Manuel Lopez Ventura v. Jefferson Sessions, III
Opinion
*309
Manuel Lopez Ventura, a native and citizen of the Dominican Republic and a lawful permanent resident ("LPR") of the United States, pleaded guilty of possessing AB-CHMINACA in violation of Louisiana Revised Statutes § 40.966(C). After his arrest, but before his conviction, AB-CHMINACA was added to the federal schedules of controlled substances. After his conviction, Lopez Ventura traveled to the Dominican Republic. Upon his return, he applied for admission as an LPR. But the Department of Homeland Security charged him with being inadmissible under the Immigration and Nationality Act ("INA") because of the Louisiana conviction.
See
I.
In 2014, Lopez Ventura was arrested for possessing cigarillo cigars and AB-CHMINACA, a synthetic cannabinoid. In February 2015, he was charged with possession of a controlled substance and drug paraphernalia in violation of Louisiana Revised Statutes §§ 40:966(C) and 40:1023, respectively. On April 16, 2015, he pleaded guilty of possessing marihuana and drug paraphernalia. At the time of the arrest, AB-CHMINACA was not a federally controlled substance.
See
An alien convicted of violating any state law relating to a federally controlled substance is inadmissible as an LPR.
See
The Immigration Judge ("IJ") denied the motion, reasoning that AB-CHMINACA was a controlled substance on the date of Lopez Ventura's conviction. Lopez Ventura moved to reconsider and requested relief from removal under the INA. 2 The IJ denied that motion, finding that Lopez Ventura had actually been convicted of possessing marihuana-not AB-CHMINACA-so the drug he possessed had always been a controlled substance. The IJ then concluded, in a somewhat self-contradictory fashion, that Lopez Ventura was not eligible for § 1182(h) relief because he had been convicted of possessing AB-CHMINACA, not marihuana.
*310
Lopez Ventura appealed to the BIA with the same arguments. But for the first time, he explicitly invoked the presumption against retroactivity, citing
Vartelas v. Holder
,
Lopez Ventura petitions for review, asserting that the application of § 1182(a)(2)(A)(i)(II) to his case is retroactive because it attaches new legal consequences to his possession of AB-CHMINACA. And, as Lopez Ventura posits, there is nothing in the statute to overcome the presumption against retroactivity. The government replies that Lopez Ventura has waived a critical part of his argument on appeal. Moreover, it insists that because the statutory text, the categorical approach, and policies undergirding the INA focus on convictions, the court must consider whether the substance was controlled on the date of conviction, not commission. Finally, the government avers that § 1182(a)(2)(A)(i)(II) is explicitly retroactive in any event.
II.
We review the BIA's rulings of law
de novo
and findings of fact for "substantial evidence."
Lopez-Gomez v. Ashcroft
,
The BIA ruled that Lopez Ventura had waived his claim that applying § 1182(a)(2)(A)(i)(II) to his Louisiana conviction would be impermissibly retroactive. We disagree. The presumption against retroactivity is merely a tool of statutory interpretation, not a separate claim for relief.
See
Falek v. Gonzales
,
Even if Lopez Ventura did not clearly present his retroactivity claim before the IJ, the argument is still preserved via a petition for review. It is settled practice that to be considered on review, an issue must generally have been "pressed or passed upon" in the tribunal a quo . 7 Though the BIA found that Lopez Ventura had waived his retroactivity claim, it held that the relevant inquiry under § 1182(a)(2)(A)(i)(II) is whether a substance was controlled on the date of conviction . In doing so, the BIA plainly rejected Lopez Ventura's reading of the statute and implicitly determined that applying § 1182(a)(2)-(A)(i)(II) to him was not impermissibly retroactive. Because the BIA therefore passed upon Lopez Ventura's claim, we may consider his argument on petition for review.
III.
The presumption against retroactive legislation arises in a "case that implicates a federal statute enacted after the events in suit."
Landgraf v. USIFilm Prods.
,
To determine whether a statute is impermissibly retroactive, we must ask first "whether Congress has expressly prescribed the statute's proper reach" and second "whether the new statute would have retroactive effect."
A.
The standard for finding a clear directive of retroactivity "is a demanding one."
I.N.S. v. St. Cyr
,
The government attempts to sidestep Lopez Ventura's retroactivity claim by insisting that no statute or regulation was ever altered to apply to pre-enactment conduct. Not true: The list of controlled substances in the Code of Federal Regulations was changed to include AB-CHMINACA only after Lopez Ventura allegedly had possessed it. The timing of that change raises at least the specter of retroactivity, causing us to consider whether the addition of AB-CHMINACA was meant to apply retroactively.
There is no express statement of retroactivity in either the DEA's final order,
12
the regulation,
13
or the statutes authorizing the promulgation of the controlled-substance schedules.
14
Although the final order states it shall be "effective January 30, 2015," the mere presence of an effective date is insufficient to establish retroactivity.
See
The government yet contends that the Anti-Drug Abuse Act ("ADAA") contains an explicit statement of retroactivity for § 1182(a)(2)(A)(i)(II). In 1986, the ADAA amended § 1182 's provisions on aliens convicted of controlled-substance crimes. In doing so, the ADAA stated that such amendments "shall apply to convictions occurring before, on, or after the date of the enactment of this section." Pub. L. 99-570, § 1751(c),
Nevertheless, the government posits that the statutory language, categorical approach, and basic policy considerations overcome the presumption against retroactivity. As the government observes, § 1182(a)(2)(A)(i)(II) speaks in terms of convictions: "[A]ny alien convicted of " violating a state law relating to a controlled substance is inadmissible. (Emphasis added.) Because the INA "asks what offense the noncitizen was convicted of, not what acts he committed," courts employ the "categorical approach" when construing the statute. 15 That approach requires courts to look "not to the facts of the particular prior case, but instead to whether the state statute defining the crime of conviction ... necessarily involved facts equating to the generic federal offense."
*313
Moncrieffe
, 569 U.S. at 190,
According to the government, to hold that the addition of a controlled substance does not apply retroactively would blow a hole through the otherwise well-structured categorical approach. As the government reasons, if courts must ask when the petitioner actually committed the crime, then they will go beyond comparing the elements of an offense and will look at the facts of conviction. And if courts ever engage in that inquiry, the government fears that aliens would have every incentive to contest the timing of the offense. Worse, conviction records may lack information on the date of commission, forcing the BIA to conduct a mini-trial to identify the date of commission. The categorical approach, avers the government, would be reduced to ashes.
Standing alone, the categorical approach does not refute the presumption against retroactivity because it is only an expression of legislative intent. It exists merely because Congress has enacted statutes that call for such an approach. Though the categorical approach is longstanding,
16
it is not absolute, and there are circumstances in which statutory language requires deviating from that approach.
See
Nijhawan v. Holder
,
Conversely, the presumption against retroactivity applies absolutely as both a normative and descriptive canon of construction.
17
Embodying "a legal doctrine centuries older than our Republic," the presumption is grounded in numerous constitutional provisions from the Ex Post Facto Clause to the Due Process Clause.
Landgraf
,
Additionally, the government's concerns regarding the continued viability of the categorical approach are likely overblown. Although the list of controlled substances must often expand to accommodate criminals' ingenuity, most substances have already *314 been controlled for years. 20 And the date of the offense will almost always appear in the charging document, which can be considered under the categorical approach. Thus, the number of situations implycating retroactivity are probably few. A finding of "no retroactivity" therefore is unlikely to disturb the future operation of the categorical approach.
B.
Where a statute or regulation contains no express command of retroactivity, we must decide whether it would have retroactive effect.
See
Lopez Ventura contends that because he possessed AB-CHMINACA before it was added to the schedules, charging him with inadmissibility under the INA attaches a new legal consequence to his possession. The government responds that the statute focuses on convictions, not the underlying conduct. Thus, the government insists that no retroactivity occurs where an addition to the federal schedules is applied to someone convicted after that addition. Moreover, the government maintains, Lopez Ventura could have sought to avoid the consequences of the addition of AB-CHMINACA by negotiating a favorable plea agreement or proceeding to trial.
The government's position is untenable, given that the Court has already considered and rejected very similar reasoning in
Vartelas
. That case involved a statutory change that precluded foreign travel by LPRs with certain convictions.
Vartelas
,
That reasoning, in dissent, is strikingly similar to the government's here. Both Justice Scalia and the government would have us look at "what activity the statute regulates," be it reentry or a conviction. Both would ask whether the petitioner somehow could have avoided the consequences of the change in law. And both would have us find the absence of retroactivity where the relevant conduct occurred after the amendments.
But the Court disagreed, explaining that any disability that attached to the petitioner was a result of "a single crime committed
*315
years before" the statutory change.
In much the same way, Lopez Ventura was charged with inadmissibility because he possessed AB-CHMINACA-a crime committed before the addition of the drug to the schedules. Consequently, § 1182(a)(2)(A)(i)(II) operates retroactively in that it attaches a new disability (inadmissibility) to conduct completed before the regulatory change. It is purely irrelevant that Lopez Ventura might have avoided the adverse consequences of his possession by seeking a better plea deal or proceeding to trial.
Admittedly, the Vartelas Court did not squarely address whether retroactivity occurs when a new disability attaches to a defendant's conduct or conviction-as both occurred before the statutory change. 21 Nonetheless, whenever the Court has articulated the test for retroactivity, it has framed that test in terms of attaching new disabilities to "transactions or considerations already past," 22 "conduct over and done," 23 or "events completed before [the statute's] enactment." 24 Thus, for purposes of retroactivity analysis, it is the timing of the defendant's conduct, not of his conviction, that controls.
"[F]amiliar considerations of fair notice, reasonable reliance, and settled expectations" serve only to confirm that conclusion.
St. Cyr
,
Still, one might argue that notice considerations are not directly implicated where, as here, the defendant pleaded guilty, after the statutory change, with full knowledge of the legal consequences of his plea. Nevertheless, the Supreme Court has explicitly held that the absence of actual detrimental reliance is not determinative.
See
Vartelas
,
*316 does not overcome the presumption against retroactivity, applying it to Lopez Ventura is impermissibly retroactive.
We therefore GRANT the petition for review, REVERSE the BIA's order, and REMAND for the BIA to address what it left unsettled: namely, whether Lopez Ventura was convicted of possession of marihuana or, instead, of AB-CHMINACA.
See
See
See
See
Skidmore v. Swift & Co.
,
Citing
Falek
,
For similar reasons, the government is wrong to insist that Lopez Ventura has waived much of his argument in this petition. According to the government, Lopez Ventura solely challenges whether the BIA's decision was impermissibly retroactive-not whether the BIA erred in focusing on the date of conviction. But those arguments are two sides of the same coin. To assert that the BIA's ruling was wrongly retroactive is to contend that the date of conviction should not have controlled.
McGoldrick v. Compagnie Generale Transatlantique
,
Landgraf
,
See
Perez Pimentel v. Mukasey
,
St. Cyr
,
Vartelas
,
See generally
Moncrieffe v. Holder
,
Moncrieffe
,
Landgraf
,
See
Vartelas
,
Cf.
St. Cyr
,
See
,
e.g.
,
See also
St. Cyr
,
Landgraf
,
Vartelas
,
St. Cyr
,
Vartelas
,
Reference
- Full Case Name
- Manuel LOPEZ VENTURA, Also Known as Manuel A. Lopez-Ventura, Petitioner, v. Jefferson B. SESSIONS, III, U.S. Attorney General, Respondent.
- Cited By
- 9 cases
- Status
- Published