Julio Najera-Rodriguez v. William P. Barr
Opinion
Petitioner Julio Cesar Najera-Rodriguez is a lawful permanent resident of the United States. In 2016, an Illinois state court convicted him of unlawful possession of
*347
several Xanax pills without a prescription. Federal law provides in relevant part that any non-citizen, including a lawful permanent resident, is removable if he is convicted of a federal or state crime "relating to a controlled substance (as defined in section 802 of title 21)."
I. Facts and Procedural History
Julio Cesar Najera-Rodriguez is a thirty-year-old lawful permanent resident. He moved from Mexico to the United States when he was ten years old. In 2016, he pleaded guilty to unlawful possession of a controlled substance in violation of 720 ILCS 570/402(c). He was sentenced to two years of probation, community service, alcohol and drug treatment, educational requirements, and court fines.
In October 2017, the Department of Homeland Security began proceedings to remove Najera-Rodriguez under
II. The Legal Framework
Some background is needed even to understand what it means to ask whether Illinois's § 402(c) is "divisible." For readers who already understand the concept well, we can foreshadow the answer: § 402(c) uses a list of "controlled substances" that includes several substances that are not controlled substances under
A. The Categorical Method
The applicable immigration provision,
The parties here agree that § 402(c) covers substances that are not controlled substances under federal law. The Illinois statute covers at least some substances (e.g., salvinorin A and salvia divinorum, 720 ILCS § 204(d)(10.1) & (d)(10.5)) that are not included in the five federal schedules of controlled substances. See
B. The Modified Categorical Approach
Illinois's § 402(c) covers many different controlled substances, and there are thus many ways to violate it. With multiple ways to violate a particular criminal statute, some triggering federal consequences and some not, the categorical approach requires additional analysis. We have to decide whether the "modified categorical approach" can show that the state conviction is covered by the federal statute triggering the consequences, typically a harsher criminal sentence or, as in this case, removal from the United States.
When a criminal law can be violated in many ways, applying the categorical method requires consideration of whether the statute is "divisible," meaning that it defines distinct crimes with different
elements
, not just different
means
for committing the same crime.
Mathis v. United States
, --- U.S. ----,
If § 402(c) were divisible, then we could examine the records of Najera-Rodriguez's conviction to determine whether he was convicted of a crime "relating to a controlled substance (as defined in section 802 of title 21 )."
The difference between "elements" and "means" can seem slippery, sometimes almost metaphysical, but significant legal consequences flow from that difference. " 'Elements' are the 'constituent parts' of a crime's legal definition-the things the 'prosecution must prove to sustain
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a conviction.' "
Mathis
,
Mathis
provides the Supreme Court's most recent guidance for distinguishing between elements and means, and thus for determining whether a statute is divisible for these purposes. The issue in
Mathis
was whether the Iowa burglary statute was divisible for purposes of the Armed Career Criminal Act. The Iowa burglary statute was broader than the generic burglary offense for purposes of federal law because it covered unlawful entry, with criminal purpose, of locations other than buildings. The Supreme Court found that the different locations in the state statute showed only different means for committing one crime of burglary, so that the burglary statute was not divisible and thus that the defendant's Iowa burglary convictions did not qualify for enhanced penalties under the Armed Career Criminal Act. The Court's opinion noted that its approach to divisibility would also apply under immigration statutes that depend on criminal convictions.
In broad strokes,
Mathis
directs federal courts (and agencies) to seek first a definitive state-court decision.
In other easy cases, the statute's text may resolve the issue.
Mathis
,
But "if state law fails to provide clear answers, federal judges have another place to look: the record of a prior conviction itself."
III. Analysis
A. Standard of Review
We review only the Board of Immigration Appeals' decision because it was independent of the immigration judge's ruling.
Lenjinac v. Holder
,
B. Whether § 402(c) is Divisible
To determine whether the different ways to violate § 402(c) reflect different means or different elements, we consider the available sources of state law. The Illinois Supreme Court cases cited by the parties did not address this question directly, so the easiest answer under Mathis is not available. We turn next to the statutory text and then to potentially relevant case law and other sources of state law, including pattern jury instructions, to see if they provide authoritative guidance. Finally, we consult Najera-Rodriguez's conviction records.
1. The Statutory Text
If the text of the statute shows clearly that it is divisible-e.g., by stating plainly that listed alternatives are elements of the offense or carry different punishments-we can feel confident in relying on this state-law source when opining on this issue.
Mathis
,
Any person who violates this Section with regard to an amount of a controlled substance other than methamphetamine or counterfeit substance not set forth in subsection (a) or (d) is guilty of a Class 4 felony. The fine for a violation punishable *351 under this subsection (c) shall not be more than $ 25,000.
The text of § 402(c) cannot be understood without considering the entire section, so we turn to subsections (a) and (d), which are considerably more specific about controlled substances.
Subsection 402(a) addresses Class 1 felonies and contains close to 30 separate paragraphs. Each paragraph separately identifies different substances, specific drug amounts, and the corresponding penalties. Here are some representative samples:
(a) Any person who violates this Section with respect to the following controlled or counterfeit substances and amounts ... is guilty of a Class 1 felony and shall, if sentenced to a term of imprisonment, be sentenced ... as provided in this subsection (a) and fined as provided in subsection (b):
(1)(A) not less than 4 years and not more than 15 years with respect to 15 grams or more but less than 100 grams of a substance containing heroin; ...
(2)(A) not less than 4 years and not more than 15 years with respect to 15 grams or more but less than 100 grams of any substance containing cocaine; ...
(7)(D) not less than 10 years and not more than 50 years with respect to: (i) 900 grams or more of any substance containing lysergic acid diethylamide (LSD), or an analog thereof, or (ii) 1500 or more objects or 1500 or more segregated parts of an object or objects containing in them or having upon them any amount of a substance containing lysergic acid diethylamide (LSD), or an analog thereof.
720 ILCS 570/402(a). The following subsection, 402(b), specifies fines for violations of § 402(a) "involving 100 grams or more of the controlled substance named therein." And like the individual paragraphs in § 402(a), § 402(d) addresses by name one category of controlled substances: anabolic steroids.
The different penalties for separate paragraphs in § 402(a) signal clearly that those are different crimes with different elements, so those provisions are divisible from other portions of § 402 for purposes of
Returning to § 402(c), we find a broad residual or catch-all crime that speaks generally of "a controlled substance," one that applies when subsections (a) and (d) do not. The term "controlled substance" is defined in the Illinois act in 720 ILCS 570/102(f), which directs the reader in relevant part to "the Schedules of Article II of this Act," which in turn are found at 720 ILCS 570/204 (Schedule I), 720 ILCS 570/206 (Schedule II), 720 ILCS 570/208 (Schedule III), 720 ILCS 570/210 (Schedule IV), and 720 ILCS 570/212 (Schedule V). Schedule IV lists alprazolam, the generic term for Xanax, the substance Najera-Rodriguez was charged with possessing without a prescription. Among Schedule IV's several dozen listed substances, there is no indication that possession of one substance versus another would call for a different penalty or any other differential treatment.
Under the language of § 402(c) and its place in the larger Illinois act, any "controlled substance" will do, subject to the
*352
explicit exceptions for methamphetamine, counterfeit substances, and anabolic steroids. The text and structure do not show that the identity of the controlled substance is an element under § 402(c). See, e.g.,
Harbin v. Sessions
,
Our analysis in
United States v. Elder
,
The government contends, however, that there is a clear textual signal that § 402(c) is divisible. The preamble to all of 720 ILCS 570/402 instructs: "A violation of this Act with respect to each of the controlled substances listed herein constitutes a single and separate violation of this Act." Only § 402(a) and § 402(d), however, actually have "controlled substances listed herein." That sentence in the preamble therefore does not signal that in a prosecution under § 402(c), Illinois prosecutors must prove beyond a reasonable doubt the identity of a controlled substance. The text and structure of § 402(c) do not show that it is divisible among different controlled substances.
2. State Court Decisions and Pattern Jury Instructions
Without a ruling by the Illinois Supreme Court that is directly on point or statutory text that clearly shows that § 402(c) is divisible, the government relies on other sources of state law: a broader look at Illinois case law, including suggestive opinions from the Illinois Supreme Court and Appellate Court, as well as pattern jury instructions.
The Illinois Supreme Court case that comes closest to addressing the elements of § 402(c) is
People v. Hagberg
,
*353
The few cases that cite
Hagberg
for its statement of § 402(c)'s elements (rather than its ruling on the reliability and admissibility of field tests), generally repeat its non-specific language. See, e.g.,
People v. Woods
,
The government also cites an Illinois Supreme Court case concerning a felon's possession of a weapon,
People v. Carter
,
The government cites several intermediate appellate decisions that also do not address head-on the elements of § 402(c). For example, in determining "whether the armed violence statute authorizes separate offenses to be charged based on simultaneous predicate felonies," the court offered as an aside "that the possession of a controlled substance statute permits multiple convictions for the simultaneous possession of multiple substances."
People v. White
,
*354
Likewise, in
People v. Ortiz
,
Without textual support or a clear decision by the Illinois Supreme Court treating the identity of the controlled substance as an element of a § 402(c) charge, hunting through the dicta of state court decisions is a method not supported by Supreme Court precedent. This advocacy-oriented reading of state case law also thwarts the ability of "aliens to anticipate the immigration consequences of guilty pleas in criminal court, and to enter 'safe harbor' guilty pleas that do not expose the alien defendant to the risk of immigration sanctions."
Mellouli
,
The government also argues that we should consider Illinois's relevant pattern jury instructions. Those instructions are at best ambiguous and, if anything, offer some support for Najera-Rodriguez's position that the identity of the particular controlled substance is not an element under § 402(c). There are two relevant pattern jury instructions for all offenses charged under § 402, including § 402(a), for which the identity and amount of the controlled *355 substance appear to be elements. The government relies on Pattern Jury Instruction 17.28, which provides alternative instructions on this element, both of which indicate a space where the identity of the controlled or counterfeit substance should be inserted: "That the defendant knowingly possessed a substance containing [ (_________, a controlled substance) (a counterfeit substance) ] " or "That the defendant knowingly possessed a substance containing [ (__________, a controlled substance) (a counterfeit substance) ] ." Section 17 at 51, Illinois Pattern Jury Instructions-Criminal, Supreme Court Committee on Jury Instructions in Criminal Cases. The government does not address, however, Pattern Jury Instruction 17.27, which says: "A person commits the offense of possession of a [ (controlled) (counterfeit) ] substance when he knowingly possesses a substance containing a [ (controlled) (counterfeit) ] substance," giving no indication that the identity of the substance is necessary. Id. at 49. The most natural reading of the two instructions is that for § 402 offenses for which the identity of the substance is a necessary element-e.g., § 402(a) and § 402(d)-use of Instruction 17.28 is appropriate; for the catch-all provision, § 402(c), however, Instruction 17.27 will suffice.
Neither Illinois court decisions nor the pattern jury instructions persuade us that the identity of the particular controlled substance is an element for a charge under § 402(c).
Mathis
directs us to look for a "state court decision that definitively answers the question,"
3. Records of Conviction
Because the most reliable sources of state law do not provide a clear sign of divisibility, we are permitted to look at "the record of a prior conviction itself" to determine whether the state statute is divisible.
Mathis
,
Najera-Rodriguez was charged with "UNLAWFUL POSSESSION OF A CONTROLLED SUBSTANCE, in that [he] knowingly and unlawfully had in his possession pills containing in them or having upon them a substance containing alprazolam, also known as Xanax, a controlled substance, in violation of 720 ILCS 570/402(c)." This document does not show whether the mention of alprazolam/Xanax is an essential element or a factual detail. See
Descamps
, 570 U.S. at 292,
*356
Harbin
,
Our reluctance to place too much weight on Najera-Rodriguez's charging document grows in light of his sentencing document, which states only that the sentence is the result of a "negotiated plea of guilty" for "unlawful poss. [of a] cont. substance" under § 402(c), without specifying the controlled substance. Together, the charging and sentencing documents in Najera-Rodriguez's case simply do not show that the identity of the controlled substance was an element of the offense, which would be necessary to treat § 402(c) as divisible, so that his conviction could support his removability under
If Najera-Rodriguez had "known that the Board would consider this statute of conviction categorically" to involve a federal controlled substance, "he may have gone to trial, or he may have pleaded guilty to a different statutory violation calling for additional incarceration but less serious immigration consequences."
Garcia-Martinez v. Barr
,
Finally, we add a note of caution. In applying this now-extensive body of law concerning collateral federal consequences of state convictions, lawyers for the federal government often urge federal courts to define the elements of state criminal offenses in particular ways essential or helpful in the particular case. If federal courts interpret state law incorrectly, by finding that state laws include essential elements that state courts have not treated as such, we could mistakenly cast doubt on the much higher volume of state criminal prosecutions under those same state statutes. To reduce that risk, we need to insist on clear signals-signals that convince us to a certainty that the elements are correct and support divisibility before imposing additional federal consequences for those state convictions.
We GRANT the petition for review, VACATE the order of removal, and REMAND this case to the Board of Immigration Appeals for further proceedings consistent with this opinion.
Here is the full text of the provision: "Any alien who at any time after admission has been convicted of a violation of (or a conspiracy or attempt to violate) any law or regulation of a State, the United States, or a foreign country relating to a controlled substance (as defined in section 802 of title 21 ), other than a single offense involving possession for one's own use of 30 grams or less of marijuana, is deportable."
Even further afield, the government cites cases that:
(1) Involve convictions not under § 402(c), but under § 402(a), see, e.g., People v. Besz ,345 Ill.App.3d 50 ,280 Ill.Dec. 590 ,802 N.E.2d 841 , 844 (2003) ; People v. Bui ,381 Ill.App.3d 397 ,319 Ill.Dec. 235 ,885 N.E.2d 506 , 511 (2008), or some other Illinois statute, see, e.g., People v. Glisson ,359 Ill.App.3d 962 ,296 Ill.Dec. 307 ,835 N.E.2d 162 , 165 (2005) (chemical breakdown of illicit controlled substances under 720 ILCS 570/401.5(a-5) );
(2) Merely mention the substance at issue, which the government urges us to interpret as an authoritative statement of § 402(c)'s elements, see, e.g., People v. Bartee ,351 Ill.App.3d 472 ,286 Ill.Dec. 588 ,814 N.E.2d 238 , 242 (2004) (referencing cocaine, but citing Hagberg when stating § 402(c)'s elements in general terms: "The State must prove in a possession of a controlled substance prosecution that the substance at issue is in fact a controlled substance"); or
(3) Reflect one or more of the above weaknesses and are not precedential, see, e.g., People v. Bramley ,2015 WL 9590308 , at *9 (Ill. App. Dec. 30, 2015) (using a general formulation for § 402(c)'s elements: "[t]o commit [a § 402(c) ] offense ... defendant had to 'knowingly' possess a controlled substance"; quoting from plea colloquy: "do you plead guilty, sir, to the offense of unlawful possession of a controlled substance, a class 4 felony?"; quoting further from the plea colloquy that mentioned the substance at issue, but emphasizing the element of "knowing": "it is alleged that ... you did knowingly and unlawfully possess less than 15 grams of a substance containing cocaine, a controlled substance.") (emphasis in original).
The parties disagree as to whether we can address this source of state law. The Board of Immigration Appeals declined to do so. Whether the Illinois state criminal statute is divisible is a purely legal question, so we may complete the legal analysis set out by
Mathis
even if the Board did not do so.
Lopez v. Lynch
,
Reference
- Full Case Name
- Julio Cesar NAJERA-RODRIGUEZ, Petitioner, v. William P. BARR, Attorney General of the United States, Respondent.
- Cited By
- 29 cases
- Status
- Published