Opinion ID: 1796398
Heading Depth: 1
Heading Rank: 3

Heading: status of respondent's conviction

Text: Article 15, § 8(a)(7)(c) of the articles of incorporation provides the certificate of the conviction of the respondent shall be conclusive evidence of his guilt of the crime for which he has been convicted. Respondent concedes he pled guilty to and was convicted of possession of cocaine with intent to distribute in violation of La.R.S. 40:967(A)(1). However, he argues that since his conviction was set aside by the trial judge under the provisions of La.Code Crim.Proc. art. 893, it should not be treated as a conviction for purposes of disciplinary proceedings. La.Code of Crim.Proc. art. 893 provides in pertinent part: Art. 893. Suspension of sentence and probation in felony cases A. When it appears that the best interest of the public and of the defendant will be served, the court after a first or second conviction of a noncapital felony, may suspend, in whole or in part, the imposition or execution of either or both sentences, where suspension is allowed under the law, and in either or both cases place the defendant on probation under the supervision of the division of probation and parole.    The period of probation shall be specified and shall not be less than one year nor more than five years. The suspended sentence shall be regarded as a sentence for the purpose of granting or denying a new trial or appeal.       E. When the imposition of sentence has been suspended by the court for the first conviction only, as authorized by this Article, and the court finds at the conclusion of the probationary period that the probation of the defendant has been satisfactory, the court may set the conviction aside and dismiss the prosecution and the dismissal of the prosecution shall have the same effect as acquittal, except that said conviction may be considered as a first offense and provide the basis for subsequent prosecution of the party as a multiple offender, and further shall be considered as a first offense for purposes of any other law or laws relating to culmulation of offenses. Respondent argues this statute is similar to the one at issue in Louisiana State Bar Ass'n v. Reis, 513 So.2d 1173 (La.1987). In that case, Reis had entered a conditional plea under La.R.S. 40:983. After Reis completed his probationary period, the district court entered an order under the terms of the statute dismissing the proceedings against him. We concluded a dismissal of prosecution was tantamount to an acquittal and could not be used to prove Reis was guilty of illegal conduct, moral turpitude, or conduct adversely reflecting on his fitness to practice law. We find Reis is clearly distinguishable from the present case. The statute at issue in Reis provided in pertinent part: § 983. Conditional discharge for possession as first offense Whenever any person who has not previously been convicted of any offense under this part pleads guilty to or is convicted of having violated R.S. 40:966C, 40:967C, 40:968C, 40:969C, 40:970C of this part, and when it appears that the best interests of the public and of the defendant will be served, the court may, without entering a judgment of guilt and with the consent of such person, defer further proceedings and place him on probation upon such reasonable terms and conditions as may be required.       Discharge and dismissal under this section shall be without court adjudication of guilt and shall not be deemed a conviction for purposes of disqualifications or disabilities imposed by law upon conviction of a crime, including the additional penalties imposed for second or subsequent convictions under La. R.S. 40:982. (Emphasis added). A comparison of La.Code Crim.Proc. art. 893 and La.R.S. 40:983 shows the two statutes, while superficially similar, contain much different language. Under La.Code Crim.Proc. art. 893, the trial court adjudicates the defendant guilty and pronounces sentence, whereas under La.R.S. 40:983, there is no court adjudication of guilt. La. Code Crim.Proc. art. 893 provides the set aside conviction may be considered as a first offense and provide the basis for subsequent prosecution of the party as a multiple offender, and further shall be considered as a first offense for purposes of laws relating to cumulation of offenses. La.R.S. 40:983 provides the conditional discharge shall not be deemed a conviction for purposes of disqualifications or disabilities imposed by law upon conviction of a crime, including the additional penalties imposed for second or subsequent convictions under R.S. 40:982. As we noted in Reis, Reis argues that his plea resulted from the trial court's assurance that this would save his livelihood: i.e., preserve him from disciplinary action. Because it did not amount to an adjudication of guilt, the trial court believed that disciplinary action would not result from this plea. The trial court correctly interpreted the statute, which allows certain first offenders to avoid the stigma of a conviction after fulfilling their terms and conditions of probation. 513 So.2d at 1176 (emphasis added). Thus, we clearly recognized in Reis there was never a conviction for purposes of art. 15, § 8 of the articles of incorporation. The same cannot be said in the present case. Although not controlling on this court, it is instructive to examine federal cases which have dealt with expunged state convictions in the context of federal firearms laws. In Dickerson v. New Banner Institute, 460 U.S. 103, 103 S.Ct. 986, 74 L.Ed.2d 845 (1983), the U.S. Supreme Court was faced with the question of whether a defendant whose conviction was expunged (under an Iowa statute similar to La.Code Crim.Proc. art. 893) after serving a one year probation period was convicted for purposes of the Gun Control Act. That act made it unlawful for any person who had been convicted of a crime punishable by imprisonment for a term exceeding one year to ship, transport, or receive any firearm or ammunition in interstate commerce. The Court found the language of the act simply required a conviction. Therefore, it concluded the expunged conviction was still a conviction for purposes of the act: [E]xpunction under state law does not alter the historical fact of the conviction.... [I]t is true, we recognized an obvious exception to the literal language of the statute for one whose predicate conviction had been vacated or reversed on direct appeal.    But, in contrast, expunction does not alter the legality of the previous conviction and does not signify that the defendant was innocent of the crime to which he pleaded guilty. Expunction in Iowa means no more than that the State has provided a means for the trial court not to accord a conviction certain continuing effects under state law. 460 U.S. at 115, 103 S.Ct. at 993, 74 L.Ed.2d at 855-56. We discern little substantive difference between the Iowa statute dealt with in Dickerson and La.Code Crim.Proc. art. 893. The U.S. Fifth Circuit reached the same conclusion, since it recently applied Dickerson to a firearms case where the conviction had been expunged under La.Code Crim. Proc. art. 893. United States v. Crochet, 788 F.2d 1061 (5th Cir.1986). Furthermore, we find it particularly revealing that the Dickerson Court chose to contrast the Iowa statute with a federal expungement statute very similar to La. R.S. 40:983: Title 21 U.S.C. § 844(b) is a federal expunction statute providing that a first offender found guilty of simple possession of a controlled substance may be placed on probation without entry of judgment, and that, upon successful completion of the probation, the court shall discharge the defendant and dismiss the proceeding against him. But Congress also specifically provided in § 844(b)(1) that such discharge or dismissal shall not be deemed a conviction for purposes of disqualifications or disabilities imposed by law upon conviction of a crime... or for any other purpose. This provision would be superfluous if Congress had believed the expunction automatically removes the disqualification. Congress obviously knew the plain meaning of the terms it employed in statutes of this kind, and when it wished to create an exception for an expunged conviction, it did so expressly. 460 U.S. at 118, 103 S.Ct. at 994-95, 74 L.Ed.2d at 857-58. We find the Dickerson reasoning applies to the present case. The language of art. 15, § 8 of the articles of incorporation of the Louisiana State Bar Association looks only to the historical fact of the conviction. Any later actions which the courts may take (with the exception, of course, of vacating or reversing the conviction on direct appeal) are irrelevant for purposes of art. 15, § 8. Later actions by the trial judge may go to the issue of mitigation, but they do not change the fact that a conviction has occurred and art. 15, § 8 has been triggered. Additionally, we note this conclusion is perfectly consistent with the reasoning of Reis, supra . A defendant who pleads under La.R.S. 40:983 is never convicted, since there is never an adjudication of guilt. This is an option which the legislature chose to give certain first time drug offenders. Since La.R.S. 40:983 precludes a conviction, art. 15, § 8 defers to the wishes of the legislature and is never triggered. The same is not true under La.Code Crim. Proc. art. 893, where a conviction actually occurs. We note also R.S. 40:967(A)(1) to which respondent pled guilty is not one of the violations subject to lenient treatment under La.R.S. 40:983. The penalty for violation of R.S. 40:967(A)(1) [possession with intent to distribute] is much greater than that for R.S. 40:967(C) [simple possession], a violation specified in R.S. 40:983. This leads one to believe the legislature did not want the more lenient treatment provided by R.S. 40:983 to be available for the more serious offenses. Respondent could not have availed himself of R.S. 40:983. He was relegated to the more onerous provisions of La.Code of Crim.Proc. art. 893. Thus, we conclude respondent has been convicted for purposes of art. 15, § 8.