Judge Kozinski's opinion on this issue — a matter of construing the Sentencing Guidelines, though informed by an understanding of what "assault weapons" are like and how they may be used — was just handed down yesterday. It struck me as an interesting example of how courts make decisions that rely on statutory text, precedent, action by other government bodies, and understanding of the world, and one that laypeople may find especially interesting because it's tied to (though not squarely a part of) the Great American Gun Debate. I've therefore included it below, for those who are interested; if you want the PDF version instead of HTML (or if you want the citations and footnotes, which have mostly been stripped below), see here.
[Xavier] Serna pleaded guilty to being a felon in possession of a firearm. It wasn’t the first time Serna had illegally possessed a firearm — he had previously pleaded guilty to violating California Penal Code § 12280(b), which outlaws possession of “assault weapons.” [footnote: California’s definition of “assault weapons” includes some semiautomatic rifles, pistols and shotguns, and any shotgun with a revolving cylinder.] The district court concluded that Serna’s state-court conviction was a “crime of violence.” This finding had the effect of increasing the sentencing range for Serna’s federal conviction from 27-33 months to 46-57 months...
Section 4B1.2(a) of the Sentencing Guidelines defines “crime of violence” as “any offense under federal or state law, punishable by imprisonment for a term exceeding one year, that ... has as an element the use, attempted use, or threatened use of physical force against the person of another, or ... involves conduct that presents a serious potential risk of physical injury to another.” California punishes felony possession of an assault weapon by imprisonment for a term exceeding one year. But merely possessing a weapon doesn’t involve the use, attempted use or threatened use of physical force, so Serna’s prior conviction qualifies as a crime of violence only if simple possession of an assault weapon “presents a serious potential risk of physical injury to another.”
In determining whether a prior conviction supports a sentence enhancement under federal law, we normally look to both the statutory definition of the crime and to the actual conduct charged. However, the record here does not contain the charging papers for Serna’s prior conviction. We are therefore left only with the fact that Serna was convicted of violating section 12280(b).
Serna’s prior conviction was for possession of an object. Almost any object — a car, a golf club, even a pair of nail clippers — can be used to cause physical injury. Were an object’s potential for causing physical injury enough to render illegal possession thereof a crime of violence, almost all possessory crimes would be crimes of violence; the Guidelines thus focus on whether the crime presents a “serious potential risk” of physical injury.
Our caselaw and the Sentencing Guidelines instruct that being a felon in possession of a firearm is not a crime of violence. Since illegal possession of an ordinary firearm isn’t a crime of violence, we know that possessing an object designed to be lethal does not alone pose a “serious potential risk” of physical injury. Although most uses of a firearm are violent and destructive, not all violence and destruction are illegitimate: Hunting, target shooting and self-defense, though inherently violent and destructive, are legitimate and legal. When considering the risk of physical injury then, we look only to the illegitimate and unlawful uses and exclude legitimate uses of the item, even though they could result in physical injury. So long as the item in question has substantial legitimate uses, its mere possession cannot, without more, constitute a crime of violence.
On the other hand, if we know that an object has no lawful uses, we can presume that someone who possesses it intentionally does so for the purpose of using it illicitly. And, if the universe of uses for such an object is largely confined to illegitimate violence, we can infer that the object will be used to intimidate or inflict physical injury during the course of an unlawful transaction. We have thus held that illegal possession of such a weapon — like a silencer or a sawed-off shotgun — is a crime of violence. What distinguishes silencers or sawed-off shotguns from other dangerous firearms isn’t the amount of injury they’re capable of inflicting — there are many weapons that can cause a lot more injury than a silencer. What makes silencers and sawed-off shotguns different from ordinary weapons is that they have few, if any, legitimate uses. Unlike an ordinary firearm, neither is likely to serve any sporting or self-defense purpose. Thus, we have held that they “are inherently dangerous, lack usefulness except for violent and criminal purposes and their possession involves the substantia risk of improper physical force.” We must determine, therefore, whether an assault weapon is more like an ordinary firearm, or more like a silencer or sawed-off shotgun.
Congress requires registration of any silencer, sawed-off shotgun or similar firearm. Failure to register a listed firearm is a crime punishable by up to ten years is prison. The registration requirement reflects Congress’s determination that certain weapons are almost certain to be used for unlawful purposes: “[T]he primary reason that unregistered possession of these particular weapons is a crime is the virtual inevitability that such possession will result in violence.” As the Seventh Circuit put it, “most firearms do not have to be registered — only those that Congress found to be inherently dangerous. If the weapon is not so labeled, mere possession by a felon is not a crime of violence.” Congress has never imposed a blanket registration requirement on semiautomatic weapons, suggesting that they have lawful uses and are less likely to lead to unlawful violence than sawed-off shotguns and silencers.
When Serna was convicted of possession of an assault weapon in 2002, possession of some semiautomatic weapons was a federal crime — but no longer. Thus, non-felons can now freely possess assault weapons under federal law. Even before the federal ban was allowed to lapse, it was riddled with exceptions: Congress exempted any firearm lawfully possessed under federal law before the passage of the act, and over 650 specific firearms. Thus, a large number of semiautomatic weapons remained legally in circulation, even during the so-called ban.
In the end, the temporary federal ban on assault weapons is largely a wash. The most plausible inference to be drawn from the evolution of federal law as to assault weapons is that Congress allowed the ban to lapse, having found it unnecessary. Because current federal policy places assault weapons on the same footing as other non-registrable weapons, we see this, on balance, as supporting Serna’s position. We find more significant the fact that, when the federal assault-weapon ban ended, Congress didn’t require previously-banned semiautomatic weapons to be registered. The fact that semiautomatic weapons are not now, nor have ever been, subject to a blanket registration requirement suggests that mere possession of them does not pose the same risk of physical injury as possession of weapons subject to a blanket federal registration requirement — like silencers and sawed-off shotguns.
Our caselaw holds that possession of a weapon not required to be registered can nevertheless be a crime of violence, depending on the context. We have held, for example, that conviction for possession of a melted-down shaving razor by a prison inmate is a crime of violence, because “[t]he confines of prison preclude any recreational uses for a deadly weapon and render its possession a serious threat to the safety of others.” Inmates live in close quarters, and the threat of violence is constant. Violence so inevitably follows possession of a deadly weapon in prison that we equate possession with violence. Not so with semiautomatic weapons in society at large — they may be used for target shooting, hunting, in self-defense or in defense of others or property. Nothing in California Penal Code section 12280 requires proof that Serna’s possession occurred in a context prone to violence, and we have no other information about Serna’s particular crime.
Thus, we conclude that Serna’s possession of an assault weapon was not a crime of violence for purposes of section 4B1.2(a) of the Sentencing Guidelines.
Thanks to Steve Newman for the pointer.
This looks pretty easy; a prisoner's right of self-defense is outweighed by the realities of prison management, i.e., arming inmates is a bad idea.
Btw, great snark from the 5th Cir. in n.3 of the op--worth clicking on the PDF.
(PS - I think this is the correct decision, but I'm not a textualist, and if I were, I know damned well I couldn't get here).
Second, unless I'm mistaken there's no explicit finding in the text of the federal assault weapons ban that assault weapons had no legitimate use. It's fair to interpret the enactment of the ban as a Congressional judgment that on balance the benefits of banning the guns -- though with exceptions, for instance for weapons that had been lawfully possessed before the act was enacted -- exceed the harms of banning the guns. But that's a purposive argument, not a textual one, and in any case doesn't equate to a judgment that assault weapons have no legitimate use. (Many things that are outlawed have some legitimate use.)
Third, as the opinion notes, the law had been allowed to lapse, so it's not clear what Congressional judgment should be taken away from the law's temporary existence.
Here's a web site advertizing silencers (in Finland where they are legal). http://guns.connect.fi/rs/index.html Their advertising lists a number of legitimate uses including:
hearing protection for the shooter,
reduction of environmental noise (being a good neighbor)
reduction in vaporized lead emissions from firearms.
Private versus Public. Five of the 2005 Top Ten Whitest Law Schools are public schools (Kentucky, Maine, Montana, South Carolina and South Dakota). All but four of those public schools were significantly over-serving the white population of their state.
Rank. 70% of the 2005 Top Ten Whitest Law Schools were 3rd US News Tier or 4th US News Tier. This is particularly troubling since given the on average lower LSAT of minorities you would expect more minorities to be in the 3rd or 4th tier schools.
Indeed, the act states that:
`(4) Paragraph (1) shall not apply to--
`(A) the manufacture for, transfer to, or possession by the United States or a department or agency of the United States or a State or a department, agency, or political subdivision of a State, or a transfer to or possession by a law enforcement officer employed by such an entity for purposes of law enforcement (whether on or off duty);
`(B) the transfer to a licensee under title I of the Atomic Energy Act of 1954 for purposes of establishing and maintaining an on-site physical protection system and security organization required by Federal law, or possession by an employee or contractor of such licensee on-site for such purposes or off-site for purposes of licensee-authorized training or transportation of nuclear materials;
`(C) the possession, by an individual who is retired from service with a law enforcement agency and is not otherwise prohibited from receiving a firearm, of a semiautomatic assault weapon transferred to the individual by the agency upon such retirement; or
`(D) the manufacture, transfer, or possession of a semiautomatic assault weapon by a licensed manufacturer or licensed importer for the purposes of testing or experimentation authorized by the Secretary.'.
Kozinski could and should have referred to this section in the main portion of his opinion.
Third, as any textualist would tell you, what a later Congress's view of the merits of the earlier Congress's actions is irrelevant to determining the meaning of the earlier Congress.
If there is no TEXTUAL explanation as to why sawed off shotguns gets one treatment and assault weapons get another, then one resorts to admitting that judges are policymakers, which textualism specifically rejects.
Sure, arming them is a bad idea, but that's a different question from severely punishing them (i.e., punishing them as if they committed a violent offense, even if they didn't) for creating their own weapons which may well be for defensive purposes. If the state regularly fails to provide a safe climate for prisoners, as Kozinski seems to admit, how can it punish them for trying to protect themselves? I can see an argument for trying to minimize the number of weapons due to the difficult "realities of prison management," but to charge someone with a crime for self-defense seems quite a bit excessive. Certainly it's easy to loathe prisoners because so many are scum, but if YOU were in prison trying to protect yourself from an affectionate gentleman named "Bubba" you would be singing a different tune.
Specifically, I think that his reasoning "So long as the item in question has substantial legitimate uses, its mere possession cannot, without more, constitute a crime of violence." is problematic since there are no legitimate uses; since the felon cannot legally possess the firearm, any use (including hunting and target shooting) is inherently illegal.
I think that the prison case (mentioned at the end of the decision) is a more fitting analogy, and should have guided Kozinski in reaching the opposite conclusion. The question posed, after all, isn't about lawfully possessed firearms in society at large, but illegally possessed firearms by felons.
For possession offenses, very few truly meet the requirement of that statute that possession alone creates serious potential risk of physical injury to another. Perhaps the court should go en banc to reconsider them.
I'm generally hard-nosed on criminal law questions, but I think it is a bad idea to expand enhancement provisions so broadly that they cover most cases. The purpose is to separate the truly bad dudes from the moderately bad dudes and differentiate their sentences accordingly. If everybody is classified truly bad, the purpose is defeated.
Don't ever do that. A mime is a terrible thing to waste.
reduction of environmental noise (being a good neighbor)
reduction in vaporized lead emissions from firearms.
Riiiight ... and mines are useful for killing large numbers of fish at once. Flamethrowers are great when your charcoal just won't catch. Not to mention that a tank is the logical next step for Hummer drivers.
I must admire the creativity of the silencer-ad author. It's all true, except that another prominent use for a silencer is killing people without being heard &thus caught.
(In a Thomas Harris book, a character tapes a 3-liter plastic Coke bottle around the muzzle of her pistol. Would that work? I think we have lots of gun-knowledgeable folks here.)
I personallay hate the term silencer, because it is a misnomer. The gun isn't silent, it is quieter though.
BTW, shooting through a pillow provides a similiar result.
When I was in the Navy, I was a nuclear power technician. The guards at the Naval Reactors Facility in Idaho carried H&K MP5 submachine guns with integrated suppressors and subsonic ammunition. They were very quiet. From about 30 feet away, you only heard the mechanical sounds of the gun's action sliding back and forth and the tinkle sound as the brass bounced on the asphalt. It was an amazing demonstration.
No soda bottle or pillow would ever compare.
Actually, I think you miss the issue in this case. I don't think the issue in this case is about "illegally possessed firearms by felons." Although the current conviction is for possession by a felon, the issue in the case is entirely about whether the prior state conviction should be properly used to enhance the sentence under the guidelines. The analysis in the opinion is entirely about whether that prior state conviction for possession of an assault weapon is a "crime of violence."
I posted on this very subject this morning HERE. Although it is not explicitly stated in the opinion, it seems to me that the only plausible inference is that Serna was *not* a felon at the time of the prior conviction. If he was, then I'd tend to agree with your rationale that there is no legitimate use of a weapon by him, a felon (at least under existing law where such possession is prohibited). My reading, though, is that there is nothing to suggest he was a felon at the time of the state court conviction that is the subject of this opinion.
I am not sure what point you are trying to make. The "prominent" use of silencers that you claim seems to exist more in the movies than in real life.
Should firearm manufacturers advertise that their products are sometimes use to commit homicide and robbery?
Or Ford advertise that its cars can be used for drive-by shooting and bank robberies?
What point are you trying to make, exactly?
I have to be more clear than I already was?
[POINT] The potentially legitimate uses of silencers are heavily outweighed by the social costs of allowing their use. [/POINT]
You know that suppressors are regulated but not prohibited by Federal law, right? California bans them, but other states (I believe Nevada and Arizona, among others) permit them.
The only question that matters (according to Supremes in Miller) is whether or not a "sound suppressor" - "has some reasonable relationship to the preservation or efficiency of a well regulated militia, ... . (and) that this weapon is any part of the ordinary military equipment or that its use could contribute to the common defense." See Below:
As do Navy SEALS and other Special Ops troops. In fact, as one of the most important missions of US Special Forces troops is working with indegenious troops (militia) it might just be that such a peice of "military equipment" is essential to military operating in the enemy's rear. During WWII US OSS developed a silenced firearm that was used by its operators on covert missions in Nazi occupied Europe. Some of these were even given to resistence members (militia) to carry out missions to "take out" key Nazi military officers.
Exactly what are the "social costs of allowing their use". The social benefits would include quieter "plinking", which has pretty high value on the "legitimate uses" scale, IMMHO.
It's not for nothing that I wear ear protection while hunting. If I could put it on the *gun* instead of my head, I could hear what was happening around me more easily.
Actually, I suppose the *chief* social value would actually be the marginal increase in our liberty. Is liberty not a value in this country anymore?