United States v. James D. Barquin

799 F.2d 619, 1986 U.S. App. LEXIS 28813
CourtCourt of Appeals for the Tenth Circuit
DecidedAugust 20, 1986
Docket86-1053
StatusPublished
Cited by12 cases

This text of 799 F.2d 619 (United States v. James D. Barquin) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. James D. Barquin, 799 F.2d 619, 1986 U.S. App. LEXIS 28813 (10th Cir. 1986).

Opinions

JOHN P. MOORE, Circuit Judge.

This is an appeal following entry of a conditional plea of nolo contendere pursuant to Fed.R.Crim.P. 11(a)(2). The sole question presented by this appeal is whether an Indian tribe or its business council is a “local government agency” within the context of 18 U.S.C. § 666(c). We conclude the question is answered in the negative and reverse.

The defendant, an enrolled member of the Shoshone/Arapahoe Tribes, entered his plea to a charge, under 18 U.S.C. § 666, of paying $1,000 to an official of the Northern Arapahoe Business Council to obtain favorable treatment on the award of a contract for a Wind River Reservation project.1 2De-fendant moved to dismiss the indictment contending that the definitional provisions of § 666 exclude Indian tribes as an entity and that § 666(c) is unconstitutionally vague, ambiguous, and overbroad. His motion was summarily denied, and this appeal, raising the same issues, followed.

The statute, in pertinent part, states:

Whoever offers, gives, or agrees to give to an agent of an organization or of a State or local government agency ... [620]*620anything of value for or because of the recipient’s conduct in any transaction or matter ... shall be imprisoned not more than ten years or fined not more than $100,000 or an amount equal to twice that offered, given or agreed to be given, whichever is greater, or both so imprisoned and fined.

18 U.S.C. § 666(c) (emphasis added). Barquín concedes the other elements of § 666(c) have been met; therefore, the only issue on appeal, aside from the constitutional issue, is whether the person to whom the payment was made was an agent of a “local government agency.”2

Our statutory analysis begins with the principle that because § 666 is punitive, it must be strictly construed. Dowling v. United States, — U.S. -, 105 S.Ct. 3127, 87 L.Ed.2d 152 (1985). Therefore, the language and legislative history of § 666 must be scrutinized to determine if Bar-quin’s conduct comes within the statute’s prohibitions. Id.

The relevant terms of the statute are carefully defined:

“government agency” means a subdivision of the executive, legislative, judicial, or other branch of a government, including a department, independent establishment, commission, administration, authority, board, and bureau; or a corporation or other legal entity established by, and subject to control by, a government or governments for execution of a governmental or intergovernmental program; and
“local” means of or pertaining to a political subdivision within a State.

18 U.S.C. § 666(d)(3), (4) (emphasis added). These definitions do not specifically include an Indian tribe or its business council. Thus, the issue is whether an Indian tribe or its business council are subdivisions of the executive branch of a political subdivision within a state.

The government takes the position that because the Arapahoe Tribe is physically located “within” the State of Wyoming, it must be a local government agency by definition. Defendant contends a “political subdivision” connotes a subdivision of a state, such as a city or township, and since an Indian tribe is a sovereign entity wholly independent of a state, Indian tribes and their business councils do not fall within the statutory definition.

This problem has not been previously considered. Thus, we turn to the legislative history of the statute to guide us in our interpretation of its meaning.

We note first that § 666 was adopted to reach bribery of the type involved in United States v. Hinton, 683 F.2d 195 (7th Cir.1982), aff'd, Dixson v. United States, 465 U.S. 482, 104 S.Ct. 1172, 79 L.Ed.2d 458 (1984). S.Rep. No. 225, 98th Cong. 2d Sess. 369-70, reprinted in 1984 U.S. Code Cong. & Ad. News 3510-11.3 The legislative history further provides:

This ... [statute] is designed to create new offenses to augment the ability of the United States to vindicate significant acts of theft, fraud, and bribery involving Federal monies that are disbursed to private organizations or State and local governments pursuant to a Federal program.
The terms ... “government agency”, and “local” are defined in subsection (d) and require no further explication.

Id. In adopting § 666, Congress may have sought to punish illegal payments to any person who deals with a significant amount of federal money. That purpose presumably would be met in this case because the recipient of the money from Barquin dealt with federal funds. Nevertheless, the legislative history fails to clarify the question before us today; that is, are payments to an agent of an Indian tribe within the [621]*621statute’s prohibitions, notwithstanding the agent dealt in government funds of sufficient quantity. In pursuit of the answer to this question, we cannot look to the general objective of § 666 because our analysis is circumscribed by the exacting terms of the statute.

Reading the statute as written, it is evident that the business council meets the simple definition of a “government agency,” since it is not contested that a tribe is a sovereign entity which governs the affairs of its members. Yet, it is also evident that a tribe, even though physically located within the geographic boundaries of a state, is not a “local” government agency.

An Indian tribe exists at the sufferance of Congress, and so long as Congress permits, tribes retain their sovereign powers. United States v. Wheeler, 435 U.S. 313, 323, 98 S.Ct. 1079, 1086, 55 L.Ed.2d 303 (1978). Thus, tribes are wholly distinct from, and not subject to, the authority of any state, unless Congress expressly curtails traditional tribal sovereignty in favor of state jurisdiction. See 18 U.S.C. § 1162. See also Rice v. Rehner, 463 U.S. 713, 103 S.Ct. 3291, 77 L.Ed.2d 961 (1983). As governing bodies, tribes are complete unto themselves. Indeed, in issues of self-government, a tribe is not even subordinate to the federal government because, so long as it retains its sovereignty, it governs independently. Wheeler, 435 U.S. at 327-32, 98 S.Ct. at 1088-91. Donovan v. Navajo Forest Products Industries, 692 F.2d 709 (10th Cir.1982).

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United States v. James D. Barquin
799 F.2d 619 (Tenth Circuit, 1986)

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799 F.2d 619, 1986 U.S. App. LEXIS 28813, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-james-d-barquin-ca10-1986.