United States v. David Wayne MarchantUnited States v. David Wayne Marchant
Defendant David Wayne Marchant appeals his convictions for making a false statement in the acquisition of a firearm,
The record before us reveals the following. On December 31, 1992 Defendant entered the J & R Pawn Shop in Albuquerque, New Mexico and pawned a rifle. On February 1, 1993 Defendant returned to the pawn shop to redeem the rifle. In order to legally receive the rifle under federal law, Defendant com
ATF Form 4473, titled “Firearms Transaction Record,” is one page, printed front and back, and consists of a “Section A” and a “Section B,” which the transferee and trans-feror/dealer execute respectively. A firearms transferee must complete Section A and disclose various information when obtaining a firearm from a federally licensed firearms dealer such as J & R Pawn Shop. The back of ATF Form 4473 explains to the transferee that “[t]he purpose of the information is to determine the eligibility of the buyer (transferee) to receive firearms under Federal Law.” Section A, part 8 informs the transferee that “[a]n untruthful answer may subject you to criminal prosecution.” Part 8(b) requires the transferee to disclose whether he or she had been convicted of a crime punishable by imprisonment for a term exceeding one year. On the back of the form, under the bold print heading, “Important Notices to Transferor (Seller) and Transferee (Buyer),” ATF Form 4473 states, “[t]he transferee (buyer) of a firearm should be familiar with the provisions of law. Generally, 18 U.S.C. 921-929 prohibit the ... receipt, or possession ... of a firearm by one who ... has been convicted of a crime punishable by imprisonment for a term exceeding one year....”
The transferee must present identification, “certify that the answers to the above are true and correct,” and sign the ATF Form 4473 directly beneath a statement that “I also understand that the making of any false oral or written statement ... with respect to this transaction is a crime punishable as a felony.” The back of ATF Form 4473 alerts the transferee that the “information is subject to inspection by ATF officers.”
Defendant produced his New Mexico Driver’s License for identification to the J & R Pawn Shop employee, and indicated on the ATF Form 4473, Section A, part 8(b) that he had not been convicted of a crime punishable by imprisonment for a term exceeding one year. By his signature, Defendant certified that the answers were true and correct. Defendant redeemed the rifle and left J & R Pawn Shop.
The next day, February 2,1993, New Mexico Probation-Parole Officers George Drake and Maurice Gonzales went to J & R Pawn Shop to investigate a report that a probationer, not Defendant, had purchased a firearm there. Probation-Parole Officer Drake' obtained permission from Jack Parks, owner of J & R Pawn Shop, to review the ATF Form 4473s that Parks kept on file as required by federal law. In their review of the records, Probation-Parole Officers Drake and Gonzales discovered the ATF Form 4473 Defendant had filled out when he redeemed the rifle the day before. Probation-Parole Officer Drake noticed that Defendant had indicated he had not been convicted of a crime punishable by imprisonment for a term exceeding one year. Probation-Parole Officer Drake, however, knew Defendant was a convicted felon, and had been convicted of a crime punishable by a term of imprisonment in excess of one year.
Probation-Parole Officer Drake contacted Bureau of Alcohol, Tobacco, and Firearms (“BATF”) Special Agent Frank Ortiz and informed him that Defendant, a convicted felon, had obtained a firearm at the J & R Pawn Shop. On February 2, 1993, Special Agent Ortiz retrieved from the J & R Pawn Shop the ATF Form 4473 Defendant had completed and obtained a search warrant for Defendant’s residence.
ATF agents executed the search warrant at Defendant’s residence on February 5, 1993. During the search, ATF agents found the rifle described in the ATF Form 4473
On April 7, ■ 1993, a federal grand jury charged Defendant in a two-count indictment with making a false statement in the acquisition of a firearm,
On appeal, Defendant argues the district court erred in denying his motion to suppress. Specifically, Defendant contends that the district court erred in concluding that under the GCA and FOPA he did not have a reasonable expectation of privacy in ATF Form 4473 and thereby lacked Fourth Amendment standing to contest the initial inspection of the form by Probation-Parole Officers Drake and Gonzales. 2
On appeal from the denial of a motion to suppress, we view the evidence in the light most favorable to the district court’s ruling, and will uphold the district court’s factual findings unless they are clearly erroneous.
United States v. Flores,
In order to challenge the lawfulness of a search and seizure under the Fourth Amendment, a defendant must first establish his or her standing to do so.
See United States v. Deninno,
To determine whether a search violated the Fourth Amendment rights of the defendant, we inquire whether the defendant has established: (1) a subjective expectation of privacy in the property searched, and (2) that society would recognize that expectation of privacy as objectively reasonable.
Betancur,
Congress enacted the GCA because “it was concerned with the widespread traffic in firearms and with their general availability to those whose possession thereof was contrary to the public interest.”
Huddleston v. United States,
Pursuant to § 923(g) of the GCA, the Treasury Department’s BATF developed ATF Form 4473 and required federally licensed firearms dealers to maintain records of the sale or disposition of firearms.
See
Pub.L. No. 90-618, § 923(g), 82 Stat. 1213 (1968) (codified as amended at
Congress enacted FOPA in 1986 to amend and clarify various aspects of the GCA, and “to direct the enforcement efforts of the BATF away from what Congress viewed as unintentional and technical violations of the Gun Control Act toward what Congress perceived as more ‘serious, intentional criminals.’ ”
United States v. Cassidy,
FOPA replaced the GCA’s broad authorization to the BATF to make warrantless inspections of ATF Form 4473s “at all reasonable times,” with a more defined range of inspection powers. Section 103 of FOPA required a warrant issued by a magistrate and a showing of reasonable cause to believe evidence of a violation may be found before the BATF could inspect firearms records in the possession of a firearms dealer. Pub.L. No. 99-308, § 103(g)(1)(A), 100 Stat. 449, 454 (1986) (codified at 18 U.S.C. §. 923(g)(1)(A)). “Three exceptions, however, nearly swallow this rule.” Hardy,
supra,
at 654. FOPA specified that BATF needed neither a warrant nor reasonable cause for (1) a reasonable inquiry in the course of a criminal investigation; (2) an annual inspection for ensuring regulatory compliance; and (3) tracing a firearm in the course of a bona fide criminal investigation. Pub.L. No. 99-308, § 103(g)(1)(B), 100 Stat. 449, 454 (1986) (codified at
In order to “enhance the ability of law enforcement to fight violent crime,” H.R.Rep. No. 495, 99th Cong., 2d Sess. 1 (1986),
reprinted in
1986 U.S.C.C.A.N. 1327, 1327, FOPA increased the classes of persons prohibited from possessing or receiving firearms under the GCA from four to seven. Section 102 of FOPA specified that persons are prohibited from receiving, possessing, or transporting firearms in interstate commerce if they are or have been: (1) convicted of a felony; (2) a fugitive from justice; (3) an unlawful user or addicted to a controlled substance; (4) adjudicated as a mental defective; (5) dishonorably discharged from the Armed Forces; (6) an illegal alien; or (7) renounced their United States Citizenship. Pub.L. No. 99-308, § 102, 100 Stat. 449, 452 (1986) (codified at
Finally, FOPA authorized the BATF to “make available to any Federal, State, or local law enforcement agency any information which he may obtain by reason of this chapter with respect to the identification of persons prohibited from purchasing or receiving firearms ... and he may provide information ... when so requested by any Federal, State, or local law enforcement agency.” Pub.L. No. 99-308, § 103(g)(1)(D), 100 Stat. 449, 455 (1986) (codified at
With this overview of the relevant statutory framework, we address Defendant’s contention that he has standing under the Fourth Amendment to contest Probation-Parole Officers Drake and Gonzales’ inspection of the ATF Form 4473 at J & R Pawn Shop. Defendant argues he has a reasonable expectation of privacy in ATF Form 4473 pursuant to the GCA as amended by FOPA because: (1) Congress amended the GCA to restrict state law enforcement and public access to firearms records in the
Defendant first contends that pursuant to • the GCA as amended by FOPA, he has an objectively reasonable expectation of privacy in ATF Form 4473 because Congress “manifested an intent to protect the privacy interests of firearms owners in maintaining the confidentiality of their ownership and possession of a firearm.” Aplt.Br. at 14. Specifically, Defendant argues that the original GCA allowed any law enforcement agency or the public-at-large to inspect ATF Form 4473s. Aplt.Br. at 16. In contrast, FOPA, according to Defendant, revised the GCA and exclusively authorized the BATF to inspect firearms records in the possession of federally licensed dealers. Thus, argues Defendant, by severely curtailing law enforcement and public access, Congress manifested an intent to create a reasonable expectation of privacy in firearms records in the possession of federally licensed firearms dealers in order to protect Second Amendment freedoms.
Defendant’s argument rests upon a faulty premise. Contrary to Defendant’s characterization, the original GCA did not grant state law enforcement agencies or the public war-rantless inspection authority to examine ATF Form 4473s in the possession of federally licensed firearms dealers. Rather,
Defendant next argues that he has a reasonable expectation of privacy that the information contained in ATF Form 4473 would remain confidential from state law enforcement unless they first obtained it through the BATF. Because the GCA as amended by FOPA allows state law enforcement agents to request information contained in ATF Form 4473s from the BATF,
; We reject Defendant’s argument because it disregards the significance of his status as a prohibited person under
This legislative distinction between law-abiding citizens and persons prohibited from possessing or receiving firearms under
Additionally, the contents of ATF Form 4473 support our conclusion that Defendant has failed to establish a reasonable expectation of privacy in the document. ATF Form 4473 did not advise Defendant that the information elicited was private, or that it would remain confidential. Instead, Section A, part 8 of ATF Form 4473 informed Defendant that “[a]n untruthful answer may subject you to criminal prosecution.” The back of ATF Form 4473 alerted Defendant that “the information is subject to inspection by ATF officers.” Beneath that warning, ATF Form 4473 listed persons prohibited under federal law from possessing or receiving firearms, including persons “convicted or a crime punishable by imprisonment for a term exceeding one year.” However, Defendant penned “No” in answer to the question “[hjave you been convicted in any court of a crime punishable by imprisonment for a term exceeding one year?” Finally, Defendant signed his name under the sentence “I also understand that the making of any false oral or written statement ... with respect to this transaction is a crime punishable as a felony.” Thus, ATF Form 4473 warned Defendant that the information was not private, and could lead to criminal prosecution. Defendant’s voluntary release of the information on ATF Form 4473 to J & R Pawn Shop therefore undermines his claim of an objectively reasonable expectation of privacy.
Finally, Defendant’s inability to assert lawful possession, ownership, or control of J & R Pawn Shop or the ATF Form 4473 that
In sum, we hold that Defendant has failed to establish that his “ ‘claim to privacy from governmental intrusion is reasonable in light of all the surrounding circumstances.’ ”
Leary,
AFFIRMED.
Notes
. Federal regulations provide that federally licensed firearms dealers, including pawnbrokers, "shall not sell or otherwise dispose, temporarily or permanently, of any firearm to any person ... unless the licensee records the transaction on a firearms transaction record, Form 4473.”
. Defendant also argues on appeal that the district court erred in concluding that Jack Parks, owner of J & R Pawn Shop, had the capacity to consent to the warrantless inspection of ATF Form 4473 by Probation-Parole Officers Drake and Gonzales. Because we conclude that Defendant lacks standing to challenge the examination of the ATF Form 4473 at J & R Pawn Shop, we need not determine whether Jack Parks had the capacity to consent to the warrantless inspection of the ATF Form 4473.
. We believe Defendant's subjective expectation of privacy in ATF Form 4473 amounts to nothing more than "a subjective expectation of not being discovered."
Rakas,
439 U.S at 143 n. 12,