DocketNumber: 04-5082
Citation Numbers: 441 F.3d 416, 2006 U.S. App. LEXIS 6815
Judges: Moore, Gibbons, Griffin
Filed Date: 3/20/2006
Status: Precedential
Modified Date: 10/19/2024
MOORÉ, J., delivered the opinion of the court, in which GIBBONS, J., joined.
GRIFFIN, J. (pp. 425-29), delivered a separate dissenting opinion.
OPINION
This case involves a forfeiture of the Defendant weapon pursuant to 26 U.S.C. § 5872(a) because the weapon was found to be a machinegun within the terms of the National Firearms Act (“NFA”), 26 U.S.C. § 5845(b), and was not registered to the Claimant-Appellant, William K. Alverson (“Alverson”), in violation of 26 U.S.C. § 5861(d). Alverson claims that the Government failed to satisfy the burden required to justify the forfeiture because it did not show that the Defendant firearm was “designed to shoot” automatically or could “be readily restored to shoot” automatically under the NFA’s definition of a machinegun. 26 U.S.C. § 5845(b). For the reasons set forth below, we AFFIRM the district court’s judgment granting the United States’s motion for summary judgment.
I. BACKGROUND
In the fall of 2001, the Bureau of Alcohol, Tobacco, and Firearms (“ATF”) Field Office in Lexington, Kentucky was informed that MK Specialties (“MKS”) was selling firearms made from cut-up M-14 receivers marketed as the MKS M-14. The Lexington ATF Office determined that Al-verson had purchased one of these weapons. In early January 2002, ATF Special Agents verified that Alverson was in pos
Following the seizure, Alverson filed a claim of ownership of the Defendant weapon, contesting the forfeiture on the ground that it was not a machinegun under the NFA. On October 3, 2002, the United States filed a complaint for forfeiture in rem, claiming that the Defendant weapon was a “machinegun” under 26 U.S.C. § 5845(b) and was not registered to Alver-son, in violation of 26 U.S.C. § 5861(d). The United States moved for summary judgment, and Alverson filed a motion to stay. The district court dismissed Alver-son’s motion to stay and granted the Government’s motion for summary judgment. Alverson then timely filed an appeal of the district court’s grant of summary judgment.
II. ANALYSIS
A. Standard of Review
We review a grant of summary judgment de novo. United, States v. Any & All Radio Station Transmission Equip., 218 F.3d 543, 547 (6th Cir.2000) (citing EEOC v. Nw. Airlines, Inc., 188 F.3d 695, 701 (6th Cir.1999)). Summary judgment is appropriate where “there is no genuine issue as to any material fact” and “the moving party is entitled to a judgment as a matter of law.” Fed.R.Civ.P. 56(c).
B. Burden of Proof
In 2001, Congress enacted the Civil Asset Forfeiture Reform Act (“CAFRA”), 18 U.S.C. § 983, which, among other reforms, placed on the Government the burden of proving by a preponderance of the evidence that the property is subject to forfeiture in most civil forfeiture proceedings. Id. § 983(c)(1). CAFRA states that “a suit or action brought under any civil forfeiture statute for the civil forfeiture of any property” shall be governed by CAF-RA’s burden of proof requirements. 18 U.S.C. § 983(c)(1). However, CAFRA later limits the application of this provision by stating that “‘civil forfeiture statute’ ... (2) does not include — ... (B) the Internal Revenue Code of 1986.” Id. § 983(i); see also Deep Sea Fisheries, Inc. v. 144, 774 Pounds of Blue King Crab, 410 F.3d 1131, 1134 (9th Cir.2005) (explaining that CAFRA applies to “all civil forfeitures under federal law unless the particular forfeiture statute is specifically exempted in 18 U.S.C. § 983(i)(2)”). The NFA provision under which this forfeiture was initiated, 26 U.S.C. § 5872(a), is contained in Title 26, which is the Internal Revenue Code of 1986.
[ejxcept as provided in paragraph (2) and section 5872(b) of the Internal Revenue Code of 1986, the provisions of law relating to — (A) the seizure, summary and judicial forfeiture, and condemnation of property for violation of Customs laws, (B) the remission or mitigation of such forfeiture, and (C) the compromise of claims, shall apply to seizures and forfeitures incurred, or alleged to have been incurred, under any applicable law enforced or administered by the Bureau of Alcohol, Tobacco and Firearms.
Pub.L. 102-393, Tit. VI, § 638(b)(1), 106 Stat. 1779 (formerly codified at 31 U.S.C. § 9703(o)(l)), repealed by Homeland Security Act of 2002, Pub.L. 107-296, Tit. XI, Subtit. B, § 1113, 116 Stat. 2279 (codified at 18 U.S.C. § 3051).
C. Statutory Interpretation
The NFA defines a machinegun as “any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more than one shot, without manual reloading, by a single function of the trigger.” 26 U.S.C. § 5845(b). The statute does not define “designed to shoot” or “can be readily restored,” and neither the Supreme Court nor the Sixth Circuit has defined these terms.
1. The ATF Rulings
The Government argues that we should rely on several ATF Rulings (“the Rulings”) that define “designed to shoot” and “can be readily restored” and that classify various modified weapons as machineguns because they were “designed to shoot” automatically. Typically, where a statute is ambiguous and the implementing agency has interpreted the statute, a court will determine what, if any, level of deference the interpretation should be afforded and then defer accordingly. The Supreme Court has distinguished between the more deferential standard of Chevron, under which agency interpretations will control as long as they are “based on a permissible construction of the statute,” Chevron U.S.A. Inc. v. Natural Res. Def. Council,
The amount of deference that the Rulings merit is unsettled,
2. Available Evidence
In support of its motion, the Government submitted a Firearms Technology Branch Report of Technical Examination (“FTB Report”) written by ATF Officer Richard Vasquez after his investigation of the Defendant weapon that detailed its characteristics and the methods used to restore it to automatic shooting capacity.
3. “Can Be Readily Restored to Shoot[ ] Automatically”
We have not interpreted the phrase “readily restored” in a published opinion
In the context of the NFA and its use as a modifier describing the manner of firearm restoration, “readily” has been read to encompass several elements of restoration: (1) time, i.e., how long it takes to restore the weapon; (2) ease, i.e., how difficult it is to restore the weapon; (3) expertise, i.e., what knowledge and skills are required to restore the weapon; (4) necessary equipment, i.e., what tools are required to restore the weapon; (5) availability, i.e., where additional parts are required, how easily they can be obtained; (6) expense, i.e., how much it costs to restore the weapon; (7) scope, i.e., the extent to which the weapon has to be changed to allow it to shoot automatically; (8) feasability, i.e., whether the restoration would damage or destroy the weapon or cause it to malfunction. See S.W. Daniel, Inc. v. United States, 831 F.2d 253, 254-55 (11th Cir.1987) (ease and scope); United States v. Alverson, 666 F.2d 341, 345 (9th Cir.1982) (expertise,
The statutory canon of construction noscitur a sociis, or “it is known by its associates,” instructs “that the meaning of an unclear word or phrase should be determined by the words immediately surrounding it.” Black’s Law Dictionary 1087 (8th ed.2004); see also Parker v. Metro. Life Ins. Co., 121 F.3d 1006, 1014 (6th Cir.1997). “[RJeadily restored,” therefore, must not be construed as an abstract phrase, but rather its contours should be determined in the context of what it means to be able to “readily restore[]” a machinegun as opposed to some other object. The sort of object being restored, primarily its complexity, helps to determine whether a given amount of time, money, expertise, and skill required to restore it is considered a “ready” restoration. For example, a car that could be restored in ten hours for $500 would likely be considered “readily restored,” whereas a skateboard that required the same inputs likely would not be considered “readily restored.” Although the dissent asserts, based on “common sense,” that “a process [of restoration] that takes in excess of four to six hours” could not be “ready,” Dissenting Opinion (“Dissent.Op.”) at 427-28, this contention lacks meaning because it is too abstract and fails to consider what “readily restored” means in the context of a highly complex firearm.
The decisions of several other courts make clear that the Defendant weapon, which would require, according to Alverson’s own expert, a maximum of six
The Defendant weapon in the case at bar can be converted to fire automatically in even less time than the weapon that could be “readily restored” in Smith. Al-verson’s expert testified that the Defendant rifle could be restored to fully-automatic-shooting capacity to manufacturer’s specifications in four to six hours with particular machinery or in two to three hours by hand manufacturing the parts.
The two relevant cases finding that the weapons there considered were not readily restorable can be distinguished from the Defendant weapon. In Seven Miscellaneous Firearms, the district court found that weapons forfeited from a museum collection were not readily restorable where conversion would require expert gunsmith
Alverson additionally argues that the Defendant weapon cannot be “readily restored” because “restore” means to bring back to an original condition, and the Defendant weapon was not brought back to an original condition as it was made from cut-up M-14s. This argument lacks force because the definition of “restore” does not preclude an object from being considered “restored” without returning it to a condition in which it previously existed. Webster’s Third New International Dictionary provides several definitions of “restore,” one of which — “to bring back to or put back into a former or original state”-— matches the definition Alverson cites, and others — “to put or bring back (as into existence or use)” and “to bring back from ... a changed condition”- — -that are broader and make clear that to be “restored” does not require return to a preexisting state. Webster’s Third New International Dictionary 1936. Several courts have so interpreted “readily restored” to encompass weapons that were “originally legal semiautomatic rifles” and only later converted to shoot automatically. Shilling, 826 F.2d at 1367; accord Alverson, 666 F.2d at 345; see also S.W. Daniel, Inc., 831 F.2d at 254 (approving jury instruction explaining “readily restored” to include “weapons which have not previously functioned as machine guns but possess design features which facilitate full automatic fire by simple modification or elimination of existing component parts” (emphasis added)).
Finally, we reiterate that the Government must only show probable cause to justify the forfeiture, and the Claimant then bears the burden of proving his case by a preponderance of the evidence. See Any & All Radio Station Transmission Equip., 218 F.3d at 548. Therefore, despite the minimal record available to us on review, the testimony by Alverson’s own witness that the Defendant weapon could be converted into an automatic weapon in a matter of hours, which the United States submitted in support of its motion, suffices to meet the Government’s burden. Alver-son’s proffered evidence, which consists solely of this same expert testimony and a letter from MKS describing some of the features of the MKS-modified M-14 receiver, fails to create a genuine issue of material fact, even without consideration of the FTB Report or the ATF Rulings. Based on the evidence presented and the legal definition of “readily restored,” no reasonable juror could conclude that the Defendant weapon was not a machinegun under 26 U.S.C. § 5845(b).
4. Designed to Shoot Automatically
As our conclusion that the Defendant firearm “can be readily restored to shoot[ ] automatically” is sufficient to classify it as a machinegun and to justify the forfeiture in this case, we decline to consider whether the firearm is also “designed to shoot” automatically.
III. CONCLUSION
For the foregoing reasons, we AFFIRM the district court’s judgment granting the Government’s motion for summary judgment.
. The United States Code explains that the Internal Revenue Code of 1954 as amended may be cited as the Internal Revenue Code of 1986, and that "[t]he sections of Title 26, United States Code, are identical to the sections of the Internal Revenue Code.” 1 U.S.C. § 204; Tax Reform Act of 1986, Pub.L. 99-514, § 2(a), 100 Stat.2095 (noting that "[t]he Internal Revenue Title enacted August 16, 1954, as heretofore, hereby, or hereafter ' amended, may be cited as the ‘Internal Revenue Code of 1986’ ”).
. The district court erroneously applied 18 U.S.C. § 3051(c)(1), which repealed 31 U.S.C. 9703 (o) but was not enacted until November 25, 2002, over ten months after the property at issue was seized. This error, however, is immaterial, because the Customs laws, 19 U.S.C. §§ 1602-1631, apply under either statute, and thus the burden of proof is the same.
Alverson's argument that former 31 U.S.C. § 9703(o)(l) does not apply to forfeitures pursuant to 26 U.S.C. § 5872(a) because § 5872(a) is not an "applicable law enforced or administered by the Bureau of Alcohol, Tobacco and Firearms” is without merit. Because Congress specifically exempted § 5872(b) but not § 5872(a) from § 9703(o)(l)’s reach, the intent was clearly for § 5872(a) to be considered an "applicable law” under § 9703(o)(l). Moreover, Alverson points to no alternative statute that would have governed in place of 31 U.S.C. § 9703(o)(l).
. This matter is further complicated by the fact that the we are interpreting a criminal statute, and under the rule of lenity, ambiguities are generally resolved in favor of the party accused of violating the law, even in a civil proceeding. See Leocal v. Ashcroft, 543 U.S. 1, 125 S.Ct. 377, 384 n. 8, 160 L.Ed.2d 271 (2004); United States v. Thompson/Center Arms Co., 504 U.S. 505, 517-18, 112 S.Ct. 2102, 119 L.Ed.2d 308 (1992) (plurality); Crandon v. United States, 494 U.S. 152, 168, 110 S.Ct. 997, 108 L.Ed.2d 132 (1990); id. at 177, 110 S.Ct. 997 (Scalia, J., joined by O'Connor & Kennedy, JX, concurring). But see Babbitt v. Sweet Home Chapter of Cmtys. for a Great Or., 515 U.S. 687, 703, 704 n. 18, 115 S.Ct. 2407, 132 L.Ed.2d 597 (1995). However, even ambiguous criminal statutes may not trigger the rule of lenity unless the ambiguity is " 'grievous.' ” See Muscarello v. United States, 524 U.S. 125, 139, 118 S.Ct. 1911, 141 L.Ed.2d 111 (1998) (quoting Staples v. United States, 511 U.S. 600, 619 n. 17, 114 S.Ct. 1793, 128 L.Ed.2d 608 (1994)).
. The Rulings define the “can be readily restored” prong to mean “weapons which previously could shoot automatically but will not in their present condition,” and the "designed” prong to include "weapons which have not previously functioned as machine-guns but possess design features which facilitate full automatic fire by simple modification or elimination of existing component parts.” ATF Rul. 82-2, 1982-1 A.T.F. Q.B. 18; accord ATF Rul. 82-8, 1982-2 A.T.F. Q.B. 49; ATF Rul. 83-5, 1983-3 A.T.F. Q.B. 35.
. The Rulings found the particular weapons there at issue to be "designed to shoot” automatically where a "simple modification” such as “cutting, filing, or grinding,” ATF Rul. 82-2, 1982-1 A.T.F. Q.B. 18, or “bending, breaking or cutting,” ATF Rul. 83-5, 1983-3 A.T.F. Q.B. 35, allowed the weapon to shoot automatically.
. The FTB Report stated that the Defendant weapon had been manufactured from an M-14 machinegun receiver, which has been classified as a machinegun by the ATF since 1968, Rev. Rul. 58-417, 1958-2 C.B. 875, that had been cut in half. The Report notes that the
. In an unpublished opinion, we held that a disassembled weapon that could be converted to fire automatically could be "readily restored” despite evidence that it was missing a necessary part because the part was available on the open market. United States v. Cook, No. 92-1467, 1993 WL 243823, at *3-4 (6th Cir. July 6, 1993). •
. We recently concluded that a modified semiautomatic rifle could be "readily restored” under the NFA; however, this decision was reached on the basis of ATF conclusions without the court's analysis of the meaning of "readily restored” and how this requirement applied to the specific characteristics of the weapon it was considering. See One Harrington & Richardson Rifle, Model M-14, 7.62 Caliber Señal No. 85279, 378 F.3d at 534-35. There, however, we were able to consider the FTB Report's conclusions regarding the firearm because it was accompanied by an affidavit. United States v. One Harrington .& Richardson Rifle, Model M-14, 7.62 Caliber Serial Number 85279, 278 F.Supp.2d 888, 891-92 (W.D.Mich.2003). Moreover, in that case, the claimant failed to put forth any expert evidence to contest the Report's findings, id. at 892, and thus we could properly rely on the moving party's unrebutted evidence in reviewing the grant of summary judgment. We have also held that a firearm that can be converted to shoot automatically within two minutes "can be readily restored.” United States v. Woodlan, 527 F.2d 608, 609 (6th Cir.), cert. denied, 429 U.S. 823, 97 S.Ct. 75, 50 L.Ed.2d 85 (1976).
. In Alverson, the Ninth Circuit considered the defendant's personal knowledge and experience in converting semiautomatic weapons to fully automatic in determining that the weapon in question could be “readily restored.’’ 666 F.2d at 345. Were we to consider expertise this way — i.e., taking into account the knowledge and skills of the particular defendanVclaimant — this would only further bolster our conclusion that the Defendant weapon "can be readily restored,” as Claimant Alverson in the case at bar is an expert gunsmith. (The Ninth Circuit case involved a different claimant).
. One district court opinion, on which the dissent relies heavily, Dissent. Op. at 429, criticized Smith for "pressing] the notion of 'ready restoration' near or beyond its distal boundary.” Aguilar-Espinosa, 57 F.Supp.2d at 1362 (defining "ready restoration” as “a less than arduous assembly of manageable and available parts by a combination of (1) the ability of a reasonably skilled and informed but not necessarily expert or artistic worker and (2) tools commonly understood by and commonly available to such workers, including, for example, Allen wrenches, files, jeweler’s screw drivers, and the like but excluding, for example, the resources available to a master machinist with a modern and well-equipped lathe"). However, that court’s understanding of "readily restored” is based on its impressionistic concept of this term formulated almost entirely from whole cloth and is only marginally supported by the authorities it cites. See id. Moreover, the court there did not have occasion to apply its stated definition nor did it decide whether the weapon in question could be "readily restored to shoot[] automatically,” and thus this definition is dicta, and it remains uncertain how it would have been applied. Therefore, the dissent's reliance on Aguilar-Espinosa is curious, and is made even more curious because it is a district court opinion that is not binding precedent on any court. In any event, based on the record evidence, the Defendant weapon potentially satisfies even Aguilar-Espino-sa 's definition of "readily restored.”
Although the dissent claims that we "rel[y] on Aguilar-Espinosa to support [our] definition of 'readily restored,' " Dissent. Op. at 429 n. 6, we cite the case as one of many to illustrate the variety of factors that courts have considered in giving meaning to "readily restored.”
. Because this expert testified that the weapon could potentially malfunction if restored with hand-manufactured parts, and given that we must view the evidence in the light most favorable to the nonmoving party, we will assume that the restoration would require six hours.
. The dissent, in citing several precedents finding the weapons they consider capable of being "readily restored to shoot[] automatically,” erroneously treats these holdings as representing the outer limits of what constitutes "readily restorable.” Dissent. Op. at 429 (citing Woodlan, 527 F.2d at 608; F.J. Vollmer Co., Inc., 23 F.3d at 452; Alverson, 666 F.2d at 345; United States v. Woods, 560 F.2d 660, 664-65 (5th Cir.1978); United States v. Catanzaro, 368 F.Supp. 450, 453 n. 3 (D.Conn.1973)). However, these courts certainly did not "adopt ... tests for defining what constitutes 'readily restorable,’ ” Dissent. Op. at 429, nor even define the boundaries of "readily restorable,” but merely found that the weapons they considered fell within a spectrum of weapons that are "readily restorable.” Therefore, these precedents do not support the dissent’s conclusion that the Defendant weapon cannot be "readily restored.”
. Despite the dissent’s contention that "restore” means only to return to a preexisting condition, it nonetheless cites S.W. Daniel's approval of this jury instruction to support its conception of "readily.” Dissent. Op. at 429 n. 6 (citing S.W. Daniel, 831 F.2d at 254).