www.ussc.gov (202) 502‐4545 @theusscgov [email protected] 1 The Categorical Approach: A step‐by‐step analysis
www.ussc.gov (202)502‐4545 @theusscgov [email protected]
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TheCategoricalApproach:Astep‐by‐step analysis
2Discussion Outline
•Whatisthecategoricalapproach?
• Statutesandguidelinesmostcommonlyrequiringuseofthecategoricalapproach
• Step‐by‐stepprocessforusingthecategoricalapproach
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The Categorical Approach
• Thedeterminationofwhetherapriorconviction (ortheinstantoffenseofconviction)meetsthecriteriaofacertaincategoryofoffense;e.g.,crimeofviolenceorviolentfelony.
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It All About the Elements
• Only theelementsoftheoffenseofconvictioncanbeconsidered− Donotrelyonthetitleofthestatute− Donot looktothefactsofthespecificcase
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Examples of Statutes Where the Categorical Approach Is Used
•18USC§ 924(e)(ArmedCareerCriminalAct:ACCA)
•18USC§ 16(usedfor“aggravatedfelony”determinationforillegalentry)
•18U.S.C.§ 2252(b)(definingpriorsexoffenseconvictions)
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Examples of Guidelines Where the Categorical Approach Is Used
• §§4B1.1&4B1.2(CareerOffender)
• §2K2.1(Firearms)
• §2L1.2(Immigration‐ IllegalEntry)**
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Definitions Frequently Considered in the Categorical Approach
• “Violentfelony”– ArmedCareerCriminalAct(ACCA)(18USC§ 924(e))
• “Crimeofviolence”– CareerOffender(§4B1.2)– IllegalEntry(§2L1.2)
10The Structure of a Definition of a Category of
Offense
• “Force”Clause– Listoftheelementsthatwillincludeanoffenseinthecategory
• “Enumerated”Clause– Listofoffensesincludedinthecategory
TwoPotentialSections
11EXAMPLE: ACCA Definition of “Violent Felony”
• ....hasasanelement theuse,attempteduse,orthreateneduseofphysicalforceagainstthepersonofanother,or
• is burglary,arson,orextortion,involvesuseofexplosives,or
• otherwiseinvolvesconduct thatpresentsaseriouspotentialriskofphysicalinjurytoanother….
18USC§ 924(e)(2)(B)
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Career Offender Guideline Definition for “Crime of Violence”
• hasasanelement theuse,attempteduse,orthreateneduseofphysicalforceagainstthepersonofanother,or
• ismurder,voluntarymanslaughter,kidnapping,aggravatedassault,forciblesexoffense,robbery,arson,orextortion,ortheuseorunlawfulpossessionofafirearmdescribedin26U.S.C.§ 5949(a)orexplosivematerialasdefinedin18U.S.C§ 841(c).
§4B1.2(a)
13Step 2:Establish the offense of conviction
• Examinethestatuteofconviction:• the“CategoricalApproach”
• Onlyifnecessarytoestablishtheoffenseofconviction,uselimiteddocumentsbeyondthestatuteofconviction:• the“ModifiedCategoricalApproach”
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Examine the Statute of Conviction:The Categorical Approach
•Whenthejudgmentcitesonlythestatuteofconviction,examineonly thestatuteofconviction
•Then,determineiftheelementsofthestatutemeetthecategoricaldefinition
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Example 1
Burglaryistheunlawfulorunprivilegedentryinto,orremainingin,abuildingorstructure,withintenttocommitafelony
State Statute § 301: Burglary – 1st Degree
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Examine the Statute of Conviction:The Categorical Approach
•Whenthejudgmentcitesthesubsection ofthestatuteofconviction,examineonly thesubsection
•Determineiftheelementsofthesubsectionmeetthecategoricaldefinition
17Example 2
a. Unlawfulorunprivilegedentryinto,orremainingin,adwellinghouse,building,structureorroom,withintenttocommitafelony
b. Unlawfulorunprivilegedentryinto,orremainingin,abuildingorstructureotherthanadwelling,withintenttocommitafelony
c. Unlawfulorunprivilegedentryintoanyautomobile,truck,trucktrailer,railcar,orvesselwithintenttosteal
d. Breakingintoorforciblyopeninganycoin‐operatedorvendingmachinewithintenttosteal
StateStatute§ 500:Burglary
18Example 3
a. Unlawfulorunprivilegedentryinto,orremainingin,adwellinghouse,building,structureorroom,withintenttocommitafelony
b. Unlawfulorunprivilegedentryinto,orremainingin,abuildingorstructureotherthanadwelling,withintenttocommitafelony
c. Unlawfulorunprivilegedentryintoanyautomobile,truck,trucktrailer,railcar,orvesselwithintenttosteal
d. Breakingintoorforciblyopeninganycoin‐operatedorvendingmachinewithintenttosteal
StateStatute§ 500:Burglary
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• Awaytodeterminetheelementsofthe offensewhenaparticularstatutelistselementsinthealternative.
What is the modified categorical approach?
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• Onlyusemodifiedcategoricalapproachwhenthestatuteisdivisible; thatis,thestatutecontainsdifferentelements,ratherthandifferentmeans.
When can I use the modified categorical approach?
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“Divisible” Statutes
• “Thatkindofstatutesetsoutoneormoreelementsoftheoffenseinthealternative– forexample,statingthatburglaryinvolvesentryintoabuildingoranautomobile.”
Descamps v.U.S.,133S.Ct.2276(2013)
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“Divisible” Statutes
• “Ifonealternativematchesanelementinthegenericoffense,buttheotherdoesnot,themodifiedcategoricalapproachpermitssentencingcourtstoconsultalimitedclassofdocuments….todeterminewhichalternativeformedthebasisofthedefendant’spriorconviction.”
Descamps v.U.S.,133S.Ct.2276(2013)
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• “’Elements’arethe‘constituentparts’ofacrime'slegaldefinition—thethingsthe“prosecutionmustprovetosustainaconviction. Atatrial,theyarewhatthejurymustfindbeyondareasonabledoubttoconvictthedefendant,seeandatapleahearing,theyarewhatthedefendantnecessarilyadmitswhenhepleadsguilty.”
• Mathisv.UnitedStates,136S.Ct.2243(2016)
What is an “element?”
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• Facts,bycontrast,aremerereal‐worldthings—extraneoustothecrime'slegalrequirements ...Theyare“circumstance[s]”or“event[s]”havingno“legaleffect[or]consequence”:Inparticular,theyneedneitherbefoundbyajurynoradmittedbyadefendant.
• Mathisv.UnitedStates,136 S. Ct. 2243 (2016)
How is an element different from a fact?
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• Onlyusethemodifiedcategoricalapproachwhenthereisadivisiblestatutethatlistsalternativeelementsandthequestionis:whatsectionofthestatutedidthedefendantpleadguiltyto?
Why is the elements v. facts (means) distinction important?
27Example
a. Unlawfulorunprivilegedentryinto,orremainingin,adwellinghouse,building,structureorroom,withintenttocommitafelony
b. Unlawfulorunprivilegedentryinto,orremainingin,abuildingorstructureotherthanadwelling,withintenttocommitafelony
c. Unlawfulorunprivilegedentryintoanyautomobile,truck,trucktrailer,railcar,orvesselwithintenttosteal
d. Breakingintoorforciblyopeninganycoin‐operatedorvendingmachinewithintenttosteal
StateStatute§ 500:Burglary
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Divisible?• MarylandFourthDegreeBurglary
• (a)Apersonmaynotbreakandenterthedwellingofanother• (b)Apersonmaynotbreakandenterthestorehouseofanother
• (c)Aperson,withtheintenttocommittheft,maynotbeinoronthedwellingorstorehouseofanother;or
• (d)Apersonmaynotpossessaburglar'stoolwiththeintenttouseinthecommissionofaviolationofthissubtitle.
• Isthisadivisiblestatute?
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Divisible?
• Illinoisburglary:– Unlawfullyenterswithoutauthorityandremainswithinabuilding,house‐trailer,watercraft,aircraft,motorvehicle,railroadcarwithintenttocommitafelonyortheft
• Isthisadivisiblestatute?
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• Plainlanguageofthestatute(differentpenalties?)
• Juryinstructions• Statesupremecourtdecisionsinterpretingthestatute
How to determine if a statute is divisible?
31Modified Categorical Approach: Documents
• Documentscanbeusedonlytodeterminewhichspecificstatutorysubsectionorprovisionformedthebasisoftheconviction.– Courtscannotconsidertheunderlyingconductsetforthinthedocuments
• Onlylimiteddocumentsareallowedforthisanalysis
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Shephard Approved Documents
PermittedDocuments•Chargingdocuments**•Pleaagreement•Pleacolloquy• Juryinstructions•Comparablejudicialrecord
ProhibitedDocuments•PoliceReports•Witnessstatements•RapSheet•PSR*
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Statute is Divisible but Shepherd Documents Not Helpful (or Don’t Exist)
• Ifthestatutehassubsectionsorisotherwisedivisible,butthejudgmentonlycitesthestatuteandnotthespecificsubsectionorspecificoffenseofconviction,determineifeither– ALLthesubsectionsmeetthecategoricaldefinition
– NONEofthesubsectionsmeetthecategoricaldefinition
OR
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• Requiresadeterminationofwhethertheelementsoftheoffenseofconvictionmeetthe genericdefinitionfortheenumeratedoffense
BasedontheElementsoftheOffenseofConviction
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• Theelementsoftheoffenseofconvictionmustmeettheelementsoftheenumeratedoffenseinitsgeneric,contemporarydefinition
– Itisnotsufficientthattheoffenseofconvictionhasthesametitleasanenumeratedoffense
Use of the Generic, Contemporary Definition
38ACCA Definition for “Violent Felony”
• ....hasasanelement theuse,attempteduse,orthreateneduseofphysicalforceagainstthepersonofanother,or
• is burglary,arson,orextortion,involvesuseofexplosives
18USC§ 924(e)(2)(B)
39Crime of Violence Definition at Career Offender (§4B1.2(a))
• ....hasasanelement theuse,attempteduse,orthreateneduseofphysicalforceagainstthepersonofanother,orismurder,voluntarymanslaughter,kidnapping,aggravatedassault,aforciblesexoffense,robbery,arson,extortion,ortheuseorunlawfulpossessionofafirearmdescribedin26U.S.C.§ 5845(a)orexplosivematerialasdefinedin18U.S.C.841(c).
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• ModelPenalCode• SupremeCourtandcircuitcourtcaselaw• 50 statesurvey• Guidelines(e.g.,extortion)
SomeSourcesofGenericDefinitions
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• GenericAggravatedAssault
• attemptstocauseseriousbodilyinjurytoanother,orcausessuchinjurypurposely,knowinglyorrecklesslyundercircumstancesmanifestingextremeindifferencetothevalueofhumanlife
Analysis:EnumeratedSection(cont.)
• PAAggravatedAssault:• attemptstocauseseriousbodilyinjurytoanother,orcausessuchinjurypurposely,knowinglyorrecklesslyundercircumstancesmanifestingextremeindifferencetothevalueofhumanlife
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• GenericformofRobbery• Propertytobetakenfromapersonorperson’spresencebymeansofforceorputtinginfear
Analysis:EnumeratedSection(cont.)
• D.C.Robbery:• Whoeverbyforceorviolence,whetheragainstresistance,orbysuddenorstealthyseizureorsnatching,orbyputtinginfear,shalltakefromthepersonorimmediateactualpossessionofanotheranythingofvalue
44ACCA Definition for “Violent Felony”
• ....hasasanelement theuse,attempteduse,orthreateneduseofphysicalforceagainstthepersonofanother,or
• is burglary,arson,orextortion,involvesuseofexplosives,or
18USC§ 924(e)(2)(B)
45Supreme Court Case Involving Force Clause of “Violent Felony”
• “Thetermviolent…connotesasubstantialdegreeofforce.”
•Needforcecapableofcausingphysicalpainorinjurytoanother
Johnsonv.U.S.,130S.Ct.1265(2010)
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Four Key Issues to Consider withthe Force Clause
1. Forcemustbeusedintentionally,notrecklesslyornegligently
2. Requires“violentforce,”not“unwantedtouching”
3. Requirestheuseofforce,notmerelythecausationofphysicalinjury
4. Forcemustbedirectedagainstaperson,notproperty
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Issue #1: Intentional v. Reckless Conduct
•Theoffensemustrequireintentionaluseofviolentforce,orintentionalthreatofviolentforce.Recklessnessornegligentisnotsufficient.
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Issue #2: Violent Force
• Unwantedoroffensivetouchingisnotviolentforce;e.g.,deminimus force.
• Examplesof“unwantedtouching”or“offensivetouching”• AssaultandBattery:
• UnitedStatesv.Holloway,630F.3d252(1st Cir.2011)(Massachusetts)
• ResistingArrest• UnitedStatesv.Aparicio‐Soria,740F.3d152(4th Cir.2014)(en banc)(Maryland)
• BatteryonLawEnforcement• UnitedStatesv.Braun,801F.3d1301(11th Cir.2015)(Florida)
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Issue #3: Using Force v. Causing Injury
• Offenseswithelementsrequiringphysicalinjury,seriousphysicalinjury,orevendeath,donotnecessaryequal“violentforce”
• Physicalinjurycanbecommittedwithouttheuseofstrongphysicalforcesuchas:
• Poisoning• Exposingsomeonetohazardouschemicals• Lockingsomeoneinthecaronahotday• Neglectingorstarvingsomeone
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Issue #4: Property v. Person
•Force,evenviolentforce,againstpropertydoesnotqualifyunderACCAforceclause.• E.g.,Robberystatutesthatincludethreatstopropertyaswellasthreatstopersons.