Document: 465 U.S. 354 104 S.Ct. 1099 79 L.Ed.2d 361 UNITED STATES, Petitioner,v.ONE ASSORTMENT OF 89 FIREARMS. No. 82-1047. Argued Nov. 30, 1983. Decided Feb. 22, 1984. Syllabus Upon trial in Federal District Court, defendant Mulcahey, who asserted the defense of entrapment, was acquitted charges knowingly engaging business dealing firearms without a license, violation 18 U.S.C. § 922(a)(1). The Government then instituted this rem action for forfeiture involved, pursuant to 924(d), which authorizes forfeitures any "involved or used intended be in, chapter." Ordering forfeiture, Court rejected Mulcahey's defenses res judicata and collateral estoppel based on his earlier acquittal. Appeals reversed, concluding that because 924(d) proceeding criminal punitive nature, it barred by double jeopardy principles view prior Relying Coffey v. United States, 116 436, 6 437, 29 L.Ed. 684, also held estoppel, upon same facts as action. Held: A gun owner's acquittal involving does not preclude subsequent against those under 924(d). Pp. 357-366. (a) To extent supra, suggests automatically bars civil, remedial following an related charges, is disapproved. Cf. Helvering Mitchell, 303 391, 58 630, 82 917; One Lot Emerald Cut Stones 409 232, 93 489, 34 438. 357-361. (b) difference relative burdens proof civil actions precludes application doctrine estoppel. Acquittal charge merely reflects existence reasonable doubt guilt, innocence. Nor did negate possibility preponderance evidence could show Mulcahey engaged unlicensed business. 361-362. (c) Double Jeopardy Clause apply proceedings applicable here. Under procedural mechanisms established enforcing Congress such remedial, rather than punitive. Moreover, differences language subjects "intended used" substantive offenses, 922(a)(1), render unlawful mere intention deal shows provisions were meant broader scope sanctions. provision furthers broad aims controlling indiscriminate flow firearms. statutory scheme so either purpose effect Congress' establish mechanism. 362-366. 685 F.2d 913 (4th Cir.1982), reversed remanded. Richard G. Wilkins, Washington, D.C., petitioner. Herbert W. Louthian, Columbia, S.C., respondent. Chief Justice BURGER delivered opinion Court. 1 We granted certiorari decide whether 2 * A. 3 On January 20, 1977, Bureau Alcohol, Tobacco, Firearms seized cache from home Patrick Mulcahey. subsequently indicted he had 922(a)(1).1 At trial, admitted no license bought sold during period set forth indictment. His been entrapped into making illegal transactions. jury returned verdict guilty. 4 Following its authority 924(d),2 firearms.3 basis acquittal, States South Carolina struck defenses, reasoning nature therefore properly characterized proceeding. 463 F.Supp. 365, 367 (1978). concluded "the here question involved Such are rendered subject hereby ordered." 511 133, 139 (1980). B 5 divided Fourth Circuit, sitting en banc, reversed.4 (1982). banc majority relied two theories conclusion these although sharply distinguish between two. Because considered principles. Looking 684 (1886), authority, determined In dissent, four judges argued neither nor should brought at 918-919 (Winter, J., dissenting). certiorari, --- ----, 103 1181, 75 430 (1983), we reverse. II certain distilling equipment removing concealing distilled spirits with intent defraud revenue. stated that: "[W]here issue raised act fact denounced has tried proceeding, judgment favor particular person, conclusive suit where, him, matter issue, cause property prosecuted rem. It urged reason allowing judgment, case may have taken place rule requiring guilt proved beyond doubt, that, evidence, proof, there might Nevertheless, put States; all imposed statute, consequence punishment therefor. There new prosecution after it; amounts substantially thing, only consequences adverse claimant." Id., U.S., 443, S.Ct., 440. 7 Although quoted above incorporates notions both jeopardy, identify precise legal foundation preclusion announced. Perhaps reason, later decisions reflected uncertainty exact holding. 8 917 (1938), preclusive monetary penalty. taxpayer Mitchell willfully attempted evade defeat income tax fraudulently misstating items return. When Commissioner Internal Revenue recover substantial penalty fraudulent avoidance tax, judicata, preclusion. 9 This speaking through Brandeis, disagreed. conceded factual matters litigated action, "[t]he degree burden cases judicata." 397, 632. viewed nothing more determination setting sufficient overcome accused See Lewis Frick, 233 291, 302, 488, 492, 967 (1914). went state: 10 "That bar Government, arising out long settled. Stone 167 178, 188 [17 778, 782, 42 127]; Murphy 272 631, 632 [47 218, 71 446]. Compare Chantangco Abaroa, 218 476, 480, 481 [31 34, 35, 54 1116]." 397-398, (footnote omitted). 11 Turning taxpayer's argument assessment noted 12 "Congress impose sanction respect omission; clause prohibits punishing twice, attempting second time punish criminally, offense. decision thus [the penalty] imposes sanction. That one interpretation." 399, 633. 13 authorized assessed discretion administering law, observed goods their value payment fixed variable sums money sanctions recognized enforceable proceedings. 400, 14 Finally, holding before it. distinguished ground where followed different proof. revenue laws administrative sanction; found obstacle recovery taxpayer. 405-406, 636. 15 Most recently, 438 (1972) (per curiam), ring stones knowingly, smuggling articles complying customs procedures. Reaffirming articulated reasoned precluded equally inapposite, continued, criminal, necessarily resolve issues 235, n. 5, 5. 16 focusing appears overlooked significance Stones. very least, signaled enforce way other penalties. Whatever validity facts, ambiguous seems source confusion some time. As ago disapprove make clear even though identical facts. Indeed, nearly century, analytical underpinnings less adequate.5 come clarify initiated charges. otherwise, III 17 disposition instant follows readily first argues operates But prove innocent; proves guilt. need concerned decided acquit sale jurors convinced reasons. case, 922(a)(1) estop government proving forfeited 632; 492. next contends Fifth Amendment. Unless punishment, essentially character, applicable. 398-399, 632-33. question, then, be, is, punitive, remedial. Resolution begins interpretation. Ward, 448 242, 248, 100 2636, 2641, 65 742 (1980): 19 "Our inquiry regard traditionally proceeded levels. First, determine Congress, establishing penalizing mechanism, indicated expressly impliedly preference label other. supra [409 U.S.], 236-237 [93 492-93]. Second, penalty, inquired further intention. Flemming Nestor, 363 603, 617-621 [80 1367, 1376-78, 1435] (1960)." 20 Applying prong Ward test conclude designed most clearly demonstrated statute. Section prescribe steps effectuating but reference procedures Code 1954 (Code), 26 §§ 7321-7328. turn provides "shall district seizure made." 7323. contrast personam actions, proceedings, jurisdiction dependent physical object. Calero-Toledo Pearson Yacht Leasing Co., 416 663, 94 2080, 2092, 40 452 (1974). addition summary valued $2500 less, notice publication. 7325. By creating distinctly "indicate[d] sanction." 402, 634. 21 somewhat 922. "[a]ny firearm ammunition (emphasis added). section prosecuted, engage license; completed prohibited made crime. 1, supra. actual conduct embraced apparent statutes 22 aims. enacted part Omnibus Crime Control Safe Streets Act 1968, Pub.L. 90-351, Stat. 233, retained alteration Gun 90-618, 1213. enacting 1968 control legislation, "was widespread traffic general availability whose possession thereof contrary public interest." Huddleston 415 814, 824, 1262, 39 782 Accordingly, sought "control flow" "assist encourage local communities adopt stricter laws." H.R.Rep. 1577, 90th Cong., 2d Sess., (1968), U.S.Code Cong. & Admin.News pp. 4410, 4413. plays important role furthering prophylactic purposes legislation discouraging unregulated commerce circulation use outside regulated channels commerce. Keeping potentially dangerous weapons hands dealers goal plainly hold punishment.6 23 now aspect our inquiry: "whether [is] negate" 249, 2641. " 'Only clearest proof' will suffice override manifest 2641 (quoting 617, 80 1376, 1435 (1960)). Kennedy Mendoza-Martinez, 372 144, 168-169, 83 554, 567-68, 644 (1963), list considerations helpful past determinations.7 See, e.g., 249-251, 2641-42; Bell Wolfish, 441 520, 537-538, 99 1861, 1873, 60 447 (1979). 24 Only Mendoza-Martinez factors—whether proscribed behavior already crime—lends support position giving rise entail penalties admittedly nature. indication strong seem blush. 250, 2642. Clearly omission," 633; indeed, done occasions. drafted cover range 363-364. embodied limited misconduct, remedy cannot said co-extensive What overlap persuade us legitimately 25 short, analysis factors undermines classification failed "clearest proof" provided "transfor[m] what penalty." Rex Trailer Co. 350 148, 154, 76 219, 222, 149 (1956). accordingly mechanism additional commission act, separate sanction, Clause. IV Neither affords doctrinal preclusion, reject today rationale Circuit remanded consistent opinion. 27 ordered. "It shall . except licensed importer, manufacturer, dealer, importing, manufacturing, ammunition, course ship, transport, receive interstate foreign commerce." follows: "Any chapter regulation promulgated thereunder, law relating seizure, firearms, defined 5845(a) Code, shall, far applicable, extend seizures number varied agents originally 105 learned them stolen. stolen rightful owners, remaining 92 items. Later automatic pistol found, bringing total 93. Still later, reasons relevant here, wife, leaving panel previously Court's order. 669 206 Burch, 294 3, (CA5 1961); Dodge Sedan, 113 552, 553, (CA3 1940) (collecting review articles); 1B J. Moore, Lucas, T. Currier, Moore's Practice ¶ 0.418[3], 587-589, (1983) cases). relies heavily labeling 924 appellation "Penalties," arguing inclusion demonstrates create unavailing; labeled "penalties." congressional reports accompanying describe "contai[ning] provisions," p. 4423; S.Rep. 1097, 117 2112, indicating cognizant forfeiture. enumerated tests applied penal regulatory character." 168, 567. "Whether involves affirmative disability restraint, historically regarded comes play finding scienter, operation promote traditional punishment—retribution deterrence, applies crime, alternative rationally connected assignable it, excessive relation assigned inquiry, often point differing directions." 567-68 (footnotes however, "neither exhaustive dispositive."

Category: 0