FILED U.S. COURT OF AP P EALS E LEV EN T HC IRC U IT JANUARY 31 , 2006 THOMAS K. KAH

N CLERK [ DO NO T P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 05- 11746 N on -A rgum entC al endar

________________________ D. C . Do c k e tNo . 0 1 - 0 3 1 7 3 - C V- KA M U N I T E D S T A T E S O F A M E R I C A , P la in tif f - A p p e lle e , v ersu s N A N C I A K A F L E U R , e t a l., D e f e n d a n ts , W A S H I N G T O N I N T E RN A T I O N A L I N S U R A N C E C O ., R I V E R S I D E S H I P P I N G , I N C . D e f e n d a n ts - A p p e lla n ts .

________________________ A pp ea l s f

rom the U ni t ed S t at es D i stri ctC ou rt f orthe S outhe rn D i s tr i c tof F l or i da

_________________________ ( Jan u ar y 31, 2006)2

B efo re B IR C H , C A RN E S an d P R Y O R , C i rcu i tJu d g es. P E R C U R I A M: D e f e nda nt s - appe l l a nt s R i ve r s i de S hi ppi ng, I nc . , ( “ R i ve r s i de ” ) a nd W as hi ng t on Int ernat i on al Insura nce C o. (“ W II C ”) appeal an order by the di stri ct courtdi sm i ss i ng thei r m ot i on s f or sum m ary j ud gm entand g ra nt i ng sum m ary j ud gm entt o the go vernm ent , w hi ch soug htt o col l ec ton an i nt ernat i on al ca rr i er bo nd po st ed for the entryand u nl adi ng of the vess el M /V G re atN ortheas t ern E xpr e s s . C onc l udi ng tha tthe r e w e r e no m a t e r i a l i s s ue s of f a c ti n di s put e , the di s tr i c tc our tf

ound tha t , unde r19 U . S . C . § 1584, both de f e nda nt s w e r e l i abl e i n the a m o u n to f

th e $ 1 0 0 , 0 0 0 b o n d . F i n d i n g n o r e v e r s i b l e e rr o r , w e A F F I R M.

I . B AC KG RO UN D R i vers i de S hi pp i ng i s i n the bu si ness of ac t i ng as a s hi p’ s a gentfor ves se l ow ners or chart er s. A shi p’ s a gentpres ent s avess el ’ s docum ent at i on and requi re d go vernm entform s t o U ni t ed S t at es C ust om s a nd B order P rot ec t i on (“ C ust om s” ) f o rap p r o v a l a n d c le a r a n c e u p o n a rr iv a l a n d d e p a r tu r e o f a v e s s e l. I n s o d o in g , it is r e qui r e d t o pos tas ur e ty bond w i th C us t om s . 19 C . F . R . § 113. 64; s e e a l s o 19 C . F . R . § 4 . 3(b)(2). C on si st entw i th thatob l i gat i on , on 28 Ja nu ary 198 8, R i vers i de and W II C , as3

pri nci pal and surety, j oi nt l y f i l ed a C ust om s B on d (C ust om s F orm 30 1), w hi ch b e c a m e e f

f e c tiv e 1 5 F e b ru a ry 1 9 8 8 . T h e h e a d in g o f th e b o n d r e a d : I n or de rt o s e c ur e pa y m e ntof a ny duty , t a x orc ha r ge a nd c o m p lia n c e w ith la w o rr e g u la tio n a s a r e s u lt o f a c tiv ity c ove r e d by a ny c ondi t i on r e f e r e nc e d be l ow , w e , the be l ow na m e d pr i nc i pa l ( s ) a nd s ur e ty ( i e s ) , bi nd our s e l ve s t o the Un i t e d S t a t e s i n th e a m o u n to ra m o u n t s a s s e tf o r th b e l o w. R1 - 4 8 a tEx h . A . I n Se c t i o n I I , th e b o n dl i s t e d th e a c t i v i ty n a me a n d c u s t o ms re gu l at i on i n w hi ch the re l evantcond i t i on s w er e c od i fi ed as Int ernat i on al C arri er B ond a nd C us t om s R e gul a t i on 113. 64. T he l i m i tof l i abi l i ty w a s e xe c ut e d i n the a m o u n t o f

$ 1 0 0 ,0 0 0 . T h e b o n d w a s e f f e c tiv e 1 5 F e b ru a ry 1 9 8 8 a n d r e m a in e d in f or c e “ f orone y e a rbe gi nni ng w i th the e f f e c t i ve da t e a nd f

ore a c h s uc c e e di ng a nnua l pe r i od, orunt i l t e rm i na t e d. ” I d. O n 17 J ul y 1996, R i ve r s i de f i l e d aC us t om s F orm 3171, i . e . , a n appl i c a t i on for aperm i tfor unl adi ng , l adi ng , and o vert i m e s ervi ce s w i th C ust om s f or the entry of the M /V G r e a tN or the a s t e rn E xpr e s s ( he r e i na f t e r“ E xpr e s s ” ) . A c c or di ng t o the form , the E xp re ss w as t o arr i ve i n M i am i on 18 Jul y 199 6 for the pu rpose of, am on g o ther thi ng s, un l adi ng m er chandi se as show n o n the m ani fe st . T he form n am ed N an cia K af

leu r a s th e o w n ero r o p er ato r a n d re fe re n ce d R iv er sid e’s c ont i nuous i nt e rna t i ona l c a rr i e rbond. I n a de pos i t i on, the pr e s i de ntof R i ve r s i de e x p l a i n e d th a t“ [ t ] h e p u rp o s e o f ab o n d , i s e s s e n t i a l l y , I g u e s s , t o p r o t e c tCu s t o ms4

i n the e ve nttha ta c us t om e rof a s hi p’ s a ge ntc om e s i n a nd doe s n’ tpa y dut i e s or doe s n’ tf ol l ow the pr oc e dur e s e s t abl i s he d by C us t om s f ora ve s s e l t o e nt e ra nd c l e a rpor t . ” R 2- 90, D e pos i t i on a t25. I n the us ua l s i tua t i on, R i ve r s i de w oul d ha ve not i f i e d C us t om s of

the a n tic ip a te d a rr iv a l o f

th e E x p r e s s , its d o c k in g lo c a tio n , a n d th e a rr a n g e m e n ts to m eeta C u st o m s ag en to n b o ard th e E x p ress fo r su b m i ssi o n o f cl earan ce fo rm s, cr ew l i st , and cargo m ani fe st . W i thi n forty- ei gh tho urs, R i vers i de w ou l d then e x e c u te f o rm a l e n try b y d e liv e r in g th e s ig n e d f o rm s to th e C u s to m s O f f ic e in M i am i an d b y p ayi n g en try fees. H o w ev er, th i s w as n o ta u su al en try. I ns t e a d, the U . S . C oa s tG ua r d i nt e r c e pt e d the E xpr e s s a nd t ow e d i tt o the U . S . C oa s tG ua r d S t a t i on a tM i a m i B e a c h. A tthe s t a t i on, C us t om s di s c ove r e d a s t e e l box i n the por tf

ue l t a nk of

the E xpr e s s . T he s t e e l box c ont a i ne d 89. 9 pounds of c oc a i ne . A f

t e rs e c ur i ng the c oc a i ne , C us t om s or de r e d the pe r s ons on boa r d the E xp re ss t o con t i nu e t o p i l otthe shi p t o i t s f i nal dest i nat i on for f

orm al entry . A ft er do cki ng atthe po i ntof entry , al l pers on s on b oard the E xp re ss fl ed. A tthatt i m e, no m a ni f e s tw a s pr oduc e d. D u r in g th e e n tir e d a y th a t th e s h ip a rr iv e d a n d th e n a r c o tic s w e r e a lle g e d ly f ound on boa r d, R i ve r s i de r e pe a t e dl y tr i e d t o c ont a c tC us t om s t o i nqui r e a s t o the lo c a tio n o f

th e E x p r e s s . C u s to m s in f o rm e d R iv e r s id e th a t it w a s n o t a llo w e d to5

b o a r d th e E x p r e s s , in s p e c t th e s h ip , o rp r e s e n t p ap e r s a t th e C o a s t G u a r d S ta tio n . R i vers i de di d send an agentt o reportt o the i nt ended d ocki ng l ocat i on . H ow ever , the m as t erand crew of the E xp re ss had fl ed pri or t o h erarri val . A s aconsequence, th e m a n if

e s t w a s n o t a n d c o u ld n o t b e s ig n e d . O n 29 J ul y 1996, C us t om s i s s ue d anot i c e of s t a tut ory pe na l ty t o R i ve r s i de unde r19 U . S . C . § 1584 a nd a s s e s s e d as t a tut ory pe na l ty of $1000 pe rounc e of c oc a i ne , f

ora t ot a l of

$1, 438, 400. O n 27 S e pt e m be r1996, C us t om s i s s ue d a s i m i l a rnot i c e of

pe na l ty t o the s ur e ty , W I I C , f or$100, 000, the f

ul l a m ountof

the bond. O n 28 J ul y 1998, C us t om s a gr e e d t o m i t i ga t e the pe na l ty a ga i ns tR i ve r s i de t o $ 14 3, 84 0. A ft eri t s dem ands for pay m ent s w er e notm et , the go vernm entfi l ed th is la w s u it. O n 1 1 M a r c h 2 0 0 4 , th e d is tr ic t c o u r t e n te r e d s u m m a ry ju d g m e n t in f a v o ro f th e g o v e rn m e n t a n d a g a in s t R iv e r s id e a n d W I I C . O n ap p e a l, R iv e r s id e r a is e s f o u ra r g u m e n ts a g a in s t th e d is tr ic t c o u r t’s o r d e r : F i r s t , the pe na l t i e s unde r19 U . S . C . § 1584 a r e notappl i c abl e t o as hi p’ s a ge nta nd a s hi p’ s a ge nt ’ s ge ne r a l c us t om s bond i s the r e f or e nots ubj e c tt o f

or f e i tur e f orthe cr i m i nal ac t s of the re spon si bl e part i es . S ec on d, the go vernm entw as ob l i ged u nd er § 1 58 4 t o d em and the prod uct i on of the E xp re ss ’ s m ani fe stw hen i texer ci se d c o n tr o l o v e rth e E x p r e s s . T h ir d , R iv e r s id e w a s e n title d to a n e v id e n tia ry h e a r in g to det erm i ne i f tho se op er at i ng the E xp re ss kn ew or shou l d h ave kno w n thatthere6

w a s c oc a i ne on boa r d. F our th, R i ve r s i de ’ s a f f i rm a t i ve de f

e ns e s r a i s e d ge nui ne is s u e s o f m a te r ia l f

a c t w h ic h p r e c lu d e d e n try o f s u m m a ry ju d g m e n t. O n ap p e a l, W I I C r a is e s tw o a r g u m e n ts a g a in s t th e d is tr ic t c o u r t’s o r d e r . F i rs t , the penal t i es un der § 15 84 ar e i napp l i cabl e bec ause the cocai ne had b ee n r e m ove d by the C oa s tG ua r d pr i ort o the t i m e w he n the m a ni f e s tw a s r e qui r e d t o be p r o d u c e d . S e c o n d , th e im p o s e d p e n a lty w a s e x c e s s iv e a n d v io la te d th e E ig h th A m en d m en t . A ft er i d en t i fyi n g th e ap p ro p ri at e st an d ard o f rev i ew , w e w i l l ad d ress R i ve r s i de ’ s a nd W I I C ’ s a r gum e nt s i n turn.

I I . DI S CUS S I ON A . S t andard of R evi ew “ W e r e v i e w a g r a n to f s u mma ry j u d g me n td e n o v o , ap p l y i n g th e s a me s t a nda r d a s the di s tr i c tc our t . ” K orm a n v. H B C F l a . , I nc . , 182 F . 3d 1291, 1293 (11th C i r. 19 99 ). W e w i l l af fi rm the di stri ctcourti f, af t erconstrui ng the evi dence i n the l i ghtm os tf

a vor abl e t o the nonm ovi ng pa r ty , w e f i nd tha tthe r e i s no ge nui ne i ssu e as t o an y m at eri al factan d th e m o v i n g p arty i s en t i t l ed t o j u d g m en tas a m att erof l aw . C . B . ex re l . B re edi ng v. D ri sc ol l , 82 F . 3d 38 3, 38 6 (11 th C i r. 19 96 ).7

B . R iv e r s id e ’s A r g u m e n ts R i vers i de’ s f

i rs tar gu m ent , thata s hi p’ s a gentand i t s i nt ernat i on al ca rr i er bo nd ar e out si de the sc op e of § 15 84 , l ac ks m er i t . U nd er19 U . S . C . § 1 43 1(a) , ve s s e l s a rr i vi ng f

r om f or e i gn na t i ons a r e r e qui r e d t o ha ve a m a ni f e s t. S e e a l s o 19 C . F . R . § 4. 7( a ) . U nde r19 U . S . C . § 1584( a ) ( 1) , f a i l ur e t o pr oduc e a m a ni f e s torthe pr oduc t i on of

a f a l s e m a ni f

e s tr e s ul t s i n ape na l ty . U nde r§ 1584( a ) ( 2) , i f c oc a i ne is f o u n d o n b o a r d , th e p e n a lty o f $ 1 0 0 0 p e ro u n c e is a s s e s s e d . I n h o ld in g th a t a s ur e ty w a s l i abl e unde ra n i nt e rna t i ona l c a rr i e rbond f ora pe na l ty i m pos e d by the go vernm entagai nstthe pri nci pal , w e c on cl ud ed that“ [c ] on si deri ng the ent i re r e gul a t ory s c he m e , i ti s c l e a rtha tC us t om s i nt e nde d the i nt e rna t i ona l c a rr i e rbond t o en su re p aym en to f p en al t i es i m p o sed , am o n g o th er th i n g s, fo r fai l u re t o m an i fest c a r go unde r§ 1584( a ) ( 2) . ” U ni t e d S t a t e s v. R i ge l S hi ps A ge nc i e s , I nc . , __ F . 3d

__ , N o . 0 4 - 1 3 0 6 5 , 2 0 0 5 W L 3 4 2 9 5 1 3 , a t * 4 ( 1 1 th C ir . D e c . 1 5 , 2 0 0 5 ) ( p e rc u r ia m ) . T h u s , h a v in g p r e v io u s ly c o n c lu d e d th a t as u r e ty f o ra n in te rn a tio n a l c a rr ie rb o n d is liab le f o rth e p r in c ip a l’s a c tio n s u n d e r§ 1 5 8 4 ( a ) ( 2 ) , it f o llo w s th a t th e s h ip ’s a g e n t, w hi ch contra ct ed w i th the sure ty a nd i s l i st ed on the bo nd , i s a l so l i abl e und er§ 15 84 (a )( 2). R i v ersi d e’ s seco n d arg u m en t , th atth e g o v ern m en t ’ s d em an d fo r a m an i fest w as a p rereq u i si t e t o th e assessm en to f p en al t i es u n d er 1 9 U . S . C . § 1 5 8 4 (a)(2 ), al so8

l ack s m eri t . S ect i o n 1 5 8 4 ap p l i es w h en a m an i festei th er fai l s t o l i stm erch an d i se foun d o nb oard a ves se l or w hen there i s no m ani fe statal l . S ee G i l l am v. U ni t ed S ta te s , 2 7 F .2 d 2 9 6 , 3 0 1 ( 4 th C ir . 1 9 2 8 ) ( h o ld in g th a t p e n a ltie s f o rf a ilu r e to i ncl ud e m er chandi se on a m ani fe stappl i es no ton l y w hen a m ani fe sti s produ ce d an d m erch an d i se n o tl i st ed , b u tal so w h en n o m an i festi s p ro d u ced atal l ); see al so 1 9 C .F .R . § 4 .7 ( a ) . F u r th e r , th e m a s te ro f a v e s s e l m u s t p o s s e s s a n d b e r e a d y to prod uce am ani fe stre gardl es s of w hether adem and for the m ani fe sti s m ade. S ee 1 9 C .F .R . § 4 .7 ( b ) ; s e e a ls o 1 9 C .F .R . § 4 .1 ( b ) ( 2 ) ( r e q u ir in g th e m a s te ra n d c r e w to re m ai n o n the vess el un t i l a C ust om s i nspect i on i s m ade) . S p e c if ic a lly , s e c tio n 1 5 8 4 ( a ) ( 1 ) p r o v id e s th a t: A ny m a s t e rof

a ny ve s s e l a nd a ny pe r s on i n c ha r ge of a ny v eh i cl e b o u n d t o th e U n i t ed S t at es w h o d o es n o tp ro d u ce th e m an i fest t o the of f i c e r( w he the rof

the C us t om s S e rvi c e orthe C oa s tG ua r d) de m a ndi ng the s a m e s ha l l be l i abl e t o ape na l ty of $1, 000, a nd i f

a ny m e r c ha ndi s e i nc l udi ng s e as t or e s , i s f ound on boa r d of

ora f t e rha vi ng be e n unl a de n f

r om s uc h ave s s e l orve hi c l e w hi c h i s noti nc l ude d or de s c r i be d i n s a i d m a ni f

e s tordoe s nota gr e e the r e w i th, the m a s t e rof s uc h ve s s e l orthe pe r s on i n c ha r ge of s uc h ve hi c l e . . . ora ny pe r s on di r e c t l y ori ndi r e c t l y r e s pons i bl e f ora ny di s c r e pa nc y be tw e e n the m e r c ha ndi s e a nd s a i d m a ni f e s ts ha l l be l i abl e t o a pe na l ty e qua l t o the l e s s e rof $10, 000 orthe dom e s t i c va l ue of the m e r c ha ndi s e s o f

ound orunl a de n. S e c tio n 1 5 8 4 ( a ) ( 2 ) p r o v id e s th a t: I f a ny of s uc h m e r c ha ndi s e s o f

ound c ons i s t s of

. . . c oc a i ne . . . the m a s t e rof

s uc h ve s s e l orpe r s on i n c ha r ge of s uc h ve hi c l e . . . ora ny9

p e r s o n d ir e c tly o rin d ir e c tly r e s p o n s ib le f o r. . . c o c a in e . . . b e in g in such m er chandi se shal l be l i abl e t o a penal ty of $1, 00 0 for ea ch ou nce the r e of s o f ound. E ven i f the dem and l angu age of s ub se ct i on (a )( 1) i s app l i cabl e t o sub se ct i on (a )( 2), w e a g r e e w ith th e d is tr ic t c o u r t th a t c o m m o n s e n s e a n d r e a s o n d ic ta te th a t liab ility f orape na l ty unde r§ 1584( a ) ( 2) i s notc ondi t i one d upon the gove rnm e nts how i ng tha tade m a nd f

ora m a ni f

e s tw a s m a de w he n the m a s t e rr e s pons i bl e f orpr oduc i ng the m a ni f

e s tha s f l e d the ve s s e l . S e e U ni t e d S t a t e s v. S i s c ho, 262 U . S . 165, 167, 43 S . C t . 51 1, 51 2 (19 23 ) ( “ T he col l ec t i on of du t i es i s notthe on l y purpo se of a m ani fe st. . . . A go vernm entw ant s t o k no w , w i tho utbei ng pu tt o a se ar ch, w hat art i cl es ar e broug hti nt o the coun try , and t o m ake up i t s ow n m i nd no ton l y w hat du t i es i tw i l l dem and b utw hether i tw i l l al l ow the go od s t o ent eratal l . ”) . H er e, th e ma s t e ro f

th e Ex p r e s s f

l e d th e v e s s e l b e f

o r e a n y Cu s t o ms i n s p e c t o rc a me o n b o ard . C u st o m s co u l d n o th av e d em an d ed th e m an i festfro m th e m ast er b ecau se there w as no m ani fe stt o p rodu ce . R iv e r s id e f

u r th e ra r g u e s th a t aN in th C ir c u it c a s e is “d is p o s itiv e ” a s to w he the rade m a nd m us tbe m a de be f or e l i abi l i ty unde r§ 1584 i s i m pos e d. T oi c hi T o m ik a w av . U n ite d S ta te s , 8 1 F .2 d 8 1 4 , 8 1 5 ( 9 th C ir . 1 9 3 6 ) , h e ld th a t af a ilu r e to c om pl y w i th a n una uthor i z e d orunof f i c i a l de m a nd di d notc ons t i tut e a vi ol a t i on of th e T a r if f A c t. W e a g r e e w ith th e d is tr ic t c o u r t th a t T o m ik a w ais in ap p o s ite .10

B ey on d the fa ctthatT om i kaw a di d n oti nv ol ve the i nt erpret at i on of § 1 58 4(a) (2), T om i ka w aa ddr e s s e d a n una uthor i z e d orunof f i c i a l de m a nd f

ora m a ni f

e s tt o a m as t erw ho re m ai ned o nb oard the vess el w hen the go vernm entbo ar ded. In contra st , the m as t eri n thi s c as e f l ed before the go vernm entbo ar ded the E xp re ss at the l oc a t i on f

orf orm a l e ntry , w hi c h r e nde r e d a ny de m a nd by the gove rnm e ntf or the m a ni f

e s ta nul l i ty . A ga i n, s uc h a n e va s i on s houl d notbe gr ounds t o e s c ape l i abi l i ty unde r§ 1584. R i vers i de’ s thi rd ar gu m ental so fa i l s. R i vers i de cont ends thati tw as ent i t l ed to e x c u lp a te its e lf

f r o m liab ility b y p r e s e n tin g e v id e n c e a t a n e v id e n tia ry h e a r in g to de m ons tr a t e tha tthos e i n c ha r ge of the E xpr e s s di d notknow a nd s houl d notha ve k n o w n th a t c o c a in e h id d e n o n b o a r d . T h e d is tr ic t c o u r t d id n o t a d d r e s s th is a r g u m e n t. S e c t i on 1584( a ) ( 2) pr ovi de s tha t“ the m a s t e rorow ne rof ave s s e l us e d by a ny pe r s on a s a c om m on c a rr i e ri n the tr a ns a c t i on of bus i ne s s a s s uc h c om m on c a rr i e rs ha l l notbe l i abl e t o s uc h pe na l t i e s . . . i f i tappe a r s t o the s a t i s f

a c t i on of the courtthatnei ther the m as t erno r a ny of the offi ce rs . . . no r the ow ner of the vess el kn ew , and cou l d n ot , by the exerc i se of the hi gh es tdegree of c ar e a nd di l i gence, h a v e k n o w n , th a t s u c h n a r c o tic d ru g s w e r e o n b o a r d .” S e e a ls o 1 9 U .S .C . § 1594( b) ( 1) ( “ N o c onve y a nc e us e d by a ny pe r s on a s a c om m on c a rr i e ri n the11

tra nsac t i on of bu si ness as a c om m on ca rr i eri s s ubj ec tt o sei zure and forfei ture un der the cust om s l aw s . . . un l es s the ow ner or operat or . . . part i ci pat ed i n, or had know l e dge of

, the vi ol a t i on, orw a s gr os s l y ne gl i ge nti n pr e ve nt i ng ordi s c ove r i ng such vi ol at i on . ”) ; U ni t ed S t at es v. O ne (1) 194 4 S t ee l H ul l F re i gh t erC on vert ed W a r tim e L a n d in g C r a f

t U til. V e s s e l ( L C U ) S h a m r o c k , 6 9 7 F .2 d 1 0 3 0 , 1 0 3 1 ( 1 1 th C i r . 1983) ( hol di ng tha tthe di s tr i c tc our te rr e d by e nt e r i ng as um m a ry j udgm e ntof forf ei ture pursuantt o, i nt eral i a, 19 U . S . C . § 1 59 4, because the go vernm enthad f a ile d , a s a m o v in g p a r ty , to p r e s e n t e v id e n c e s h o w in g th a t th e v e s s e l w a s n o t a c o m m o n c a rr ie r , w h ic h w o u ld h a v e s h if te d th e b u r d e n to th e c la im a n t to d e m o n s tr a te th a t th e s ta tu s o f th e v e s s e l w a s a n is s u e o f m a te r ia l f

a c t) . H o w e v e r , in its m o tio n f o rs u m m a ry ju d g m e n t, R iv e r s id e n e v e rc le a r ly pl a c e d a ti s s ue the s t a tus of the E xpr e s s a s a c om m on c a rr i e r . W hi l e R i ve r s i de r e f e r e nc e d the c om m on c a rr i e re xone r a t i on s t a nda r d i n i t s s um m a ry j udgm e nt m ot i on, i tw a s onl y i n s uppor tof i t s a r gum e nttha ta s hi p’ s a ge nt , unl i ke a c om m on ca rr i er , i s notl i st ed as an ent i ty thatcoul d b e hel d l i abl e f or paym entof penal t i es a s s e s s e d u n d e r1 9 U .S .C . § 1 5 8 4 . S e e R 2 - 7 9 a t ¶ 6 ( “T h e c r itic a l ap p lic ab le si gn i fi ca nce of thi s f

oregoi ng qu ot e [ fr om § 1 58 4(a) (2)] i s thati tconst i tut es f or gi vi ng e xc ul pa t ory l a ngua ge f orthos e r e s pons i bl e pe r s ons w ho a r e the s t a tut or i l y e num e r a t e d pot e nt i a l l y r e s pons i bl e pa r t i e s f ora ve s s e l c a rry i ng12

c ontr aba nd, a nd as hi p’ s a ge nti s now he r e t o be f ound a m ongs tthos e w ho c oul d be he l d l i abl e . ” ) . W hi l e R i ve r s i de di d c i t e t o tw o c a s e s tha tr e f e r e nc e d the c om m on c a rr i e re xone r a t i on s t a nda r d, T he M ountC l i nt on, 6 F . 2d 418 ( 2nd C i r . 1925) a nd L a n c a s h ir e S h ip p in g C o . v . U n ite d S ta te s , 4 F . S u p p . 5 4 4 ( S .D .N .Y . 1 9 3 3 ) , b o th c i t a t i ons w e r e t o the c a s e s a s a w hol e , a nd R i ve r s i de e xpl a i ne d tha ti tw a s “ not goi ng t o a dvoc a t e he r e how the s e tw o c a s e s a r e de t e rm i na t i ve of the di s pos i t i on of th is c a s e b y s u m m a ry ju d g m e n t. T h e c o u r t w ill m a k e th a t d e te rm in a tio n o n its perusa l of these ca se s. ” R 2-79 at¶ 8 . A s s uch, i ti s uncl ea r w hether R i vers i de w as di s put i ng the c om m on c a rr i e rs t a tus of the E xpr e s s , a nd the di s tr i c tc our ta nd the gove rnm e ntw e r e the r e f or e notobl i ga t e d t o a ddr e s s a n a r gum e nttha tw a s not c l e a r l y pr e s e nt e d t o the m . I n r e P a n A m . W or l d A i rw a y s , I nc . , M a t e rni ty L e a ve P r a c tic e s & F lig h t A tte n d a n t W e ig h t P r o g r a m L itig ., 9 0 5 F .2 d 1 4 5 7 , 1 4 6 2 ( 1 1 th C i r . 1990) ( “ [ I ] f

a pa r ty hope s t o pr e s e rve a c l a i m , a r gum e nt , the ory , orde f e ns e f or appeal , she m ustfi rs tcl ea rl y pre se nti tt o the di stri ctcourt , thati s, i n such a w ayas t o aff ord the di stri ctcourtan op po rtun i ty t o rec og ni ze and rul e on i t . ”) . W e w i l l no tre vi ew R i vers i de’ s f i nal ar gu m entbecause i ti s no l on ger a n i s s ue i n thi s c a s e . R i ve r s i de c ont e nds tha ti t s a f f i rm a t i ve de f

e ns e s r a i s e d ge nui ne is s u e s o f m a te r ia l f

a c t w h ic h p r e c lu d e d e n try o f s u m m a ry ju d g m e n t. W h ile R iv e r s id e p le d th e a f

f irm a tiv e d e f

e n s e s o f a s s u m p tio n o f

r is k a n d e s to p p e l in its13

an sw er t o th e g o v ern m en t ’ s am en d ed co m p l ai n t , i td i d n o ti n cl u d e th ese d efen ses i n i t s m ot i on f

ors um m a ry j udgm e ntnori n oppos i t i on t o the gove rnm e nt ’ s m ot i on f ors um m a ry j udgm e nt . A s a c ons e que nc e , the di s tr i c tc our tdi d nota ddr e s s the tw o a f f i rm a t i ve de f

e ns e s i n i t s or de r . S i nc e the s e de f e ns e s w e r e aba ndone d by R i vers i de, w e w i l l no taddres s them on appeal . S ee R oad S pri nk l erF i tt er s L ocal U ni on N o. 669, v. I nde p. S pr i nkl e rC orp. , 10 F . 3d 1563, 1568 ( 11th C i r . 1994) ( T he di s tr i c tc our t“ c oul d pr ope r l y tr e a ta s aba ndone d ac l a i m a l l e ge d i n the com pl ai ntbu tno teven rai se d as agrou nd for s um m ary j ud gm ent . ”) . B . W I I C ’s A r g u m e n ts I n i t s br i e f

, W I I C pr e s e nt s tw o a r gum e nt s . F i r s t , W I I C c ont e nds tha tthe f a i l ur e of the m a s t e rt o pr oduc e am a ni f e s tt o C us t om s w a s i rr e l e va ntt o the as se ss m entof penal t i es un der 19 U . S . C . § 1 58 4 b ec ause even i f the m ani fe sthad been prese nt ed t o C ust om s a tthe t i m e thatthe E xp re ss do cked, the cocai ne had a lr e a d y b e e n r e m o v e d b y a g e n ts a n d th e r e w a s th e r e f o r e n o r e q u ir e m e n t to lis t it. S e c ond, W I I C a r gue s tha tthe a s s e s s m e ntof pe na l t i e s unde r§ 1584 be a r s no re l at i on t o the gravi ty of the offens e c om m i tt ed by R i vers i de and i s there fore u n c o n s titu tio n a l u n d e rth e E ig h th A m e n d m e n t. H o w e v e r , n e ith e ro f

th e s e a r g u m e n ts w e r e r a is e d b e f o r e th e d is tr ic t c o u r t.14

W e w i l l not , a s a ge ne r a l rul e , c ons i de ra n i s s ue tha ti s r a i s e d f orthe f i r s tt i m e on appeal . In re P an A m . W orl d A i rw ay s, Inc. , 90 5 F . 2d at14 61 -62. B ec ause nei ther of W I I C ’ s a r gum e nt s f

a l l w i thi n the f

i ve e xc e pt i ons t o thi s ge ne r a l rul e , w e w i l l not c ons i de rthe m . S e e B a um a nn v. S a ve r s F e d. S a v. & L oa n A s s ’ n, 934 F . 2d 1506, 15 12 (11th C i r. 19 91 ).

I I I . CONCL US I ON R iv e r s id e a n d W I I C ap p e a l a n o r d e rb y th e d is tr ic t c o u r t d is m is s in g th e ir m ot i ons f

ors um m a ry j udgm e nta nd gr a nt i ng s um m a ry j udgm e ntt o the g o v e rn m e n t . Af

t e ra d e n o v o r e v i e w o f

R i v e r s i d e a n d WI I C ’ s a r g u m e n t s , we c onc l ude tha tthe r e a r e no m a t e r i a l i s s ue s of f a c ti n di s put e a nd tha tthe gove rnm e nt is e n title d to ju d g m e n t a s a m a tte ro f la w . AF F I RME D.