SMALL v. UNITED STATES
No. 03-750
Supreme Court of the United States
Argued November 3, 2004—Decided April 26, 2005
544 U.S. 385
Paul D. Boas argued the cause for petitioner. With him on the briefs was Stephen P. Halbrook.
Patricia A. Millett argued the cause for the United States. With her on the brief were Acting Solicitor General Clement, Assistant Attorney General Wray, Deputy Solicitor General Dreeben, and John A. Drennan.
The United States Criminal Code makes it
“unlawful for any person ... who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year ... to ... possess ... any firearm.”
18 U. S. C. § 922(g)(1) (emphasis added).
The question before us focuses upon the words “convicted in any court.” Does this phrase apply only to convictions entered in any domestic court or to foreign convictions as well? We hold that the phrase encompasses only domestic, not foreign, convictions.
I
In 1994 petitioner, Gary Small, was convicted in a Japanese court of having tried to smuggle several pistols, a rifle, and ammunition into Japan. Small was sentenced to five years’ imprisonment. 183 F. Supp. 2d 755, 757, n. 3 (WD Pa. 2002). After his release, Small returned to the United States, where he bought a gun from a Pennsylvania gun dealer. Federal authorities subsequently charged Small under the “unlawful gun possession” statute here at issue. 333 F. 3d 425, 426 (CA3 2003). Small pleaded guilty while reserving the right to challenge his conviction on the ground that his earlier conviction, being a foreign conviction, fell outside the scope of the illegal gun possession statute. The Federal District Court rejected Small‘s argument, as did the Court of Appeals for the Third Circuit. 183 F. Supp. 2d, at 759; 333 F. 3d, at 427, n. 2. Because the Circuits disagree about the matter, we granted certiorari. Compare United States v. Atkins, 872 F. 2d 94, 96 (CA4 1989) (“convicted in any court” includes foreign convictions); United States v. Winson, 793 F. 2d 754, 757-759 (CA6 1986) (same), with United States v. Gayle, 342 F. 3d 89, 95 (CA2 2003) (“convicted in any court” does not include foreign convictions); United States v. Concha, 233 F. 3d 1249, 1256 (CA10 2000) (same).
II
A
The question before us is whether the statutory reference “convicted in any court” includes a conviction entered in a foreign court. The word “any” considered alone cannot answer this question. In ordinary life, a speaker who says, “I‘ll see any film,” may or may not mean to include films shown in another city. In law, a legislature that uses the statutory phrase “any person” may or may not mean to include “persons” outside “the jurisdiction of the state.” See, e. g., United States v. Palmer, 3 Wheat. 610, 631 (1818) (Marshall, C. J.) (“[G]eneral words,” such as the word “any,” must “be limited” in their application “to those objects to which the legislature intended to apply them“); Nixon v. Missouri Municipal League, 541 U. S. 125, 132 (2004) (“‘any’ means ‘different things depending upon the setting‘“); United States v. Alvarez-Sanchez, 511 U. S. 350, 357 (1994) (“[R]espondent errs in placing dispositive weight on the broad statutory reference to ‘any’ law enforcement officer or agency without considering the rest of the statute“); Middlesex County Sewerage Authority v. National Sea Clammers Assn., 453 U. S. 1, 15-16 (1981) (it is doubtful that the phrase “any statute” includes the very statute in which the words appear); Flora v. United States, 362 U. S. 145, 149 (1960) (“[A]ny sum,” while a “catchall” phrase, does not “define what it catches“). Thus, even though the word “any” demands a broad interpretation, see, e. g., United States v. Gonzales, 520 U. S. 1, 5 (1997), we must look beyond that word itself.
In determining the scope of the statutory phrase we find help in the “commonsense notion that Congress generally legislates with domestic concerns in mind.” Smith v. United States, 507 U. S. 197, 204, n. 5 (1993). This notion has led the Court to adopt the legal presumption that Congress ordinarily intends its statutes to have domestic, not extrater-
For one thing, the phrase describes one necessary portion of the “gun possession” activity that is prohibited as a matter of domestic law. For another, considered as a group, foreign convictions differ from domestic convictions in important ways. Past foreign convictions for crimes punishable by more than one year‘s imprisonment may include a conviction for conduct that domestic laws would permit, for example, for engaging in economic conduct that our society might encourage. See, e. g., Art. 153 of the Criminal Code of the Russian Soviet Federated Socialist Republic, in Soviet Criminal Law and Procedure 171 (H. Berman & J. Spindler transls. 2d ed. 1972) (criminalizing “Private Entrepreneurial Activity“); Art. 153, id., at 172 (criminalizing “Speculation,” which is defined as “the buying up and reselling of goods or any other articles for the purpose of making a profit“); cf., e. g., Gaceta Oficial de la Republica de Cuba, ch. II, Art. 103, p. 68 (Dec. 30, 1987) (forbidding propaganda that incites against the social order, international solidarity, or the Communist state). They would include a conviction from a legal system that is inconsistent with an American understanding of fairness. See, e. g., U. S. Dept. of State, Country Reports on Human Rights Practices for 2003, Submitted to the House Committee on International Relations and the Senate Committee on Foreign Relations, 108th Cong., 2d Sess., 702-705,
In addition, it is difficult to read the statute as asking judges or prosecutors to refine its definitional distinctions where foreign convictions are at issue. To somehow weed out inappropriate foreign convictions that meet the statutory definition is not consistent with the statute‘s language; it is not easy for those not versed in foreign laws to accomplish; and it would leave those previously convicted in a foreign court (say, of economic crimes) uncertain about their legal obligations. Cf. 1 United States Sentencing Commission, Guidelines Manual §4A1.2(h) (Nov. 2004) (“[S]entences resulting from foreign convictions are not counted” as a “prior sentence” for criminal history purposes).
These considerations, suggesting significant differences between foreign and domestic convictions, do not dictate our ultimate conclusion. Nor do they create a “clear statement” rule, imposing upon Congress a special burden of specificity. See post, at 399 (THOMAS, J., dissenting). They simply convince us that we should apply an ordinary assumption about the reach of domestically oriented statutes here—an assumption that helps us determine Congress’ intent where Congress likely did not consider the matter and where other indicia of intent are in approximate balance. Cf. ibid. We consequently assume a congressional intent that the phrase
B
We have found no convincing indication to the contrary here. The statute‘s language does not suggest any intent to reach beyond domestic convictions. Neither does it mention foreign convictions nor is its subject matter special, say, immigration or terrorism, where one could argue that foreign convictions would seem especially relevant. To the contrary, if read to include foreign convictions, the statute‘s language creates anomalies.
For example, the statute creates an exception that allows gun possession despite a prior conviction for an antitrust or business regulatory crime.
For example, the statute specifies that predicate crimes include “a misdemeanor crime of domestic violence.”
For example, the statute provides an enhanced penalty where unlawful gun possession rests upon three predicate convictions for a “serious drug offense.”
For example, the statute provides that offenses that are punishable by a term of imprisonment of up to two years, and characterized under state law as misdemeanors, are not predicate crimes.
The statute‘s purpose does offer some support for a reading of the phrase that includes foreign convictions. As the Government points out, Congress sought to “‘keep guns out of the hands of those who have demonstrated that they may not be trusted to possess a firearm without becoming a threat to society.‘” Brief for United States 16 (quoting Dickerson v. New Banner Institute, Inc., 460 U. S. 103, 112 (1983)); see also Lewis v. United States, 445 U. S. 55, 60-62, 66 (1980); Huddleston v. United States, 415 U. S. 814, 824
The force of this argument is weakened significantly, however, by the empirical fact that, according to the Government, since 1968, there have probably been no more than “10 to a dozen” instances in which such a foreign conviction has served as a predicate for a felon-in-possession prosecution. Tr. of Oral Arg. 32. This empirical fact reinforces the likelihood that Congress, at best, paid no attention to the matter.
C
In sum, we have no reason to believe that Congress considered the added enforcement advantages flowing from inclusion of foreign crimes, weighing them against, say, the potential unfairness of preventing those with inapt foreign convictions from possessing guns. See supra, at 389. The statute itself and its history offer only congressional silence. Given the reasons for disfavoring an inference of extraterritorial coverage from a statute‘s total silence and our initial assumption against such coverage, see supra, at 390-391, we conclude that the phrase “convicted in any court” refers only to domestic courts, not to foreign courts. Congress, of course, remains free to change this conclusion through statutory amendment.
For these reasons, the judgment of the Third Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
THE CHIEF JUSTICE took no part in the decision of this case.
JUSTICE THOMAS, with whom JUSTICE SCALIA and JUSTICE KENNEDY join, dissenting.
Gary Small, having recently emerged from three years in Japanese prison for illegally importing weapons into that
I
In December 1992, Small shipped a 19-gallon electric water heater from the United States to Okinawa, Japan, ostensibly as a present for someone in Okinawa. App. to Brief for Appellant in No. 02-2785 (CA3), pp. 507a-510a, 530a-531a, 534a, 598a (hereinafter Appellant‘s App.). Small had sent two other water heaters to Japan that same year. Id., at 523a-527a. Thinking it unusual for a person to ship a water tank from overseas as a present, id., at 599a, Japanese customs officials searched the heater and discovered 2 rifles, 8 semiautomatic pistols, and 410 rounds of ammunition, id., at 603a-604a; id., at 262a, 267a, 277a.
The Japanese Government indicted Small on multiple counts of violating Japan‘s weapons-control and customs laws. Id., at 261a-262a. Each offense was punishable by imprisonment for a term exceeding one year. 333 F. 3d 425, 426 (CA3 2003). Small was tried before a three-judge court in Naha, Japan, Appellant‘s App. 554a, convicted on all counts on April 14, 1994, 333 F. 3d, at 426, and sentenced to 5 years’ imprisonment with credit for 320 days served, id., at 426, n. 1; Government‘s Brief in Support of Detention in Crim. No. 00-160 (WD Pa.), pp. 3-4. He was paroled on November 22, 1996, and his parole terminated on May 26, 1998. 333 F. 3d, at 426, n. 1.
II
The plain terms of
Of course, the phrase “any court,” like all other statutory language, must be read in context. E. g., Deal v. United States, 508 U. S. 129, 132 (1993). The context of
Counting foreign convictions, moreover, implicates no special federalism concerns or other clear statement rules that have justified construing “any” narrowly in the past.4 And it is eminently practical to put foreign convictions to the same use as domestic ones; foreign convictions indicate dangerousness just as reliably as domestic convictions. See Part III-B, infra. The expansive phrase “convicted in any court” straightforwardly encompasses Small‘s Japanese convictions.
III
Faced with the inescapably broad text, the Court narrows the statute by assuming that the text applies only to domestic convictions, ante, at 388-389; criticizing the accuracy of foreign convictions as a proxy for dangerousness, ante, at 389-390; finding that the broad, natural reading of the statute “creates anomalies,” ante, at 391; and suggesting that Congress did not consider whether foreign convictions counted, ante, at 393. None of these arguments is persuasive.
A
The Court first invents a canon of statutory interpretation—what it terms “an ordinary assumption about the reach of domestically oriented statutes,” ante, at 390—to cabin the statute‘s reach. This new “assumption” imposes a clear statement rule on Congress: Absent a clear statement, a statute refers to nothing outside the United States. The Court‘s denial that it has created a clear statement rule is implausible. Ibid. After today‘s ruling, the only way for Congress to ensure that courts will construe a law to refer to foreign facts or entities is to describe those facts or entities specifically as foreign. If this is not a “special burden of specificity,” ibid., I am not sure what is.
The Court‘s innovation is baseless. The Court derives its assumption from the entirely different, and well-recognized, canon against extraterritorial application of federal statutes: “It is a longstanding principle of American law that legislation of Congress, unless a contrary intent appears, is meant to apply only within the territorial jurisdiction of the United States.” EEOC v. Arabian American Oil Co., 499 U. S. 244, 248 (1991) (internal quotation marks omitted). But the majority rightly concedes that the canon against extraterritoriality itself “does not apply directly to this case.” Ante, at 389. Though foreign as well as domestic convictions trigger
The extraterritoriality cases cited by the Court, ante, at 389, do not support its new assumption. They restrict federal statutes from applying outside the territorial jurisdiction of the United States. See Smith v. United States, 507 U. S. 197, 203-204 (1993) (Federal Tort Claims Act does not apply to claims arising in Antarctica); Arabian American
We have, it is true, recognized that the presumption against extraterritorial application of federal statutes is rooted in part in the “commonsense notion that Congress generally legislates with domestic concerns in mind.” Smith, supra, at 204, n. 5. But my reading of
Rather than stopping there, the Court introduces its new “assumption about the reach of domestically oriented stat-
B
In support of its narrow reading of the statute, the majority opines that the natural reading has inappropriate results. It points to differences between foreign and domestic convictions, primarily attacking the reliability of foreign convictions as a proxy for identifying dangerous individuals. Ante, at 389-390. Citing various foreign laws, the Court observes that, if interpreted to include foreign convictions,
The Court‘s claim that foreign convictions punishable by imprisonment for more than a year “somewhat less reliably identif[y] dangerous individuals” than domestic convictions, ibid., is untenable. In compiling examples of foreign convictions that might trigger
Contrary to the majority‘s assertion, it makes sense to bar people convicted overseas from possessing guns in the United States. The Court casually dismisses this point with the observation that only “10 to a dozen” prosecutions under the statute have involved foreign convictions as predicate convictions. Ante, at 394 (quoting Tr. of Oral Arg. 32). The rarity of such prosecutions, however, only refutes the Court‘s simultaneous claim, ante, at 389-390, that a parade of horribles will result if foreign convictions count. Moreover, the Court does not claim that any of these few prosecutions has been based on a foreign conviction inconsistent with American law. As far as anyone is aware, the handful of prosecutions thus far rested on foreign convictions perfectly consonant with American law, like Small‘s conviction for international gunrunning. The Court has no answer for why including foreign convictions is unwise, let alone irrational.
C
The majority worries that reading
These outcomes cause the Court undue concern. They certainly present no occasion to employ, nor does the Court invoke, the canon against absurdities. We should employ that canon only “where the result of applying the plain language would be, in a genuine sense, absurd, i. e., where it is quite impossible that Congress could have intended the result ... and where the alleged absurdity is so clear as to be obvious to most anyone.” Public Citizen v. Department of Justice, 491 U. S. 440, 470-471 (1989) (KENNEDY, J., concurring in judgment); Nixon v. Missouri Municipal League, 541 U. S. 125, 141 (2004) (SCALIA, J., concurring in judgment) (“avoidance of unhappy consequences” is inadequate basis for interpreting a text); cf. Sturges v. Crowninshield, 4 Wheat. 122, 203 (1819) (before disregarding the plain meaning of a constitutional provision, the case “must be one in which the absurdity and injustice of applying the provision to the case, would be so monstrous, that all mankind would, without hesitation, unite in rejecting the application“).
Here, the “anomalies” to which the Court points are not absurd. They are, at most, odd; they may even be rational. For example, it is not senseless to bar a Canadian antitrust offender from possessing a gun in this country, while exempting a domestic antitrust offender from the ban. Congress might have decided to proceed incrementally and exempt only antitrust offenses with which it was familiar, namely, domestic ones. In any event, the majority abandons the statute‘s plain meaning based on results that are at most incongruous and certainly not absurd. As with the extraterritoriality canon, the Court applies a mutant version of a recognized canon when the recognized canon is itself inappo-
Even assuming that my reading of the statute generates anomalies, the majority‘s reading creates ones even more dangerous. As explained above, the majority‘s interpretation permits those convicted overseas of murder, rape, assault, kidnaping, terrorism, and other dangerous crimes to possess firearms freely in the United States. Supra, at 402-403, and n. 7. Meanwhile, a person convicted domestically of tampering with a vehicle identification number,
D
The Court hypothesizes “that Congress did not consider whether the generic phrase ‘convicted in any court’ applies to domestic as well as foreign convictions,” ante, at 392, and takes that as license to restrict the clear breadth of the text. Whether the Court‘s empirical assumption is correct is anyone‘s guess. Regardless, we have properly rejected this method of guesswork-as-interpretation. In Beecham v. United States, 511 U. S. 368 (1994), we interpreted other provisions of the federal firearms laws to mean that a person convicted of a federal crime is not relieved of the firearms disability unless his civil rights have been restored under federal (as opposed to state) law. We acknowledged the possibility “that the phrases on which our reading of the statute turns ... were accidents of statutory drafting,” id., at 374; and we observed that some legislators might have read the phrases differently from the Court‘s reading, “or, more likely, ... never considered the matter at all,” ibid. We nonetheless adhered to the unambiguous meaning of the statute. Ibid.; cf. National Organization for Women, Inc. v. Scheidler, 510 U. S. 249, 262 (1994) (“The fact that [the
The Court‘s reliance on the absence of any discussion of foreign convictions in the legislative history is equally unconvincing. Ante, at 393. Reliance on explicit statements in the history, if they existed, would be problematic enough. Reliance on silence in the history is a new and even more dangerous phenomenon. Koons Buick Pontiac GMC, Inc. v. Nigh, 543 U. S. 50, 73 (2004) (SCALIA, J., dissenting) (criticizing the Court‘s novel “Canon of Canine Silence“).
I do not even agree, moreover, that the legislative history is silent. As the Court describes, the Senate bill that formed the basis for this legislation was amended in Conference, to change the predicate offenses from ” ‘Federal’ crimes” punishable by more than one year‘s imprisonment and “crimes ‘determined by the laws of a State to be a felony‘” to conviction ” ‘in any court of, a crime punishable by a term of imprisonment exceeding one year.‘” Ante, at 393. The Court seeks to explain this change by saying that “the enacted version is simpler and ... avoids potential difficulties arising out of the fact that States may define the term ‘felony’ differently.” Ibid. But that does not explain why all limiting reference to “Federal” and “State” was eliminated. The revised provision would have been just as simple, and would just as well have avoided the potential difficulties, if it read “convicted in any Federal or State court of a crime punishable by a term of imprisonment exceeding one year.” Surely that would have been the natural change if
Some, of course, do not believe that any statement or text that has not been approved by both Houses of Congress and the President (if he signed the bill) is an appropriate source of statutory interpretation. But for those who do, this committee change ought to be strong confirmation of the fact that “any” means not “any Federal or State,” but simply “any.”
IV
The Court never convincingly explains its departure from the natural meaning of
