UNITED STATES of America, Plaintiff-Appellant, v. Lakota Thomas FIRST, Defendant-Appellee.
No. 11-30346
United States Court of Appeals, Ninth Circuit
Oct. 1, 2013
731 F.3d 998
Argued and Submitted Nov. 8, 2012.
Anthony R. Gallagher, Federal Defender, District of Montana, David F. Ness (argued), Assistant Federal Defender, Great Falls, MT, for Defendant-Appellee.
Before: KENNETH F. RIPPLE,* STEPHEN S. TROTT, and RICHARD A. PAEZ, Circuit Judges.
OPINION
PAEZ, Circuit Judge:
Lakota Thomas First was indicted as a misdemeanant in possession of a firearm under
I. BACKGROUND
In 2003, First, an Indian,1 was charged in the Fort Peck Tribal Court in Montana for misdemeanor domestic abuse in violation of the governing tribal law. See Fort Peck Tribes Comprehensive Code of Justice (“CCOJ“), tit. VII, § 244 (2003). The statute of prosecution authorized a maximum penalty of three months imprisonment and a $500 fine.
In August 2011, the government indicted First for one count of violating
II. JURISDICTION AND STANDARD OF REVIEW
We have jurisdiction under
III. ANALYSIS
A.
Under well-established precedent, the Sixth Amendment right to counsel serves as a constitutional minimum in all state and federal criminal proceedings that result in a sentence of actual imprisonment or a suspended sentence of imprisonment. Alabama v. Shelton, 535 U.S. 654, 658, 672 (2002) (holding that “a suspended sentence that may ‘end up in the actual deprivation of a person‘s liberty’ may not be imposed unless the defendant was accorded ‘the guiding hand of counsel’ in the prosecution for the crime charged” (citation omitted)); Scott v. Illinois, 440 U.S. 367, 373-74 (1979) (holding that the Sixth Amendment right to counsel was only required when a defendant was sentenced to “actual imprisonment,” which was later expanded by Shelton); Argersinger v. Hamlin, 407 U.S. 25, 33, 37 (1972) (holding that defense counsel must be appointed in any criminal prosecution, “whether classified as petty, misdemeanor, or felony,” “that actually leads to imprisonment even for a brief period“).
However, “[t]his Circuit has held the Sixth Amendment right to counsel does not apply in tribal court criminal proceedings.” United States v. Percy, 250 F.3d 720, 725 (9th Cir. 2001) (citing United States v. Ant, 882 F.2d 1389, 1392 (9th Cir. 1989) and Settler v. Lameer, 507 F.2d 231, 241 (9th Cir. 1974)). As we have explained, “[t]he protections of the United States Constitution are generally inapplicable to Indian tribes, Indian courts and Indians on the reservation [because] ... Indian tribes are quasi-sovereign nations.” Id. (citations omitted). In 1968, however, Congress enacted the Indian Civil Rights Act (“ICRA“), which mandated that a defendant in tribal court be provided a right to retained counsel in all criminal proceedings.
First does not argue that he was denied his right to retained counsel pursuant to federal statute and tribal law, and we do not address that issue here. Further, the government does not dispute that First was not provided and did not waive a Sixth Amendment right to appointed counsel. Here, the dispute turns on whether a conviction for a misdemeanor crime of domestic violence that was validly obtained in tribal court, under circumstances that would have violated the Sixth Amendment in state or federal court, may qualify as the predicate misdemeanor offense for a prosecution under
We begin by addressing First‘s statutory argument and then turn to his constitutional arguments.
B.
Section 921(a) defines the terms used in
(33)(A) ... the term “misdemeanor crime of domestic violence” means an offense that—
(i) is a misdemeanor under Federal, State, or Tribal law; and
(ii) has, as an element, [domestic violence]....
(B)(i) A person shall not be considered to have been convicted of such an offense for purposes of this chapter, unless—
(I) the person was represented by counsel in the case, or knowingly and intelligently waived the right to counsel in the case; and
(II) in the case of a prosecution for an offense described in this paragraph for which a person was entitled to a jury trial in the jurisdiction in which the case was tried, either
(aa) the case was tried by a jury, or
(bb) the person knowingly and intelligently waived the right to have the case tried by a jury, by guilty plea or otherwise.
We must determine whether the “right to counsel” in
1. Statutory Text
We begin with the text of the statute. Miranda v. Anchondo, 684 F.3d 844, 849 (9th Cir. 2012) cert. denied, --- U.S. ----, 133 S.Ct. 256, 184 L.Ed.2d 137 (2012). The government argues that in the phrase “right to counsel in the case,” the words “in the case” modify the words “right to counsel.” We agree. First offers no plausible alternative interpretation that does not effectively eliminate the words “in the case” from the statute. And it is our “duty to give effect, if possible, to every clause and word of a statute.” Duncan v. Walker, 533 U.S. 167, 174 (2001) (citations and quotation marks omitted). Moreover, the words “in the case” clearly refer to the predicate misdemeanor proceeding, and they could not plausibly refer to any other proceeding. Indeed, in looking to “the language and design of the statute as a whole,” K Mart Corp. v. Cartier, Inc., 486 U.S. 281, 291 (1988), the entirety of
Unlike First, we do not find it “noteworthy that Congress referred to local law in the clause immediately following the right to counsel provision.” That subclause provides that
in the case of a prosecution for an offense described in this paragraph for which a person was entitled to a jury trial in the jurisdiction in which the case was tried, either (aa) the case was tried by a jury, or (bb) the person knowingly and intelligently waived the right to have the case tried by a jury.
First also argues that we should give the “right to counsel” a uniform federal meaning because, by default, words in federal statutes are to be given federal meaning. Although this proposition may be generally applicable, it is not persuasive here where Congress explicitly modified the “right to counsel” with the phrase “in the case.” In the primary case relied upon by First, the Supreme Court held that the term “conviction” in the federal firearms statute,
Whether one has been “convicted” within the language of the gun control statutes is necessarily ... a question of federal, not state, law, despite the fact that the predicate offense and its punishment are defined by the law of the State. This makes for desirable national uniformity unaffected by varying state laws, procedures, and definitions of “conviction.”
Id. at 111-12 (citation omitted). First also directs us to an Eleventh Circuit case, in which the court interpreted Dickerson as standing for the proposition that “[w]ords in federal statutes reflect federal understandings, absent an explicit statement to the contrary, even if a state uses the word differently.” United States v. Ayala-Gomez, 255 F.3d 1314, 1319 (11th Cir. 2001) (per curiam). Here, in contrast, Congress explicitly modified “right to counsel” when it appended the words “in the case.”
At least one circuit seems to have implicitly read the “right to counsel” provision in
2. Legislative History
The federal firearms statute codified at
The Lautenberg Amendment was hotly contested and sheds some light on the meaning Congress intended in its text.6 The version read into the record on September 12, 1996 did not include the “in the case” phrase; but rather included convictions only where the defendant
has been convicted in any court of any crime involving domestic violence, if the individual has been represented by counsel or knowingly and intelligently waived the right to counsel.
142 Cong. Rec. S10377 (Sept. 12, 1996).
As the government points out, the Lautenberg Amendment was intended to help close the gap between the way perpetrators of domestic violence were treated compared to perpetrators of non-domestic violence. Whereas a defendant might only be charged with a misdemeanor for abusing his own spouse, he would likely be charged with a felony for abusing someone else‘s spouse. 142 Cong. Rec. S10379. As Senator Feinstein said, “This amendment looks to the type of crime, rather than the classification of the conviction.” Id. at S10380.
Because Congress was seeking to deprive misdemeanants of gun rights, congressional opponents of the gun ban fought for the inclusion of increased procedural protections for defendants. 142 Cong. Rec. S11877 (Sept. 30, 1996). As Senator Lautenberg noted on September 30, 1996, “opponents of a strong gun ban continued to express concern that gun rights should not be lost without an assurance that offenders will be provided with all appropriate due process.” 142 Cong. Rec. S11877 (Sept. 30, 1996). If Congress was going to take away gun rights, defendants needed more process; and we assume that Congress was aware that misdemeanor proceedings typically provide for lesser process than felony proceedings.
The words “in the case” were likely added to address these due process concerns. They were added to the proposed statute between September 12, 1996, when the statute required that “the individual has been represented by counsel or knowingly and intelligently waived the right to counsel” and September 30, 1996, when Senator Lautenberg had changed the language to address due process concerns. Id. Thus, we find it hard to imagine that
The first decade after its enactment,
“We assume that Congress is aware of existing law when it passes legislation.” Miles v. Apex Marine Corp., 498 U.S. 19, 32 (1990); see also Annachamy v. Holder, No. 07-70336, 733 F.3d 254, 261 (9th Cir. 2013); United States v. Vallee, 677 F.3d 1263, 1265 (9th Cir. 2012). But see In re Doctors Hosp. of Hyde Park, 337 F.3d 951, 960 (7th Cir. 2003). At that time, ICRA provided only the right to retained counsel in tribal court criminal proceedings,
In sum, we conclude that the “right to counsel” in
C.
First argues that our interpretation of the statute violates the Sixth Amendment and the Due Process Clause of the Fifth Amendment because it allows a conviction obtained in violation of Scott and Shelton to be used to support his guilt in a subsequent
Lewis presented the question of “whether a defendant‘s extant prior conviction, flawed because he was without counsel, as required by Gideon v. Wainwright, 372 U.S. 335 (1963), may constitute the predicate for a subsequent conviction under [18 U.S.C. App.] § 1202(a)(1) [(1980)],” the predecessor to
In reaching this conclusion, Lewis distinguished a line of cases holding that a conviction obtained in violation of the Sixth Amendment could not be used in a subsequent prosecution to “support guilt or enhance punishment.” Burgett v. Texas, 389 U.S. 109, 115 (1967); see Loper v. Beto, 405 U.S. 473 (1972) (affirming this proposition in the “support guilt” context); United States v. Tucker, 404 U.S. 443 (1972) (affirming this proposition in the enhancement of punishment context). In contrast, Lewis concluded that the statute, which prohibited certain individuals from possessing firearms, imposed an “essentially civil disability.” 445 U.S. at 67. Therefore, “[e]nforcement of that essentially civil disability through a criminal sanction does not ‘support guilt or enhance punishment.’ ” Id. (quoting Burgett, 389 U.S. at 115). Although the three Justices in dissent argued that the majority‘s distinction was “simply inexplicable,” id. at 72 (Brennan, J., dissenting), Lewis remains binding law.
Lewis held that the “[u]se of an uncounseled felony conviction as the basis for imposing a civil firearms disability, enforceable by a criminal sanction” does not violate the Sixth Amendment, even when the underlying conviction did. Id. at 66-67.
The federal gun laws ... focus not on reliability, but on the mere fact of conviction, or even indictment, in order to keep firearms away from potentially dangerous persons. Congress’ judgment that a convicted felon, even one whose conviction was allegedly uncoun-
Id. at 67. We see no reason not to apply the same reasoning to
Therefore, it is of no moment that First‘s misdemeanor conviction was obtained without complying with the Sixth Amendment. The use of such a conviction to trigger the “civil disability” of possessing a firearm does not violate the Sixth Amendment, the Due Process Clause of the Fifth Amendment, nor the Equal Protection Clause of the Fourteenth Amendment.
IV. CONCLUSION
In sum, we hold that although the right to counsel in
REVERSED and REMANDED.
