Legal Document

460 U.S. 103 S.Ct. 986 74 L.Ed.2d 845 G.R. DICKERSON, Director, Bureau of Alcohol, Tobacco and Firearms, Petitioner,v.NEW BANNER INSTITUTE, INC. No. 81-1180. Argued Nov. 29, 1982. Decided Feb. 23, 1983. Syllabus Title IV the Gun Control Act 1968, 18 U.S.C. §§ 922(g)(1) (h)(1), makes it unlawful for any person "who has been convicted . a crime punishable by imprisonment term exceeding one year" to ship, transport, or receive firearm ammunition in interstate commerce. also engage business importing, manufacturing, dealing firearms without license from Secretary Treasury. One ground denial is where applicant under prohibitions imposed if corporation, will be denied with power direct management corporation such prohibitions. Kennison, chairman board shareholder respondent after plea negotiations, pleaded guilty an Iowa state court carrying concealed handgun. This was fine not more than five years, both. The court, however, pursuant statute, "deferred" entry formal judgment placed Kennison on probation. At completion his probation he discharged, record respect deferred expunged. Subsequently, applied Treasury Department's Tobacco, Firearms (Bureau) licenses as dealer manufacturer, but did disclose Kennison's weapon charge. were issued later revoked when learned District Court upheld revocation, Appeals reversed, holding that although had "convicted" offense triggered disabilities, fact could serve predicate violation revocation because conviction expunged procedure. Held: disabilities (h)(1) apply removed expunction Pp. 110-122. (a) For purposes federal gun control laws, disqualifying its notation followed sentence probation, equivalent being within language (h)(1). 111-114. (b) Iowa's provisions, carried out case prior respondent's applications, nullify statute. Expunction law does alter legality previous conviction, open way despite signify defendant innocent which guilty. means no State provided trial accord certain continuing effects law. 114-115 (c) Provisions laws other provisions question, well related statutes, support conclusion Congress intend automatically remove 115-118. (d) There nothing legislative history statutes suggest opposite intent. IV's purpose curb keeping hands those legally entitled possess them age, criminal background, incompetency, would frustrated ruling gave effect expunctions. In absence plain indication contrary, assumed make application dependent carefully constructed legislation. knew significance meaning employed. 118-121. (e) A rule give varying seriously hamper effective enforcement IV. Pp.121-122 649 F.2d 216 (CA4 1981) reversed. Kenneth S. Geller, Washington, D.C., petitioner. Lewis C. Lanier, Columbia, S.C., respondent. 1 BLACKMUN, Justice. 2 presents issue whether 922(g) (h) who pleads year, proceeding subsequently procedure following successfully-served 3 * Omnibus Crime Safe Streets 82 Stat. 226, amended 1214, now appears § 921 et seq. (1976 ed. Supp. V). indictment for, of, year"1 (h). 922(a) 923(a). ground, specified barred transporting, shipping, receiving ammunition. 923(d)(1)(B). same statute provides partnership, association, individual possessing, directly indirectly, policies entity violate willful misrepresentation information required furnished. 924(a). 4 Although, noted above, imposes upon "person year," permit persons category relief disabilities. Under 925(c), may grant "if established satisfaction circumstances regarding applicant's reputation, are likely act manner dangerous public safety granting contrary interest." When grants relief, must publish notice action promptly Federal Register, together statement reasons. Ibid. II 5 David F. resident director, Chairman Board, New Banner Institute, Inc., corporation. September 1974, Iowa, arrested charged kidnaping estranged wife. After negotiation, see Tr. Oral Arg. 40-41, handgun, charge dismissed. offense, then law, Code 695.2 .3 (1950 Supp.1978), $1,000 both.2 789A.1 (Supp.1978), effect,3 entered order reciting "entered weapon," "the consented deferment this matter," "he stable employment," there "unusual circumstances" case. stated 6 returned South Carolina completed term. expired February 1976, discharged 789A.6 effect,4 court's reference 7 May filed three applications (Bureau), ammunition, manufacturer collector curios relics. On forms, listed "responsible person," is, possessing indirect See answering inquiry forms prison events State. requested issued. 8 Bureau, conformity 923(e) (f)(1) 27 CFR 178.75 (1982), mailed Notices Contemplated Revocation Licenses. informal hearing, Bureau's Regional Regulatory Administrator notices. Respondent, 923(f)(2), received hearing before administrative judge. contended should failed reveal felony first place. 9 judge recommended against revocation. App Pet. Cert. 41a. Although concluded "represented Section (h)," id., at 47a, statements justify representatives good faith belief 10 review, Director petitioner here, ruled shown; possessed policies; brought him (h); ineligible App. 23(a). ordered issuance Final Revocation. Id., 40. 11 Respondent timely petition review United States Carolina. 923(f)(3). cross-motions summary judgment, Director's motion granted. appeal, Fourth Circuit (1981). It concluded, 219, indeed acknowledged, F.2d, 220, Courts entertained views.5 Because importance obvious need resolution, we granted certiorari. 455 1015, 102 1708, 72 132 (1982). III 12 time examined Act. v. States, 445 55, 100 915, 63 198 (1980); Scarborough 431 563, 97 1963, 52 582 (1977); Barrett 423 212, 96 498, 46 45 (1976); Huddleston 415 814, 94 1262, 39 782 (1974); Bass, 404 336, 92 515, 30 488 (1971). 13 Despite slate write thus clean one, once again note that, determining scope look language. U.S., 60, S.Ct., 918; Turkette, 452 576, 580, 101 2524, 2527, 69 246 If unambiguous, ordinarily regarded conclusive unless " 'a clearly expressed intent contrary.' Ibid., quoting Consumer Product Safety Comm'n GTE Sylvania, 447 102, 108, 2051, 2056, 64 766 (1980). seem, therefore, clear words ("any convicted"), deprived licenses, have type "expunction" operated conviction. place, somehow rendered nullity, grounds asserted Bureau. A. 14 We turn salient year's imprisonment. usual jury verdict specific finding guilt bench absent. Present, type, charge, placing 15 supra, consideration 1202(a)(1) VII 1968 Act, U.S.C.App. 1202(a)(1), similar partially overlapping pertinent present familiar, concerns "has felony." characterized "sweeping." 918. Lewis' subject collateral attack constitutional grounds, held disabling. What important presence speaking VII, said: "No modifier present, suggests restriction 'convicted.' Still further: 'Nothing face congressional limit coverage .' Culbert, 435 371, 373, 98 1112, 1113, 55 349 (1978). And, finally: "Actually, detect little significant difference between VII." 64, 920. 16 Whether necessarily, correctly recognized, question federal, state, punishment defined Benson, 605 1093, 1094 (CA9 1981). desirable national uniformity unaffected procedures, definitions "conviction." 17 Lewis, possible, probable, vulnerability affect disqualification. statute's repeatedly observed, 'Congress sought broadly—to keep guns demonstrated "they trusted becoming threat society." ' 63, 920, 572, 1968. Like considerations here statute.6 He voluntarily, crime. some circumstances, considered alone enough constitute "conviction": "A differs mere admission extrajudicial confession; itself conclusive. More required; do sentence." Kercheval 274 223, 47 582, 583, 71 L.Ed. 1009 (1927). Accord: Boykin Alabama, 395 238, 242, 89 1709, 1711, 23 (1969).7 Here, more. To sure, written adjudication pronouncement But due special statutory plainly irrelevant actually receives term; "a year." (emphasis supplied). cannot deem crime8—in demonstrative unreliability firearms. Thus, equate Woods, 696 566, 570 (CA8 1982) ("once remains done except pass sentence, inten[d]ment Congress"). B 19 That, end matter. still determine nullified statute.9 20 recognized qualifying pardon, 178.142, consent operate relieve disability. 60-61, 918-919.10 So far concerned, historical positive "affirmative action," ibid., Secretary's conditions 925(c). true, exception literal whose vacated reversed appeal. 61, n. 5, 918, 5; Note, Prior Convictions 76 Colum.L.Rev. 326, 334, 42 (1976). But, contrast, Clearly, attached constitutionally 65-68, 920-922, unlike error, obvious. convictions appeal ambiguous arguably vulnerable attack. perceive ambiguity Lewis. 21 Other fortify our intended 22 1. Even necessary existence outstanding sufficient reaching doing so intentionally. 2. Sections impose "is indictment" crimes, fugitive justice," "is" drug addict user drugs, court" adjudicated mental defective," committed institution" use respective tenses demonstrates distinguished status past event. distinction 922, significance, before: 24 "Congress used perfect tense elsewhere section ., contrast ('who is') 922(h)(1), (2), (3). pattern consistent unintended misuse apparent." 217, 501, 450 25 And 570, 1966, (1977), observed: "It throughout chosen care." 26 3. imposition, 922(g)(4) (h)(4), disability been" defective institution particularly instructive. adjudged competent, deemed cured released. Yet made subsequent curative events. commitment disqualifies. obviously felt person, though unfortunate, too much risk allowed privileges. 344-345, 520, fact, believe become eligible whatever reason. 4. 925(c) empowers these cases. involving event met satisfaction. Again, highly unlikely own circumscription ability overcome vagaries That easy route follow circumvent S.Rep. 966, 80th Cong., 2nd Sess., (1965). 28 5. enacted simultaneously IV, helpful analysis. treated Titles pari materia construing identical here. 61-62, 1203(2) exempts "any pardoned President chief executive expressly authorized executive, be, receive, possess, transport commerce firearm." even pardon express authorization firearm. inconceivable yet intended, 220-221, unconditional effect. all, devices unknown unusual came into Comment, Expungement California: Legislative Neglect Judicial Abuse Statutory Mitigation Felony Convictions, U.San Fran.L.Rev. 155, 161 (1978); 1909 Cal.Stats. ch. 232, Youth Corrections 5021, back 1950. 1089. 29 6. 844(b) providing offender found simple possession controlled substance successful shall discharge dismiss him. specifically 844(b)(1) dismissal "shall disqualifications purpose." provision superfluous believed removes terms employed kind, wished create expressly. V "As all cases construction, task interpret [the statute] light serve." Chapman Houston Welfare Rights Organization, 441 600, 608, 99 1905, 1911, 60 508 (1979). given weight Act's broad prophylactic purpose: 31 "When [18 seq.] concerned widespread traffic their general availability thereof interest. principal legislation, 'firearms incompetency.' 824, 1268, (1974), 1501, 90th (1968). 32 503. 33 accomplish goal, determined kept away persons, serious might expected them. Such obtaining deal latter generally funnel access almost exclusively through dealers. 825, 1269. "The agent dealer." 1268. 34 searched diligently, suggests, remotely, See, e.g., Sess. (1968); 1097, (1968), U.S.Code Cong. & Admin.News p. 2112; H.R.Rep. 1577, 4110; H.R.Conf.Rep. 1956, 488, lack evidence several First, expunctions; typically focus namely, fit Second, 'in enacts law.' NLRB Natural Gas Utility Dist., 402 603, 91 1746, 1748, 206 (1971), Randolph Electric Membership Corp., 343 1965). legislation nationwide times program impaired control. Jerome 318 101, 104, 483, 485, 87 640 (1943). reveals uniform assist curbing illegal 28, 76-77 Third, package employed.' quotingBarrett 501. crafted removing appropriate 35 Congress, course, trigger instance. This, wanted tie intricacies provide convenient, somewhat inexact, identifying "especially risky people." 345, 521. inconsistency refusal bound postconviction actions, expunctions, vary widely less assurance longer poses unacceptable dangerousness. Any potential harshness alleviated based standards. 36 facts illustrative. "stable employment" home go home. 45a-46a. arrests "assault battery high aggravated nature" "child abuse." Gov't. Exh. 13. According him, supervision during consisted "occasionally reporting arrested." A-71. short, surrounding little, any, can weapon. VI 37 Finally, expunctions Over half classified attempt conceal residual effects. These differ, every particular. Some applicable only young offenders, Mich.Comp.Laws 780.621 .622 available offenses, N.J.Stat.Ann. 2C:52-2(b) (West 1982); others, including murder, Mass.Gen.Laws Ann., 276, 100A Supp.1982). confined Okla.Stat.Tit. 991(c) (Supp.1982). discretionary, Minn.Stat. 638.02(2) (Supp.1982), while others automatic Ariz.Rev.Stat.Ann. 13-912 describe what they do. speak expunging "sealing" file causing differ actual absolute; limited. Only minority address questions sentencing setting bail impeachment purposes, convict deny too, meant prevent prosecution. Ariz.Rev.Stat. 13-907 Herrell, 588 711 1978), cert. denied, 440 964, 1511, 59 778 differences patchwork. 38 case, example, referred "unconditional absolute," 221, description entirely accurate. expunction, separate maintained, destroyed, supreme administrator. 907.4 44. addition, "criminal data" released justice agencies." 692.1(5) 692.2 completely. decision below, perplexing problems confront enforce provisions. Because, noted, legislation," framing it, took pains avoid very Appeals' inevitably create, individualized treatment unambiguous attaching convicted" offense. full 40 41 ordered. Justice REHNQUIST, whom BRENNAN, STEVENS, O'CONNOR join, dissenting. 43 922(g)(h) points out, "[i]f 'convicted' place Bureau." Ante, 111. Contrary reached Court, I "convicted." Accordingly, dissent. 44 agree rather 111-112. not, define "conviction" Where term, recognizes different meanings statutes. 112, Investment Company 1940, includes verdict, guilty, nolo contendere, plea, set aside, withdrawn, imposed." 80a-2(a)(10) definition Advisers 1940. 80b-2(a)(6) narrow two sections Narcotic Addict Rehabilitation '[c]onviction' mean final include otherwise nugatory." 4251(e) 2901(f) 'conviction' contendere." 5006(g) Thus most, signpost least, acceptance plea. neither. relies (1927), (1969), proposition "[i]n 'conviction.' 112. concludes "we more," "noted" 113. agree. relevant interpretation both spoke accepted Whatever "notes" less, instead more, preceded examination insure voluntary. Deferred Judgment used, "[t]he may, [and] [w]ith defer probation." (Supp.1978) added) (current version 907.3 (1979 Supp.1982)). never "conviction"; infer adopted standard now. most represented least either criteria absent where, invoked.* exemptions proscriptions commercial antitrust violations, nonfirearms nonexplosives offenses misdemeanors years less. 921(a)(20). relevance discretion, reduce punishment. 695.3 (1950). repealed Jan. 1, 1978, replaced 724.4 903.1 read part: rendered, exercise options contained subsections However, crimes treason, [other statutes]. "1. With defendant, require. Upon fulfillment judgment. terms, enter proceed provided. "However, subsection true: ". [here recited exceptions outlined 1] "2. By sentencing, suspend "Before exercising 2, maximum opportunity rehabilitation protection community further others. making determination consider age convictions, employment family nature committed, force commission factors appropriate. reasons supporting length 1973 Acts, 295, 1976 1245, 526, 1978. current replacement 907.3, .4, .5 "At determines fulfilled, answer 789A.1, maintained administrator ." repealed, cited last paragraph 3, supra. replacing 907.9 Bergeman, 592 533 1979); Mostad, 485 199 1973), 947, 1468, 563 Lehmann, 613 130 (CA5 1980). also, Padia, 584 85 1978); Gray, 692 352 Nord, 586 1288 Kelly, 519 794 (CA8), 926, 272, 254 (1975). entered. 80a-2(10) 80b-2(6). limited 2901(f). defined, reason whatsoever suppose Congress' enacting 1202 presumptively people. 521, connection, merely As 6, Lott 367 421, 81 1563, 940 (1961), Fed.Rule Civ.Proc. motions began run pronounced imposed. possibility plea's withdrawn therefore said "it court—not plea—that constitutes 'determination guilt.' Rule 34, broadly protect comparable animating Moreover, situation basis identically jury. suggestion suggested, withdraw Indeed, negotiated accompanied Counsel acknowledged period disqualified license. 36-37. 724.26 (1979), argued nullified. Walton, 311 N.W.2d 110, 112 (Iowa Nevertheless, Supreme observed "word equivocal meaning, intent." Hanna, 179 503, 507 (1970). Presumably, called construe like (h), "legislative event, resolving construed explicitly pardons governor, specifying recipient firearms, lift title. 1203(2). Except permitting regulation, presidential pardons, gubernatorial enabling 178.142 oral argument 114, 8. disqualification, existed, applying indictment," (1976),

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