Roberto Garces v. United States Attorney General ( 2010 )

[PUBLISH]
IN THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
________________________ FILED
U.S. COURT OF APPEALS
No. 09-11520 ELEVENTH CIRCUIT
JULY 27, 2010
________________________
JOHN LEY
CLERK
Agency No. A022-791-016
ROBERTO GARCES,
Petitioner,
versus
U.S. ATTORNEY GENERAL,
Respondent.
________________________
Petition for Review of a Decision of the
Board of Immigration Appeals
_________________________
(July 27, 2010)
Before CARNES, ANDERSON, and STAHL,* Circuit Judges.
CARNES, Circuit Judge:
*
Honorable Norman H. Stahl, United States Circuit Judge for the First Circuit, sitting by
designation.
Roberto Garces has petitioned us for review of the Board of Immigration
Appeals’ order dismissing his appeal from an immigration judge’s order finding
him removable under section 212(a)(2)(C) of the Immigration and Nationality Act,
8 U.S.C. § 1182(a)(2)(C), as an alien whom the Attorney General “knows or has
reason to believe is or has been an illicit trafficker in any controlled substance.”
Unlike other grounds for inadmissibility that are triggered by criminal convictions,
the “reason to believe” provision allows removal based on criminal conduct even if
there was no conviction. At issue in this case is whether the combination of a
guilty plea leading to a conviction that was later vacated and some hearsay
statements in police reports provides enough reason to believe that Garces
trafficked in a controlled substance. Our conclusion is that it does not, at least not
in the circumstances of this case.
I.
Garces, a native and citizen of Cuba, was paroled into the United States in
1980. See generally INA § 212(d)(5)(A), 8 U.S.C. § 1182 (d)(5)(A). Three years
later, on April 6, 1983, he was caught up in a drug bust at a Miami Beach hotel.
That would eventually lead to a removal notice being filed against Garces in 2006,
an immigration hearing in 2007, a BIA decision in 2009, and this review of that
decision.
2
Two different accounts of what happened that April night in 1983 emerge
from the record, one from arrest reports and the other from Garces’ testimony at
his 2007 immigration hearing.
The record contains four sworn “complaints/arrest affidavits,” which we will
call arrest reports, prepared by the Miami Beach police officers who arrested
Garces and five other men as a result of an attempted drug transaction that night.
According to those four arrest reports, undercover officers had arranged a cocaine
buy at a hotel. Around 9:45 p.m. George Canevaro “arrived w[ith]” Kevin Sayers
and Juan Castillo, and Garces then arrived and “made contact with” Canevaro at
the hotel. After Castillo made a phone call, Canevaro came up to the room where
the undercover “buyer” was waiting. Canevaro walked out on the balcony,
signaled to someone downstairs, turned around, and handed the undercover officer
baggies containing about four ounces of cocaine. He was arrested a few minutes
later.
Meanwhile, other officers saw Garces and a man named “Joseph” (last name
unknown) get into a late-model Isuzu and begin to leave the parking lot. When the
officers identified themselves and ordered Garces to stop, he swerved the car
“towards” one of the officers and “attempted to run him down.” After the officer
jumped out of the way, the car hit a light pole and a tree and came to a stop.
Joseph jumped out of the passenger side and was subdued after a struggle. He and
3
Garces were placed under arrest and advised of their rights. None of the arrest
reports mention any shots being fired.
Garces, testifying at his immigration hearing twenty-four years after the fact,
told a different story. He was at home around 9:00 p.m. when Canevaro, his
neighbor from down the block, stopped by and invited him to a birthday party.
Garces had been acquainted with Canevaro for about a year, and the two men
would chat when they washed their cars on Saturdays. He insisted that he had no
idea that Canevaro, who had a job and a family, was involved in anything illegal.
Garces did not know the person whose birthday was being celebrated, but he drove
Canevaro to the party at a hotel in Miami Beach. When they arrived there at
around 9:45 p.m., Garces pulled up in front of the lobby and Canevaro got out of
the car to meet someone at the door. Garces then got out and asked Canevaro
where he should park. Canevaro told a man named Joseph, whom Garces had not
previously met, to show him where to take the car.
As Garces, with Joseph in the car, was driving slowly through the dark
parking lot looking for a space, several men approached, brandishing guns. When
one of those men jumped in front of the car, Garces swerved to avoid hitting him,
causing the car to crash. Joseph then jumped out of the car and began struggling
4
with the men. Garces thought it was a robbery. He heard gunshots.1 When he got
out of the car, someone grabbed him from behind, put a gun to his head, and threw
him to the ground. Only after they put him in handcuffs did he realize that the men
were plainclothes police officers. Before that, Garces had not heard the men
identify themselves as police. He testified he did not have any drugs on his person
or in his car, and he had no idea that Canevaro had drugs and was planning to sell
them.
Garces was initially charged with trafficking in cocaine, in violation of Fla.
Stat. § 893.135; aggravated assault, in violation of Fla. Stat. § 784.021; and
willfully fleeing, in violation of Fla. Stat. § 316.1935. On April 16, 1984, one year
after his arrest, Garces pleaded guilty in Dade County Circuit Court to the
trafficking2 and aggravated assault charges. On May 30, 1984, he was sentenced to
three years’ probation on the drug charge; he received deferred adjudication and a
suspended sentence on the assault charge.
Because the record in this case does not contain any transcript or minutes of
the long-ago plea proceedings, we do not know what statements Garces made
1
Garces’ counsel does not contend that any shots were actually fired that night but
instead suggests that his client was “confused” after wrecking the car and might have mistaken
some other noise for gunfire.
2
The few state court documents that are in the record are inconsistent as to whether the
charge to which Garces ultimately pleaded was trafficking in cocaine, Fla. Stat. § 893.135, or
sale of an opium derivative, Fla. Stat. § 893.13. For purposes of federal immigration law and
this appeal, it makes no difference.
5
during those proceedings, or whether he was under oath at the time; we do not
know what the judge said to him; and we do not know what evidence the
prosecution had against him or whether the prosecutor recited it. When asked at
the immigration hearing nearly a quarter of a century later why he had pleaded
guilty if, as he now insists, he did not commit any crime, Garces testified that his
attorney advised him to do so. He was told that if he took the plea deal he would
get probation, which the lawyer called “nothing,” but if he went to trial and lost, he
could have faced up to 15 years in prison. Garces added that he also did not have
the money to pay that lawyer to represent him through trial. The lawyer
misadvised him that a guilty plea would not affect his immigration status.
II.
Garces eventually found out that, as far as federal immigration law is
concerned, a felony drug conviction is very far from “nothing.” See, e.g., 8 U.S.C.
§ 1182(a)(2)(A)(i)(II) (alien convicted of, or who admits having committed, a
controlled substance offense is inadmissible to this country). He learned that
lesson when he first applied for permanent resident status and saw his application
denied.3 That prompted Garces to return in August of 2000 to the same state court
that had convicted him sixteen years earlier and file a motion under Fla. R. Crim.
P. 3.850 to vacate and set aside his guilty plea. His motion asserted that the plea
3
The record does not contain any details about this first application.
6
was involuntary because the court had failed to advise him of potential
immigration consequences as required by the Florida Rules of Criminal Procedure.
See Fla. R. Crim. P. 3.172(c)(8) (“[T]he trial judge . . . shall determine that [the
defendant] understands . . . that if he or she pleads guilty or nolo contendere, if he
or she is not a United States citizen, the plea may subject him or her to deportation
. . . .”). The Florida court apparently agreed, because on August 11, 2000, it
vacated Garces’ guilty plea and resulting convictions. The same court order also
noted that the state had decided to nol pros the original charges, not a surprising
decision in light of the length of time that had elapsed.
At some point after his convictions were vacated, though the record does not
indicate exactly when, Garces submitted a second application to the United States
Citizenship and Immigration Services seeking adjustment to permanent resident
status under the Cuban Adjustment Act, Pub. L. No. 89-732, 80 Stat. 1161 (Nov. 2,
1966) (reproduced as a historical note to 8 U.S.C. § 1255). The USCIS denied
Garces’ second application on August 11, 2006, informing him that he was still
inadmissible to the United States because there was reason to believe he had
engaged in drug trafficking. See 8 U.S.C. § 1182(a)(2)(C).
On September 28, 2006, the Department of Homeland Security revoked
Garces’ parole into this country and initiated removal proceedings. The Notice to
Appear charged two grounds for removal: (1) that he was an immigrant not in
7
possession of a valid visa or other entry document, INA § 212(a)(7)(A)(i)(I), 8
U.S.C. § 1182(a)(7)(A)(i)(I); and (2) that there was reason to believe he had
engaged in drug trafficking, INA § 212(a)(2)(C), 8 U.S.C. § 1182(a)(2)(C)(i).
Specifically, it alleged that he “sold 4½ ounces, more or less, of Cocaine to an
undercover Police Officer” in 1983.
On December 6, 2006, Garces filed a motion in the Immigration Court to
renew his application under the Cuban Adjustment Act. He denied any
involvement in the cocaine sale, telling the court he had only pleaded guilty
because he could not afford to pay his lawyer through a trial and he believed that
the probationary sentence would not affect his immigration status. Garces argued
that there was insufficient evidence to establish that he “knowingly and
consciously participated” in the cocaine transaction.
At the initial hearing before the immigration judge on December 12, 2006,
Garces conceded removability on the documents charge but denied that he was
removable on the drug trafficking charge. Pointing out that his trafficking
conviction had been vacated, he insisted he had nothing to do with the 1983 drug
transaction that had led to that conviction. The government acknowledged that the
conviction itself could no longer be considered, but indicated that it would rely on
the underlying facts of the arrest as reason to believe Garces had engaged in drug
trafficking. The IJ did not rule on Garces’ motion to renew his Cuban Adjustment
8
Act application. The IJ did say, however, that if convinced there was no reason to
believe that Garces had trafficked drugs, he would find him to be not inadmissible
and terminate the removal proceedings, which would enable Garces to reapply for
an adjustment of status.
On April 3, 2007, the IJ held an evidentiary hearing on whether there was
reason to believe that Garces had trafficked drugs. The 1983 arrest reports that
referred to Garces were admitted without objection.4 Garces testified to his version
of what had happened on the evening of April 6, 1983. See supra 4–5. On cross-
examination, the government questioned him about discrepancies between his
testimony and what was reported in the officers’ affidavits. See supra 3–4.
Six days later, on April 9, the IJ issued a written order sustaining Garces’
removability on the “reason to believe” charge. He found that Garces was “not a
particularly credible witness,” and to support that finding gave three reasons. First,
Garces testified that he had driven Canevaro to the hotel, while the arrest report
said that he had “made contact with” Canevaro there. When asked about that
discrepancy, Garces had no explanation. Second, the IJ found that a last minute
invitation to a birthday party for someone Garces did not even know was “not a
4
Garces is mentioned by name in only two of the reports, his own and that for “Joseph.”
Neither side attempted to track down the arresting officers. Even if they could have been found,
it is unlikely that after so many years they would have remembered any independent detail about
what seems to have been a fairly routine drug bust.
9
plausible or reasonable explanation” for his presence at the hotel. Third, the IJ
thought Garces’ story that the plainclothes officers had approached his car without
identifying themselves and at some point fired their weapons “hardly seems
credible or within standard police operating procedure,” especially since the police
reports did not mention any gunfire. Garces did not offer “any meaningful or
credible testimony” to dispute the account of his conduct in the arrest reports. The
IJ concluded by finding that Garces “was a conscious participant in a drug
transaction” and was therefore removable as a drug trafficker.
Garces moved for reconsideration, arguing that the IJ erred by giving too
much weight to the arrest affidavits, which have limited probative value under BIA
precedent and which would be inadmissible as hearsay in a Florida court. See In re
Arreguin de Rodriguez, 21 I. & N. Dec. 38, 42 (BIA 1995); Fla. Stat. § 90.803(8).
In any case, he argued, the affidavits did not allege he was caught with any drugs,
and any differences between the reports and his own version of events were
insignificant. The IJ denied Garces’ motion for reconsideration and later entered a
final order finding him removable on both the documents charge and the drug
trafficking charge. Although the documents charge would not have prevented
Garces from obtaining lawful residency under the Cuban Adjustment Act, the
finding of reason to believe that he had trafficked in drugs would and did.
10
Garces filed a timely appeal with the BIA, repeating the same arguments he
had made to the IJ in his motion for reconsideration. On September 18, 2008, the
BIA issued a final order affirming the IJ’s finding of inadmissibility on the
documents charge. The BIA concluded that it did not need to address Garces’
challenge to the trafficking charge because he had conceded removability on the
documents charge, and he had not identified any form of relief from removal for
which he would be eligible.
Garces promptly filed a motion for reconsideration, arguing that the BIA
erred as a matter of law in not addressing the trafficking charge. He pointed out
that he had requested relief from removal when he moved in the Immigration Court
to reopen his application for adjustment of status under the Cuban Adjustment Act.
While the drug trafficking charge would prevent him from obtaining lawful
residency under the CAA, the documents charge alone would not. On October 20,
2008, with his motion for reconsideration still pending before the BIA, Garces
filed a petition in this Court for review of the BIA’s order. Garces v. U.S. Att’y
Gen., No. 08-15926.
The BIA granted Garces’ motion for reconsideration, but dismissed his
appeal. In its March 9, 2009 order the BIA found no reversible error in the IJ’s
conclusion that Garces was removable on the “reason to believe” charge. It
explained:
11
The record evidence, including the police report and the “Motion to Vacate
and Set Aside Guilty Plea” in which the respondent confirms that he pled
guilty to possession with intent to sell cocaine, is admissible for the purpose
of establishing his inadmissibility, and is reasonable, substantial, and
probative evidence supporting the Immigration Judge’s finding of
inadmissibility under section 212(a)(2)(C) of the Act.
Garces filed with us a timely petition for review of the BIA’s March 9 order,
along with a motion to consolidate it with his earlier petition. Garces v. U.S. Att’y
Gen., No. 09-11520. We granted the motion to consolidate. The government
moved to dismiss both of the petitions for review for lack of jurisdiction. We
dismissed the petition for review of the BIA’s initial September 18, 2008 order as
moot in light of the March 9, 2009 order. However, we denied the government’s
motion to dismiss the petition for review of the March 9, 2009 order, explaining
that Garces “raises a colorable legal argument as to whether the [BIA] erred in
considering his vacated conviction in holding that there was reason to believe that
Garces had engaged in trafficking a controlled substance.” After oral argument on
March 19, 2010, we directed the parties to submit supplemental briefing on two
issues: (1) the significance, if any, of the Supreme Court’s decision in Kercheval
v. United States, 274 U.S. 220, 47 S.Ct. 582 (1927), which held that a withdrawn
guilty plea is inadmissible in subsequent criminal proceedings; and (2) whether
Florida procedural rules in effect in 1984 would have required Garces to make a
sworn factual admission of guilt when he entered his plea.
12
III.
Before reaching the merits, we must first determine whether we have
jurisdiction. We lack jurisdiction to review a final order of removal against an
alien who “is removable by reason of having committed a criminal offense covered
in [8 U.S.C.] section 1182(a)(2),” such as drug trafficking. INA § 242(a)(2)(C), 8
U.S.C. § 1252(a)(2)(C). We do, however, have jurisdiction to determine
underlying facts that establish our jurisdiction or lack of it—in this case, to
determine whether Garces in fact “committed a criminal offense” and therefore “is
removable.” The upshot of all this is that the jurisdictional question merges into
our consideration of the merits.5 See Resendiz-Alcaraz v. U.S. Att’y Gen., 383
F.3d 1262, 1266–67 (11th Cir. 2004); Fernandez-Bernal v. U.S. Att’y Gen., 257
F.3d 1304, 1309–10 (11th Cir. 2001).
IV.
If Garces’ state conviction still stood, there is no question that he would
have been subject to removal. Under INA § 212(a)(2)(A)(i)(II), 8 U.S.C. §
5As part of the threshold jurisdictional inquiry, the government urges us to review the
entire record de novo and make our own independent determination as to whether Garces
engaged in drug trafficking before we decide whether the BIA had reason to believe that he did.
Apparently, it makes this suggestion so that we will take into account the IJ’s finding that Garces
did not testify credibly, which we would not otherwise consider because the BIA did not
expressly adopt it. See Al Najjar v. Ashcroft, 257 F.3d 1262, 1284 (11th Cir. 2001). It would
make no difference if we did that, because the inconsistencies identified by the IJ in Garces’
testimony are not significant enough to change our conclusion that the record fails to support a
“reason to believe” determination.
13
1182(a)(2)(A)(i)(II), he would have been inadmissible as an alien convicted of
violating a state law “relating to a controlled substance” for which the maximum
possible penalty exceeded one year’s imprisonment. Id. § 1182(a)(2)(A)(ii)(II);
see Fla. Stat. §§ 893.135(1)(b)(1) and 775.082(3)(b) (first degree felony punishable
by up to thirty years in prison). Whether Garces actually committed the crime
would not have mattered, because the BIA “will not go behind a record of
conviction to determine the guilt or innocence of an alien.” In re Arreguin de
Rodriguez, 21 I. & N. Dec. at 42.
Whether Garces committed that crime or, more specifically, whether there is
reason to believe that he did, does matter because his conviction was vacated. In
the eyes of the State of Florida that conviction is a legal nullity. Whether it is a
nullity for purposes of 8 U.S.C. § 1182(a)(2) and other provisions of federal
immigration law that refer to criminal convictions, depends on the reason it was
vacated. A vacatur or expungement obtained under a rehabilitative statute, or
granted simply in order to help the alien avoid “immigration hardships,” has no
effect for immigration law purposes. See In re Adamiak, 23 I. & N. Dec. 878,
879–80 (BIA 2006). By contrast, the vacatur of a conviction because of a
constitutional, statutory, or procedural defect in the underlying criminal
proceedings does have effect—there is no longer a “conviction” for immigration
purposes. Id. We held in Alim v. Gonzales, 446 F.3d 1239 (11th Cir. 2006), that
14
the BIA’s approach as outlined in Adamiak was a reasonable interpretation of the
Immigration and Nationality Act and was therefore entitled to Chevron deference.
Id. at 1249–50; cf. Resendiz-Alcaraz v. U.S. Att’y Gen., 383 F.3d 1262, 1267–69
(11th Cir. 2004) (a state conviction expunged because defendant successfully
completed probation was still a “conviction” under INA).
The petitioner in Alim faced removal under the “crime of moral turpitude”
provision of 8 U.S.C. § 1227(a)(2)(A)(ii) because of a Florida conviction for
domestic battery. Alim, 446 F.3d at 1242–43. He obtained a vacatur of his guilty
plea and conviction on the same ground as did Garces: his plea was involuntary
because the court failed to advise him of possible immigration consequences. Id.
at 1243; see Fla. R. Crim. P. 3.172(c)(8). Because the state court vacated the
conviction due to a defect in the underlying proceedings, Alim was no longer
“convicted” for immigration purposes, and the same is true of Garces.6 See Alim,
446 F.3d at 1250–51. It is not necessary that the defect be one that implicates a
federal right, although this one probably does.7 We give full faith and credit to the
6
By contrast, a vacated state conviction remains effective for immigration purposes if it
is not clear from the record that the vacatur was based on a defect in the underlying proceedings.
See Ali v. U.S. Att’y Gen., 443 F.3d 804, 810–11 & n.7 (11th Cir. 2006) (alien was removable
based on vacated Georgia conviction for child molestation, where state court said only that it
granted vacatur “for good cause shown and by consent of the parties” and did not explain
further; alien claimed it was because he had not been warned of immigration consequences, but
Georgia law at the time did not require such a warning).
7
In Padilla v. Kentucky, 130 S.Ct. 1473 (2010), the Court held that an attorney’s failure
to warn a non-citizen defendant of possible immigration consequences of his plea can, assuming
prejudice is shown, constitute ineffective assistance of counsel in violation of the Sixth
15
Florida court’s determination that the judgment of conviction was flawed because
Garces was deprived of a right he did have under Florida law. See Adamiak, 23 I.
& N. Dec. at 881 (accepting vacatur based on violation of Ohio rule similar to
Florida’s); cf. In re Rodriguez-Ruiz, 22 I. & N. Dec. 1378, 1379–80 (BIA 2000)
(giving full faith and credit to New York court’s judgment vacating a conviction
that had been entered by the courts of that state, and declining to analyze whether
that court had correctly applied the law in doing so).
Unfortunately for Garces, the vacatur of his conviction did not end the
matter. The matter lingers on because the charge on which he was found
removable does not depend on a criminal conviction. Instead, it requires simply
that there be “reason to believe” Garces engaged in drug trafficking. The relevant
provision of the INA reads as follows:
(C) CONTROLLED SUBSTANCE TRAFFICKERS- Any alien who
the consular officer or the Attorney General knows or has reason to
believe—
(i) is or has been an illicit trafficker in any controlled substance or in
any listed chemical (as defined in [21 U.S.C. § 802]), or is or has been a
Amendment. Id. at 1482–84. Padilla, who like Garces faced a state drug trafficking charge,
received the same type of erroneous advice when his attorney told him he would “not have to
worry” about his immigration status if he took a plea deal. Id. at 1478. Still, neither the
Supreme Court nor this Court has specifically held that a defendant’s ignorance of immigration
consequences renders his guilty plea involuntary. See United States v. Campbell, 778 F.2d 764,
768 (11th Cir. 1985) (holding that because deportation is merely a collateral consequence of
criminal conviction, there is no federal constitutional right to be warned of it); cf. Padilla, 130
S.Ct. at 1481–82 (recognizing disagreement among courts as to whether deportation is a direct or
a collateral consequence of conviction, and declining to decide the question).
16
knowing aider, abettor, assister, conspirator, or colluder with others in the
illicit trafficking in any such controlled or listed substance or chemical, or
endeavored to do so . . . is inadmissible.
INA § 212(a)(2)(C), 8 U.S.C. § 1182(a)(2)(C).
A “reason to believe” determination can be made even if the alien was never
convicted of any offense. See In re Favela, 16 I. & N. Dec. 753, 754–56 (BIA
1979) (alien excluded based on his admission that he attempted to smuggle
marijuana, even though he was not convicted of a controlled substance offense); In
re Rico, 16 I. & N. Dec. 181, 185–86 (BIA 1977) (alien excluded after being
caught with truckload of marijuana, even though criminal charges were dropped);
In re R-H-, 7 I. & N. Dec. 675, 678 (BIA 1958) (alien excluded based on his
admission that he helped dealer deliver marijuana, even though he was never
convicted of it). And the fact that a drug conviction was subsequently vacated, for
whatever reason, does not bar immigration authorities from using the facts that led
to the conviction as the basis for a “reason to believe” charge. See Castano v. INS,
956 F.2d 236, 238–39 (11th Cir. 1992) (upholding BIA’s determination of
removability based on facts underlying conviction for distributing cocaine, even
though conviction was expunged under federal youthful-offender rehabilitation
statute). To hold otherwise would lead to the absurd result that an alien who was
convicted, and then obtained a vacatur, would be in a better position than one who
was never convicted in the first place. Id. at 239. Given that the conviction is out
17
of the picture, the question is whether the evidence in the record shows that there is
“reason to believe” that Garces was engaged in drug trafficking on that April night
in Miami when he was arrested and charged with the crime.
Although Garces was paroled into the United States in 1980, he was never
admitted as a legal resident. See INA § 212(d)(5)(A), 8 U.S.C. § 1182 (d)(5)(A)
(“parole . . . shall not be regarded as an admission of the alien”). For that reason,
in the removal proceeding the burden was on him to establish that he was “clearly
and beyond doubt” entitled to admission, and that he was not inadmissible under
any of the grounds enumerated in 8 U.S.C. § 1182(a). See 8 U.S.C. §
1229a(c)(2)(A).8 According to the government, that means Garces had to prove
clearly and beyond doubt that it would be “unreasonable” to believe he had
engaged in drug trafficking. However, the burden of proof in the immigration
hearing and the standard of review on appeal are not the same thing. See Adefemi
v. Ashcroft, 386 F.3d 1022, 1027 & n.9 (11th Cir. 2004) (en banc) (explaining how
burden of proof differs from standard of review in the context of immigration
proceedings). Our task is to determine whether the BIA’s decision is supported by
reasonable, substantial and probative evidence. See Diallo v. U.S. Att’y Gen., 596
8
By contrast, if Garces had already obtained legal resident status, then the government
would bear the burden of proving the trafficking charge in a removal proceeding by clear and
convincing evidence. 8 U.S.C. § 1229a(c)(3)(A); see Woodby v. INS, 385 U.S. 276, 286, 87
S.Ct. 483, 488 (1966) (facts alleged as grounds for deportation of resident alien must be found
by “clear, unequivocal, and convincing evidence”).
18
F.3d 1329, 1332 (11th Cir. 2010) (per curiam). The fact that Garces had the
burden before the IJ does not change our review of the BIA’s decision. See
Adefemi, 386 F.3d at 1027; see also Blanco v. Mukasey, 518 F.3d 714, 720 (9th
Cir. 2008) (reviewing BIA’s decision under substantial-evidence standard while
noting that alien had burden of proof below); Singh v. Gonzalez, 413 F.3d
156,160–61 (1st Cir. 2005) (same).
Burdens of proof notwithstanding, a finding of inadmissibility must be based
on something more than the alien’s failure to prove a negative. We do not require
every alien seeking admission to the United States to produce evidence proving
clearly and beyond a doubt that he is not a drug trafficker, unless there is already
some other evidence—some “reason to believe”—that he is one. The State
Department’s Foreign Affairs Manual explains what is needed to make such a
determination:
“Reason to believe” might be established by a conviction, an
admission, a long record of arrests with an unexplained failure to
prosecute by the local government, or several reliable and
corroborative reports. The essence of the standard is that the
consular officer must have more than a mere suspicion—there must
exist a probability, supported by evidence, that the alien is or has
been engaged in trafficking. . . .
U.S. Dep’t of State, 9 Foreign Affairs Manual 40.23 Notes n.2(b) (emphasis
added).
19
The Foreign Affairs Manual rule, which is addressed to the officers who
make initial determinations on an alien’s admissibility, is consistent with the
standard of review that applies at later stages of appeal. The BIA itself requires
that a finding of inadmissibility under the “reason to believe” provision be based
on “reasonable, substantial, and probative evidence.” Rico, 16 I. & N. Dec. at
185.9 Likewise, we will affirm the BIA’s decision if it is supported by “reasonable,
substantial, and probative evidence on the record considered as a whole.” Diallo,
596 F.3d at 1332. See also Alarcon-Serrano v. INS, 220 F.3d 1116, 1119 (9th Cir.
2000) (“The appropriate way of measuring whether the IJ and the BIA had ‘reason
to believe’ that [petitioner] knew he was participating in drug trafficking is to
determine whether substantial evidence supports such a conclusion. In this regard,
the conclusion of the immigration judge must be affirmed if based on reasonable,
substantial, and probative evidence.”).
In this case, the BIA determined that “[t]he record evidence, including the
police report and the ‘Motion to Vacate and Set Aside Guilty Plea’ in which the
respondent confirms that he pled guilty to possession with intent to sell cocaine,”
constituted reasonable, substantial, and probative evidence supporting the IJ’s
9
The BIA has also suggested that where the ground asserted for exclusion is one that
would permanently bar the alien from admission to the United States, “close scrutiny” of the
factual basis for the charge is warranted. In re Healy and Goodchild, 17 I. & N. Dec. 22, 29 &
n.7 (BIA 1979) (alien charged with willfully making false statement to obtain visa).
20
finding that Garces was inadmissible because there was reason to believe he had
engaged in drug trafficking. We consider the guilty plea and the arrest reports in
turn.
A.
Even though Garces’ 1984 conviction itself no longer exists for immigration
purposes, see Alim, 446 F.3d at 1250–51, the facts that led to it can still support a
“reason to believe” determination if they are established by reasonable, substantial,
and probative evidence. See Castano, 956 F.2d at 238–39. Of course, in any civil
or criminal proceeding in federal court, evidence of a withdrawn guilty plea, or of
any statements made in the course of plea proceedings or negotiations, would not
be admissible. Fed. R. Evid. 410. Rule 410 codifies and expands the Supreme
Court’s holding in Kercheval v. United States, 274 U.S. 220, 47 S.Ct. 582 (1927),
that a withdrawn guilty plea is not admissible in a later criminal trial for the same
offense. Id. at 223–24, 47 S.Ct. at 583 (“When the plea was annulled it ceased to
be evidence.”); see Fed. R. Evid. 410 advisory committee’s note. Though its
language is sweeping, Kercheval’s actual holding is limited to the context of a later
criminal trial on the same offense. See id. For that reason, it has no direct
application to immigration proceedings which, although their result may be
dictated by the outcome of an earlier criminal case, are not a continuation of that
case. Immigration proceedings are not criminal trials, and the “reasonable,
21
substantial, and probative evidence” needed to support a determination of
removability is considerably less than the proof beyond a reasonable doubt that
would be required for a criminal conviction. See Rico, 16 I. & N. Dec. at 185.
Furthermore, it is a “well-settled principle[]” that the Federal Rules of Evidence do
not apply in administrative proceedings. Dir. of Office of Thrift Supervision, U.S.
Dep’t of Treasury v. Lopez, 960 F.2d 958, 964 n.11 (11th Cir. 1992); see also
Myers v. Sec’y of Health & Human Servs., 893 F.2d 840, 843 (6th Cir. 1990)
(specifically holding that Rule 410 does not apply in administrative proceedings).
Neither Kercheval nor Rule 410 categorically bars the BIA from considering
Garces’ withdrawn plea for any purpose. See Castano, 956 F.2d at 238 (BIA could
consider as part of “reason to believe” determination a guilty plea to a cocaine
trafficking charge even though the resulting conviction was later expunged for
rehabilitation purposes). The question is how much evidentiary weight, under
these circumstances, the BIA reasonably could give the fact that Garces pleaded
guilty to the drug trafficking charge in 1984.
Given the state of the record, the simple fact that Garces entered a guilty
plea can carry little or no probative weight. The record does not show that Garces
made any factual admission of guilt, sworn or otherwise, in the plea proceedings.
Florida’s rules at the time recommended that the trial judge “should” place a
defendant under oath before questioning him to ascertain the voluntariness of the
22
plea, but they did not require it. See Fla. R. Crim. P. 3.172(c). Regardless, the
plea itself cannot be taken as an admission of guilt because Florida law in 1984, as
it does today, expressly allowed a defendant to plead guilty while maintaining his
innocence. See Fla. R. Crim. P. 3.172(d) (1977) (current version at id. 3.172(e))
(“Before the trial judge accepts a guilty or nolo contendere plea, he must determine
that the defendant either 1) acknowledges his guilt, or 2) acknowledges that he
feels the plea to be in his best interest, while maintaining his innocence.”). This
rule was adopted to permit so-called Alford “pleas of convenience.” Id. 3.172
committee note; see North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160 (1970)
(no constitutional error in accepting a guilty plea from a defendant who maintains
his innocence, as long as the plea has a factual basis).
The record does not tell us whether Garces admitted his guilt and entered the
plea on that basis or maintained his innocence and entered a “plea of convenience”
because he was convinced it was in his best interest to do so. In fact, the record
tells us nothing at all about what happened at the plea proceeding or in whatever
negotiations led up to it. We do not know what the court asked Garces, whether he
was put under oath, or whether he admitted any facts indicating his guilt. The
government argues it is Garces’ burden to convince us that he did enter a “plea of
convenience” or “best interests” plea while maintaining his innocence. As we have
already explained, however, supra at 18–20, our concern is not with who has the
23
burden of proof but with whether substantial evidence supports the BIA’s
determination. Florida’s rule put the burden on the trial judge to determine that the
defendant was making a knowing and voluntary plea either because he was
actually guilty or because it was in his best interests to do so, see Fla. R. Crim. P.
3.172(d) (1977), but that tells us nothing about which basis the judge who accepted
the plea found to exist. We can only speculate.10 Regardless of what happened at
the plea colloquy, the same state court that accepted the plea in the first place has
since determined that it was not voluntarily entered. See id. 3.172(c)(8).
If the record established that Garces had indeed stood up in court and
admitted the facts of the offense under oath, or that Florida procedural rules would
necessarily have required him to do so, this would be a different case and the result
might well be different. We need not decide whether a plea given under those
circumstances would necessarily be sufficient in and of itself to establish “reason
10
We have no idea what the case against Garces looked like by the time he took the plea
offer, a year after his arrest. We do not know whether any of the co-defendants implicated him,
or even whether the powder seized from Canevaro was tested to determine if it actually was
cocaine. As an argument of last resort, the government urges us to consider Garces’ willingness
to enter the plea as an acknowledgment by him that the state’s evidence was strong enough to
convict him. Though that might have been the case, it just as well might not have been so. The
reason Garces pleaded guilty could have been that the prosecutor offered him such a sweet deal,
with no actual jail time, that it was too tempting for Garces to pass up and risk even a small
chance of being convicted after a trial and sentenced to imprisonment. It might even be argued
that the fact that the prosecutor offered Garces such leniency indicates a lack of confidence in
the case against him. The point is that speculation concerning the beliefs of Garces and the
prosecutor about what might have happened at trial is not “reasonable, substantial, and probative
evidence.”
24
to believe.”11 Of course, such an admission by a defendant—especially if made
under oath—would be strong evidence that he did in fact commit the crime. As the
Supreme Court has noted in another context, “[s]olemn declarations in open court
carry a strong presumption of verity.” Blackledge v. Allison, 431 U.S. 63, 74, 97
S.Ct. 1621, 1629 (1977).12 An alien who had admitted under oath that he was
guilty of the crime would have enormous difficulty convincing immigration
authorities that there was no reason to believe that he had committed it. Given the
fact that Florida allows pleas of convenience without any admission of guilt, and
given the state of the record, however, there is no substantial evidence that Garces
admitted anything when he pleaded guilty a quarter of a century ago. For that
reason, the fact that he pleaded guilty does not corroborate the allegations in the
arrest reports.
B.
We are left with only the arrest reports. Both federal and Florida courts
would exclude those documents as hearsay in a criminal case, see Fed. R. Evid.
11
We also need not decide whether an alien who in the course of pleading guilty admitted
having committed the criminal conduct in question would be removable under 8 U.S.C. §
1182(a)(2)(A) (removability where the alien “admits having committed, or . . . admits
committing acts which constitute the essential elements of” a covered offense). The government
has not argued that under the facts of this case that provision is applicable.
12
In Castano we stated that because the “petitioner has pleaded guilty to cocaine
trafficking, it logically follows that immigration officials do not merely have reason to believe
he has trafficked in narcotics, they have reason to know he has done so.” 956 F.2d at 238. But
Castano, unlike Garces, never denied that he had committed the offense and did not dispute any
of the factual allegations against him.
25
803(8) (police reports not admissible under public records hearsay exception); Fla.
Stat. § 90.803(8) (same), but that does not bar them from being considered in an
administrative immigration proceeding. See Lopez, 960 F.2d at 964 n.11. Even
so, the BIA implicitly acknowledged the reliability concerns13 behind Rule 803(8)
when it decided to give “little weight” to arrest reports that are not corroborated by
other evidence. See Arreguin de Rodriguez, 21 I. & N. Dec. at 42 (“[W]e are
hesitant to give substantial weight to an arrest report, absent a conviction or
corroborating evidence of the allegations contained therein. Here, the applicant
conceded that the arrest took place but admitted to no wrongdoing. Considering
that prosecution was declined and that there is no corroboration, from the applicant
or otherwise, we give the apprehension report little weight.”). The arrest reports
state the police officers’ conclusions (saying Garces “was involved in a cocaine
deal”) rather than recording their observations of facts sufficient to show guilt.
And the Foreign Affairs Manual instructs immigration officers not to base a
finding of inadmissibility solely on “conclusions of other evaluators . . . no matter
how trustworthy.” 9 FAM 40.23 Notes n.2(c).
13
See Fed. R. Evid. 803(8) advisory committee’s note (1974 enactment) (citing as one
reason for excluding police reports that “observations by police officers at the scene of the crime
or the apprehension of the defendant are not as reliable as observations by public officials in
other cases because of the adversarial nature of the confrontation between the police and the
defendant in criminal cases”).
26
Even if we assume the accuracy of the facts stated in the reports, they do not
say much. They say that Garces “made contact with” Canevaro, but do not tell
how. They also say that after Canevaro was caught with cocaine Garces tried to
drive off when the undercover officers approached his car. But no drugs or drug
paraphernalia were found on Garces or in his car, and he was not in the room when
Canevaro handed the drugs to the undercover officer. Of course, the “reason to
believe” charge does not require evidence that Garces himself actually handled the
drugs; it is enough if he knowingly aided, abetted, or conspired with someone else
who did. See 8 U.S.C. § 1182(a)(2)(C)(i). But there must be some reasonable,
substantial, and probative evidence that he was a “knowing and conscious
participant” in Canevaro’s cocaine transaction. See Rico, 16 I. & N. Dec. at 186;
R-H-, 7 I. & N. Dec. at 678. Although the circumstances might give rise to some
suspicion that Garces knew what Canevaro was up to, “mere suspicion” is not
enough. See 9 FAM 40.23 Notes n.2(b).
Decisions of this Court and the BIA upholding “reason to believe”
determinations have done so on considerably more substantial evidence. In those
cases, the alien either admitted that he had trafficked in drugs, or he was caught
with a significant quantity of them. See Castano, 956 F.2d at 238 & n.6 (INS “in
effect ‘retried’” the criminal case, introducing “lengthy evidence, both
documentary and testimonial,” and alien did not contest facts); Favela, 16 I. & N.
27
Dec. at 754 (alien “admitted his conscious participation” in attempt to smuggle
marijuana); Rico, 16 I. & N. Dec. at 182–83 (several DEA, Border Patrol, and
Customs agents testified that alien was caught at the border with 162 pounds of
marijuana in his pickup truck; he told agents he knew “something” was in the truck
and offered to give them information on other drug traffickers; his later story that
he had only borrowed the truck for the day was contradicted by agents’ testimony
that they had seen him crossing the border several times before in the same
vehicle); R-H-, 7 I. & N. Dec. at 678 (alien admitted he helped dealer deliver
marijuana cigarettes to customers). We cite these cases not to suggest that they set
a bar to be cleared, but simply to illuminate the weakness of the evidence against
Garces. We do not have to define the minimum showing necessary to establish
“reason to believe” in order to conclude that it was not made in this case.
V.
The BIA’s decision, terse as it is, appears to take the fact of Garces’ guilty
plea as an admission by him that corroborates the allegations in the arrest reports.
For the reasons we have stated, it does not. Absent corroboration, the arrest reports
by themselves do not offer reasonable, substantial, and probative evidence that
there is reason to believe Garces engaged in drug trafficking. Accordingly, the
28
BIA’s order is reversed, and the case is remanded for further proceedings
consistent with this opinion.14
REVERSED AND REMANDED.
14
Garces’ argument that the BIA violated his due process rights by failing to adequately
explain the reasoning behind its decision is therefore moot, and we do not address it.
29