F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
FEB 2 2005
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT
RAUL CRUZ-GARZA,
Petitioner,
v. No. 04-9508
JOHN ASHCROFT; TOM RIDGE;
BUREAU OF IMMIGRATION &
CUSTOMS ENFORCEMENT,
Respondents.
ON PETITION FOR REVIEW OF A DECISION OF
THE BOARD OF IMMIGRATION APPEALS
(BIA No. A45-141-282)
Submitted on the briefs:
Hakeem Ishola of Ishola & Associates, P.C., Salt Lake City, Utah, for Petitioner.
Peter D. Keisler, Assistant Attorney General, James A. Hunolt, Senior Litigation
Counsel, and Song E. Park, Attorney, Civil Division, Office of Immigration
Litigation, United States Department of Justice, Washington, D.C., for
Respondents.
Before LUCERO, McKAY, and PORFILIO, Circuit Judges.
McKAY, Circuit Judge.
Petitioner Raul Cruz-Garza seeks review 1
of a decision of the Board of
Immigration Appeals (BIA) upholding a removal order issued by an Immigration
Judge (IJ) under 8 U.S.C. § 1227(a)(2)(A)(iii) (“Any alien who is convicted of an
aggravated felony at any time after admission is deportable.”). He contends the
BIA erroneously relied on his state felony conviction for attempted theft to invoke
§ 1227(a)(2)(A)(iii), when that conviction had been reduced to (i.e., vacated and
replaced by) a misdemeanor by the state trial court. This contention raises a
cognizable challenge to the removal order, and we reverse. 2
Factual Background
The basic historical facts are not in dispute. Petitioner, a native and citizen
of Mexico, is married to a U.S. citizen with whom he has two children who are
also U.S. citizens. In November 1995, petitioner was granted lawful permanent
1
After examining the briefs and administrative record, the panel has
determined unanimously to grant the parties’ request for a decision on the briefs
without oral argument. See Fed. R. App. P. 34(f); 10th Cir. 34.1(G). The case is
therefore ordered submitted without oral argument.
2
As a general matter, judicial review of such removal orders is barred by
8 U.S.C. § 1252(a)(2)(C), which abrogates our jurisdiction when the conditions
for removal under § 1227(a)(2)(A) are met. However, it is now well-established
that the language of § 1252(a)(2)(C) “requires that we determine whether [those]
conditions exist before dismissing the appeal.” Tapia Garcia v. INS, 237 F.3d
1216, 1220 (10th Cir. 2001). Thus, we retain jurisdiction to determine whether
petitioner is (1) an alien (2) deportable (3) for conviction of an offense within
§ 1227(a)(2)(A)(iii). Id. at 1219. The instant petition for review challenges the
third condition and, hence, the merits of the case coincide with the jurisdictional
question. See Khalayleh v. INS, 287 F.3d 978, 979 (10th Cir. 2002).
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resident status. After an incident in which he used his brother’s social security
card at a car dealership to purchase a vehicle later repossessed for nonpayment,
petitioner was charged in June 1997 with theft by deception, a second-degree
felony in Utah. In September 1997, he pled guilty to a reduced charge of
attempted theft by deception, a third-degree felony, and received a suspended
sentence, a term of probation, and a fine.
In December 1997, the Immigration and Naturalization Service (INS) 3
initiated removal proceedings against petitioner based on the third-degree felony
conviction. On January 15, 1998, petitioner filed a motion in the state trial court
to vacate his conviction. The motion is not in our administrative record, but it is
noted on the state court docket sheet that is included. Petitioner’s immigration
attorney (his attorney in the state criminal case as well) represented to the IJ that
the motion asserted several substantive grounds for vacating the conviction,
including involuntariness of the plea and ineffective assistance of counsel in
connection with the plea proceeding. See R. at 72, 78-79, 84. The IJ accepted
this representation as the word of an officer of the court. Id. at 83-84.
There is no further reference to the motion to vacate in our record of the
state proceeding. Instead, a minute entry on the state court docket sheet for a
3
The INS ceased to exist on March 1, 2003, and its functions were assumed
by agencies within the newly formed Department of Homeland Security. As most
of the events in this case predate the reorganization, we refer to the INS.
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hearing held on February 20, 1998, reflects that petitioner offered (apparently
orally) a stipulated motion to “reduce” the conviction and his term of probation.
Id. at 97. The entry is not fully legible (it is not clear whether the motion was
granted at that time), but a reference to “defendant continues to comply with
probation” can be made out. Id. Two weeks later, petitioner filed a written
motion “to reduce the judgment in the above [case] by two degrees and enter
conviction as Attempted theft by Deception, a Class B misdemeanor, pursuant to
UTAH CODE ANN. § 7[6]-3-402.” Id. at 92. The basis for relief cited in the
motion was “the interest of justice, for it would be unduly harsh to record the
conviction for the offense as being for a second [actually third] degree felony.”
Id. There is no further mention of the motion on the state court docket sheet.
In July 1998, the state court terminated petitioner’s probation, presumably
for successful completion. See id. at 97. Finally, on September 8, 1998, the court
issued an “ORDER ENTERING APPROPRIATE DEGREE OF CONVICTION,”
id. at 176, in accord with the request made in petitioner’s stipulated motion to
reduce his conviction. The legal effect of that order is at the heart of this appeal.
It states:
Based upon the Parties’ Stipulation entered in writing and in
open court, and for good cause shown,
IT IS HEREBY ORDERED that the defendant is convicted of
Attempted Theft, a Class B misdemeanor, and that judgment and
sentence be entered accordingly.
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The Defendant’s prior conviction is vacated and judgment is
entered nunc pro tunc as of September 22, 1997.
Id. ; see also id. at 98 (docket entry for order). Accordingly, the charge now
designated on the cover of the state court docket sheet is “ATTEMPTED THEFT
BY DECEPTION (amended) – Class B Misdemeanor,” which is specified as
disposed by “September 22, 1997 Guilty Plea.” Id. at 95.
Legal Effect of Vacated Conviction
At one time, the BIA adhered to a broad rule that (excepting certain drug
offenses) convictions that had been vacated or expunged could not be the basis
for an alien’s removal. Matter of Ozkok, 19 I. & N. Dec. 546, 552 (BIA 1988)
(reaffirming longstanding rule barring removal for conviction already vacated or
expunged while permitting removal for some deferred convictions). See generally
Lujan-Armendariz v. INS, 222 F.3d 728, 734-41 (9th Cir. 2000) (discussing Ozkok
and historical treatment of vacated/expunged and deferred convictions). In the
Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA),
Pub. L. 104-208, 110 Stat. 3009, Congress included a definition of “conviction,”
8 U.S.C. § 1101(a)(48)(A), responding to some of the considerations addressed in
Ozkok. Relying on this definition, the BIA partially changed its position on
vacated or expunged convictions to allow removal of the convicted alien
“notwithstanding a subsequent state action purporting to erase all evidence of the
original determination of guilt through a rehabilitative procedure.” In re
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Roldan-Santoyo, 22 I. & N. Dec. 512, 523 (BIA 1999) (en banc), order vacated
sub nom. on other grounds by Lujan-Armendariz, 222 F.3d 728.
The BIA’s specific reference to expungement “through a rehabilitative
procedure” signaled a deliberate qualification on its holding, which was “limited
to those circumstances where an alien has been the beneficiary of a state
rehabilitative statute which purports to erase the record of guilt.” Id. at 523. The
BIA specifically noted that it was not addressing “the situation where the alien
has had his or her conviction vacated by a state court on direct appeal, wherein
the court determines that vacation of the conviction is warranted on the merits, or
on grounds relating to a violation of a fundamental statutory or constitutional
right in the underlying criminal proceedings.” Id. A year later, the BIA made it
clear that a conviction vacated by a state court in a post-conviction proceeding
“on the legal merits” could not support removal. In re Rodriguez-Ruiz , 22 I. & N.
Dec. 1378, 1379-80 (BIA 2000). The operative distinction was further clarified
in In re Pickering , 23 I. & N. Dec. 621 (June 2003), which likened vacaturs for
immigration-related hardship to expungements for rehabilitative reasons, thereby
framing a broad dichotomy of “vacat[urs] because of post-conviction events” that
still allow removal versus “vacat[urs] on the basis of a procedural or substantive
defect in the underlying proceedings” that do not. Id. at 624.
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While the Ninth Circuit reversed Roldan-Santoyo on another point and, in
the process, stated in dicta that the BIA’s new approach to vacaturs was “highly
unpersuasive,” Lujan-Armendariz , 222 F.3d at 742 (favoring retention of general
rule precluding removal on basis of vacated conviction), it later upheld the new
approach in Murillo-Espinoza v. INS , 261 F.3d 771, 774 (9 th Cir. 2001). Other
circuits addressing the issue in a variety of immigration contexts have upheld the
BIA’s approach as well. See, e.g. , Resendiz-Alcaraz v. U.S. Atty. Gen. , 383 F.3d
1262, 1268-71 (11 th Cir. 2004); Acosta v. Ashcroft , 341 F.3d 218, 222 (3d Cir.
2003); Ikenokwalu-White v. INS , 316 F.3d 798, 804 (8 th Cir. 2003); Sandoval v.
INS , 240 F.3d 577, 582-83 (7 th Cir. 2001); Herrera-Inirio v. INS , 208 F.3d 299,
304-05 (1 st Cir. 2000). Indeed, even before the BIA decided Roldan-Santoyo , the
Second Circuit relied on IIRIRA’s definition of “conviction” in connection with
the federal sentencing guidelines to hold that, unlike convictions vacated on the
merits, convictions expunged for rehabilitative reasons remained available for
purposes of sentence enhancement. United States v. Campbell , 167 F.3d 94,
97-98 (2d Cir. 1999).
The one circuit to deviate from this trend did not do so to preserve the
pre-IIRIRA rule generally barring removal for vacated convictions; rather, the
Fifth Circuit took the opposite stance in Renteria-Gonzalez v. INS , 322 F.3d 804
(5th Cir. 2002), categorically allowing removal regardless of whether the
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predicate conviction had been vacated on grounds relating to the merits. See
Discipio v. Ashcroft , 369 F.3d 472, 473 (5 th Cir. 2004) (applying
Renteria-Gonzalez to hold conviction vacated “because of procedural and
substantive flaws in the underlying proceeding” still provided proper basis for
removal). Significantly, the Discipio panel lamented the precedent to which it
was bound, noting “[t]hat our Circuit is now out of step with the rest of the
nation” as reflected in “the fact that the [BIA] applies the broad understanding of
‘conviction’ embraced in Renteria-Gonzalez only in the Fifth Circuit.” Id. at 474.
In sum, the treatment of vacated convictions is now fairly well-settled.
Notwithstanding the Fifth Circuit’s tenuous adherence to a categorical disregard
of all vacaturs (and the Ninth Circuit’s fleeting consideration of the other
extreme), “the rest of the nation” has taken to the middle ground staked out by the
BIA on the basis of the text and legislative history of § 1101(a)(48)(A) in
Roldan-Santoyo , 22 I. & N. Dec. at 522-23. We follow this consensus view, the
rationale for which has been developed sufficiently, and repeated often enough by
our sister circuits, that its recitation should not be necessary here.
Administrative Disposition under Review
As the above summary of the controlling law would suggest, the focus of
petitioner’s removal proceedings was on the reduction of his conviction from a
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qualifying “aggravated felony” 4 to a misdemeanor. In the INS’s view, the state
court record demonstrated that the reduction was of a sort that did not preclude
use of the superseded conviction under Roldan-Santoyo. The BIA agreed:
Here, [petitioner’s] motion for reduction . . . indicates that it would
be unduly harsh to record the conviction as a second degree felony.
This suggests that the reduction . . . was motivated by the
immigration hardships which resulted from [the] conviction.
Furthermore, the court records . . . indicate that the court order,
reducing the degree of [the] conviction, was contingent upon
[petitioner’s] continued compliance with the terms of his probation.
Thus, the reduction . . . was additionally motivated by the
[petitioner’s] rehabilitation or his compliance with the terms of his
probation. In sum, we find that [petitioner] has failed to sufficiently
establish that his conviction has been dismissed or vacated on the
basis of a procedural or substantive defect in the underlying
proceedings. Hence, we agree, with the Immigration Judge, that
[petitioner] remains convicted, for immigration purposes, of an
aggravated felony pursuant to [§ 1101(a)(43)].
R. at 3 (citations omitted).
The INS had to prove by “clear and convincing evidence” that petitioner
was subject to removal, 8 U.S.C. § 1229a(c)(3)(A), i.e., that his conviction fell
within § 1101(a)(43) and thus supported removal under § 1227(a)(2)(A). See
Evangelista v. Ashcroft, 359 F.3d 145, 149-50 (2d Cir. 2004); Huerta-Guevara v.
4
Congress has designated felony theft offenses to be aggravated felonies, see
8 U.S.C. § 1101(a)(43)(G), and has further provided that convictions for attempt
assume the qualifying status of the underlying offense, see id. § 1101(a)(43)(U).
We note that the Supreme Court’s recent enforcement of a rigorous mens rea
requirement for “violent felonies” warranting removal pursuant 18 U.S.C. § 16
and 8 U.S.C. § 1101(a)(43)(F), see Leocal v. Ashcroft, 125 S. Ct. 377 (2004), is
not pertinent here.
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Ashcroft, 321 F.3d 883, 886 (9th Cir. 2003). The BIA never acknowledged this
burden. On the contrary, as the quoted passage reflects, the BIA approached the
case as if petitioner bore the burden of disproving that his conviction qualified
him for removal. See also id. at 2 (finding petitioner “failed to establish that his
conviction was vacated on the basis of a procedural or substantive defect in the
underlying proceedings.”).
While formal error regarding the ascription of the burden of proof can, in
itself, undermine the validity of a BIA decision, see Sandoval, 240 F.3d at 581;
Murphy v. INS, 54 F.3d 605, 610, 612 (9th Cir. 1995), that is not the basis of our
disposition here. Rather, as explained below, we conclude in more direct fashion
that the evidence of record is legally insufficient to satisfy the INS’s stringent
burden of proof and, thus, that the order for removal must be reversed. See
Sandoval, 240 F.3d at 583 (reversing removal order where record relating to
reduction of alien’s initially qualifying conviction to a non-qualifying offense was
insufficient to support removal under clear and convincing evidentiary standard);
see also Cortez-Acosta v. INS, 234 F.3d 476, 480-83 (9th Cir. 2000) (reversing
removal order that had been based on suggestive but inconclusive indications of
alien’s removable activity (assisting illegal entry of another alien), “because the
weakness of the administrative record does not satisfy the stringent [clear and
convincing] evidentiary standard for deportation”).
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Analysis – Roldan-Santoyo Inquiry and the Facts of Record
A brief restatement of the pertinent events reflected in the sparse factual
record is necessary. Petitioner pled guilty to third-degree felony attempted theft,
receiving a three-year term of probation, for buying a vehicle using his brother’s
social security card and then defaulting on payment. Four months later, he moved
to vacate the conviction on a number of substantive grounds. At a subsequent
hearing, the parties offered a stipulated motion to reduce the conviction and
associated term of probation. This was evidently provisionally accepted by the
court, which made a note of petitioner’s continued compliance with the terms of
his (now shortened) probation. Two weeks later, petitioner filed a written version
of the motion, which recited that it was “made in the interest of justice, for it
would be unduly harsh to record the conviction for the offense as being for a
second [actually, third] degree felony.” R. at 92. Petitioner completed probation
in five months, and two months after that the court vacated his conviction and
entered a nunc pro tunc judgment for misdemeanor attempted theft.
On its face this series of events suggests two very different stories, leading
to opposing conclusions under the Roldan-Santoyo inquiry. According to one, a
substantive challenge to and/or showing of the inappropriateness of the felony
conviction prodded the State into stipulating to a vacatur of the conviction and its
replacement by a misdemeanor, with retention of a mandatory though reduced
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probationary term. On this scenario, petitioner’s vacated felony conviction would
not satisfy the test for removal under Roldan-Santoyo . According to the other
story, a weak substantive challenge to the conviction was readily abandoned in
favor of a more strategic request, acceptable to the State, for leniency to be
earned through rehabilitative effort demonstrated by successful completion of
probation. On this scenario, the initial felony conviction would remain effective
for purposes of removal under Roldan-Santoyo .
Perhaps considering only the circumstantial evidence outlined above, the
agency’s interpretation of the state court action as merely a post-conviction effort
to promote rehabilitation or attenuate harsh immigration consequences would be,
though undeniably inferential, still compelling enough for a reasonable factfinder
to deem the evidence “clear and convincing” on the point. On one hand, the fact
that neither the motion for reduction nor the order effecting it mention probation
or immigration consequences undercuts the agency’s position. On the other hand,
the delay in issuing the order until completion of probation cuts the other way, at
least as to the rehabilitation inference.
There is, however, another critical consideration, not acknowledged by the
BIA, that weighs decisively against the agency’s interpretation of the facts. The
legal authority for the reduction of petitioner’s conviction was Utah Code Ann.
§ 76-3-402. Because the conviction was reduced to a class B misdemeanor, the
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controlling subsections are § 76-3-402(1) & (3), under which an offense may be
reduced by two degrees if the court concludes that it is “unduly harsh” in light of
“the nature and circumstances of the offense” and “the history and character of
the defendant.” Such offense and offender characteristics–traditional subjects of
prejudgment sentencing proceedings–clearly focus on matters leading up to and
encompassed within the judgment of conviction, not on post-conviction events
relating to the subsequent success or failure of rehabilitation. 5
Moreover, the
statutory linkage of undue harshness to these offense and offender characteristics
undercuts speculation that the description of petitioner’s felony conviction as
“unduly harsh” in the motion for reduction “suggests that the reduction, in the
degree of [petitioner’s] conviction, was motivated by the immigration hardships
which resulted from the [petititioner’s] conviction.” R. at 3.
Given the vagaries of the evidentiary record and, more importantly, the
plain implication of the state statute authorizing reduction of petitioner’s felony
conviction to a Class B misdemeanor, 6
we hold “that the INS did not prove by
5
In contrast, another subsection of the statute, § 76-3-402(2)(b) (permitting
reduction of third degree felony to Class A misdemeanor), deals specifically with
probation compliance and does not involve any consideration of the offense and
offender characteristics that govern the reduction of offense here.
6
As noted earlier, the BIA did not discuss the nature and significance of the
statute authorizing the reduction of petitioner’s offense. Even if it had, however,
we would owe no deference to its interpretation of this state provision, “which the
BIA [neither] administers [n]or has any particular expertise in interpreting.”
(continued...)
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clear, unequivoval, and convincing evidence that [petitioner] was convicted of [a
qualifying felony under §§ 1101(A)(43) and 1227(a)(2)(A).]” Sandoval , 240 F.3d
at 583. “Thus we are compelled to grant the petition for review, because the
weakness of the administrative record does not satisfy the stringent evidentiary
standard for deportation.” Cortez-Acosta, 234 F.3d at 483.
For the foregoing reasons, the petition for review is GRANTED, the BIA’s
decision is REVERSED, and the order for petitioner’s removal is VACATED.
(...continued)
6
Garcia-Lopez v. Ashcroft, 334 F.3d 840, 843 (9th Cir. 2003).
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Cruz-Garza v. Ashcroft
Court: Court of Appeals for the Tenth Circuit
Date filed: 2005-02-02
Citations: 396 F.3d 1125
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