a high risk for recidivism and future violence ... [who] exhibited a special need for an increased sentence in order to deter future violent crimes.” Id. at 785. The overbreadth of the Government’s proposed principle can be seen in a simple example. Suppose a physician prescribes penicillin to a patient but consciously disregards the risk that the patient had an allergy to penicillin. Suppose then that the patient does have an allergy and dies as a result of the medication, and the physician is convicted of involuntary manslaughter under the Illinois statute in question here (because, under the Illinois statute, even lawful acts, such as a physician’s prescribing medication to a patient, can be the foundation for an involuntary manslaughter conviction). It seems clear that this physician is not the type of violent and aggressive criminal that the sentencing enhancements are intended to encompass, yet, under the principle espoused by the Government, this conviction would be the basis for a sentencing enhancement.
The Government also urges us to apply the “modified categorical approach,” but we do not agree with it that the Illinois involuntary manslaughter statute is one to which the modified categorical approach applies. As we explained earlier, James, Taylor, and Shepard permit a court to go beyond the statutory definition of the crime to consult judicial records (charging documents, plea colloquy, etc.) only where the statute defining the crime is divisible, which is to say where the statute creates several crimes or a single crime with several modes of commission. By “modes of commission” we mean modes of conduct identified somehow in the statute. The Illinois involuntary manslaughter statute is not divisible in this way, and we have no occasion to consult the record further in order to resolve Woods’s appeal.
The approach we take today invites comparison with the one adopted by the en banc court in United States v. Shannon,
We note in this connection that the Court has just granted certiorari in another case in this line, United States v. Johnson,
That observation takes us back to where we began. Our best effort to read the applicable Supreme Court decisions leads us to the conclusion that the Court has rejected the technique of categorizing prior crimes based on the particular way in which they were committed. That observation guides our categorization of the conduct involved in a prior offense as something fitting the residual clause of the ACCA or the career offender guidelines, or not. As for the mental state requirement, we adhere to our holding in Smith that the residual clause encompasses only
The judgment of the district court is Vacated and the case is Remanded for further proceedings consistent with this opinion.
Notes
. The dissent assumes that Woods admitted that this act of shaking was 'purposeful, violent, and aggressive.” Dissent, post, at 416. But the record is not clear on that critical point. Whether the shaking was gentle or violent is a question of fact; in order to resolve it, we would have to conduct an independent investigation of the event.
. It should go without saying that nothing in this opinion means that a sentence above the advisory Guidelines range cannot be imposed. See, e.g., Kimbrough v. United States,
Dissenting Opinion
with whom
Begay v. United States, - U.S. -,
The career-offender portion of the Sentencing Guidelines, like 18 U.S.C. § 16 and § 924(e)(2)(B), counts toward the total of the defendant’s “crimes of violence” or “violent felonies” any conviction of an offense that has as an element the use or attempted use of force against the person of another. These provisions also include a residual category. The Guidelines define as a “crime of violence” any offense that:
is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
U.S.S.G. § 4B1.2(a)(2). Begay understands the “otherwise involves ...” language of § 924(e)(2)(B)(ii) to cover only crimes “similar” to burglary, arson, extortion, and explosives offenses in the sense that they involve “purposeful, violent, and aggressive conduct”.
Begay creates problems of classification. It may be easy to tell when a person’s conduct was violent and aggressive, but whether a crime of conviction entails such conduct can be tricky, because it is necessary to think through the many varieties of behavior within a law’s domain. States did not write their statutes with Begay in mind. Many laws penalize categories of activity, some violent and some not. Or they may penalize reckless conduct. Criminal recklessness is a form of intent, see Farmer v. Brennan,
Begay requires us to ask whether a crime that poses a “serious potential risk of physical injury” to another person is also sufficiently intentional, violent, and aggressive that it is similar to burglary and arson. Woods concludes that homicide does not meet this definition.
How can homicide not be an intentional, violent, and aggressive act? How can it be that burglary is a crime of violence, even though people rarely are injured in burglaries, and homicide is not, even though a person’s death is an element of the offense? The panel’s answer is that involuntary manslaughter, though treated in Illinois as a form of homicide (effectively third-degree murder), see 720 ILCS 5/9-3, has a definition broad enough to include some killings in which the mental element is recklessness rather than knowledge or purpose. Illinois calls the offense “involuntary” manslaughter when the defendant, though intending to perform the acts that end in death, does not want the victim to die, but is recklessly indifferent to the risk of death. This causes a problem for classification because federal recidivism statutes (and similar parts of the Guidelines) ask what crime the defendant has been convicted of, not what he did in fact. That categorical approach sends us to the state statute’s text rather than the facts of the defendant’s conduct.
The panel in Woods understands the categorical approach to ask whether a crime is “divisible”: unless all (or almost all) varieties of conduct within a law’s domain meet the Begay standard, then any conviction under the statute must be deemed one for a nonviolent offense. As it is possible to commit involuntary manslaughter in Illinois without purposeful, violent, and aggressive conduct, the panel concludes that no conviction for involuntary manslaughter may be the basis of a federal recidivism enhancement. We know that Woods was violent toward the victim. He concedes dropping and then shaking the baby, who died as a result. But because the drop may have been thoughtless, and conviction did not require proof that Woods intended the baby’s death, the panel holds that his federal sentence is too high.
I think that the sentencing judge should be allowed to look at the charging papers and plea colloquy in the criminal prosecution whether or not the statute is “divisible” in the panel’s sense. To see why, it is essential to start with Taylor v. United States,
Taylor holds, and Shepard v. United States,
Taylor concluded that the federal statute covered what it called “generic burglary”: only entering a residence with the intent to commit a felony is the crime of “burglary” for a federal recidivist enhancement. Some states have a statute with these elements. Other states use lists, as in “any person who enters a tent, railroad
Here is how the Justices summed up them conclusion:
We think the only plausible interpretation of § 924(e) (2) (B) (ii) is that, like the rest of the enhancement statute, it generally requires the trial court to look only to the fact of conviction and the statutory definition of the prior offense. This categorical approach, however, may permit the sentencing court to go beyond the mere fact of conviction in a narrow range of cases where a jury was actually required to find all the elements of generic burglary. For example, in a State whose burglary statutes include entry of an automobile as well as a building, if the indictment or information and jury instructions show that the defendant was charged only with a burglary of a building, and that the jury necessarily had to find an entry of a building to convict, then the Government should be allowed to use the conviction for enhancement.
What Taylor excludes is calling something “burglary” because that is what the defendant did, even if he was convicted of something else (such as unlawful entry of a residence, after a plea bargain that excluded the “with intent to commit a felony therein” element). And Shepard blocks using anything other than the charging papers and plea colloquy to establish what the defendant was convicted of. Neither opinion makes “divisibility” indispensable to classification. And, as far as I can see, no other circuit treats “divisibility” as a sine qua non. In this circuit the word first appeared in United States v. Mathews,
Woods suggests that decisions after Taylor create a divisibility requirement, even though the Justices themselves have not used the word or its functional equivalent. Yet Nijhawan v. Holder, - U.S. -,
We also noted [in James v. United States,550 U.S. 192 ,127 S.Ct. 1586 ,167 L.Ed.2d 532 (2007)] that the categorical method is not always easy to apply. That is because sometimes a separately numbered subsection of a criminal statute will refer to several different crimes, each described separately. And it can happen that some of these crimes involve violence while others do not. A single Massachusetts statute section entitled “Breaking and Entering at Night,” for example, criminalizes breaking into a “building, ship, vessel or vehicle.” Mass. Gen. Laws, ch. 266, § 16 (West 2006). In such an instance, we have said, a court must determine whether an offender’s prior conviction was for the violent, rather than the nonviolent, break-ins that this single five-word phrase describes (e.g., breaking into a building rather than into a vessel), by examining “the indictment or information and jury instructions,” Taylor, supra, at 602,110 S.Ct. 2143 , or, if a guilty plea is at issue, by examining the plea agreement, plea colloquy or “some comparable judicial record” of the factual basis for the plea. Shepard v. United States,544 U.S. 13 , 26,125 S.Ct. 1254 ,161 L.Ed.2d 205 (2005).
Woods dropped a five-week-old baby on his head, then shook the comatose child to death. That is purposeful, violent, and aggressive conduct. The possibility that Woods did not intend to drop the child need not detain us; the state statute requires some knowing conduct, a standard satisfied by the shaking if not the dropping. (The state judge did not pin this down, because it was not relevant as a matter of state law.) The Woods panel concludes that recklessness does not meet Begay’s requirement of intentional conduct, but Farmer holds that criminal recklessness — the kind involved here — is a form of intent, and I think it likely that the Justices will deem it sufficient for recidivism enhancements too.
Recklessness in criminal law means creating a risk of serious harm, usually by knowingly doing dangerous things with eyes closed to consequences. See generally Model Penal Code § 220.2(2). That mental state has been equated with intent not only in eighth-amendment cases but also in securities law, where proof of fraud depends on showing intent to deceive. Ernst & Ernst v. Hochfelder,
The Woods panel writes: “nothing we say here is meant to suggest that the presence of any recklessness component in a crime means that the conviction cannot be one of violence.” Op. 409 (emphasis in original). The opinion then gives an elaborate example involving spiked punch and a purpose to commit mayhem. “Purpose” is the most exacting standard of intent under the Model Penal Code’s typology, it suffices by any standard. I grant that recklessness is not universally equivalent to intent; statutory context matters. But in the main a violent or aggressive crime that produces injury or death should meet the Begay standard, even if the actor recklessly ignored the risks to others.
Take a person who draws a gun and fires six shots into a crowded night club, not caring whether anyone is injured or killed. The intentional discharge of a gun is a violent and aggressive act; that the shooter is indifferent to the consequences shows his danger and is a good reason for a recidivist enhancement following his next conviction; it is not a reason to ignore the conduct. Likewise a person who drops a baby on his head, and intentionally shakes the inert body violently, has committed an aggressive and dangerous act; the person’s indifference to consequences should not prevent counting the conviction. I disagree with the approach of Woods to the extent that it commits this circuit to a contrary course.
One final observation. Taylor, Shepard, James, Chambers, and Nijhawan all involve the interpretation of statutes. This appeal involves the interpretation and application of the Sentencing Guidelines. We have held that the career-offender enhancement must be treated as a statute to the extent it implements 28 U.S.C. § 994(h), which requires the sentences for recidivists who commit specified crimes to be “at or near the maximum term authorized” for the new federal crimes. And this means, as we have also held, that the language in § 4B1.2 should be understood the same way as the language in § 16(b) and § 924(e), to the extent that the Guideline and the statutes use the same words. But Guideline 4B1.2 goes beyond § 994(h) by including federal offenses for which Congress has not specified a sentence “at or near the maximum” for recidivists. For these other offenders, the Guideline is merely advisory, and district judges may disagree. See United States v. Knox,
Moreover, a conclusion that a particular prior conviction is not one for a “crime of violence” does not limit the judge’s discretion to give a higher sentence based on the defendant’s actual criminal history. See Spears v. United States, - U.S. -,
