Lead Opinion
Six months before Congress enacted 18 U.S.C. § 922(g)(9), which makes it unlawful for anyone “who has been convicted in any court of a misdemeanor crime of domestic violence, to ... possess ... any firearm,” Cody Hutzell pleaded guilty to a state charge of “domestic abuse assault,” a misdemeanor. More than two years later, during an argument with his girlfriend, Mr. Hutzell fired a gun and was subsequently charged with violating § 922(g)(9). Mr. Hutzell entered a conditional guilty plea to the charge, and moved to dismiss the indictment. The district court
On appeal from the district court’s refusal to dismiss the indictment, Mr. Hut-zell maintains that his conviction was improper, first, because he personally was unaware of § 922(g)(9) at the time of the argument with his girlfriend and, further, because no one could be presumed to have had notice that the conduct described in the statute was in fact unlawful. He challenges as well the district court’s refusal to grant a downward departure at sentencing. We affirm the district court in all respects.
I.
The government asserts that 18 U.S.C. § 924(a)(2), which provides the penalties for those who “knowingly” violate
The government’s exclusive focus on statutory language, however, fails to address Mr. HutzelPs primary argument, namely, that neither he nor anyone else could be presumed to have had notice that the conduct described in the statute was in fact unlawful, as the fifth amendment’s due process clause requires before the government may prosecute for that conduct. Mr. Hutzell contends that there is nothing intuitively unlawful about the conduct that § 922(g)(9) proscribes, and therefore that his conviction for a misdemeanor involving domestic violence did not give him notice that his ability to own a gun might be subject to restrictions after such a conviction.
Mr. Hutzell acknowledges, as he must, that his position is in direct conflict with the “common maxim, familiar to all minds, that ignorance of the law will not excuse any person, either civilly or criminally,” Barlow v. United States,
Lambert,
Lambert carves out a very limited exception to the general rule that ignorance of the law is no excuse. The Lambert principle applies, for instance, only to prohibitions on activities that are not per se blameworthy. See generally United States v. Freed,
The district court observed (correctly, we believe) that an individual’s domestic violence conviction should itself put that person on notice that subsequent possession of a gun might well be subject to regulation. See generally United States v. Mitchell,
No one can reasonably claim, we think, to be unaware of the current level of concern about domestic violence; it is the subject of daily news reports and other media attention. There is evidence, in addition, that § 922(g)(9) was the subject of considerable public scrutiny and discussion both before and after its enactment. At any rate, in the present social circumstances, we believe that it is simply disingenuous for Mr. Hutzell to claim that his conviction under § 922(g)(9) involved the kind of unfair surprise that the fifth amendment prohibits.
II.
At sentencing, Mr. Hutzell moved for a downward departure from the applicable federal guidelines range on the ground that he had no reason to believe that his conduct constituted a crime. His contention was that his alleged lack of notice left him with an “incomplete defense” analogous to the “imperfect defenses” that are sometimes present when a defendant pleads coercion or duress as a defense. Such circumstances may be the basis for a downward departure. See U.S.S.G. § 5K2.12 (policy statement).
Assuming, without deciding, that the proposed analogy is apt, we see no abuse of discretion in the district court’s refusal to depart. See Koon v. United States,
III.
For the foregoing reasons, we affirm the judgment of the district court.
Notes
. The Honorable Ronald E. Longstaff, United States District Judge for the Southern District of Iowa.
Dissenting Opinion
dissenting.
When should ignorance of the law be an excuse from criminal liability? John Sel-den remarked, “Ignorance of the law excuses no man; not that all men know the law, but because it is an excuse every man will plead, and no man can tell how to confute him.” Table Talx-Law 61 (3d ed. 1716). Yet, I believe that, in some cases — and more particularly, in the case now before this court — the Fifth Amendment right to due process requires that ignorance of the law stand as an excuse. Furthermore, I believe that the narrow recognition of the “ignorance of the law defense” by the United States Supreme Court demonstrates that, even though every man may plead ignorance of the law, unwarranted claims to that defense can be confuted.
By dissenting from the majority opinion, I do not mean to suggest that I condone Mr. Hutzell’s conduct in any way. I find that Mr. Hutzell’s conduct in wielding a firearm during a domestic dispute was egregious, plainly criminal conduct and that such conduct should have led Mr. Hutzell to expect serious consequences. I do not agree, however, that due process permits one of those consequences to be Mr. Hutzell’s conviction under 18 U.S.C. § 922(g)(9) and imprisonment under 18 U.S.C. § 924(a)(2) for possession of a firearm after he had been convicted of a misdemeanor offense of domestic violence. I dissent from the majority opinion, because
I. STATUTORY INTERPRETATION
A. The Language Of The Statute
Section 922(g)(9) of Title 18, under which Mr. Hutzell was convicted, states no mens rea requirement at all; instead, it merely prohibits certain conduct, as follows: “It shall be unlawful for any person ... who has been convicted in any court of a misdemeanor crime of domestic violence ... to ... possess in or affecting commerce, any firearm or ammunition[.]” 18 U.S.C. § 922(g)(9). The mens rea requirement for a violation of § 922(g)(9) is stated in a separate “penalty provision,” § 924(a)(2). See United States v. Farrell,
That is not, however, the interpretation given to these statutes by the district court. Rather, the district court concluded that proof of Mr. Hutzell’s knowledge or awareness of the facts supporting his indictment was sufficient to establish a “knowing violation” of § 922(g)(9), and I must perforce agree that the district court’s interpretation is in accord with precedent of this circuit.
B. Eighth Circuit Precedent
This court has interpreted “knowing violation” requirements as requiring only knowledge of acts constituting the offense, not knowledge of the law, in several recent decisions. For example, in United States v. Sinskey,
Furthermore, in Farrell,
In the earlier of the cases relied upon in Sinskey, United States v. Hern,
C. Other Circuits
1. Majority decisions
Indeed, the district court’s interpretation of the “knowing violation” language of § 924(a)(2) is in accord with every majority opinion of a Circuit Court of Appeals to address the application of that language to offenses under either § 922(g)(9) or the comparable provision in § 922(g)(8), which prohibits possession of a firearm by a person who is subject to a domestic violence restraining order. See 18 U.S.C. § 922(g)(8). Every such decision has concluded that a conviction does not require proof that the defendant knew or should have known of the requirements of the law. See United States v. Mitchell,
2. The Wilson dissent
Similarly, I regret that I cannot embrace wholeheartedly Chief Judge Pos-
One difficulty with Chief Judge Posner’s analysis is that, in two of the cases on which he relied, Ratzlaf v. United States,
Moreover, as noted above, a knowledge of the law requirement based on statutory interpretation of “knowing violation” language cannot stand in the face of precedent of this circuit interpreting identical language. See Sinskey,
[T]he term “knowingly” does not necessarily have any reference to a culpable state of mind or to knowledge of the law. As Justice Jackson correctly observed, “the knowledge requisite to knowing violation of a statute is factual knowledge as distinguished from knowledge of the law.” Thus, in United States v. Bailey,444 U.S. 394 ,100 S.Ct. 624 ,62 L.Ed.2d 575 (1980), we held that the prosecution fulfills its burden of proving a knowing violation of the escape statute “if it demonstrates that an escapee knew his actions would result in his leaving physical confinement without permission.” Id. at 408,100 S.Ct. at 634 . And in Staples v. United States,511 U.S. 600 ,114 S.Ct. 1793 , 128*973 L.Ed.2d 608 (1994), we held that a charge that the defendant’s possession of an unregistered machinegun was unlawful required proof “that he knew the weapon he possessed had the characteristics that brought it within the statutory definition of a machinegun.” Id. at 602,114 S.Ct. at 1795 . It was not, however, necessary to prove that the defendant knew that his possession was unlawful. See Rogers v. United States,522 U.S. 252 , 252-57,118 S.Ct. 673 , 674-76,139 L.Ed.2d 686 (1998). Thus, unless the text of the statute dictates a different result, the term “knowingly” merely requires proof of knowledge of the facts that constitute the offense.
Bryan,
D. Conclusion On Statutory Interpretation
In light of these precedents, Congress cannot be construed to have intended that the “knowing violation” language of § 924(a)(2), in relation to a violation of § 922(g) offense, was meant to impose a “knowledge of the law” requirement. Consequently, I cannot adopt the statutory interpretation argument of Chief Judge Posner in Wilson, or otherwise conclude, as a matter of statutory interpretation, that a “knowing violation” of § 922(g)(9) requires knowledge of the law. Thus far I agree with the majority’s disposition of Hutzell’s appeal.
II. CONSTITUTIONAL REQUIREMENTS
Instead, I believe that the battle over whether or not the government was required to prove that Mr. Hutzell knew or should have known that the law prohibited his possession of a firearm after a misdemeanor conviction for domestic violence must be fought on due process grounds. While I must reject the dissenting opinion in Wilson as supporting a statutory interpretation that § 922(g) offenses require proof that the defendant knew or should have known of the prohibitions of the statute, I can embrace much of the reasoning of Chief Judge Posner’s dissent as supporting the argument that due process requires proof that the defendant knew or should have known of the prohibitions of § 922(g)(9). Even then, I do not rely exclusively on the dissent in Wilson, because I find that the basis for a due process requirement of knowledge of the law was set forth in the United States Supreme Court’s decision in Lambert v. California,
A. Lambert And Its Progeny
1. The Lambert decision
In Lambert, the Court considered the requirements for conviction of a person under a Los Angeles Municipal Code provision that made it unlawful for “any convicted person,” elsewhere defined as a person convicted of a felony or an offense punishable as a felony in California, to be or remain in Los Angeles for a period of more than five days without registering with the Chief of Police. Id. at 226,
In the majority opinion in Lambert, written by Justice Douglas, the Court rejected the contention that a “vicious will” is necessary to constitute a crime, and
More specifically, the Court was persuaded that due process limits had been passed where the conduct of the person who ran afoul of the law had been “wholly passive — mere failure to register,” because such conduct “is unlike the commission of acts, or the failure to act under circumstances that should alert the doer to the consequences of his deed.” Id. The Court reasoned as follows:
Engrained in our concept of due process is the requirement of notice. Notice is sometimes essential so that the citizen has the chance to defend charges. Notice is required before property interests are disturbed, before assessments are made, before penalties are assessed. Notice is required in a myriad of situations where a penalty or forfeiture might be suffered for mere failure to act. Recent cases illustrating the point ... involved only property interests in civil litigation. But the principle is equally appropriate where a person, wholly passive and unaware of any wrongdoing, is brought to the bar of justice for condemnation in a criminal case.
Lambert,
We believe that actual knowledge of the duty to register or proof of the probability of such knowledge and subsequent failure to comply are necessary before a conviction under the ordinance can stand. As Holmes wrote in The Common Law, ‘A law which punished conduct which would not be blameworthy in the average member of the community would be too severe for that community to bear.’ Id., at 50. Its severity lies in the absence of an opportunity either to avoid the consequences of the law or to defend any prosecution brought under it. Where a person did not know of the duty to register and where there was no proof of the probability of such knowledge, he may not be convicted consistently with due process. Were it otherwise, the evil would be as great as it is when the law is written in print too fine to read or in a language foreign to the community.
Lambert,
Thus, Lambert establishes the following prerequisites for a “due process” exception to the rule that ignorance of the law is no excuse: (1) the conduct of the person who runs afoul of the law must be “wholly passive”; and (2) there must be an “absence of circumstances that should alert the doer to the consequences of his deed.” Id. at 228,
2. The Freed decision
Justice Douglas, the author of the majority opinion in Lambert, subsequently rejected application of the “Lambert exception” to a statute prohibiting the unregistered possession of hand grenades in United States v. Freed,
Being in Los Angeles was not per se blameworthy. The mere failure to register, we held, was quite “unlike the commission of acts, or the failure to act under circumstances that should alert the doer to the consequences of his deed.” [Lambert, 355 U.S.] at 228,78 S.Ct. at 243 . The fact that the ordinance was a convenient law enforcement technique did not save it.... '
The present case is [not] in the category ... of Lambert .... This is a regulatory measure in the interest of the public safety, which may well be premised on the theory that one would hardly be surprised to learn that possession of hand grenades is not an innocent act. They are highly dangerous offensive weapons, no less dangerous than the narcotics involved in United States v. Balint,258 U.S. 250 , 254,42 S.Ct. 301 , 303,66 L.Ed. 604 , where a defendant was convicted of sale of narcotics against his claim that he did not know the drugs were covered by a federal act. We say with Chief Justice Taft in that case:
“It is very evident from reading of it that the emphasis of the section is in securing a close supervision of the business of dealing in these dangerous drugs by the taxing officers of the. Government and that it merely uses a criminal penalty to secure recorded evidence of the disposition of such drugs as a means of taxing and restraining the traffic. Its manifest purpose is to require every person dealing in drugs to ascertain at his peril whether that which he sells comes within the inhibition of the statute, and if he sells the inhibited drug in ignorance of its character, to penalize him. Congress weighed the possible injustice of subjecting the innocent seller to a penalty against the evil of exposing innocent purchasers to danger from the drug, and concluded that the latter was the result preferably to be avoided.” Id. at 253-54,42 S.Ct., at 302-03 .
Freed,
3. Qualifications for the “Lambert exception”
Reading Lambert and Freed together, it is apparent that a due process or “Lambert exception” to the rule that ignorance of. the law is no excuse depends upon the following interrelated requirements: The defendant’s conduct must not only be (1) “wholly passive,” see Lambert,
B. Section 922(g)(9) And Due Process
Are these requirements met by the statute at issue here? I admit that section
1.“Passive conduct”
First, I must sort out what “conduct” of the defendant is pertinent to the first qualification for the “Lambert exception,” the “passive conduct” requirement. To my mind, the fact that the conviction that brought Mr. Hutzell within the purview of § 922(g)(9) preceded the enactment of the statute robs the prior act of domestic violence of any significance under the Lambert “passive conduct” test. See Lambert,
Section 922(g)(9) defines an offense in terms of the defendant’s “possession” of a firearm — not, for example, active conduct such as “use,” “acquisition,” or “transportation” of a firearm — after conviction of a misdemeanor domestic abuse offense. See 18 U.S.C. § 922(g)(9). In other words, “mere possession” of a firearm after conviction of a domestic violence offense, the “test” under § 922(g)(9), is “unaccompanied by any activity whatever,” and such “mere possession” is therefore just as passive as “mere presence in the city” after a felony conviction. Cf. Lambert,
2. “Not per se blameworthy” conduct
Furthermore, it certainly cannot be said that, in American society, being in possession of a firearm is “per se blameworthy.” See Freed,
3. Notice from circumstances
There is also an “absence of circumstances that should alert the doer to the consequences of his deed” in this case. See Lambert,
Nor can the passage of § 922(g)(9) or “the present social circumstances,” as asserted by the majority, constitute circumstances that would put a person on notice of the statute’s prohibitions and potential applicability to him or her. This argument is based on the legal fiction — rarely supported by real-life experience — that mere passage of a law, or even public controversy at the time of its passage, provides notice of the law’s existence or scope. Father, the law in question here is so obscure that not only are most of the people to whom it might be applicable unaware of its existence, most state-court judges, those most involved in administration of domestic abuse statutes, appear to be unaware of it, and routinely fail to advise persons convicted of domestic abuse or subject to domestic abuse restraining orders of their potential liability for firearm possession under federal law. See Wilson,
Nor do I believe that Mr. .Hutzell’s subsequent assault on his wife can. constitute circumstances that would provide such notice of potential illegality as to obviate application of the “Lambert exception.” Indeed, I believe that Lambert — at least tacitly — rejects such bootstrapping. In Lambert, the defendant was charged with violating the registration ordinance after she was arrested on suspicion of another offense. Lambert,
4. The balance of injustices
Finally, Freed requires that the “injustice” to the defendant of disposing of a “knowledge of the law” requirement must not be outweighed by the benefit to the person the law is meant to protect. See Freed,
5. Summary
I conclude that prohibited possession of a firearm under § 922(g)(9) — at least in Mr. Hutzell’s case — is “unaccompanied by any activity whatever,” mere possession of a firearm after conviction of a domestic violence offense being the test. Cf. Lambert,
C. Viability of The “Lambert Exception”
I recognize that LambeH has not enjoyed wide-ranging application. Indeed, the majority decision in LambeH was described by three of the four dissenting justices in unprepossessing terms as a de-
1. Rejection based on actual knowledge of the statutory prohibition
I have no quibble at all with any decision upholding the conviction of a defendant who had actual knowledge of the proscription in 18 U.S.C. § 922(g)(9), or the related provision, § 922(g)(8). See, e.g., Baker,
2. Rejections based on constructive knowledge
However, I am not convinced that the “Lambert exception” is evaded as easily as the district court decision below or the consonant federal appellate decisions would suggest, where the defendant has no actual knowledge of the prohibitions of § 922(g)(9). In this case, the district judge concluded that Mr. Hutzell was “not prevented] ... from learning of the statute by other means after its enactment,” and that, by engaging in conduct that resulted in his domestic violence conviction, he had “removed himself from the class of ordinary citizens.” Other courts have shown similar ingenuity in avoiding application of the “Lambert exception” to the rule that “ignorance of the law will not excuse,” as cases rejecting application of the exception to § 922(g)(9) or § 922(g)(8) demonstrate. These decisions conclude that due process is satisfied, and Lambert distinguished, because the defendant’s prior misdemeanor domestic violence conviction, or imposition of a domestic violence restraining order against him, removed him from the class of ordinary citizens sufficiently that he could not reasonably expect to be free from regulation when possessing a firearm. See Mitchell,
However, I believe that just because these decisions “repeated the mistake does not transform error into truth, but illustrates the potential for future mischief that
Moreover, as I explained above, in Section II.B.3, I believe that Lambert itself forecloses bootstrapping of either a past or present incident of criminal conduct into an awareness of the probability of regulation of otherwise lawful conduct, because in Lambert, neither the defendant’s prior felony conviction nor the criminal conduct for which she was arrested at the time that her failure to register was discovered was considered by the Court as sufficient to put the defendant on notice of the probability of a registration requirement. See Lambert,
3. The Bryan decision
Although I believe that Lambert provides the basis for a due process requirement of “knowledge of the law” in this case, I note that courts rejecting such a requirement have often relied on Bryan v. United States,
a. The “Bryan exception”
In Bryan, the court wrote,
In certain cases involving willful violations of the tax laws, we have concluded that the jury must find that the defendant was aware of the specific provision of the tax code that he was charged with violating. See, e.g., Cheek v. United States,498 U.S. 192 , 201,111 S.Ct. 604 , 610,112 L.Ed.2d 617 (1991). Similarly, in order to satisfy a willful violation in Ratzlaf, we concluded that the jury had to find that the defendant knew that his*981 structuring of cash transactions to avoid a reporting requirement was unlawful. See510 U.S. at 138, 149 ,114 S.Ct. at 657-658, 663 . Those cases, however, are readily distinguishable. Both the tax cases and Ratzlaf involved highly technical statutes that presented the danger of ensnaring individuals engaged in apparently innocent conduct. As a result, we held that these statutes “carv[e] out an exception to the traditional rule” that ignorance of the law is no excuse and require that the defendant have knowledge of the law.
Bryan,
b. The dissent in Bryan
The three dissenting justices in Bryan criticized the majority’s conclusion that it is enough if the defendant knows, in a general way, that his conduct is unlawful, rather than requiring proof that the defendant must be aware that the actus reus punished by the statute — dealing in firearms without a federal license — is illegal. See Bryan,
c. Appellate applications of Bryan
Every appellate decision rejecting a due process requirement of knowledge of the law for violations of § 922(g)(9) or § 922(g)(8) has done so on the ground that the defendant’s prior act of domestic violence deprived him of a “Bryan exception” by removing him from the class of ordinary or innocent citizens. See Mitchell,
In Bryan, the defendant’s knowledge of the illegality of the actus retís that violated the specific statute under which he was charged — dealing in firearms without a federal license — apparently was not required. See Bryan,
d. Application of a “Bryan exception” to Hutzell
Assuming that the “Bryan exception” states a due process standard — that is, assuming that it states a due process requirement of “knowledge of the law” for convictions under “highly technical statutes that presen[t] the danger of ensnaring individuals engaged in apparently innocent conduct” — and construing such a standard to be in accord with Lambert, a conviction under § 922(g)(9) (and presumably also § 922(g)(8), which is not now before this court) would fit these requirements. Although § 922(g)(9) is not “highly technical,” I would agree with Chief Judge Pos-ner that it is certainly obscure, which “comes to the same thing, as we know from Lambert.” See Wilson,
The defendant’s prior conviction of a domestic violence offense, or even his knowing involvement in domestic violence at the time that his unlawful possession of a firearm was discovered, does not establish that “[t]he danger of convicting individuals engaged in apparently innocent activity ... is not present here” because no jury could find “that this [defendant] knew that his conduct [of merely possessing a firearm] was unlawful.” Bryan,
4. An exception without limits?
Finally, I must consider whether recognizing the “Lambert exception” as applica
III. CONCLUSION
I do not agree that Lambert is nothing more than a “derelict upon the waters of the law,” although few other decisions have sailed in its course. Rather, Lambert provides the narrow, reasoned exception that proves the rule that ignorance of the law is (generally) no excuse. As to 18 U.S.C. § 922(g)(9), I believe that due process requires us to sail the course charted in Lambert: Due process requires proof that the defendant knew or reasonably should have known that his possession of a firearm after a conviction for a misdemeanor' crime of domestic violence was prohibited in order to sustain a conviction under § 922(g)(9). No such knowledge or probability of knowledge was shown in Mr. Hutzell’s case. Therefore, I would hold that his conviction should be overturned on due process grounds.
