Lead Opinion
Opinion by Judge PAEZ; Concurrence by Judge WATFORD.
OPINION
Miсhael Bryant, Jr., an Indian, was indicted on two counts of domestic assault by
I. BACKGROUND
In June 2011, Michael Bryant, Jr. was indicted on two counts of domestic assault by a habitual offender, in violation of 18 U.S.C. § 117(a). Section 117(a) criminalizes the commission of “domestic assault within ... Indian country” by any person “who has a final conviction on at least 2 separate prior occasions in Federal, State, or Indian tribal court proceedings for offenses that would be, if subject to Federal jurisdiction[,] ... assault ... against a spouse or intimate partnеr.” Count I charged that in February 2011, Bryant assaulted C.L.O., his previous girlfriend, “after having been convicted of at least two separate prior domestic assaults.” Count II charged that in May 2011, Bryant assaulted his new live-in girlfriend, D.E., “after having been convicted of at least two separate prior domestic assaults.”
Bryant filed a motion to dismiss the indictment. He argued that using his tribal court convictions to satisfy an element of § 117(a) violates his Fifth and Sixth Amendment rights because (1) he was not appointed counsel during his tribal court proceedings and (2) only Indians may be prosecuted under § 117(a) on the basis of a prior conviction that does not comport with the Sixth Amendment. The government did not contest Bryant’s representation that he lacked the assistance of counsel during his prior tribal court proceedings and that his convictions would have violated the Sixth Amendment had they been obtained in state or federal court. The district court denied the motion in a brief oral ruling. Bryant then entered a guilty plea pursuant to a conditional plea agreement that preserved his right to appeal the district court’s ruling on the motion to dismiss. The district court sentenced Bryant to forty-six
II. JURISDICTION AND STANDARD OF REVIEW
We have jurisdiction to review a final judgment of the district court pursuant to 28 U.S.C. § 1291. We review de novo a district court’s denial of a motion to dismiss an indictment on constitutional grounds. United States v. Chovan,
III. DISCUSSION
Bryant argues that using his prior tribal court convictions as the predicate offenses in a § 117(a) prosecution violates the Sixth Amendment right to counsel and the Fifth Amendment guarantee of due process because these convictions were obtained through procedures that, if utilized in state or federal court, would violate the Sixth Amendment. As an initial matter, the government argues that Bryant failed to make an evidentiary showing that his tribal court convictions were uncounseled. The government also argues that tribal court proceedings are not governed by the Sixth Amendment and convictions that were not obtained in actual violation of the Constitution may be used in subsequent prosecutions.
We may easily dispose of the government’s first argument. In district court, Bryant repeatedly represented that he lacked counsel during the relevant tribal court proceedings. Yet, the government never objected that Bryant had not met his evidentiary burden on this point, even when Bryant characterized the issue as “undisputed.” Accordingly, the issue is waived, United States v. Carlson,
The merits of this case pose a more difficult question. The United States Constitution guarantees criminal defendants the right to assistance of counsel for their defense. U.S. Const. amend. VI; see also Gideon v. Wainwright,
In a line of cases beginning with Powell, the Supreme Court has set forth when the right to appointed counsel is triggered. See id. at 68-69, 71-72,
Johnson and Gideon involved felony prosecutions, but the Court later clarified that the right to appointed counsel for indigent defendants attaches in all criminal cases “where loss of liberty is ... involved,” regardless of how a crime is classified. Argersinger v. Hamlin,
However, the Sixth Amendment right to appointed counsel does not apply in tribal court prоceedings, First,
We agree thаt Bryant’s prior tribal court domestic abuse convictions would have violated the Sixth Amendment had they been obtained in state or federal court. Under Argersinger and Scott, indigent criminal defendants have a right to appointed counsel in any state or federal case where a term of imprisonment is imposed. Scott,
In a series of cases following Gideon, the Supreme Court addressed whether pri-
In Lewis v. United States,
Not long after Lewis, the Court considered whether an uncounseled conviction that did not result in imprisonment — and therefore did not run afoul of the Sixth Amеndment — could be used in a subsequent prosecution under a recidivist statute. See Baldasar v. Illinois,
The Supreme Court has never addressed whether a conviction obtained in a forum not governed by the Constitution under procedures that do not cоmport with the Sixth Amendment right to counsel may be used in a subsequent prosecution. Our court, however, has twice addressed this issue. In Ant, we considered whether an uncounseled tribal court guilty plea to charges of assault and battery, which resulted in a six-month term of imprisonment, could be introduced as evidence of guilt in a subsequent federal prosecution for manslaughter arising out of the same incident.
More recently, in First, we considered whether a prior uncounseled tribal court conviction that resulted in a term of imprisonment could be used as the predicate offense in a prosecution under 18 U.S.C. § 922(g)(9).
We do not question Ant’s continued vitality. Ant stands for the general proposition that even when tribal court proceedings comply with ICRA and tribal law, if the denial оf counsel in that proceeding violates federal constitutional law, the resulting conviction may not be used to support a subsequent federal prosecution. Lewis, however, demonstrates that the federal firearms statute is an exception from this general rule.
Id. at 1008 n. 9 (internal citations omitted).
We agree that, as a general rule, Ant holds that a conviction obtained in a tribal court that did not afford a right to counsel equivalent to the Sixth Amendment right may not be used in a subsequent federal prosecution. Accordingly, we hold that, subjeсt to the narrow exception recognized in Lewis and First for statutes that serve merely as enforcement mechanisms for civil disabilities, tribal court convictions may be used in subsequent prosecutions only if the tribal court guarantees a right to counsel that is, at minimum, coextensive with the Sixth Amendment right. Section 117(a) is an ordinary recidivist statute and not a criminal enforcement scheme for a civil disability. Accordingly, the general rule announced in Ant applies. Because Bryant’s tribal court domestic abuse convictions would have violated the Sixth Amendment right to counsel had they been obtained in federal or state' court, using them to establish an element of the offense in a subsequent § 117(a) prosecution is constitutionally impermissible. See Ant,
We reject the government’s arguments to the contrary. The government contends this case is controlled by Nichols, not Ant. But Nichols involved a prior conviction that did comport with the Sixth Amendment,
The government also argues that Ant is no longer good law because it relied on Baldasar, which Nichols overruled. Ant cited Baldasar only once, and for the general proposition that an uncounseled conviction could not be used to prove an element of a recidivist statute. Ant,
We recognize that our holding places us in conflict with two other circuits. See United States v. Shavanaux,
IV. CONCLUSION
We hold that the § 117(a) charges against Bryant must be dismissed because at least one of his predicate tribal court domestic abuse convictions was uncoun-seled and resulted in a term of imprisonment.
REVERSED.
. Although we are mindful that the term “Native American” or "American Indian” may be preferable, we use the term “Indian” throughout this opinion because that is the term used throughout the United States Codе. We also use the term "tribal,” as that is the term used in 18 U.S.C. § 117(a).
. The February 2011 and May 2011 assaults both occurred at Bryant's residence, which ' was located within the Northern Cheyenne Indian Reservation.
. In its supplemental brief addressing the impact of First on this case, the government argued that it could rely on Bryant’s tribal court convictions for another reason: at least two of his tribal court domestic abuse convictions did not result in a term of imprisonment, and therefore, did comport with the Sixth Amendment. The government has since conceded that Bryant does not have two prior tribal court domestic abuse convictions that did not result in a sentence of incarceration.
. Moreover, there is no serious doubt that Bryant was not appointed counsel during his tribal court domestic abuse proceedings. The Law and Order Code of the Northern Cheyenne Tribe, Tide 5, Chapter III, Rule 22 provides that a defendant in a criminal case has the right to “defend himself ... by ... [an] attorney at his own expense.” The Tribе does not guarantee a right to appointed counsel in any case.
. In fact, both the Eighth Circuit and the Tenth Circuit recognized that their holdings were at odds with Ant. Shavanaux,
The Shavanaux court rejected Ant as wrongly decided.
The Cavanaugh court distinguished Ant, because in Ant, the subsequent federal proceeding arose out of the same incident as the tribal court proceeding and the government sought to use a guilty plea that did not comport with the Sixth Amendment to prove, not merely the fact of a prior conviction, but the truth of the matter asserted in the plea. See
. Bryant also argues that using his tribal court convictions as predicate offenses is a violation of the Fifth Amendment’s guarantee of equal protection because only Indians are subject to prosecution based on prior convictions that do not comport with the Sixth Amendment right to counsel. Given the result we reach, we need not address Bryant’s equal protection argument.
Concurrence Opinion
concurring:
I agree with the majority that United States v. Ant,
1. The Supreme Court’s decision in Nichols v. United States,
That principle is hard to square with the result we reach today by applying Ant. It’s true that Michael Bryant’s prior domestic abuse convictions would have been obtained in violation of the Sixth Amendment had he been tried in state or federal court, since he lacked appointed counsel and appears to have received a term of imprisonment following those convictions. See Scott,
Further doubt is cast on Ant’s vitality when we consider the exception carved out in Lewis v. United States,
The resulting asymmetry is striking. In Lewis and First, the “mere fact of conviction,” even if unreliable and unconstitutionally obtained, could be used to criminalize an act that might otherwise be lawful— firearms possession. Lewis,
2. So why are we refusing to recognize the validity of Bryant’s prior domestic abuse convictions in this case, given that the convictions themselves aren’t constitutionally infirm? Presumably it’s because of concerns over the reliability of those convictions. As discussed above, though, that concern apparently doesn’t exist across the board with respect to uncoun-seled convictions obtained in state or federal courts. So aren’t we really saying that the right to appointed counsel is necessary to ensure the reliability of all tribal court convictions? If that’s true, we seem to be denigrating the integrity of tribal courts, as discussed in the dissent in Ant. See
3. It’s perhaps unsurprising that our decision in this case conflicts with decisions from two of our sister circuits. Faced with almost identical scenarios— prior, uncounseled tribal court convictions
