United States v. Henry David ThomasUnited States v. Henry David Thomas
Defendant-Appellant Henry David Thomas appeals his conviction of possession of firearms by a previously convicted felon under
I
FACTS AND PROCEDURAL HISTORY
Thomas was originally indicted on one count of possession of a firearm by a convicted felon under
Thomas argued to the district court, and he asserts on appeal, that the government could not properly prosecute him under
The district court denied Thomas’s motion to dismiss the indictment based on that argument, and the jury convicted him on all four counts. Thomas timely appealed.
II
ANALYSIS
In his appeal, Thomas relies on two theories. His primary argument is that, as he was not prohibited from possessing a firearm under Texas law, he could not and did not violate
A. Prosecutorial Vindictiveness
The original indictment was dismissed because the prior conviction on which it was based — the Kansas conviction — had been set aside and thus was not available as a predicate offense under
B. Texas Felons with Guns
The principal thrust of Thomas’s insistence that he was wrongfully convicted under
Under
Since its enactment,
What constitutes a conviction of such a crime shall be determined in accordance with the law of the jurisdiction in which the proceedings were held. Any conviction which has been expunged, or set aside or for which a person has been pardoned or has had civil rights restored shall not be considered a conviction for purposes of this chapter, unless such pardon, expungement, or restoration of civil rights expressly provides that the person may not ship, transport, possess, or receive firearms. 10
Thomas asserts that his civil rights have been “restored” under the Texas Penal Code because he is not prohibited by state law from possessing a firearm. Before addressing his claim, we shall analyze the rulings of the other circuit courts on this matter.
1. Background
The Fourth Circuit construed state law interaction with
By contrast, that same circuit court in
Etheridge
held that Virginia’s statutes had
not
restored the rights of a convicted felon to possess a firearm. The court did not describe either the state statute or any certificate issued by the state specifically restoring the rights of released felons. We construe such silence to indicate that no general restoration of rights statute or certification provision existed in Virginia at the time. The
Etheridge
court noted that a procedure was contained in the Virginia Code under which a convicted felon might proceed affirmatively to seek restoration of his right to possess a firearm.
15
That procedure was not automatic, however, and Etheridge had not availed himself of it. For those reasons, among others, the court held that for purposes of
In
United States v.
Erwin,
16
the Seventh Circuit held that the applicable provisions in Illinois did not “restore” convicted felons’ rights to possess firearms. The Illinois statutes contained only a negative option: Upon release from prison, a felons’ rights would be restored automatically unless a particular authority proscribed restoration. As the state’s firearms licensing authority did not authorize the licensing of guns to convicted felons, their rights were not in fact restored. The
Erwin
court held that possession of a firearm by a felon whose predicate conviction was obtained under Illinois law would be a violation of
The Sixth Circuit addressed the restoration issue in
United States v. Cassidy,
and reversed the dismissal of a count under
Two other circuits that have addressed this issue are the First and the Ninth. The Ninth Circuit adopted a substantial part of the reasoning of the Sixth Circuit’s
Cassi-dy
opinion; the First Circuit has struck off in another direction. In reaching their respective decisions, the Ninth Circuit determined that “Congress had [unambiguously]
In United States v. Gomez, the Ninth Circuit performed a two-step analysis. First, it focused on which “civil rights” were referred to in the phrase “had civil rights restored” and whether essentially all of those civil rights had been restored to the felon by the subject state. Finding that they had, the court then sought to determine additionally whether “such ... restoration of civil rights” by the subject state “expressly provides that [a convicted felon] may not ship, transport, possess, or receive firearms.” 23
In discussing first the meaning of the words, “had civil rights restored,” the Gomez court stated:
To determine whether a convicted felon’s civil rights have been restored within the meaning ofsection 921(a)(20) , we look to the whole of state law. In enactingsection 921(a)(20) , “[t]he intent of Congress was to give effect to state reforms with respect to the status of an ex-convict. A narrow interpretation requiring that we look only to the document, if any, evidencing a restoration of rights, would frustrate the intent of Congress.”
There need not be a “full” restoration of rights. “If Congress had intended a requirement of a complete restoration of all rights and privileges forfeited upon conviction, it could easily have so stated.” Congress chose not to impose such a requirement. 24
To determine what group of restored rights would be less than a “full” restoration yet constitute a sufficient restoration to meet the requirements of
Congress intended to encompass those rights accorded to an individual by virtue of his [or her] citizenship in a particular state. These rights include the right to vote, the right to seek and hold public office and the right to sit on a jury. 25
Having thus elected to follow Cassidy, the Ninth Circuit now looks to see whether the state of conviction of the predicate offense restores the felon’s rights to vote, to hold public office, and to serve on a jury, to determine whether the felon’s “civil rights” have been restored.
The
Gomez
court therefore examined the Idaho law concerning the rights of released prisoners. Section 18-310 of the Idaho code expressly “restore[s] the full rights of citizenship” of released felons. Also, the court interpreted the laws of Idaho as allowing discharged felons to vote and serve on juries.
26
This was sufficient for the Ninth Circuit to find that Gomez’s civil rights had been restored for purposes of
After thus determining that Gomez’s civil rights had been restored, the Ninth Circuit looked to see whether the Idaho’s restoration of rights “expressly provide[d] that the [convicted felon] may not ship, transport, possess, or receive firearms,”
27
reasoning that if it found that Idaho law placed no such restriction on convicted felons, the felons would not be subject to conviction under
whether an individual residing in a jurisdiction which does not strip him or her of any civil rights as a collateral consequence of conviction should be deemed, as appellant urges, to have had his civil rights “restored” for the purposes of§ 922(a)(1) [sic], after having served his/ her sentence.
The
Ramos
court analyzed the word “restored” and determined that a “restoration” of civil rights did not occur for purposes of
The principal difference between the First Circuit’s approach in
Ramos
and the Ninth Circuit’s approach in
Gomez
is that the First Circuit flatly requires an “affirmative[ ] restoration]” of civil rights if the defendant is to come within the ambit of
For purposes of the instant case, the operative words of
Remaining faithful to the Ninth Circuit’s two-step approach, when henceforth we find that the state which obtained the underlying conviction revives essentially all civil rights of convicted felons, whether affirmatively with individualized certification or passively with automatic reinstatement, we shall then determine whether the defendant was nevertheless expressly deprived of the right to possess a firearm by some provision of the restoration law or procedure of the state of the underlying conviction. To determine whether such a state’s law does or does not “expressly provide[] that a person may not ship, transport, possess, or receive firearms,” in the case of an affirmative or active restoration (with certificate), we shall cleave to the reasoning of the Seventh Circuit in its Erwin opinion, for we agree that
[i]f the state sends the felon a piece of paper [or certificate] implying that he is no longer “convicted” and that all civil rights have been restored, a reservation in a corner of the state’s penal code can not be the basis of a federal prosecution. A state must tell the felon that [firearms] are not kosher. 36
In the case of passive (or automatic) restoration of civil rights, however, we cannot disabuse ourselves of some nagging concerns with the Seventh Circuit’s reasoning. In Erwin, that court stated:
When, however, the state sends no document granting pardon or restoring rights, there is no potential for deception, and the question becomes whether the particular civil right to carry guns has been restored by law. 37
The court in
Erwin
went on to hold that, in the case of passive restoration of civil rights, “the language [restricting the felon’s right to possess firearms] is no less express when codified [in a different part of the state’s statutes than the restoration].”
38
Were such a fact situation before us today we would find this expansive reasoning from
Erwin
difficult to square with that unambiguous language of
2. Thomas and Texas Law
Thomas insists that his civil rights were “restored” by operation of Texas law. He argues that, as Texas does not deny non-violent felons the right to possess firearms following release from custody, his civil rights were restored for purposes of
We also find that Texas does
not
restore to any felon, whether violent or non-violent, the three civil rights considered key by the Ninth and Sixth Circuits — the rights to vote,
43
hold public office,
44
and serve on a jury.
45
For purposes of the instant inquiry, then, Texas (and therefore Thomas) fails to meet muster under any of the approaches of the several circuits that have addressed the concept of
restoration
of
civil rights
as contemplated in
It is certainly true, as Thomas contends, that Texas does not prohibit possession of firearms by persons convicted of non-violent felonies. The sole prohibition of firearms possession by felons applies only to persons convicted of
violent
felonies; and even they may possess firearms within their own residences.
46
It does not follow, though, that Texas’s failure to deny Thomas the right to possess firearms is the functional equivalent of restoring his civil rights. Such an interpretation simply runs counter to any court-approved reading of
That statute, as we have noted, provides that
[a]ny conviction ... for which a person ... has had civil rights restored shall not be considered a conviction for purposes of this chapter, unless such ... restoration of civil rights expressly provides that the person may not ship, transport, possess, or receive firearms. 47
The circumstance presented by the instant case is precisely the opposite of the one described in the statute: In the absence of the restoration of essentially all civil rights of the convicted felon as defined for purposes of
We recognize that both the Gomez interpretation by the Ninth Circuit, which (in combination with the teachings of Erwin ) we adopt today, and the Ramos interpretation by the First Circuit can lead to anomalous results and to a considerable lack of uniformity, depending on the purely fortuitous fact of which jurisdiction among the fifty states obtained the predicate conviction under examination. Actual or potential aberrant results, however, do not excuse reading (or writing) anything into or out of a statute that Congress has so consciously adopted.
We recognize also that the result produced here, by our following of the
Gomez /Erwin
approach, could be seen as running counter to some of the legislative history of FOPA. For example, Senator Hatch, speaking in favor of FOPA, asserted that “S.49 grants authority to the jurisdiction (State) which prosecuted the individual to determine eligibility for firearm possession after a felony conviction or plea of guilty to a felony.”
48
One could fairly argue that, given the Texas legislature’s determination that — even without having their civil rights restored — violent felons should be allowed to possess firearms in their homes and nonviolent felons should be allowed to possess firearms without any restrictions (unmistakably the effect of § 46.05 of the Texas Penal Code), the federal government should not impose its own stricter crime of felon in possession of a firearm. In writing
Ill
CONCLUSION
Thomas’s argument — that, as Texas does not prohibit the possession of a firearm by one convicted of a non-violent felony, his civil rights have been “restored” for purposes of
Thomas’s other claim — that he was vindictively prosecuted — is raised for the first time on appeal and is tested for plain error only. This claim is evidenced by nothing more than the bald fact that the government increased the number of firearms counts brought against him from one in the original indictment to four in the second indictment. Thomas has presented no material evidence of vindictiveness in connection with his re-indictment; neither has he demonstrated that a manifest injustice
For the foregoing reasons, Thomas’s conviction and sentence are
AFFIRMED.
Notes
. Pub.L. No. 99-308, 100 Stat. 449 (1986).
. See
. The guns that Thomas possessed were seized from four sources. On August 30, 1991, Thomas sold a semi-automatic pistol to a Drug Enforcement Officer. That sale was the only act of possession mentioned in the 1991 indictment, and it was the basis of the first count of the 1992 indictment. On October 7, 1991, agents from the Bureau of Alcohol, Tobacco, and Firearms (ATF) executed three search warrants, finding guns at Thomas’s residence, his business, and in his automobile. Those guns were the bases of counts two, three, and four of the 1992 indictment.
.
. We note that it is not clear from the record whether the Kansas conviction would be an acceptable predicate offense under
.
See United States v. Lopez,
.
.
United States v. Essick,
.
See United States v. Cassidy,
.
.
.
.
Essick,
. Id. (emphasis omitted).
.
Etheridge,
.
.
Cassidy,
. Id. at 545 n. 5.
. This is discussed more below. See infra notes 24-25 and accompanying text.
.
Cassidy, 899
F.2d at 550. As was pointed out in
Erwin,
.
United States v. Gomez,
.
United States v. Ramos,
.
.
.
Cassidy,
.
Gomez,
.
.
.
.
Id.
at 1007. Although Ramos’s two prior convictions were classified misdemeanors under Massachusetts law, they each carried maximum sentences of two and a half years and thus qualified under
. Id. at 1008 n. 6.
. Id. at 1008 (emphasis added).
. Id.
.
Gomez,
. Id.
.
Erwin,
.
Id.
at 513 (citing
United States v. Kolter,
. Id. The court reasoned that West Publishing, not the State of Illinois, actually "codified” state laws, and that it simply does not matter in the case of a passive restoration where West places the statute that restricts the felon’s ability to possess a firearm.
.
. The current provisions of Texas law that regulate the information contained in the release given to departing prisoners do not mandate any broad restoration of rights.
See
.
See Cassidy,
.
Essick,
.
See
.
See
. See Tex.Gov’t Code Ann. § 62.102 (West 1988).
. The relevant part of the Texas penal code provides:
§ 46.05 . Unlawful Possession of Firearm by Felon
(a) A person who has been convicted of a felony involving an act of violence or threatened violence to a person or property commits an offense if he possesses a firearm away from the premises where he lives.
(b) An offense under this section is a felony of the third degree.
Tex.Penal Code Ann. (West 1989).
.
. 99th Cong., 1st Sess., 131 Cong.Rec. S8,689 (daily ed. June 24, 1985),
quoted in Cassidy,