J. W. HARROTT, Plaintiff and Appellant, v. COUNTY OF KINGS et al., Defendants and Respondents.
No. S055064
Supreme Court of California
June 28, 2001
25 Cal. 4th 1138
John S. Dulcich for Plaintiff and Appellant.
Denis A. Eymil, County Counsel and William James Murphy, Deputy County Counsel, for Defendants and Respondents.
Morrison & Foerster, James P. Bennett, Barry R. Himmelstein; Dennis Henigan and Brian J. Siebel for Center to Prevent Handgun Violence, California Police Chiefs’ Association, California State Sheriffs’ Association, California Peace Officers’ Association and City and County of San Francisco as Amici Curiae on behalf of Defendants and Respondents.
OPINION
BROWN, J.—Mr. Harrott is an attorney. He received a gun collection in payment for legal services rendered to clients who had pleaded guilty to receiving stolen property. The Kings County Sheriff‘s Department, which was in possession of the gun collection, did not assert that one of the weapons, a semiautomatic rifle (the rifle), was stolen property, but nevertheless refused to deliver it to Mr. Harrott on the ground it was an assault weapon proscribed by the Roberti-Roos Assault Weapons Control Act of 1989 (Stats. 1989, ch. 19, § 3, p. 64; hereafter AWCA). Mr. Harrott brought this petition for writ of mandate to compel the sheriff‘s department to deliver the rifle to him. The trial court denied the writ, holding the rifle to be an assault weapon, and the Court of Appeal reversed. We granted review and held the case pending our decision in Kasler v. Lockyer (2000) 23 Cal.4th 472 [97 Cal.Rptr.2d 334, 2 P.3d 581] (Kasler).
In Kasler, supra, 23 Cal.4th 472, in the course of upholding the AWCA against various constitutional challenges, we summarized the statutory provisions that govern the question whether a semiautomatic firearm is considered an assault weapon. “Prior to amendment of the AWCA in 1999 (the 1999 amendments) (Stats. 1999, ch. 129, § 7 et seq.), semiautomatic firearms were designated as assault weapons by (1) being listed by type, series, and model in
In order to frame the question before us, we must be clear about what the trial court did not hold. First, because this case was tried prior to the adoption of the 1999 amendments, the trial court did not decide the rifle belonging to Mr. Harrott was an assault weapon under
There are two more statutory provisions that are critical to the framing of the issue in this case:
The California Department of Justice criminalist called by the County of Kings (County) testified the rifle was not in his opinion an AK series weapon. He reasoned as follows: Pursuant to
Nevertheless, the trial court held the rifle was an AK series weapon, and thus, an assault weapon. It did so on the theory that the ultimate legal question as to whether the rifle was an AK series weapon was a question for the court, not the Attorney General, to decide. The test to be applied by the decision maker is set out in
The question presented by this case, therefore, is whether the superior court had the authority to declare Mr. Harrott‘s rifle an AK series assault weapon under
and 86S. [] (B) Norinco 56, 56S, 84S, and 86S. [] (C) Poly Technologies AKS and AK47. [] (D) MAADI AK47 and ARM.”
We conclude the answer to this question is no, for reasons well stated by the Court of Appeal in reversing the judgment of the trial court. “The legislative history of the amendments to the [AWCA] reveals strong concern that law enforcement personnel be clearly advised which firearms are ‘assault weapons’ within the meaning of the [AWCA] so as to prevent erroneous confiscation of legal weapons. The Legislature‘s concern that such a list be current and completely inclusive is demonstrated by the requirement that when a firearm has been declared to be an assault weapon pursuant to a
Moreover, the Court of Appeal noted, “the Attorney General‘s list [must] be complete and accurate . . . [because]
The reasoning of the Court of Appeal was validated by our subsequent decision in In re Jorge M. (2000) 23 Cal.4th 866 [98 Cal.Rptr.2d 466, 4 P.3d 297] (Jorge M.). In Jorge M., we considered the question whether the offense of possession of an unregistered assault weapon (
As was mentioned above, prior to its amendment in 1999, the AWCA did not define assault weapons generically. In 1989, when the AWCA was originally enacted, the Legislature was sharply divided, and if the proponents of the legislation had insisted upon a generic definition, the bill would apparently have died in the Assembly that session. (Kasler, supra, 23 Cal.4th at p. 487.) Recognizing that the perfect can be the enemy of the good, the Legislature compromised and enacted an admittedly imperfect bill under which “semiautomatic firearms were designated as assault weapons by (1) being listed by type, series, and model in
Two points made in our discussion in Jorge M. bear significantly on the question before us now: (1) In order to determine whether a firearm is an assault weapon under the AWCA, an ordinary citizen will have to rely heavily on the markings listed in the Identification Guide; and (2) even after consulting the Identification Guide, the ordinary citizen may still not be able to determine whether the firearm is considered an assault weapon. “[W]e observe that
This case amply illustrates the difficulty an ordinary citizen might have, when a gun‘s markings are not listed in the Identification Guide, in determining whether a semiautomatic firearm should be considered an assault
Moreover, as the amicus curiae brief filed in support of Mr. Harrott by the National Rifle Association (NRA) points out, the authority claimed by the trial court here—to hold a firearm to be an assault weapon under
Moreover, the NRA argues, just as the Kings County Superior Court had no authority to pronounce Mr. Harrott‘s rifle an AK series assault weapon under
Although both the NRA and the Attorney General profess to find support for their positions in Kasler, in that opinion we expressly declined to reach the question of the Attorney General‘s authority under
There is an apparent tension between the authority conferred upon the Attorney General by
Our decision today—upholding the Attorney General‘s authority to identify series assault weapons pursuant to
As the AWCA was originally enacted in 1989,
When the AWCA was originally enacted, the Legislature clearly intended to reach all series assault weapons. In amending
This construction is consistent with one of the Legislature‘s primary purposes in amending the AWCA in 1991, which was to promote compliance with the requirement of
Our construction of the statute, holding that a trial court may not find a semiautomatic firearm to be a series assault weapon under
Our interpretation of
Ordinary gun owners of reasonable intelligence, Mr. Harrott contends, cannot be expected to know whether the differences between their semiautomatic firearms and the assault weapons specifically listed in
In Kasler, the Court of Appeal relied upon Springfield Armory, supra, 29 F.3d 250, in holding
“The questions raised by the Court of Appeal in Kasler,” we pointed out, “are not questions ordinary citizens must answer at their peril. Rather, they are questions the Attorney General must address in deciding whether to petition the superior court for a declaration of temporary suspension (
Just as the questions raised by the Court of Appeal in Kasler—what is a “slight” modification or a “redesign[]” within the meaning of
On the other hand, we reject the argument that a saving construction is unnecessary because the statute is applicable, not only to ordinary gun owners, but also to gun dealers, and the latter should be able to apply
Our construction of this statute to preserve its constitutionality is supported by the related rule of lenity. The latter rule applies even though this is not a criminal prosecution because the statute we are construing imposes criminal penalties. “In determining the meaning of [a] statute, we look not only to the particular statutory language, but to the design of the statute as a whole and to its object and policy. [Citations.] Moreover, [when] the governing standard is set forth in a criminal statute, it is appropriate to apply the rule of lenity in resolving any ambiguity in the ambit of the statute‘s coverage. To the extent that the language or history of [a statute] is uncertain, this ‘time-honored interpretive guideline’ serves to ensure both that there is fair warning of the boundaries of criminal conduct and that legislatures, not courts, define criminal liability. [Citations.]” (Crandon v. United States (1990) 494 U.S. 152, 158 [110 S.Ct. 997, 1001-1002, 108 L.Ed.2d 132]; see also United States v. Thompson/Center Arms Co. (1992) 504 U.S. 505, 517-518 [112 S.Ct. 2102, 2109-2110, 119 L.Ed.2d 308] [applying the rule of lenity in a federal firearms case involving a tax, not a criminal penalty].)
Finally, our construction of the AWCA—that a trial court may not find a firearm a series assault weapon unless it has been first identified as such in the list published by the Attorney General in the California Code of Regulations—comports with the Attorney General‘s own construction of the statute. The Attorney General has never supported the trial court‘s assertion of authority to find Mr. Harrott‘s rifle an AK series assault weapon. In the brief amicus curiae filed in this court, the Attorney General insists upon his exclusive authority to determine which firearms are series assault weapons. “Series firearms . . . have to be specified in a list promulgated by the Attorney General, filed with the Secretary of State and published in the California Code of Regulations pursuant to
The limits of our holding today warrant emphasis. Although we hold the Attorney General has the authority to determine that certain semiautomatic firearms are assault weapons by simply identifying them as such in the list published by the Attorney General in the California Code of Regulations, that authority applies only to the two types of firearms defined in
Our conclusion that the trial court exceeded its authority in declaring Mr. Harrott‘s rifle an AK series weapon under
CONCLUSION
The judgment of the Court of Appeal is affirmed and the matter remanded for further proceedings consistent with this opinion.
Kennard, J., Baxter, J., and Chin, J., concurred.
By today‘s decision, the majority eviscerates a key provision of California‘s Roberti-Roos Assault Weapons Control Act of 1989 (AWCA) that is directed at a type of assault weapon commonly used by drug dealers and gang members, the “AK series” semiautomatic rifle. In the face of the clearest possible statutory language—defining “assault weapon” for purposes of the AWCA to encompass “[a]ll AK series [rifles], including but not limited to, the models identified as follows . . .” (
I
As this court explained in Kasler v. Lockyer (2000) 23 Cal.4th 472, 477-478 [97 Cal.Rptr.2d 334, 2 P.3d 581], before the AWCA was amended
Although most of the weapons included in the list set forth in
“As used in this chapter [i.e., the AWCA], ‘assault weapon’ shall mean the following designated semiautomatic firearms:
“(a) All of the following specified rifles:
“(1) All AK series, including, but not limited to, the models identified as follows:
“(A) Made in China AK, AKM, AKS, AK47, AK47S, 56, 56S, 84S, and 86S.
“(B) Norinco 56, 56S, 84S, and 86S.
“(C) Poly Technologies AKS and AK47.
“(D) MAADI AK47 and ARM.” (Italics added.)
“(20) J&R ENG M-68.
“(21) Weaver Arms Nighthawk.
“(b) All of the following specified pistols:
“(1) UZI.
“(2) Encom MP-9 and MP-45.
“(3) The following MAC types:
“(A) RPB Industries Inc. sM10 and sM11.
“(B) SWD Incorporated M-11.
“(C) Advance Armament Inc. M-11.
“(D) Military Armament Corp. Ingram M-11.
“(4) Intratec TEC-9.
“(5) Sites Spectre.
“(6) Sterling MK-7.
“(7) Calico M-950.
“(8) Bushmaster Pistol.
“(c) All of the following specified shotguns:
“(1) Franchi SPAS 12 and LAW 12.
“(2) Striker 12.
“(3) The Streetsweeper type S/S Inc. SS/12.
“(d) Any firearm declared by the court pursuant to
“(e) The term ‘series’ includes all other models that are only variations, with minor differences, of those models listed in subdivision (a), regardless of the manufacturer.
“(f) This section is declaratory of existing law, as amended, and a clarification of the law and the Legislature‘s intent which bans the weapons enumerated in this section, the weapons included in the list promulgated by the Attorney General pursuant to
In light of this explicit statutory language, I believe the majority clearly is mistaken in concluding that only those AK series rifles specifically identified by make or model in
II
Not only is the majority‘s conclusion untenable in view of the plain language of the applicable statutory provisions, but the legislative history of the relevant portions of
When
“As used in this chapter, ‘assault weapon’ shall mean the following firearms known by trade names:
“(a) All of the following specified rifles:
“(1) Avtomat Kalashnikovs (AK) series.
“(2) Uzi and Galil.
“(3) Beretta AR-70 (SC-70).
“(5) Colt AR-15 series and CAR-15 series.
“[Listing other rifles in 18 additional separately numbered subparts ((6)—(23)) of subdivision (a).]” (Stats. 1989, ch. 19, § 3, p. 64.)
Although, as the quoted language indicates, two provisions of the 1989 version of
In addition to
Perhaps because the 1989 version of
As relevant here, the 1991 enactment amended
As amended in 1991,
“As used in this chapter, ‘assault weapon’ shall mean the following designated semiautomatic firearms:
“(a) All of the following specified rifles:
“(1) All AK series, including but not limited to, the models identified as follows:
“(A) Made in China AK, AKM, AKS, AK47, 56, 56S, 84S, and 86S.
“(B) Norinco 56, 56S, 84S, and 86S.
“(C) Poly Technologies AKS and AK47.
“(D) MAADI AK47 and ARM.
[Listing other rifles in 20 additional separately numbered subparts ((2)—(21)) of subdivision (a)].” (Stats. 1991, ch. 954, § 2, p. 4440, italics added.)
“(f) This section is declaratory of existing law, as amended, and a clarification of the law and the Legislature‘s intent which bans the weapons enumerated in this section, the weapons included in the list promulgated by the Attorney General pursuant to
Thus, as amended in 1991, the explicit language of
As the principal author of the 1991 amendment explained, the Legislature determined that such a clarification of the scope of
As the majority note, the 1991 amendments to
III
The majority is compelled to recognize that the “including, but not limited to” language of
The majority‘s conclusion that the “included but not limited to” language of
By its terms,
Indeed, under the majority‘s interpretation it appears that notwithstanding the Legislature‘s amendment of
In sum, the language and legislative history of the 1991 amendments of
The majority further suggests that its interpretation of
In any event, even if there may be some circumstances in which application of
Furthermore, although plaintiff J. W. Harrott is not a manufacturer or importer of weapons, it is equally clear that, on the facts of this case, Harrott cannot reasonably complain of a lack of adequate notice. As the majority‘s statement of facts discloses, Harrott never possessed the weapon in question, and thus he was not required to determine, subject to potential criminal sanctions, whether it was part of the AK series and therefore a restricted assault weapon. The sheriff expressly informed Harrott of the sheriff‘s belief that the rifle was part of the AK series, thereby giving Harrott ample notice that if he did gain possession of the gun he would be subject to criminal prosecution. Ultimately, the weapon‘s status under
Accordingly, the constitutional vagueness doctrine provides no justification for the majority‘s determination to read the provisions of
IV
Furthermore, contrary to the majority‘s assertion, this court‘s decision in In re Jorge M. (2000) 23 Cal.4th 866 lends no support to the majority‘s reading of the statute. Unlike Jorge M., the present case does not involve a criminal prosecution, and thus there is no
Similarly, the majority embraces a clearly specious argument when it endorses the contention of the National Rifle Association (NRA) that the trial court‘s interpretation of the statute is invalid because it “could lead to the same weapon being treated differently from county to county and even within the same county.” Whenever the terms of a statute are to be applied in the context of particular cases, there is always the possibility that different triers of fact may arrive at different conclusions on similar showings. Thus, even with regard to those semiautomatic weapons that are specifically listed by make and model in
V
Finally, on the record in this case, I believe the trial court properly found that the semiautomatic rifle in question is an “AK series” rifle under
As the majority acknowledges, the petition for writ of mandate filed by Harrott in the superior court itself identified the semiautomatic rifle in question as an “AK47 2822.” Nonetheless, Harrott contended in the trial court that the weapon does not fall within the category of “AK series” rifles within the meaning of
Two experts testified at the hearing in the trial court. Although both testified that the rifle is very similar both in appearance and in function to an AK rifle, and that they both would consider the rifle to be an “AK-type” weapon, the experts also testified that in their opinion the rifle is not an “AK series” weapon. Each expert acknowledged, however, that he based his opinion that the rifle was not an “AK series” rifle on the circumstance that, at the time of the hearing, the California Attorney General had taken the position that a weapon fell within the “AK series” only if the weapon had the “original markings and a nomenclature of a model and manufacturer.”
At the conclusion of the hearing, the trial court determined, on the basis of the factual matters to which the experts had testified, that the weapon in question constituted an “AK series” weapon as defined by the Legislature. The trial court explained that under the statutory language, “a weapon which merely looks like an AK47 would not, by that alone, be part of the AK series,” but that “a weapon which looks like an AK weapon and functions
In view of the evidence presented at the hearing, I believe the trial court properly found that the rifle in question is an “AK series” rifle under
Accordingly, I conclude that the judgment of the Court of Appeal, which overturned the ruling of the trial court, should be reversed.
Werdegar, J., concurred.
Notes
“As used in this chapter, ‘assault weapon’ shall mean the following designated semiautomatic firearms:
“(a) All of the following specified rifles:
“(1) All AK series including, but not limited to, the models identified as follows:
“(A) Made in China AK, AKM, AKS, AK47, AK47S, 56, 56S, 84S, and 86S.
“(B) Norinco 56, 56S, 84S, and 86S.
“(C) Poly Technologies AKS and AK47.
“(D) MAADI AK47 and ARM.
“(2) UZI and Galil.
“(3) Beretta AR-70.
“(4) CETME Sporter.
“(5) Colt AR-15 series.
“(6) Daewoo K-1, K-2, Max 1, Max 2, AR 100, and AR 110C.
“(7) Fabrique Nationale FAL, LAR, FNC, 308 Match, and Sporter.
“(8) MAS 223.
“(9) HK-91, HK-93, HK-94, and HK-PSG-1.
“(10) The following MAC types:
“(A) RPB Industries Inc. sM10 and sM11.
“(B) SWD Incorporated M11.
“(11) SKS with detachable magazine.
“(12) SIG AMT, PE-57, SG 550, and SG 551.
“(13) Springfield Armory BM59 and SAR-48.
“(14) Sterling MK-6.
“(15) Steyer AUG.
“(16) Valmet M62S, M71S, and M78S.
“(17) Armalite AR-180.
“(18) Bushmaster Assault Rifle.
“(19) Calico M-900.
Assistant Director Helsley‘s memorandum explains in pertinent part: “My function throughout the process was to generate lists of weapons to be banned or exempted. As these lists were produced, there was ongoing anxiety about how to describe the weapons in the legislation. The ‘AK’ is the best example. Our attempt to describe them had four distinct stages. They were:
- “• All AVTOMAT KALASHNIKOV semiautomatic rifles of military style.
- “• By model AKS, AKM, etc.
- “• By manufacturer or importer—Norinco, Poly Technologies, etc., and
- “• Finally by AVTOMAT KALASHNIKOVS (AK) series.
“The reasoning which led to the final ‘series’ description was based on four factors. They were:
- “• Not all AK‘s were of ‘military style.’
- “• Given the time frame involved, we were not convinced that we could determine all the manufacturers whose AK‘s ha[d] been imported.
- “• The use of model numbers/names was impractical as wholesalers were advertising weapons with designations that were at odds with the manufacturers description.
- “• Manufacturers emphasized the semiautomatic AK‘s lineage with the military version. Advertisements also referred to ‘series.‘”
The memorandum adds: “Since the law took effect, AK 47‘s have been assembled in the United States with a whole new set of model numbers. . . .”
“The Attorney General believed that by listing the most popular models in the AK series we would enhance public awareness and enforcement actions. You will note, however, that the list is not inclusive by the models listed because of the original legislative intent to regulate all AK models. . . .” (Sen. David Roberti, letter to Governor Wilson re: Sen. Bill 263 (1990-1991 Reg. Sess.) Sept. 19, 1991, italics added.)
Although Senator Roberti‘s letter does not refer explicitly to legislative debates or discussions and thus may not be relied upon to establish general legislative intent (see, e.g., California Teachers Assn. v. San Diego Community College Dist. (1981) 28 Cal.3d 692, 699-701), Senator Roberti‘s letter, like the letter by Senator Rogers to Governor Deukmejian referred to by the majority (see maj. opn., ante, p. 1147, fn. 4), provides a clear expression of the author‘s view of the measure, a view that is totally consistent with the legislative language and history.
Contemporary media accounts confirm that the proponents of the extended grace or amnesty period for registration obtained the necessary support for the passage of the 1991 legislation by agreeing to the revised provisions of
