the categorical approach: a step by step analysis · the categorical approach: a step ... –armed...

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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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Step‐by‐Step

TheCategoricalApproach

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Step 1:

Identify the definition under consideration

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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






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Modified Categorical Approach

(“When can I look at the documents?”)

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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






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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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Step 3:

Analyze the offense of conviction to determine if it meets the category of

offense.

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Analysis: Whether a Conviction Meets

the Enumerated Section of a Categorical Definition

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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”


• 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

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Analysis: Whether a Conviction Meets

the “Force” Section of a Categorical Definition

44ACCA Definition for “Violent Felony”


• 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.

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Scenario

DemonstratingtheStep‐by‐StepProcessoftheCategoricalApproach