United States v. Joseph Simms
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Opinions
DIANA GRIBBON MOTZ, Circuit Judge:
Joseph Decore Simms was convicted of brandishing a firearm in connection with a "crime of violence," as defined in
We cannot do so. Neither the statutory language nor controlling precedent offer any support for the Government's proposed reinterpretation. Rather, the text and structure of § 924(c)(3)(B) plainly set forth a definition of "crime of violence" that fails to comport with due process. Accordingly, we reverse and remand for further proceedings consistent with this opinion.
I.
This case arises from an April 2014 conspiracy to rob a McDonald's in Goldsboro, North Carolina. Shortly after 1:00 a.m., Simms and a co-conspirator crawled into the McDonald's through the drive-through window; a third robber served as a lookout. When inside, Simms pointed a gun at the manager, attempted to strike another employee, and demanded money. The manager complied and opened the restaurant's safe. After removing the contents, Simms struck the manager with the gun, threw a cash drawer at the other employee, and fled with his two co-conspirators and $1,100.
After his arrest and indictment, Simms pleaded guilty to Count I, conspiracy to commit Hobbs Act robbery in violation of
Simms appealed, again contending that his conviction under Count II could not stand because § 924(c)(3)(B) was unconstitutional.
II.
We must determine whether the definition of "crime of violence" in § 924(c)(3)(B) satisfies the requirements of due process.
In resolving this question, we first set forth the statutory framework and examine Supreme Court precedent interpreting text materially identical to that at issue here. We then address the contours of Simms's constitutional challenge, drawing on the Supreme Court's consideration of identical challenges to similar statutory language. Finally, we explain why, in light of the plain text and binding Supreme Court precedent, we must hold § 924(c)(3)(B) unconstitutional.
A.
Federal law, as codified at
Section 924(c)(3) defines "crime of violence" as "an offense that is a felony" and
(A) has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
Our analysis begins with the force clause, § 924(c)(3)(A). To determine whether an offense is a crime of violence under that clause, courts use an inquiry known as the "categorical" approach. They look to whether the statutory elements of the offense necessarily require the use, attempted use, or threatened use of physical force.
See, e.g.
,
Leocal v. Ashcroft
,
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DIANA GRIBBON MOTZ, Circuit Judge:
Joseph Decore Simms was convicted of brandishing a firearm in connection with a "crime of violence," as defined in
We cannot do so. Neither the statutory language nor controlling precedent offer any support for the Government's proposed reinterpretation. Rather, the text and structure of § 924(c)(3)(B) plainly set forth a definition of "crime of violence" that fails to comport with due process. Accordingly, we reverse and remand for further proceedings consistent with this opinion.
I.
This case arises from an April 2014 conspiracy to rob a McDonald's in Goldsboro, North Carolina. Shortly after 1:00 a.m., Simms and a co-conspirator crawled into the McDonald's through the drive-through window; a third robber served as a lookout. When inside, Simms pointed a gun at the manager, attempted to strike another employee, and demanded money. The manager complied and opened the restaurant's safe. After removing the contents, Simms struck the manager with the gun, threw a cash drawer at the other employee, and fled with his two co-conspirators and $1,100.
After his arrest and indictment, Simms pleaded guilty to Count I, conspiracy to commit Hobbs Act robbery in violation of
Simms appealed, again contending that his conviction under Count II could not stand because § 924(c)(3)(B) was unconstitutional.
II.
We must determine whether the definition of "crime of violence" in § 924(c)(3)(B) satisfies the requirements of due process.
In resolving this question, we first set forth the statutory framework and examine Supreme Court precedent interpreting text materially identical to that at issue here. We then address the contours of Simms's constitutional challenge, drawing on the Supreme Court's consideration of identical challenges to similar statutory language. Finally, we explain why, in light of the plain text and binding Supreme Court precedent, we must hold § 924(c)(3)(B) unconstitutional.
A.
Federal law, as codified at
Section 924(c)(3) defines "crime of violence" as "an offense that is a felony" and
(A) has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
Our analysis begins with the force clause, § 924(c)(3)(A). To determine whether an offense is a crime of violence under that clause, courts use an inquiry known as the "categorical" approach. They look to whether the statutory elements of the offense necessarily require the use, attempted use, or threatened use of physical force.
See, e.g.
,
Leocal v. Ashcroft
,
Simms's offense-conspiracy to commit Hobbs Act robbery-does not categorically qualify as a crime of violence under the elements-based categorical approach, as the United States now concedes. Gov. 28(j) Letter at 1, ECF No. 44 (Oct. 19, 2016); Simms Suppl. Br. at 1. This is so because to convict a defendant of this offense, the Government must prove only that the defendant agreed with another to commit actions that, if realized, would violate the Hobbs Act. Such an agreement does not invariably require the actual, attempted, or threatened use of physical force.
Accordingly, the only way we can sustain Simms's conviction on Count II is if his commission of Hobbs Act conspiracy constitutes a crime of violence under the residual clause-that is, if we determine that he committed a felony offense "that by its nature[ ] involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense."
Importantly, however, the analysis applicable to the residual clause constitutes a "distinctive form" of the categorical approach.
Dimaya
,
We call the analysis applicable to the residual clause the
ordinary-case
categorical approach. This ordinary-case categorical approach is "broader than" the elements-based categorical approach applicable to the force clause, "in the sense that force need not actually be applied" in a residual clause offense.
Leocal
,
B.
Simms contends that conspiracy to commit Hobbs Act robbery does not constitute a crime of violence under the residual clause, § 924(c)(3)(B), because that clause-like the similarly worded residual clauses analyzed in
Johnson
, --- U.S. ----,
As Justice Kagan explained in
Dimaya
, " '[t]he prohibition of vagueness in criminal statutes' ... is an 'essential' of due process, required by both 'ordinary notions of fair play and the settled rules of law.' "
In
Johnson
, the Supreme Court struck down the residual clause of the Armed Career Criminal Act ("ACCA") as void for vagueness.
(i) has as an element the use, attempted use, or threatened use of physical force against the person of another; or
(ii) is burglary, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another ....
The
Johnson
Court explained that "[t]wo features of the [ACCA] residual clause conspire[d] to make it unconstitutionally vague."
The first problem arose because the residual clause "tie[d] the judicial assessment of risk to a judicially imagined 'ordinary case' of a crime, not to real-world facts or statutory elements," but "offer[ed] no reliable way" for judges to ascertain what the "ordinary case" involved.
The Supreme Court reiterated this logic in
Dimaya
, when it held
(a) an offense that has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(b) any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
In
Dimaya
, the Court held that a "straightforward application" of
Johnson
made clear that § 16(b), like the ACCA residual clause, was void for vagueness.
Id
. at 1213. In doing so, the Court carefully explained that the proper ordinary-case categorical analysis did not ask "whether 'the particular facts' underlying a conviction
posed the substantial risk that § 16(b) demands," nor whether "the statutory elements of a crime require (or entail) the creation of such a risk in each case that the crime covers."
As a result, § 16(b) possessed "the same two features that conspired to make ACCA's residual clause unconstitutionally vague."
Id.
at 1216 (majority opinion) (alterations and internal quotation marks omitted) (quoting
Johnson
,
C.
With these precedents in mind, we turn to the question at hand: is the materially identical statute at issue here also unconstitutionally vague?
Like the statutes examined in
Johnson
and
Dimaya
, § 924(c)(3)(B) requires a court to imagine the idealized ordinary case of a crime while providing no guidance on how to do so, rendering any judicial account of the ordinary case wholly speculative.
Dimaya
,
Section 924(c)(3)(B) is therefore unconstitutional. Three other circuits have reached this conclusion.
United States v. Davis
,
To understand why, consider a situation where a defendant is charged with possessing a gun in conjunction with witness tampering.
See
Thus, to evaluate whether witness tampering satisfies the "crime of violence" element of a § 924(c) violation, a court must assess whether the ordinary case of witness tampering, with or without a firearm, "involves a substantial risk [of] physical force."
Just as in
Dimaya
, a "straightforward application" of controlling precedent to the challenged statute requires us to strike it down.
Dimaya
,
III.
The United States concedes that if we adhere to the ordinary-case categorical approach applied by the Supreme Court in Leocal , Johnson , and Dimaya , we must invalidate § 924(c)(3)(B). The Government, however, urges us to jettison this established interpretation and adopt a new reading of the challenged statutory language that employs a conduct-specific approach to the crime of violence analysis. This conduct-specific approach would consider the facts of each individual case, rather than the statutory definition of the underlying offense.
Before addressing the merits of the Government's claim, we must determine whether to allow it to raise an argument that it previously abandoned. Although the Government initially argued in the alternative that a conduct-specific interpretation of § 924(c)(3)(B) was tenable, Gov. Br. at 28-31, it later expressly disclaimed this reading of § 924(c)(3)(B). The Government did so by submitting to us a written statement that "the position of the United States [is] that the categorical approach is the proper interpretation of the
statute, and it is wholly unaffected by
Johnson
." Gov. 28(j) Letter at 2 (Oct. 19, 2016). After the Supreme Court decided
Dimaya
and we ordered supplemental briefing, the Government again reversed course, deeming a conduct-specific reading of § 924(c)(3)(B) freshly controlling. Given these changing stances, Simms asserts that the Government has forfeited any argument for a conduct-specific approach.
The Government offers two reasons why we should excuse its voluntary withdrawal of a conduct-specific interpretation of § 924(c)(3)(B). First, it argues that
Dimaya
represented "an intervening change in the law recognizing an issue that was not previously available."
United States v. Chittenden
,
This claim does not hold water.
Dimaya
was not the first case to indicate that the ordinary-case categorical approach generated serious constitutional doubts. At the very least, the Government was on notice as to these vagueness concerns after
Johnson
was decided in 2015. Indeed, the Ninth Circuit held § 16(b) unconstitutionally vague four months later.
See
Dimaya v. Lynch
,
The Government next asserts that excusing its abandonment would not prejudice Simms, who has had a full opportunity to respond to the Government's claims. That is certainly enough to convince us that we
can
look past the Government's change of heart,
e.g.
,
United States v. Ramos-Cruz
,
Nevertheless, in this case, we opt to proceed to the merits in view of the exceptional importance and recurring nature of the question presented. Particularly given the markedly effective presentation by the parties and the amici before the en banc court, we see no reason to defer adjudication of the Government's current argument.
IV.
The Government now contends that we must apply a different mode of analysis to § 924(c)(3)(B), a mode that the Supreme Court expressly rejected in both Dimaya and Johnson .
Specifically, the Government insists that the best reading of the statute-which, recall, asks whether "an offense that is a felony ... by its nature[ ] involves a substantial risk that physical force ... may be used in the course of committing the offense"-directs a court to analyze an offender's specific conduct by diving into the facts before it instead of limiting the analysis to the offense's ordinary case. In support of this contention, the Government argues that "the Supreme Court has been very clear" that the categorical approach is "essentially a saving construction" designed only to avoid the risk of unfairness that comes with reviewing conduct that underlies long-past convictions. Oral Arg. at 1:19:05. Alternatively, the Government claims that even if a conduct-specific approach is not the best reading of § 924(c)(3)(B), we still must adopt it to avoid striking down the statute. Three of our sister circuits have embraced the Government's suggestion.
We cannot do so. The Supreme Court did not invent the categorical approach out of whole cloth, as the Government would have us believe. While some other statutes invoking categorical analysis have been less than clear, the text and structure of § 924(c)(3)(B) unambiguously require courts to analyze the attributes of an "offense that is a felony ... by its nature"-that is, categorically. And the Government's comparisons to cases involving very different statutes, rather than bolstering its preference for a new mode of analysis, support adherence to the established ordinary-case categorical approach.
As a preliminary matter, the Government presents a flawed historical premise. It claims that the categorical approach is nothing more than a "saving construction," Oral Arg. at 1:19:05, "purely [a] judge-made doctrine" that was "first endorsed" less than thirty years ago, Gov. Supp. Br. at 17 (internal quotation marks omitted). Further, the Government asserts, this doctrine is grounded entirely in external considerations far afield from congressional language or intent.
This is simply not so. Although categorical analysis may be complicated, the
rationale for it is simple and long-established: if Congress has conditioned a statutory penalty on commission of an offense generally-rather than on specific acts-courts must consider the crime as defined, rather than the offender's conduct.
See, e.g.
,
Shepard v. United States
,
Moreover, the Supreme Court has always rooted the categorical approach in the statutory language chosen by Congress and consistently defended this approach as a means of effectuating congressional intent. Thus, when analyzing ACCA four years after its passage, the Court looked first to "the language of" the statute, and only then to legislative history and practical concerns, to conclude that a categorical approach was "the only plausible interpretation of § 924(e)(2)(B)(ii)."
Taylor v. United States
,
The Supreme Court's interpretation of ACCA in
Taylor
and
Johnson
was, of course, secondarily informed by considerations beyond the statutory text. But tellingly, the Court has deemed the text of § 16(b) -a statute far clearer than the ACCA residual clause and materially identical to the statute at issue here-so plain as to speak for itself. Thus, in 2004, when the Court first interpreted § 16(b) to require the ordinary-case categorical approach, it relied
only
on the text of the statute, and it did not invoke legislative history or practical concerns.
Leocal
,
Setting aside the origins of the categorical approach, we have reviewed § 924(c)(3)(B) on a clean slate and still find no reasonable construction of its text that supports the Government's conduct-specific approach. The statutory structure, as well as Congress's use of materially identical language to implement an ordinary-case categorical approach in § 16(b), render our conclusion inescapable. Whatever a judge's personal feelings as to what does or does not constitute a crime of violence, we are bound to apply the definition that Congress has prescribed. And Congress could hardly have written a clearer call for the ordinary-case categorical approach than § 924(c)(3)(B).
The text of a statute is a court's first and foremost guide to its meaning.
See, e.g.
,
Esquivel-Quintana v. Sessions
, --- U.S. ----,
As the Government itself admits, the definition of "nature" is "the basic or inherent features, character, or quality of something." Oxford Dictionary of English 1183 (3d ed. 2010). Thus, § 924(c)(3)(B) directs courts to consider only the basic or inherent features of "an offense that is a felony."
Moreover, we cannot adopt a reading of § 924(c)(3)(B) that renders part of the statute superfluous over one that gives effect to its "every clause and word."
United States v. Menasche
,
The Government does not even attempt to address this problem.
But the Dimaya Court did not embrace any of these readings of this text. And for good reason: each would still leave "by its nature" wholly superfluous. If we strike that phrase, § 924(c)(3)(B) 's remaining language would require a finding that an offense "involves a substantial risk that physical force ... may be used in the course of committing the offense."
The conclusion that "crime of violence" must be defined categorically is made even plainer when we consider the statutory context, as we must.
See
Davis v. Mich. Dep't of Treasury
,
This conclusion is confirmed by the Supreme Court's refusal to give statutory text variable meanings "depending on the presence or absence of constitutional concerns in each individual case," explaining that such a "novel interpretive approach ... would render every statute a chameleon."
Clark v. Martinez
,
Furthermore, § 924(c)(1)(A), which outlines the elements of a § 924(c) violation, expressly refers to "a crime of violence ... that provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device." This phrasing would make no sense under a conduct-specific definition of "crime of violence," as only statutes, not conduct-specific facts, can "provide[ ] for" an amount of punishment.
Finally, the Government would have us interpret the materially identical 34-word phrase in § 924(c)(3)(B) and § 16(b) in entirely different ways.
In sum, our de novo application of ordinary textual analysis yields a mountain of "textual evidence" that § 924(c)(3) 's residual clause-"like ACCA's, except still more plainly"-"has no 'plausible' fact-based reading."
Dimaya
,
Resisting this conclusion, the Government contends that the phrases "offense," "felony," "by its nature," "involves," and "committing the offense" in § 924(c)(3)(B)"compel" a conduct-specific approach. Gov. Supp. Br. at 10.
Each of these terms can be susceptible to a conduct-specific analysis in isolation.
See
Nijhawan v. Holder
,
Consider
Nijhawan
and
Hayes
. In both opinions, the Supreme Court interpreted statutes that paired a reference to "offense" with detailed qualifiers far too specific to refer to generic crimes.
Nijhawan
concerned an immigration statute that included only offenses "involv[ing] fraud or deceit in which the loss to the victim or victims exceed[ed] $10,000."
Faced with these precise qualifiers, the Supreme Court concluded that Congress must have intended a conduct-specific approach for these statutes to have any force.
See
Nijhawan
,
The "substantial risk of physical force" proviso in § 924(c)(3)(B) is a far cry from the specific qualifiers in
Nijhawan
and
Hayes
. Rather, the proviso in § 924(c)(3)(B) is materially identical to that in § 16(b), and it is similar to the force requirement in statutes that employ the elements-based categorical approach, like § 924(c)(3)(A) and § 16(a).
Nijhawan
and
Hayes
thus highlight the relative "absence of terms alluding to a crime's circumstances" in § 924(c)(3)(B) beyond those also present in § 16(b).
Dimaya
,
Moreover, despite seeking to rely on
Nijhawan
, the Government overlooks one of
Nijhawan
's key teachings. For there, the Court expressly recognized that where Congress "uses similar statutory language and similar statutory structure in two adjoining provisions, it normally intends similar interpretations."
Nijhawan
,
As to
Taylor
, the Government's reliance is inexplicable. It cites that case alone for the proposition that "the Supreme Court has previously relied on the
absence
of the word 'involves' as indicating that a categorical approach
is
required." Gov. Supp. Br. at 13 (citing
Taylor
,
The Government's reliance on
Taylor
, like its reliance on
Nijhawan
, also ignores a critical element of the Supreme Court's analysis. The
Taylor
Court reasoned that the term "burglary" as used in ACCA "most likely refer[red] to the elements of the statute of conviction, not to the facts of each defendant's conduct," in part because of its proximity to the ACCA force clause.
Finally, the Government emphasizes that we have applied a conduct-specific analysis to a provision of the Sex Offender Registration and Notification Act ("SORNA") that uses the phrase "by its nature."
Price
,
In
Price
, we followed
Nijhawan
and
Hayes
to hold that "where a statute contains language that ... refers to specific circumstances or conduct," "Congress meant to allow the circumstance-specific approach's more searching factual inquiry."
To summarize, the text, structure, and context of § 924(c)(3)(B) clearly mandate use of the ordinary-case categorical approach, as do all relevant precedents. Given the Government's concession that use of this mode of analysis renders the statute unconstitutionally vague, this dooms the Government's defense of the statute.
V.
As the Supreme Court has repeatedly instructed, when statutory language is clear, "judicial inquiry is complete."
Conn. Nat'l Bank v. Germain
,
We begin with practical considerations. The Government contends that notwithstanding the statutory text, we should apply a conduct-specific approach to § 924(c)(3)(B) because it, unlike the ACCA residual clause or some applications of § 16(b), always involves charges prosecuted contemporaneously with any underlying crimes of violence. According to the Government, this means "the categorical approach serves no purpose" in the context of § 924(c)(3)(B). Gov. Supp. Br. at 20. Even setting aside the plain text of the statute, the argument fails for two fundamental reasons.
First, § 924(c)(3)(B) 's failure to require a court to assess past conduct hardly compels rejection of the categorical approach. Rather, the categorical approach applies to a number of statutes that require no assessment of past conduct. Most notably, the Government itself concedes that Congress has "require[d] a categorical approach" in defining a "crime of violence" under the force clause, § 924(c)(3)(A), the only other subsection of § 924(c)(3). Gov. Supp. Br. at 4. And the force clause, like the neighboring residual clause challenged here, applies only to contemporaneous offenses, not prior convictions.
Congress, through § 16, has also applied the categorical approach to many other statutes that similarly involve contemporaneous prosecutions.
See, e.g.
,
The second reason the Government's practical argument fails is that, contrary to its suggestion otherwise, use of the categorical approach in § 924(c) does serve important purposes. Congress acted with good reasons in mandating a categorical approach here, even if the real-world benefits differ from those that arise in the context of prior convictions. Specifically, § 924(c) 's categorical "crime of violence" analysis serves the purpose of limiting the statute's penalties to specific classes of federal crimes where the use of a firearm is especially dangerous.
See
Rosemond
,
Congress amended § 924(c) over time to accomplish this very purpose. Before 1984, § 924(c) criminalized the use or unlawful carrying of a firearm in conjunction with "any [federal] felony."
The Government's interpretation of § 924(c)(3)(B) would eliminate Congress's intentional choice to narrow the application of § 924(c) from "any felon[ies]" to only "crime[s] of violence" and "drug trafficking crime[s]." As the Government acknowledges, its reading of the statute would require juries to consider at trial whether an offender's specific conduct involved a substantial risk of physical force. But the use, carrying, or possession of a firearm, standing alone, will always suffice to generate such a risk in a conduct-specific analysis, regardless of the nature of the underlying offense. If we were to adopt a conduct-specific approach, we would in effect judicially repeal the 1984 and 1986 congressional amendments to § 924(c).
Attempting to address this problem, the Government claims that jurors could avoid collapsing the firearm and crime of violence elements if they were instructed not to find a crime of violence based
solely
on
the presence of a firearm.
See
Ovalles
, 905 F.3d at 1250 n.8 (adopting Government's proposed instruction). But this solution offers no affirmative principle to guide jury decision-making. How, exactly, are jurors to keep these two showings apart? Should they cross out facts involving the firearm? Imagine the firearm wasn't there? Pretend it was inoperable? Instead of condemning jurors to such an ill-defined inquiry, categorical analysis limits § 924(c) 's additional sanctions to the discrete and particularly serious classes of felonies selected by Congress-drug trafficking crimes and crimes of violence.
In sum, even if practical considerations could influence our construction of the clear text of § 924(c)(3)(B), they do not offer the Government any refuge.
Having opened the door to external considerations, it is noteworthy that the Government does not ask us to examine the legislative history of § 924(c). Perhaps that is because the legislative history suggests that Congress intended a categorical approach. Recall that before 1984, § 924(c) penalized the use of a firearm in conjunction with any federal felony. A 1979 Senate bill unsuccessfully proposed amending § 924(c) to narrow its application to crimes of violence, largely as defined today. Criminal Code Reform Act of 1979, S. 1722, 96th Cong. § 1823 (1979). The Senate Judiciary Committee stated it was "doubtful" that "felonies involving the possession of narcotics with intent to distribute ... would be considered by their nature to involve a substantial risk of the use of physical force against another." S. Rep. No. 96-553, at 849 n.43 (1980). If § 924(c)(3)(B) required a conduct-specific analysis, this statement would make no sense, because using a firearm during and in relation to a narcotics felony would almost certainly generate a substantial risk of force.
Congress did not enact this specific bill. But it did subsequently limit § 924(c) to crimes of violence in 1984, and it defined the term "crime of violence" in § 16 at the same time. Comprehensive Crime Control Act, §§ 1001, 1005(a), 98 Stat. at 2136, 2138-39. The Senate Judiciary Committee explained that it intended the revised statute to include "all persons who commit Federal crimes of violence, including those crimes set forth in statutes which already provide for enhanced sentences for their commission with a dangerous weapon." S. Rep. No. 98-225, at 313 (1983) (emphasis added). The Committee additionally noted that the "crime of violence" limitation "expand[ed] the scope of predicate offenses ... by including some violent misdemeanors, but restrict[ed] it by excluding non-violent felonies." Id. at 313 n.9 (emphasis added). Though not dispositive, the Committee's language again supports a categorical interpretation.
But, like practical considerations, quotes from committee reports cannot and do not control our reading of § 924(c)(3)(B). We note, however, that the Government has produced nothing from the legislative record to support its conduct-specific interpretation. And if Congress truly intended the materially identical text in § 16(b) and § 924(c)(3)(B) to embody such divergent approaches, we would expect to find some explanation of that divergence. Instead, the legislative history of § 924(c)(3)(B) offers the Government no assistance.
The bedrock doctrine of stare decisis further weakens the Government's position. Adherence to precedent is the preferred course for courts "because it promotes the evenhanded, predictable, and consistent development of legal principles, fosters reliance on judicial decisions, and contributes to the actual and perceived integrity of the judicial process."
Payne v. Tennessee
,
Of course, stare decisis "is not an inexorable command."
Here, the considered circuit consensus, pre-
Dimaya
, that § 924(c)(3)(B) requires an ordinary-case categorical approach strongly favors adherence to such an interpretation.
Circuit case law (even if unanimous, as here) carries less weight than Supreme
Court jurisprudence, and we are hesitant to over-analyze congressional inaction. But we would be remiss to discount the fact that between at least 1994 and April 2018,
every § 924(c) conviction
of which we are aware relied on precedents treating crime of violence determinations under § 924(c)(3)(B) (not to mention those under § 16(b) )
D.
Finally, a trio of remaining considerations further confirm our adherence to the ordinary-case categorical approach or otherwise offer no support to the Government.
Although we have chosen not to treat the Government's withdrawal of its conduct-specific interpretation as abandonment, it remains notable that the United States embraced an ordinary-case categorical reading of this language for years, and even disclaimed a conduct-specific reading after
Johnson
. In
Dimaya
, for example, the Government "accept[ed]" that materially identical text in § 16(b), as incorporated into the Immigration and Nationality Act, "demand[ed] a categorical approach."
Dimaya
,
Moreover, if the Government were correct and the text at issue here were truly so ambiguous as to lend itself to two very different forms of analysis-an ordinary-case categorical approach in § 16(b) and a conduct-specific approach in § 924(c)(3)(B) -the rule of lenity might nonetheless yield the same result that we reach now. For in the case at hand, this doctrine would tilt in favor of Simms.
See
Hayes
, 555 U.S. at 436,
Further, we are not persuaded by the Government's contention that "the strong societal interest in finality," particularly as it pertains to guilty pleas, favors saving § 924(c)(3)(B) rather than striking it down.
Lee v. United States
, --- U.S. ----,
VI.
Perhaps recognizing that its textual analysis of § 924(c)(3)(B) is untenable and its reliance on external considerations unconvincing, the Government urges us to embrace its new reading of the statute as a matter of constitutional avoidance. We will not "lightly ascribe ... an unconstitutional intent" to Congress.
Ward v. Dixie Nat'l Life Ins. Co.
,
We are "obligated to construe [a] statute to avoid [constitutional] problems."
INS v. St. Cyr
,
This limitation is an important one. As the Supreme Court recently explained, "[s]potting a constitutional issue does not give a court the authority to rewrite a statute as it pleases."
Id.
at 843. Rather, constitutional avoidance serves the "basic democratic function of maintaining a set of statutes that reflect, rather than distort, the policy choices that elected representatives have made."
Almendarez-Torres v. United States
,
In this regard, the seemingly disparate doctrines of vagueness and constitutional avoidance unite. Both demand respect for the distinct functions that Congress and the judiciary fulfill in our constitutional republic. Due process requires Congress to speak in definite terms, particularly where the consequences for individual liberties are steep, in part because Congress alone-not the executive or the judiciary-is equipped to balance competing policy priorities and to define the boundaries of criminal law. For similar reasons, although courts must interpret statutes under the presumption that legislators do not intend to violate the Constitution, judges cannot revise invalid statutes. To the contrary, while the grave remedy of striking down a statute as unconstitutional lies within the judicial province, rewriting it is a task solely for the elected legislature.
These principles compel us to reject the Government's constitutional avoidance argument. Given the text and context of § 924(c)(3)(B), accepting the Government's new interpretation would amount to judicially rewriting the statute.
The United States does not merely seek to narrow an ambiguous statute, as the Supreme Court did in
Skilling v. United States
,
We cannot usurp the legislative role to edit out the constitutional flaw in § 924(c)(3)(B). The plain text, structure, and context of § 924(c)(3) are more than enough to convince us that its residual clause has no plausible conduct-specific interpretation. We therefore refuse to rewrite the statute, just as the Supreme Court refused to rewrite § 16(b) and the ACCA residual clause, even in the face of vigorous dissents urging the employment of constitutional avoidance.
See
Dimaya
, 138 S.Ct. at 1216-18 (plurality opinion);
id.
at 1232-33 (Gorsuch, J., concurring in part and concurring in the judgment);
Johnson
,
VII.
We are mindful of the consequences of holding § 924(c)(3)(B) unconstitutional. The provision is part of a widely used criminal statute enacted by Congress, and like § 16(b), it has been incorporated into other parts of the federal criminal code.
See
First, § 924(c)(3)(B) appears to be the last federal statute that directs courts to impose penalties based on a drifting ordinary-case categorical inquiry and an indeterminate risk threshold. The Government has not pointed to any other statute that our decision places in jeopardy, and there is no colorable argument that the elements-based categorical approach of § 924(c)(3)(A) suffers from any similar indeterminacy. Section 924(c)(3)(B) is, in other words, the last Johnson domino to fall. In striking it down, we leave intact the balance of the definition of "crime of violence" and the entirety of the definition of "drug trafficking crime" in § 924(c).
Second, nothing in our holding restricts the broad discretion of district judges to make case-by-case sentencing determinations. Here, for example, the district court was authorized to sentence Simms to as much as 240 months' incarceration on his conviction for Hobbs Act conspiracy alone - that is, more than three years longer than the total sentence it actually imposed on both counts. Although judges must consult the advisory Sentencing Guidelines, they may vary from these recommendations in light of the factors listed
in
Last, Congress is fully equipped to revise the statute here. As Justice Gorsuch noted in Dimaya :
Vagueness doctrine represents a procedural, not a substantive, demand. It does not forbid the legislature from acting toward any end it wishes, but only requires it to act with enough clarity that reasonable people can know what it is required of them and judges can apply the law consistent with their limited office.
Dimaya , 138 S.Ct. at 1233 (Gorsuch, J., concurring in part and concurring in the judgment). These insights apply here. If Congress deems it appropriate to replace § 924(c)(3)(B) with a statute that achieves similar aims with sufficiently definite terms, the Due Process Clause poses no obstacle.
VIII.
For the foregoing reasons, the judgment of the district court is
REVERSED AND REMANDED .
WYNN, Circuit Judge, with whom HARRIS, Circuit Judge, joins, concurring:
In this case we must decide whether to jettison the "categorical" approach for determining whether an offense is a "crime of violence" for the purpose of
Yet it is my dissenting colleagues' misguided application of the doctrine of constitutional avoidance-not the majority opinion's adherence to the long-standing understanding of Section 924(c)(3)(B) -that has the potential to "distort" the Framers' carefully crafted allocation of powers for defining crimes and punishments. Relying on constitutional avoidance as a basis for replacing the categorical approach with a case-specific approach, as my dissenting colleagues suggest, would broaden the universe of defendants subject to Section 924(c)(3)(B). But, to date, the Supreme Court has applied the doctrine only to narrow a criminal statute's breadth and thereby forestall constitutional concerns. By relying on constitutional avoidance to expand a criminal statute's reach, my dissenting colleagues embrace an unprecedented application of the doctrine of constitutional avoidance that empowers the judiciary to usurp Congress's exclusive authority to establish crimes and punishments. I write separately to explain why I do not believe the Constitution permits judicial encroachment into such a well-defined legislative province.
Section 924(c)(1)(A) provides that a person who "uses or carries a firearm" "during and in relation to any crime of violence" or who "possesses a firearm" "in furtherance of any such crime" may be convicted of both the underlying crime and the additional crime of using a firearm in connection with a "crime of violence." Section 924(c)(3)(B) defines "crime of violence" as a felony offense "that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense." Accordingly, to convict a defendant of violating Section 924(c), a jury must find both that the defendant possessed or used a firearm and that the defendant did so in connection with a "crime of violence."
As the majority explains, prior to the Supreme Court's decision in
Sessions v. Dimaya
, --- U.S. ----,
If this Court were to replace the ordinary-case categorical approach with the case-specific approach, then offenses that courts have found do not constitute crimes of violence under the ordinary-case categorical approach will amount to crimes of violence under the case-specific approach. The Ninth Circuit has held, for example, that involuntary manslaughter,
Benally
demonstrates that if this Court abandons use of the ordinary-case categorical approach to determine whether an offense constitutes a "crime of violence" for purposes of Section 924(c)(3)(B) and adopts the case-specific approach the government belatedly advances-and our dissenting colleagues embrace-then the universe of defendants subject to prosecution under Section 924(c)(3)(B) will be substantially greater. Put differently, the adoption of the case-specific approach would expand the reach of Section 924(c)(3)(B) to a new class of offenders-namely those offenders who commit offenses that do not "ordinar[ily]" pose a "substantial risk" of application of physical force against another, but which pose such a risk under the specific factual circumstances of the offender's case (perhaps because the offender was carrying a gun when he committed the offense).
Because a shift to the case-specific approach will broaden the class of offenders subject to prosecution under Section 924(c)(3)(B), I believe constitutional avoidance is an improper basis for a court to choose the case-specific approach over the ordinary-case categorical approach. As the majority opinion correctly explains, the canon of constitutional avoidance is a "tool for choosing between competing plausible interpretations of a statutory text, resting on the reasonable presumption that Congress did not intend the alternative which raises serious constitutional doubts."
Clark v. Martinez
,
In the context of constitutional challenges to criminal statutes, the Supreme Court and lower courts have applied the
doctrine of constitutional avoidance to adopt a "
narrow[ing]
constru[ction]" that avoids constitutional concerns that would arise were the statute construed more broadly.
Skilling v. United States
,
Skilling
recognized that "cases '
paring down
' federal statutes to avoid constitutional shoals are legion."
That no court appears to have applied constitutional avoidance to construe a statute to "proscribe a
wider
range of offensive conduct,"
id.
at 408,
The Supreme Court has held that applying the doctrine of constitutional avoidance to "par[e] down" the scope of a constitutionally suspect criminal statute does not amount to usurpation of Congress's singular authority to define crimes and punishments.
See
Skilling
,
The same cannot be said when a court applies the doctrine of constitutional avoidance to expand a criminal statute's reach. That is because the doctrine of constitutional avoidance presupposes that there is at least some doubt as to the scope of conduct a statute proscribes-to apply the doctrine there must be at least two "competing plausible interpretations of a statutory text."
See
Clark
, 543 U.S. at 381,
That certainly is the case here. Given (1) the Supreme Court's long-settled construction of several key terms in Section 924(c)(3)(B) as a compelling application of the ordinary-case categorical approach, (2) the government's decades-long position that the language of Section 924(c)(3)(B) demands application of the ordinary-case categorical approach, and (3) lower federal courts' unanimous determination, prior to
Dimaya
, that the ordinary-case categorical approach applies, there is, at the very least, a strong possibility-indeed, likelihood, as the majority opinion persuasively explains-that Congress
did not
intend for the case-specific approach to apply. Accordingly, my dissenting colleagues' novel application of the doctrine of constitutional avoidance to expand Section 924(c)(3)(B) 's reach by requiring application of the case-specific approach would "arrogat[e],"
post
at 261-62 (Wilkinson, J.), to the judiciary the authority "to define [a] new federal crime,"
Skilling
,
Not only does applying the doctrine of constitutional avoidance to expand the reach of a criminal statute conflict with Congress's exclusive authority to define crimes and punishments, but it also stands in tension with the rule of lenity, which requires that "any ambiguity over the ... scope [of a criminal statute] be resolved in [a criminal defendant's] favor."
Crandon v. United States
,
By contrast, applying constitutional avoidance to
widen
a statute's reach fails to keep faith with the rule of lenity because it resolves a statutory ambiguity in a manner contrary to the interests of criminal defendants. Indeed, were the judiciary to rely on constitutional avoidance to interpret a statute's breadth in a manner that extends beyond what the text "clearly warrants"-as necessarily occurs when a court adopts a broad reading of an ambiguous statute-it would violate the due process principle of "fair warning" undergirding
the rule of lenity.
United States v. Hayes
,
My good colleague in dissent asserts that it is the majority's refusal to abandon the ordinary-case categorical approach-rather than the dissenting opinions' unprecedented application of constitutional avoidance to usurp Congress's exclusive authority to define crimes and punishments-that amounts to an "arrogation of authority ... all too prevalent in appellate ranks throughout the country." Post at 261 (Wilkinson, J.). As my colleague sees it, this Court's decision to continue to construe Section 924(c)(3)(B) as requiring use of the ordinary-case categorical approach reflects a "troubling trend" of "appellate micro-management"-that by applying the ordinary-case categorical approach this Court is "displac[ing]" the historical roles of "trial courts, juries, and indeed Congress." Post at 260-61, 261-62, 263 (Wilkinson, J.).
Whatever the merits of my dissenting colleague's concern about the "appellate regency" subverting the traditional role of trial judges, juries, and Congress in criminal adjudication,
post
at 262-63 (Wilkinson, J.), such concerns have no place in this case. There is no question that this Court's resolution keeps faith with the Supreme Court's longstanding conclusion that when Congress used identical terms in other statutes, it intended for the categorical approach to apply,
see
Taylor
,
Accordingly, this Court's resolution of this case in no way breaks with the historical understanding of Section 924(c)(3)(B) and the roles of juries and trial courts in applying that statute. Rather, it is the government's post-
Dimaya
about-face as to the proper construction of Section 924(c)(3)(B), and my dissenting colleagues' embrace of that construction, that turns away from the historical understanding and application of that statute. Likewise, my dissenting colleagues' proposed expansion of the doctrine of constitutional avoidance in a manner that empowers the judiciary to "trench upon the legislature's [exclusive] powers" to define crimes and punishments,
Salinas v. United States
,
My colleagues in dissent rejoin that surely Congress intended to punish individuals like Defendant-and, possibly, like the defendant in Benally -who committed, under the specific facts of their case, what are undisputedly "violent" crimes, as that term is used colloquially. Post at 261-62 (Wilkinson, J.); post at 272-73 (Richardson, J.). And they are right. That is why Congress has proscribed conspiracy to commit Hobbs Act robbery and involuntary manslaughter, and why Congress has imposed substantial criminal penalties for individuals who commit those crimes. But that is not the question we must address. Rather, we are tasked with deciding whether Congress intended to hold Defendant criminally liable for the additional offense of using a firearm in commission of an " offense " that " by its nature , involves a substantial risk that physical force against the person or property of another may be used." § 924(c)(3)(B) (emphases added). And by expressly choosing to render unlawful only those "offenses" that "by [their] nature" involve application of violent force, Congress sought to limit the universe of defendants prosecutable under Section 924(c)(3)(B) to those defendants who commit crimes the ordinary manifestation of which "involve[ ] a substantial risk that physical force against the person or property of another may be used."
As the majority opinion ably explains, the Supreme Court long has held that when Congress uses that specific language, it intends for courts to apply the ordinary-case categorical approach. And in accordance with the Supreme Court's construction of that language, the government long has argued-including earlier in this case-that Congress intended for courts to apply the ordinary-case categorical approach in determining whether a defendant is amenable to prosecution under Section 924(c)(3)(B). Put simply, until Dimaya , the judiciary and the government agreed that Congress intended for Section 924(c)(3)(B) to require application of the ordinary-case categorical approach, and therefore that Congress did not contemplate prosecuting individuals like Defendant under that provision. Since Congress enacted Section 924(c)(3)(B) in 1986, Congress never has disturbed that settled understanding.
Of course, Congress is free to amend Section 924(c)(3)(B) to permit
further
punishment of Defendant under that provision. But this Court is not free to expand the statute's reach through an unprecedented application of the doctrine of constitutional avoidance,
In sum, neither my dissenting colleagues nor the government points to a single case in which the Supreme Court has sanctioned the use of constitutional avoidance in a manner that expands the scope of a criminal statute, as it would if we applied the case-specific approach to Section 924(c)(3)(B). And, for decades, courts-at the government's express invitation-have applied the ordinary-case categorical approach in accordance with the settled understanding of that statute's text. Constitutional avoidance is "not a license for the judiciary to rewrite language enacted by the legislature."
Salinas
,
Related
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