Lead Opinion
The Supreme Court has directed us, in light of United States v. Castleman, — U.S. -,
Our answer is informed by congressional recognition in § 922(g)(9) of the special risks posed by firearm possession by domestic abusers. “Domestic violence often escalates in severity over time ... and the presence of a firearm increases the likelihood that it will escalate to homicide.... ” Castleman,
As we see it, this case turns on the unique nature of § 922(g)(9). That section is meant to ensure that individuals who engage in the “seemingly minor act[s]” that actually constitute domestic violence, like squeezing and shoving, may not possess a firearm. Castleman,
We affirm the denial of the motion to dismiss the indictment and information here. That means the conditional guilty pleas the defendants entered are valid and their sentences stand. The question is close and we rule narrowly.
I.
A. Statutory Background
As the Supreme Court observed in Cas- ■ tleman, 18 U.S.C. § 922(g)(9) was enacted to close a loophole. “While felons had long been barred from possessing guns, many perpetrators of domestic violence are convicted only of misdemeanors.”. Castleman,
Under § 922(g)(9), it is against federal law 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.” In turn, a “misdemeanor crime of domestic violence” is defined in § 921(a)(33)(A) as an offense that (1) is a misdemeanor under federal, state, or tribal law, and (2) “has, as an element, the use or attempted use of physical force ... committed by a current or former spouse, parent, or guardian of the victim” or by a person in a similar domestic relationship with the victim..
The predicate offenses in these cases are convictions under Maine assault statutes.
Maihe law explains that “[a] person acts recklessly with respect to a result of the person’s conduct when the person consciously disregards a risk that the person’s conduct will cause such a result.” Id. § 35(3)(A). The statute goes on to give more meat to the “conscious disregard” definition. It refers to disregard of a risk, “when viewed in light of the nature and purpose of the person’s conduct and the circumstances known to that person,” that “involve[s] a gross deviation from the standard of conduct that a reasonable and prudent person would observe in the same situation.” Id. § 35(3)(C).
B. Facts
William E. Armstrong III was convicted in 2002 and 2008 of assaulting his wife in violation of Maine’s misdemeanor assault statutes, Me.Rev.Stat. Ann. tit. 17-A §§ 207(1)(A), 207-A(l)(A). In May 2010, twenty-nine months after the last domestic assault conviction, the Maine State Police searched the Armstrong residence for drug paraphernalia and marijuana. They discovered six firearms and ammunition. The police notified the federal Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF), which executed a search. That search uncovered only ammunition, but Armstrong later explained that he had arranged for a friend to remove the guns. ATF agents observed the guns at the friend’s home.
Armstrong was arrested and federally charged with being a prohibited person in possession of a firearm, in violation of § 922(g)(9). The indictment listed Armstrong’s 2008 domestic violence assault conviction as the predicate offense.
Stephen L. Voisine was convicted in 2003 and 2005 of assaulting a woman with whom he was in a domestic relationship, in violation of Maine’s assault statute. In 2009, acting on an anonymous tip, state and local law enforcement officials arrested Voisine on the federal misdemeanor charge of killing a bald eagle in violation of 16 U.S.C. § 668(a). When conducting a background check, they discovered his 2003 misdemeanor simple assault. As Voi-sine had turned a rifle over to the police during the investigation, the criminal information charged him with violating § 922(g)(9) as well as § 668(a).
C. Procedural History
Both Armstrong and Voisine moved to dismiss, arguing that their indictment and information did not charge a federal offense and that § 922(g)(9) violated the Constitution. The district court denied the motions, and both defendants entered guilty pleas conditioned on the right to appeal the district court’s decision.
We consolidated Armstrong and Voi-sine’s cases. In a January 18, 2013 opinion, we affirmed the district court’s decisions. Armstrong,
Second, the defendants argued that § 922(g)(9) violated the Second Amendment as applied to them. This argument was foreclosed by Booker, which denied an identical argument framed as a facial challenge.
The defendants petitioned for certiorari. On March 31, 2014, the Supreme Court granted their' petitions, vacated the judgments, and remanded “for further consideration in light of United States v. Castle-man.” Armstrong, v. United States, — U.S. —-,
This case comes to us following the Supreme Court’s remand.
II.
In construing § 922(g)(9)’s applicability to a given case, we use the “categorical approach.” Under that approach the elements of the predicate offense (here, the Maine assault statute) must be identical to or categorically within the description of the subsequent provision (here, § 922(g)(9)). See Castleman,
The defendants frame the issue as whether a reckless act can constitute a “use of physical force” and rely on cases interpreting statutes other than § 922(g)(9). We do not agree that is the proper way to frame the question. That framing is predicated on the notion that particular statutory language must be interpreted identically in different sections across the U.S.Code. To the contrary, context matters, as the Supreme Court demonstrated in Castleman itself.
This reframing of the question clarifies our approach to the two arguments raised by the defendants: that Castleman footnote 8 decides this case, and that Castle-man’s analysis of § 921(a)(33)(A) undermines our prior decisions. Castleman’s emphasis on context reinforces, rather than undermines, our earlier decision.
A. Castleman Footnote 8
The defendants read too much into Cas-tleman footnote 8, which expressly does not resolve the question before us. Nor is their argument made by reference to the cases cited for contrast in the footnote. Each of those cases
Footnote 8 begins by describing the issue as an open question, with a citation to Leocal v. Ashcroft,
Considering context, section 16(a) is not ■analogous to the section which concerns us, § 922(g)(9). To begin, § 16(a) prohibits ‘use of physical force against the person or property of another,’ language crucial to the Supreme Court’s holding in Leocal but absent from the definition at issue here. See Leocal,
Unsurprisingly, the drafting history of § 922(g)(9) indicates that “Congress expressly rejected” the § 16(a) definition, instead developing the term “misdemeanor crime of violence” that was “‘probably broader’ than the definition” in § 16. Booker,
The only case cited in Castleman footnote 8 from the domestic violence context is one in which Congress elected to define the crime with reference to § 16. In Fernandez-Ruiz v. Gonzales, the Ninth Circuit considered whether a reckless misdemeanor could serve as a predicate “crime of domestic violence.”
On remand of this case to us, the defendants’ brief adds to the cases in the footnote by citing two other § 922(g)(9) cases, not mentioned in Castleman, which they say directly conflict with Booker. We disagree. In United States v. White,
In United States v. Howell,
Simply put, we are aware of no case-including the cases in Castleman footnote 8 — in conflict with Bookers holding that a reckless misdemeanor assault satisfies § 922(g)(9)’s particular definition of a “misdemeanor crime of domestic violence.” Rather, § 922(g)(9)’s unique context, as described in Castleman and supported by the legislative history, suggests that § 922(g)(9) should be interpreted more broadly than other provisions, including § 16.
B. Structure of Castleman
The defendants present a second argument, which is that Castleman’s analytical approach to the term “use of physical force” means the conduct of neither defendant here could meet that standard. Cas-tleman held that Congress intended to incorporate the common law meaning of “force” in § 921(a)(33)(A), the definitional provision for “misdemeanor crime of domestic violence.”
The parties approach this as a generalized question. They disagree about whether reckless acts could or could not constitute batteries at common law, and each side marshals support for its view. See, e.g., Johnson v. United States,
We decline the parties’ invitation to define the mens rea of a common law battery independent of the interpretation Maine gives its own statute. Castleman explains that the term “use of physical force” includes “the type of conduct that supports a
We follow the statutory scheme in evaluating whether a conviction under the Maine statute categorically counts as a “misdemeanor crime of domestic violence.”
1. The Scope of a “Misdemeanor Crime of Domestic Violence”
As Castleman explained, § 922(g)(9) is a statute with a particular purpose: to ensure that domestic abusers convicted of misdemeanors, in addition to felonies, are barred from possessing firearms.
This view is confirmed by the legislative history of § 922(g)(9). Senator Lauten-berg explained that § 922(g)(9) was a broad prohibition covering “any person convicted of domestic violence,” without reference to a particular mental state. 142 Cong. Rec. S10377-01 (1996). Another senator made statements to the same effect. See id. Additionally, Senator Lau-tenberg described the law’s application to scenarios without clear intent, in which domestic arguments “get out of control,” “the anger will get physical,” and one partner will commit assault “almost without knowing what he is doing.” 142 Cong. Rec. S11872-01 (Sept. 30, 1996). Such conduct may not be “knowing,” but it nonetheless constitutes a “use” of physical force — whether it causes offensive contact or bodily harm.
2. Maine’s Definition of “Recklessness ”
Whatever the common law meaning of battery as to recklessness, Maine characterizes recklessness as a mens rea involving a substantial amount of deliberateness and intent. The statutory definition requires that a person “consciously disregard[ ] a risk that the person’s conduct will cause” the result. Me.Rev.Stat. Ann. tit. 17-A § 35(3)(A) (emphasis added). The disregard of the risk is “viewed in light of the nature and purpose of the person’s conduct and the circumstances known to the person.” Id. § 35(3)(C) (emphasis added). Further, it must “involve a gross deviation” from the standard of reasonable care. Id.
Maine’s definition of “recklessly,” like its definition of “knowingly,” includes an element of intentionality and specificity. To act “knowingly” in Maine, the person must be aware that the result is “practically
For example, the Maine Supreme Judicial Court has affirmed a conviction for “act[ing] recklessly when [the defendant] shot a powerful handgun into the woods in a residential area and in the direction of his next-door neighbor’s home, knowing where it was located.” State v. Kline,
Maine’s definition of recklessness includes a volitional component. In this, it is like other states. See Fernandez-Ruiz,
3. Categorical Comparison
We conclude that reckless assault in Maine is “use of physical force” within the meaning of a “misdemeanor crime of domestic violence.” As noted' above, § 922(g)(9) is meant to embrace those seemingly minor predicate acts, occurring sometimes in moments of passion, where the perpetrator consciously disregarded a risk in light of known circumstances. This often constitutes domestic violence. Reckless assaults in Maine fit that congressional intent for § 922(g)(9), including the paradigm of a domestic assault as described by Senator Lautenberg. As the dissenting judges on the Ninth Circuit, concerned with a different federal statute, explained:
Domestic abusers may be drunk or otherwise incapacitated when they commit their crimes, and they may plea bargain down from a felony to a misdemeanor or from a statute that requires a mens rea*185 of intentionality to one that can be satisfied by recklessness. But this does not alter the nature of domestic violence as a crime involving the use of force against someone in a domestic relationship ....
Fernandez-Ruiz,
Defendants’ position assumes that a reckless act cannot be an act of domestic violence because it lacks volition. But that is not true. For example, suppose Maine convicts a husband for throwing a knife toward his wife, intending to instill fear rather than to cause physical injury, but actually striking her. The mens rea of the conviction would likely be recklessness: in light of the circumstances known to the husband, he consciously disregarded the risk of harm. Such a reckless assault can “subject one intimate partner to the other’s control,” Castleman,
The defendants focus their analysis on assaults involving reckless causation of offensive physical contact, rather than bodily injury. We do not see why that distinction is material to the analysis here. The issue is whether § 922(g)(9) encompasses reckless uses of force, regardless of whether the use of force results in bodily injury or an offensive physical contact. If the husband’s knife grazes his wife or harms her grievously, it is an assault all the same.
As a practical matter, it is hard to identify a ease of reckless assault in the domestic context that Maine would prosecute but that Congress did not intend to serve as a § 922(g)(9) predicate. See James v. United States,
C. Our Recent Decision in Carter Does Not Help the Defendants
In United States v. Carter,
III.
The defendants make three constitutional arguments, none of which are successful.
First, the defendants renew their prior argument that § 922(g)(9) violates the Second Amendment as applied to them. They explicitly raise the argument only to preserve it, and for good reason: it is “foreclosed by binding precedent in this circuit.” Carter,
Second, the defendants offer a “gloss” on their earlier argument. They suggest that Castleman held that the link between non-violent misdemeanors and domestic violence involving firearms is extremely tenuous, and they argue that such a tenuous link cannot support the law’s constitutionality. To the contrary, Castleman explained that the link between non-violent misdemeanors and domestic violence involving firearms is “sobering,” and hardly tenuous.
The defendants also raise an argument outside the scope of the Supreme Court’s remand. They claim that § 922(g)(9) violates the Fifth Amendment, Sixth Amendment, and Ex Post Facto Clause because the determination that the predicate crime involves domestic violence is made at the time of the § 922(g)(9) conviction, rather than at the time of the predicate conviction.
We have discretion to reexamine issues beyond the scope of the Supreme Court’s specific remand order when “necessary to avoid extreme injustice.” United States v. Burnette,
The defendants argue that. Hayes was implicitly overruled by a recent Supreme Court decision, Descamps v. United States, — U.S. -,
We reject this argument. Whether the predicate conviction involved a domestic relationship is not a fact about the predicate conviction discerned through application of the modified categorical approach, in violation of Descamps. It is an element proved anew in the § 922(g)(9) proceeding.
IV.
The question before us is a narrow one. We are asked to decide whether a conviction for reckless assault against a person in a domestic relationship in Maine constitutes a federal “misdemeanor crime of domestic violence.” Congress in passing the Lautenberg Amendment recognized that guns and domestic violence are a lethal combination, and singled out firearm possession by those convicted of domestic violence offenses from firearm possession in other contexts. Castleman recognizes as-much.
For the reasons stated above, we affirm the judgments of guilt.
So ordered.
Notes
. In February 2012, Armstrong was sentenced to three years of probation and a fine and special assessment totaling $2,600. Also in February 2012, Voisine was sentenced to a year and a day imprisonment on the § 922(g)(9) charge with two years supervised release, concurrent with nine months imprisonment and one year supervised release on the § 668(a) charge, and $125 in special assessments.
. United. States v. Palomino Garcia,
. All but one of the ten cases cited in Castle-man footnote 8 as deciding the § 922(g)(9) mens rea issue in fact considered other statutes in other contexts and followed the reasoning of Leocal v. Ashcroft,
Three of the remaining four cases interpreted the term "use of physical force” in the context of a Sentencing Guidelines provision imposing an enhancement for defendants who were deported after committing a felony "crime of violence,” U.S. Sentencing Guidelines Manual § 2L1.2(b)(l)(A). Each of those cases analyzed the provision by analogizing to § 16 and applying Leocal. For example, in United States v. Palomino Garcia, the Eleventh Circuit explained that both § 16 and the Guidelines provision define the phrase "crime of violence,” and they are "almost identically, worded.”
. The dissent wrongly relies on our decision in United States v. Bayes,
. As recognized at 2 LaFave, Substantive. Criminal Law, § 5.4 n. 6, "usage of the term [recklessness] has not been consistent.” See, e.g., United States v. Meeks,
Dissenting Opinion
Dissenting.
The majority fails to adequately justify its departure from the Supreme Court’s direction and the analogous decisions of our sister circuits. Indeed, the Supreme Court’s message is clear. In United States v. Castleman, — U.S. -,
On remand, this ease, requires us to answer, at the very least, one question of statutory interpretation: whether a Maine
Confronting this question, we are not acting upon an empty stage; rather, we must start with the backdrop painted by the Supreme Court in Castleman, which is the basis for the instant remand. Indeed, the Castleman Court questioned whether the “merely reckless causation” of even bodily injury — much less offensive physical contact — could constitute the “use” of force, noting that “the Courts of Appeals have almost uniformly held that recklessness is not sufficient,” because the “use” of force requires a greater degree of intentionality. ‘Castleman,
Although the majority opinion correctly observes that those circuit court cases involved different statutes, the operative language is nearly identical and the majority fails to persuasively explain why the result should be different here. All of the analogous eases involved the “use” of “force,” and most interpreted 18 U.S.C. § 16. See id. at 1414 n. 8 (listing cases). Several of these cases
I express no opinion here on whether the “use” of physical force is satisfied by either the reckless causation of bodily injury or the intentional or knowing causation of offensive physical contact. Rather, I confine my inquiry to one subsumed offense under the Maine assault statutes: the reckless causation of offensive physical
The Supreme Court has stated that, under the Lautenberg Amendment, Congress classified as a “ ‘misdemeanor crime of do- ■ mestic violence’ ” “the type of conduct that supports a common-law battery conviction.” Castleman,
After giving careful consideration to the issues involved, engaging in the necessary statutory interpretation and legal analysis, and applying the relevant precedent, I heed the Supreme Court’s direction and follow the lead of our sister circuits in disagreeing with the majority’s conclusion. Therefore, I respectfully dissent.
I. Legal Background
A. The Statutory Framework
1. The Lautenberg Amendment
The defendants here were charged with violating the Lautenberg Amendment to the Gun Control Act of 1968, now codified at 18 U.S.C. § 922(g)(9) (the “Lautenberg Amendment” or “ § 922(g)(9)”). Under the Lautenberg Amendment, it is 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). For these purposes, a “misdemeanor crime of domestic violence” is further defined in 18 U.S.C. § 921(a)(33)(A) as an offense that:
(I) is a misdemeanor under Federal, State, or Tribal law; and
(ii) has, as an element, the use or attempted use of physical force, or the threatened use of a deadly weapon, committed by a current or former spouse, parent, or guardian of the victim, by a person with whom the victim shares a*192 child in common, by a person who is cohabiting with or has cohabited with the victim as a spouse, parent, or guardian, or by a person similarly situated to a spouse, parent, or guardian of the victim[.]
Id. § 921(a)(33)(A) (emphases added).
2. The Relevant Maine Assault Statutes
The defendants argue that the relevant Maine assault statutes do not “ha[ve], as an element, the use or attempted use of physical force.” See id. Under Maine law, a defendant is guilty of “domestic violence assault” if (1) the defendant violates the Maine simple assault provision, and (2) “the victim is a family or household member.” See Me.Rev.Stat. tit. 17-A, § 207-A(l)(A).
Turning to the simple assault provision in the Maine Criminal Code, a person is guilty of “assault” if “[t]he person intentionally, knowingly or recklessly causes bodily injury or offensive physical contact to another person.” See § 207(1)(A). Thus, there are six different, divisible permutations of the Maine simple assault statute, each of which can form the basis for a section 207 assault conviction. United States v. Carter,
The six variants of the Maine simple assault statute:
Maine simple assault Actus Reus statute,
Me.Rev.Stat. tit. 17-A, . . .causes bodily injury. . . .causes offensive physical § 207(1)(A) contact.
Intentionally 1. Intentionally causes bodily in- 4. Intentionally causes . . . jury. offensive physical contact
Mens Rea Knowingly 2. Knowingly causes bodily 5. Knowingly causes offensive . . . injury. physical contact.
Recklessly 3. Recklessly causes bodily • 6. Recklessly causes offensive ... injury. physical contact.
In Maine state court, Armstrong was convicted of Maine domestic-violence assault under section 207-A, and Voisine was convicted of Maine simple assault under section 207.
B. The Categorical and Modified Categorical Approaches
Given the foregoing statutory framework, we must analyze whether the elements of the Maine assault statute necessarily fulfill the requirements of the Lautenberg Amendment. In cases such as this — where a court must decide whether a prior conviction for an earlier offense (like assault) satisfies one of the elements of the offense in a subsequent prosecution (here, for example, whether the earlier offense “has, as an element, the use ... of physical force,” 18 U.S.C. § 921(a)(33)(A)) — the court determines whether it is appropriate to apply the categorical approach or the modified categorical approach.
1.The Categorical Approach
In Taylor v. United States,
2. The Modified Categorical Approach
Some statutes, like the Maine assault statutes at issue here, are “divisible”: they “set[] out one or more elements of the offense in the alternative.” See Descamps v. United States, — U.S. -,
3. Application
Under established precedent not called into doubt by Castleman and not challenged here, certain subsumed offenses under the Maine assault statutes (such as the intentional or knowing causation of bodily injury) are unequivocally valid predicate
Rather, we must apply the categorical approach to determine whether the statutory definitions of the Maine assault provisions necessarily include the “use or attempted use of physical force.” See 18 U.S.C.. §§ 921(a)(33)(A), 922(g)(9); see also Castleman,
C. The Supreme Court’s Decisions in Leocal and Johnson
The Supreme Court’s opinions in Leocal v. Ashcroft,
1. Leocal
In Leocal, the Supreme Court examined a similar question to that facing us today, regarding parallel language in the statutory definition of a “crime of violence” under 18 U.S.C. § 16(a). Under that statute, a “crime of violence” includes “an offense that has as an element the use, attempted use, or threatened use of physical force against the person or property of another.” 18 U.S.C. § 16(a) (emphasis added). The petitioner in Leocal had previously been convicted in Florida state court for driving under the influence of alcohol (DUI) and causing serious bodily injury. Leocal, 543
Additionally, the Court considered the fact that it was “ultimately ... determining the meaning of the term ‘crime of violence.’ ” Id. It reasoned that “[t]he ordinary meaning of this term, combined with § 16’s emphasis on the use of physical force against another person ... suggests a category of violent, active crimes that cannot be said naturally to include DUI offenses.” Id. Therefore, the Court concluded that “[ijnterpreting § 16 to encompass accidental or negligent conduct would blur the distinction between the ‘violent’ crimes Congress sought to distinguish for heightened punishment and other crimes.” Id. Importantly for the instant case, the Leocal Court held only that negligent and accidental conduct did not constitute the “use” of force and thus a crime of violence under 18 U.S.C. § 16; the Court did not reach the question whether reckless conduct would be sufficient. Id. at 13,
2. Johnson
In Johnson, the Supreme Court considered a related question: “whether the Florida felony offense of battery by ‘[a]ctually and intentionally touching]’ another person, Fla. Stat. § 784.03(l)(a), (2) (2003), ‘has as an element the use ... of physical force against the person of another,’ 18 U.S.C. § 924(e)(2)(B)(I), and thus constitutes a ‘violent felony’ under the Armed Career Criminal Act, § 924(e)(1).” Johnson,
In determining the definition of “physical force” under the Armed Career Criminal Act (“ACCA”), the Court sought to give the phrase “its ordinary meaning” while keeping in mind the context of its inquiry: defining the statutory category of violent felonies. Id. at 138-40,
D. Pve-Castleman First Circuit Precedent: Nason, Booker, Armstrong I, and Voisine I
Prior to the Supreme Court’s decision in Castleman, the defendants’ arguments were squarely foreclosed by First Circuit precedent; it is this precedent that the Supreme Court has instructed us to reconsider.
In United States v. Nason,
Whereas Nason focused on the actus reus variants of the Maine assault statute for purposes of the Lautenberg Amendment, we later focused on the mens rea variants in United States v. Booker,
On the initial appeal in this case, United States v. Armstrong,
E. Castleman and Its Aftermath
1. The Supreme Court’s Castleman Opinion
Appropriately one year later, while the petitions for writs of certiorari were pending in Armstrong I and Voisine I, the Supreme Court issued its opinion in Cas-tleman,
.The Court explained that “physical force”-for purposes of § 922(g)(9) encompasses “the common-law meaning of ‘force’ — namely, offensive touching.” Id. at 1410. The Court explained that “ ‘[domestic violence’ is not merely a type of ‘violence’; it is a term of art encompassing acts' that one might not characterize as ‘violent’ in a nondomestic context” — acts like slapping, shoving, pushing, grabbing, hair-pulling, and spitting. Id. at 1411 & n. 5.
The Castleman Court further explained that there are two main categories of assault or battery laws generally used to prosecute domestic abusers: “those that prohibit both offensive touching and the causation of bodily injury, and those that prohibit only the latter.” Id. at 1413. Interpreting “physical force” to exclude a mere “offensive touching” would have rendered the Lautenberg Amendment “ineffectual in at least 10 States — home to nearly thirty percent of the Nation’s population — at the time of its enactment.” Id. (footnote omitted). Therefore, the Court held that the “physical force” requirement is satisfied “by the degree of force that supports a common-law battery conviction” — including an offensive touching. Id.
Expressing skepticism regarding such a categorical conclusion, the Court stated that “[i]t does not appear that every type of assault defined by [the Tennessee statute] necessarily involves ‘the use or attempted use of physical force, or the threatened use of a deadly weapon.’ ” Id. at 1413-14 (quoting 18 U.S.C. § 921(a)(33)(A)). For example, the Court reasoned that under the Tennessee statute, “[a] threat ... may not necessarily involve a deadly weapon, and the merely reckless causation of bodily injury ... may not be a ‘use’ of force.” Id. at 1414. The Court noted that in Leocal it had “reserved the question whether a reckless application of force could constitute a ‘use’ of force,” id. at 1414 n. 8 (citing Leocal,
On the heels of its Castleman opinion, the Supreme Court vacated our prior decisions in Voisine I and Armstrong I, and it remanded those two cases for reconsideration in light of its decision in Castleman. See Armstrong,
2. The First Circuit’s Carter Opinion
In the wake of Castleman and the Supreme Court’s remand of the instant cases, we issued an opinion in United States v. Carter, 752 F.Bd 8 (1st Cir.2014). Among other arguments, the defendant ’ in that case, Wayne Carter, raised similar issues to those examined in Armstrong I. Id. at 9-10. Carter had been convicted in 1997 of a misdemeanor assault in Maine, after his live-in girlfriend at the time, Annie Eagan, told police officers that Carter spit in her face and shoved her right shoulder. Id. at 10. Eagan reported that she was not hurt, that she did not want Carter arrested or charged with an offense, and that she only wanted him removed from the house. Id. at 10-11. Nonetheless, the Maine state prosecutor charged Carter under Maine’s general-purpose assault statute, to which Carter pleaded guilty and was sentenced to time served: thirty days in jail. Id. at 11.
Approximately thirteen years later, in 2010, Carter obtained a loan by pawning a rifle that he had inherited from his dead father. Id. at 10. A records check and
On appeal, we noted that although this argument was previously foreclosed by our holding in Booker, “the Supreme Court’s recent decision in Castleman casts doubt upon this holding.” Id. at 18 (citing Cas-tleman,
Despite the Supreme Court’s statements in Castleman calling into question our pri- or precedent on this question, it was unnecessary in Carter to answer the recklessness issue, because Carter potentially could have been resolved via the modified categorical approach: the underlying Shepard documents might have “ultimately show[n] that Carter’s conviction was under one of the other two mens-rea prongs of the statute — ‘intentionally’ or ‘knowingly.’ ” Id. We thus observed that under Castleman, “the validity of Carter’s § 922(g)(9) conviction may depend on which mens-rea prong of the Maine general-purpose assault statute served as the basis for his guilty plea and conviction.” Id. at 18. Examining the record for Shepard documents that could determine which variant of the Maine assault statute was the basis for Carter’s conviction, we found the record incomplete and undeveloped: it was unclear whether such documents existed. See id. at 20-21 (“It is not clear ... whether there are any other ‘approved’ Shepard documents or comparable judicial records available with respect to Carter’s prior assault conviction.... [T]he record is insufficiently developed to determine which variant of the Maine general-purpose assault statute served as the basis for Carter’s conviction.”). Accordingly, we “remand[ed] the case to the district court to allow the parties to further develop the record on this issue,” consistent with the
3. District Courts’ Application of Castleman and Carter
To date, three different district court judges in the First Circuit have applied the reasoning of Castleman’s Footnote Eight regarding these issues; all three opinions concluded that a recklessly committed Maine assault does not necessarily involve the “use” of physical force and thus is not categorically a misdemeanor crime of domestic violence. United States v. Sales, No. 2:13-CR-137-NT,
a. Hines
The first district court case to apply the decisions in Castleman and Carter to these issues was Hines,
Examining Castleman’s Footnote Eight, the court observed that “[t]his footnote, which cited ten circuit courts as concluding that reckless conduct did not constitute ‘use of physical force,’ strongly hinted that the First Circuit’s Booker decision was an outlier.” Id. at *8. The district court then considered the Supreme Court’s vacatur of Armstrong I in light of Castleman. Id. The court explained that “[r]eading Supreme Court tea leaves is chancy, but the First Circuit decision in Armstrong I was consistent with Castleman except for the Circuit Court’s brief recklessness analysis.” Id. Thus, the court found that “[i]t is a short logical step to conclude that the reason the Supreme Court vacated the First Circuit decision in Armstrong I was to pull the First Circuit in line with the other ten circuit courts in the recklessness analysis.” Id. Accordingly, on the basis of Castleman, the vacatur of Armstrong I, and Carter, the district court concluded that it is “questionable” whether a Maine conviction for domestic assault — “without more” — qualifies as a valid predicate conviction for the Lautenberg Amendment. Id. at *9.
b. Carter
Following our remand instructions in Carter, the district court permitted the parties to further develop the record with Shepard documents to determine which subsumed variant of the Maine assault statute formed the basis of Carter’s prior state misdemeanor conviction. Carter,
The district court cited Hines, including the statement that “ ‘[i]t is a short logical step to conclude that the reason the Supreme Court vacated the First Circuit decision in [Armstrong /] was to pull the First Circuit in line with the other ten circuit courts in the recklessness analysis.’ ” Id. at *5 (quoting Hines,
c. Sales
Sales,
The district court reviewed the governing precedent, including Castleman, Carter, and the previous two district court decisions described above, Hines and Carter. Id. at *2-3. Observing that the Cas-tleman court emphasized LeocaVs holding that “use” requires active employment, the district court further highlighted that “[t]he Supreme Court also pointed out that Booker is out of step with other circuit courts that have held that recklessness is not sufficient to constitute a ‘use’ of force.” Id.' at *3 (citing Castleman,
II. Discussion
On remand, the relevant inquiry is whether the “reckless” causation of “offensive physical contact” under Maine law necessarily constitutes the “use or attempted use of physical force” for purposes of the Lautenberg Amendment. Compare Me.Rev.Stat. tit. 17-A, § 207, with 18 U.S.C. §§ 921(a)(33)(A), 922(g)(9). As a matter of statutory interpretation, we need to compare the text of each side of the equation: (a) the definition of the “reckless” causation of “offensive physical conduct” under the Maine assault statutes; and (b) the definition of the “use ... of physical force” under the federal Lauten-berg Amendment. The former inquiry is a question of Maine state law, while the latter is a question of federal law. Applying the relevant precedent, this discussion concludes that the reckless causation of offensive physical contact in Maine does not necessarily constitute the “use” of physical force and thus is not categorically a “misdemeanor crime of domestic violence” under the Lautenberg Amendment.
A. The Meaning of the “Reckless” Causation of “Offensive Physical Contact” Under Maine Law
1. The Meaning of “Reckless”
Under the applicable definition in the Maine Criminal Code, “[a] person acts recklessly with respect to a result of the person’s conduct when the person consciously disregards a risk that the person’s conduct will cause such a result.” Me.Rev. Stat. tit. 17-A, § 35(3)(A). Additionally, “the disregard of the risk, when viewed in light of the nature and purpose of the person’s conduct and the circumstances known to the person, must involve a gross deviation from the standard of conduct that a reasonable and prudent person would observe in the same situation.” Id § 35(3)(C).
The majority opinion describes this definition of “recklessness” as involving “a substantial amount of deliberateness and intent.” Ante, at 183. To support this assertion, the majority follows the government’s brief in emphasizing that the definition requires that a person “consciously” disregard the risk involved, and that this disregard involves a “gross deviation” from the standard of reasonable and prudent conduct. Id at 183-84. Relying on this language, the government argues that “recklessness lies rather close to ‘knowingly’ ” on the “volitional scale,” and that recklessness “is arguably part and parcel of ‘willfully.’ ” Continuing, the government asserts that “[rjecklessly is more akin to deliberately or knowingly.” I disagree.
Contrary to the claim that the Maine definition of recklessness involves “a substantial amount of deliberateness and intent,” the Maine definition is in fact a textbook definition of recklessness, falling squarely within the standard definitions of recklessness in various jurisdictions and as defined by multiple authorities. Indeed, the Maine definition is materially indistinguishable from the definition of recklessness in the Model Penal Code. Cf. Model Penal Code § 2.02(2)(c) (“A person acts recklessly with respect to a material ele
As revealed in the chart below, the Maine definition of recklessness is also consistent with the equivalent definitions in the Model Penal Code, Black’s Law Dictionary, and the majority of First Circuit jurisdictions.
Source, Authority, or Jurisdiction Definition
Model Penal Code § 2.02(2)(e) (emphases added) “Recklessly. A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the nature and purpose of the actor’s conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actor’s situation.”
Black’s Law Dictionary 1462 (10th ed.2014) (emphases added) “reckless, adj.. . . Characterized by the creation of a substantial and unjustifiable risk of harm to others and by a conscious (and sometimes deliberate) disregard for or indifference to that risk; heedless; rash,
• Reckless conduct is much more than mere negligence: it is a gross deviation from what a reasonable person would do. See recklessness. . . Cf. careless; wanton . . .”
Black’s Law Dictionary 1462 (10th ed.2014) (emphasis added) “recklessness, n. . . . 1. Conduct whereby the actor does not desire harmful consequence but nonetheless foresees the possibility and consciously takes the risk.
• Recklessness involves a greater degree of fault than negligence but a lesser degree of fault than intentional wrongdoing. 2. The state of mind in which a person does not care about the consequences of his or her actions. — Also termed heedlessness. Cf. wantonness.”
Maine ”A person acts recklessly with respect to a result of the person’s conduct when the person consciously disregards a risk that the person’s conduct will cause such a result. . . [T]he disregard of the risk, when viewed in light of the nature and purpose of the person’s conduct and the circumstances known to the person, must involve a gross deviation from the standard of conduct that a reasonable and prudent person would observe in the same situation.” Me.Rev. Stat. tit. 17-A, § 35(3)(emphases added) (subsections defining “recklessly” under the Maine Criminal Code section setting out “Definitions of culpable states of mind”); see also Stein v. Me. Criminal Justice Acad.,95 A.3d 612 , 618 (Me.2014) (applying the foregoing statutory definitions of “recklessly” to the Maine general-purpose assault statute, § 207(1)(A)).
Massachusetts “Reckless failure to act involves an intentional or unreasonable disregard of a risk that presents a high degree of probability that substantial harm will result to another.” Sandler v. Commonwealth,419 Mass. 334 ,644 N.E.2d 641 , 643 (Mass.1995). “[Rjeekless conduct involves a degree of risk and a voluntary taking of that risk so marked that, compared to negligence, there is not just a difference in degree but also a difference in land.” Id.,644 N.E.2d at 644 . “To prove reckless battery, the Commonwealth must establish ‘(1) that the defendant’s conduct involvefd] a high degree of likelihood that substantial harm will result to another, or that it constitute!)!] . . . disregard of probable harmful consequences to another and (2) that, as a result of that conduct, the victim suffered some physical injury.’ ” United States v. Holloway,630 F.3d 252 , 261 (1st Cir.2011) (quoting Commonwealth v. Welch,16 Mass.App.Ct. 271 ,450 N.E.2d 1100 , 1102-03 (Mass.App.Ct.1983)).
“To constitute wanton or reckless conduct, as distinguished from mere negligence, grave danger to others must have been apparent and the defendant must have chosen to run the risk rather than alter his conduct so as to avoid the act or omission which caused the harm.”*204 Commonwealth v. Welansky,316 Mass. 383 ,55 N.E.2d 902 , 910 (Mass.1944) (internal quotation marks omitted).
New Hampshire “ ‘Recklessly.’ A person acts recklessly with respect to a material element of an offense when he is aware of and consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the circumstances known to him, its disregard constitutes a gross deviation from the conduct that a law-abiding person would observe in the situation. A person who creates such a risk but is unaware thereof solely by reason of having voluntarily engaged in intoxication or hypnosis also acts recklessly with respect thereto.” N.H.Rev.Stat. § 626:2(II)(c) (emphases added).
Puerto Rico Old: “[W]hen the actor has foreseen or is conscious that there exists a high probability that his conduct will produce the criminal act.” P.R. Laws Ann. tit. 33, § 5035 (2012) (unofficial translation supplied). New: “A person acts recklessly when he is conscious that his conduct generates a substantial and unjustified risk that the legally prohibited result or circumstance will be produced.” 2014 P.R. Laws No. 246, art 12 (enacting S.B. 1210, and modifying 'art. 22(3) of Law 146-2012) (unofficial translation supplied).13
Rhode Island “[T]he use of the word ‘reckless’ or ‘recklessly’ in penal statutes connotes something more than the negligence necessary to support a civil action for damages, and that the two words impart a disregard by the accused for the consequences of his act and an indifference to the safety of life and limb. . . [T]he distinguishing factor, which properly classifies the operation of a motor vehicle as reckless, is that the evidence shows that a driver has embarked upon a course of conduct which demonstrates a heedless indifference to the consequences of his action.” State v. hunt,106 R.I. 379 ,260 A.2d 149 ,151 (R.I.1969).
The definitions of “recklessness” in the preceding chart demonstrate that the Maine definition is a perfectly ordinary, textbook definition of the term. There is nothing about the Maine statute that sets it above and beyond the standard definitions provided in the Model Penal Code, Black’s Law Dictionary, and the other jurisdictions in the First Circuit. Nor does it seem that the Model Penal Code and the First Circuit jurisdictions are unique in their definitions of recklessness. See, e.g., Ariz.Rev.Stat. § 13-105 (“ ‘Recklessly’ means, with respect to a result or to a circumstance described by a statute defining an offense, that a person is aware of and consciously disregards a substantial and unjustifiable risk that the result will
Applying that definition, I disagree with the government’s assertion that “[Recklessly is more akin to deliberately or knowingly” than negligently. The majority opinion echoes this claim, arguing that “Maine’s definitions of knowingly as contrasted with recklessly differ primarily in their description of the degree of the person’s awareness of the likelihood that the result will occur.” Ante, at 184. The Supreme Court has held that negligent conduct cannot constitute the “use” of force. See Castleman,
2. The Meaning of “Offensive Physical Contact”
In this context, the actus reus of “offensive physical contact” has two constituent elements: first, there must be “physical contact,” and second, the physical contact must also be “offensive.” Under Maine law, the physical contact required is “not limited to direct touchings, but also c[an]
Determining whether the physical contact is “offensive” is an objective test: courts ask whether a reasonable person would find the physical contact to be offensive, under the particular circumstances involved. See United States v. Pettengill,
B. The Meaning of “Use ... of Physical Force” Under Federal Law
1. The “Use” of “Force” and Common-Law Battery
The following discussion demonstrates that under the Lautenberg Amendment, the use-of-force requirement can be satisfied by an actus reus of an offensive touching, but such an offensive touch must be committed with a mens rea of intent rather than mere recklessness. In Castleman, the Supreme Court held that “force,” for purposes of the Lautenberg Amendment, incorporates the common-law meaning of “force.” Castleman,
I agree with the government’s contention that “it makes sense for Congress to have classified as a ‘misdemeanor crime of domestic violence’ ” not only “the type of conduct that supports a common-law battery conviction,” id. at 1411, but also the culpable mental states that support a bat
In Johnson, the Supreme Court explained that “the common-law crime of battery ... consisted of the intentional application of unlawful force against the person of another.” Johnson,
The sources cited by the government do not demonstrate otherwise. These sources suggest, at best, that a common-law battery by “bodily injury” or “infliction of harm” can be committed recklessly; they do not establish that a common-law battery by “offensive physical contact” can be committed recklessly. See, e.g., Model Penal Code § 211.1(l)(a) (“A person is guilty of assault if he ... attempts to cause or purposely, knowingly or recklessly causes bodily injury to another....”); Wayne R. LaFave, 2 Substantive Criminal Law § 16.2(a) (2d ed.) (“The modern approach, as reflected in the Model Penal Code, is to limit battery to instances of physical injury and cover unwanted sexual advances by
The weakness of the government’s argument is revealed by its selective citation and selective quoting. For example, the government quotes a criminal law treatise for the proposition that “a substantial majority of the battery-type statutes” in modern criminal codes “expressly state that the crime may be committed by recklessness,” but conveniently omits the immediately following clause at the end of that sentence: “ — that is,” where there is subjective awareness of the high risk of physical injury.” LaFave, supra, § 16.2(c)(2) (emphasis added). The unabridged sentence says nothing about whether a battery by offensive touching can be committed by recklessness. Indeed, in the same section, the cited treatise states that the modern approach “limit[s] battery to instances of physical injury.” Id. § 16.2(a). Furthermore, the treatise explains that the Model Penal Code’s assault provision “covers only causing ‘bodily injury,’ on the ground that ‘offensive touching is not sufficiently serious to be made criminal, except in the case of sexual assaults as provided’ elsewhere in the Code.” Id. § 16.2(a) n. 6 (quoting Model Penal Code § 211.1 cmt. at 185 (1980)). Given the foregoing, there is no justification for the majority’s heavy reliance on the legislative history of the Lautenberg Amendment. See, e.g., Rubin v. United States,
Contrary to the government’s arguments, our decision in United States v. Bayes,
Bayes argued that simple assault required “a specific kind of intent that the government failed to prove.” Id. Namely, Bayes contended that “the government did not prove that he intended to injure [the flight attendant] or to threaten her with harm when he touched her on the but
The preceding language from Bayes reveals that the mens rea required for a § 113(a)(5) battery-by-offensive-touching conviction is intent and not mere recklessness: the .defendant must “deliberately” (and not accidentally) touch the victim in a “deliberately offensive” manner. See id. By contrast, under the Maine assault statutes, a defendant can commit the offense recklessly by merely disregarding (a) the risk that his conduct will cause physical contact (more than a mere touching) to occur, and (b) the risk that a reasonable person would find that physical contact to be offensive. See Me.Rev.Stat. tit. 17-A, § 35(3)(A). The “deliberate” intent that we required in Bayes is thus not necessary for a conviction for recklessly committed assault or domestic-violence assault in Maine.
Therefore, the following conclusion must be drawn: under the Lautenberg Amendment, the “force” requirement can be satisfied by an actus reus of an offensive touching, but such an offensive touch must involve a mens rea of intent rather than mere recklessness. That is, the defendant must intend to touch and intend that the touch be offensive, rather than merely disregard the risk that a touch will occur and be considered offensive. By contrast, the Maine statutes at issue permit conviction when the defendant merely disregards a risk that his or her conduct will cause physical contact that a reasonable person would find to be offensive. Accordingly, applying a categorical approach and the Supreme Court’s statements in Castleman and Johnson, a conviction under either of the Maine assault statutes encompasses conduct beyond the common-law definition of battery, and thus does not necessarily establish a misdemeanor crime of domestic violence under the Lautenberg Amendment. This conclusion mandates reversal here and is further supported by Footnote Eight of Castleman and the circuit court cases cited therein, as explained below.
2. Castleman’s Footnote Eight
In Castleman, the Supreme Court opined that the “merely reckless causation of bodily injury under the [Tennessee assault statute] may not be a ‘use’ of force.” Castleman,
a. Second Circuit
The Second Circuit considered the issue in Jobson v. Ashcroft,
To satisfy § 16(b)’s definition of “crime of violence,” therefore, a defendant must have risked having to intentionally, use force to commit the offense. Id. at 374; see also id. at 373 (“[T]he risk in section 16(b) concerns the defendant’s likely use of violent force as a means to an end.”). “By contrast, a defendant who is convicted of second-degree manslaughter, like other offenses of pure recklessness, may lack any ‘intent, desire or willingness to use force or cause harm at all.’” Id. at 374 (quoting United States v. Parson,
b. Third Circuit
The Third Circuit reached a similar result in Oyebanji v. Gonzales,
Citing the Leocal Court’s distinction between “violent” crime and merely “accidental” conduct, the Third Circuit explained that “[t]he quintessential violent crimes — murder, assault, battery, rape, etc. — involve the intentional use of actual or threatened force against another’s person, and the term ‘accidental’ is most often used to describe events that did not ‘occur [ ] as a result of anyone’s purposeful act.’ ” Id. at 264 (second alteration in original) (citing Black’s Law Dictionary 16 (8th ed.1999)). The Third Circuit reasoned that “accidental” conduct “is not enough to qualify as a crime of violence” under Leo-cal, and it decided that such “accidental” conduct “would seem to include reckless conduct.” Id. The panel further stated that the Third Circuit ought to follow the Supreme Court’s “‘considered dicta’” in Leocal, id. at’ 265 (quoting McCoy,
c. Fourth Circuit
The Fourth Circuit considered these issues in García v. Gonzales,
Turning to the definition in § 16(b), the Fourth Circuit held that “recklessness, like negligence, is not enough to support a determination that a crime'is a ‘crime of violence.’ ” Id. at 469. In making this determination, the Fourth Circuit held that in order to satisfy § 16(b)’s requirement that the predicate offense “involve a substantial risk that physical force against the person or property of another may be used,” the force must “be applied as a means to an end.” Id. (quoting Bejarano-Urrutia v. Gonzales,
d.Fifth Circuit
The Fifth Circuit considered the definition of “crime of violence” under 18 U.S'.C. § 16(b) in United States v. Chapa-Garza,
e.Sixth Circuit -
In United States v. Pórtela,
f.Seventh Circuit
Similarly, the Seventh Circuit followed its sister circuits in holding that “reckless crimes are not crimes of violence under Section 16(b).” Jiménez-González v. Mukasey,
g. Eighth Circuit
Likewise, the Eighth Circuit stated that the Leocal “Court’s reasoning suggests that crimes requiring only reckless disregard for the risk of physical injury to another are not crimes of violence under § 16.” United States v. Torres-Villalobos,
A person can commit this crime by recklessly leaving a child alone with lit candles that later start a fire, by allowing a child to die of dehydration while in the person’s care, by leaving explosives and blasting caps stored in an automobile where they are later ignited by the use of jumper cables, and, indeed, by driving drunk with ‘culpable negligence’ in a manner that causes the death of a passenger.
Id. (internal citations omitted). Therefore, the court held, “the ‘use of force,’ as Leo-cal interpreted that phrase, is not an element of a second-degree manslaughter conviction,” meaning that the Minnesota second-degree manslaughter offense is not a crime of violence under § 16(a). Id. Turning to § 16(b), the court also held that second-degree manslaughter under Minnesota law does not “involve a risk that the perpetrator will intentionally use physical force in the course of committing the offense.” Id. at 616-17.. Because Minnesota second-degree manslaughter can be committed recklessly without the intentional use of force or risking the intentional use of force, the Eighth Circuit held that it is not a crime of violence under § 16. Id. at 617.
h. Ninth Circuit
In Fernández-Ruiz v. Gonzales,
“Even more clearly, reckless conduct as defined by Arizona law is not purposeful.” Id. As support for this statement, the Ninth Circuit cited the Arizona criminal statute defining recklessness.. Id. Under that statute, “ ![r]ecklessly’ means ... that
i. Tenth Circuit
In United States v. Zúñiga-Soto,
j. Eleventh Circuit
Finally, applying similar reasoning, the Eleventh Circuit also relied on Leocal and the decisions of the other circuit courts to hold that “a conviction predicated on a mens rea of recklessness does not satisfy the ‘use of physical force’ requirement under [U.S.S.G.] § 2L1.2’s definition of ‘crime of violence.’ ” United States v. Palomino García,
C. Comparison of Analogous Statutory Language
As is evident from the discussion above, most of our sister circuits have held that the “use ... of physical force” requires the type of intentional conduct for which mere recklessness cannot suffice. Although these cases involved different provisions than the Lautenberg Amendment, the statutory texts involved are not materially different, and in many cases, are virtually identical. As referenced herein, analogous provisions to the definition of “misdemean- or crime of domestic violence” for purposes of the Lautenberg Amendment are compared in the following chart:
Statute Relevant Language
“misdemeanor crime of domestic violence,” “has, as an element, the use or attempted use of Lautenberg Amendment, 18 U.S.C. physical force” § 922(g)(9)
18 U.S.C. § 921(a)(33)(A)
“crime of violence,” 18 U.S.C. § 16(a) “has as an element the use, attempted use, or threatened use of physical force against the person or property of another”
_18 Ü.S.C. § 16(a)_
“crime of violence,” 18 U.S.C. § 16(b) “any other offense that is a felony and that, by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense”
18 U.S.C. § 16(b)
“[an] offense . . . that has as an element the use, attempted use, or threatened use of physical force against the person of another” “[c]rime of violence,” U.S.S.G. § 2L1.2
U.S.S.G. § 2L1.2, cmt. l(B)(m).
“has as an element the use, attempted use, or threatened use of physical force against the person of another” “violent felony” under the ACCA, 18 U.S.C. § 924(e)(1)
18 U.S.C. § 924(e)(2)(B)(I)
It is readily apparent that the language involved in most of the preceding provisions is nearly identical, and for present purposes is materially indistinguishable.
III. Conclusion
Despite the foregoing precedent from the Supreme Court and our sister circuits, the majority opinion nonetheless seeks to hew to our prior decision in Booker and to resolve these cases, yet again, exactly as we did in Armstrong I and Voisine I. With due respect, for the reasons explained above, I believe that the majority is wrong.
The Lautenberg Amendment is premised upon grave concerns and laudable purposes, as articulated both by the Supreme Court in Castleman and by the majority in this case. I share those concerns and strongly agree with those purposes. However, a general agreement with those goals need not dictate the result here. This case does not present a litmus test for judges, asking whether we oppose domestic violence and gun violence. Were our job so simple, it would be an easy matter to decide in favor of the government. But that is not our role. Our judicial obligations preclude us from such results-oriented decisionmaking.
Rather than deciding on the basis of personal beliefs and policy preferences, or seeking to ensure that the Lautenberg Amendment encompass the broadest possible swath of conduct within its ambit, this case requires us to engage in statutory interpretation. This legal task implicates the difference between Congress’s broad policy goals versus the precise statutory language employed to achieve those ends. That is, does the language chosen by Congress — the-“use or attempted use of physical force” — necessarily apply to all Maine misdemeanor assault convictions for recklessly causing offensive physical contact? Applying the relevant precedent to this question of statutory interpretation coun-
For the reasons stated herein, I would reverse the defendants’ convictions. Indeed, I believe that the Supreme Court has obligated us to do so. Therefore, I respectfully dissent.
. See United. States v. Torres-Villalobos,
.- Moreover, the cases involving § 16(b) provide even stronger support for the defendants' position here, as § 16(b) involves language more susceptible than that of § 16(a) or the Lautenberg Amendment to a reading that encompasses reckless conduct. Compare 18 U.S.C. § 16(b) (defining a "crime of violence” as a felony that "involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense”), with Model Penal Code § 2.02(2)(c) (“A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct.”). Yet most courts nonetheless have rejected arguments that § 16(b) can be
. In addition to its acknowledgment that this is a "close" case, the majority's reliance on legislative history also suggests -that the statutory text is ambiguous. Cf. Tenn. Valley Auth. v. Hill,
. All of the examples cited by the majority'— squeezing, shoving, a squeeze of the arm that causes a bruise, shooting a powerful handgun in the direction of a neighbor’s home, driving a van to make contact with another vehicle and to push the victim’s vehicle into heavy oncoming traffic, a husband throwing a knife towards his wife intending to instill fear but actually striking her, and waving a lit cigarette near a child in anger so that the cigarette touches and burns the child, ante, at 177, 181, 183-84, 184-85 involve intentional conduct that is reckless as to the result, which in nearly all of those examples is bodily injury. By contrast, the Maine statutes at issue here permits conviction for far less, culpable conduct: merely reckless conduct that is also reckless as to the result of offensive physical contact. In so doing, the majority conflates mens rea as to the result with mens rea as to the underlying conduct that causes the result. It is this distinction that explains why common-law battery permits conviction for (1) intentional conduct that is reckless as to the result of bodily injury and (2) intentional conduct that is intentional as to the result of bodily injury or offensive touching, but does not permit conviction for (3) reckless conduct that is merely reckless as to the result of an offensive touching.
. To recklessly cause an offensive physical contact in Maine, a person must consciously disregard a risk that his or her conduct will cause physical contact — something more than a mere touching — that a reasonable person would find to be offensive under the circumstances. See Me.Rev.Stat. tit. 17-A, § 35(3) (defining recklessness); id. § 207(1)(A) (simple assault); id. § 207-A(l)(A) (domestic violence assault). Therefore, to sustain a Maine conviction for this subsumed offense, the defendant need not intend that physical contact occur nor intend that the contact be considered offensive.
. Despite the foregoing, the majority opinion offhandedly rejects the relevance of the mens rea for battery under the common law. See ante, at 182-83 ("The parties agree that, under Castleman, the term 'use of physical force’ also incorporates the common law mens rea for battery.... They disagree about whether reckless acts could or could not constitute batteries at common law, and each side marshals support for its view. We decline the parties’ invitation to define the mens rea of a common law battery....”) (citations omitted). At the same time, the majority cites Castleman for the proposition that the “use” of physical force includes offensive contact, due to the common-law meaning of "force” for purposes of battery. Id. The majority opinion thus relies on the actus reus for battery under the common law, but simultaneously rejects the relevance of the accompanying mens rea for common-law battery. See id. In so doing, the majority fails to sufficiently justify its decision to "decline” the parties’ “invitation” to consider the import of the mens rea of common-law battery to the question at bar. Such a decision requires justification, particularly because the Supreme Court in Castleman also extended an “invitation” for us to consider this issue when it explained that Congress intended to classify as a " 'misdemeanor crime of domestic violence' the type of conduct that supports' a common-law battery conviction.” See Castle-man,
Nothing in Castleman suggests that the phrase “type of conduct” refers only to the actus reus for battery and not also the accompanying mens rea. Indeed, the contrary conclusion makes far more sense. If Congress meant to incorporate the common-law crime of battery, it most likely meant to incorporate both the actus reus and its accompanying mens rea. See, e.g., United States v. Zhen Zhou Wu,
. Violation of either provision — the general assault offense or "domestic violence assault" — constitutes a "Class D” crime under the Maine Criminal Code, which is equivalent to a misdemeanor. See State v. Allen,
. The situation in Puerto Rico merits some further explanation. Historically, under Puerto Rico’s Penal Code, there were two culpable mental states: "intent” and “negli- ■ gence.” See P.R. Laws Ann. tit. 33, §§ 4650-4652 (2004). The definition of "intent” included three variants, generally corresponding to the concepts of "purposeful,” "knowing,” and "reckless” conduct under the Model Penal Code. See id. § 4651; see also Dora Neváres-Muñiz, Recodification of Criminal Law in a Mixed Jurisdiction: The Case of Puerto Rico, 12.1 Elec. L Comp. L. 16 (May 2008), available at http://www.ejcl.org/121/art 121-14.pdf. In the 2012 version of the Puerto Rico Penal Code, the third definition of “intent” covered reckless conduct: "when the actor has foreseen or is conscious that there exists a high probability that his conduct will produce the criminal act.” P.R. Laws Ann. tit. 33, § 5035 (2012) (unofficial translation supplied).
In 2014, a new law was proposed, passed by both the Puerto Rico Senate and the House of Representatives, and sent to the Governor for his approval. See S.B. 1210 (P.R.2014). That law was signed and approved on December 26, 2014, and it takes effect on March 26, 2015. See 2014 P.R. Laws No. 246. Article 12 of the new law eliminates the old culpable mental states (intent and negligence) and explicitly replaces them with the four mental states in the Model Penal Code: purposely, knowingly, recklessly, and negligently. Compare id. art. 12 (modifying art. 22 of Law No. 146-2012), with Model Penal Code § 2.02(2); see also P.R. House of Representatives, P. del S. 1210 Informe Positivo 9 (Nov. 13, 2014), http://www.tucamarapr.org/dnncamara/ Documents/Measures/9fda6cce-88d9-4e39-a6 ae-0dcl63f421dc.pdf.
. Id.. To illustrate contrast with our holding in United States v. Booker,
. Given that § 16(b)’s definition includes offenses that merely ''involve[] a substantial risk that physical force ... may be used,” id. (emphasis added), its language is far more susceptible to a reading that it encompasses reckless conduct than is the equivalent language for § 16(a) and § 922(g)(9), which both require the "use” or "attempted use” of "physical force.” See supra n. 2; see also 18 U.S.C. § 16(a); id. § 922(g)(9); id. § 921(a)(33)(A); Me.Rev.Stat. tit. 17-A, § 35(3) ("A person acts, recklessly with respect to a result of the person’s conduct when the person consciously disregards a risk that the person’s conduct will cause such a result. ... ”); Model Penal Code § 2.02(2)(c) (“A person acts recklessly ... when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct.”). Therefore, the cases holding that reckless conduct is insufficient to support a subsequent § 16(b) conviction provide even stronger support for the defendants' position than do the cases involving § 16(a). Cf. Garcia,
. The majority claims that § 16(a) is "not analogous” to § 922(g)(9). Ante, at 181. I disagree, given that these two provisions contain nearly identical language. Section 16(a) defines a "crime of violence," whereas § 922(g)(9) involves a "misdemeanor crime of domestic violence.” The relevant definition for § 922(g)(9) is an offense that' "has, as an element, the use or attempted use of physical force.” 18 U.S.C. § 921(a)(33)(A). The definition under § 16(a) is materially indistinguishable: an offense that "has as an element the use, attempted use, or threatened use of physical force against the person or property of another.” Id. § 16(a). This definition differs only in the addition of the “threatened use” of physical force as an alternative, and the explanation that the force be used "against the person or property of another.” The former difference (the inclusion of "threatened use”) is neither implicated in the current case nor in any of the analogous precedents referenced herein. The látter change appears to be largely a distinction without a difference, as it is difficult to contemplate how or why the "use of physical force” for purposes of § 922(g)(9) would mean force used in any way other than "against the person or property of another.”
