Lead Opinion
Appellant Squires was indicted on two counts. The first charged a violation of 18 U.S.C. §§ 922(a) (6)
The following outline of the facts appears to be undisputed. On December 20, 1968, one John Tortora appeared at Ed Agramonte, Inc., a sporting goods store in Yonkers, New York, which was licensed by the Government to sell firearms. Tortora ordered a .30 caliber carbine, asked to have an engraved nameplate bearing his son’s name placed on the gun, made a deposit on the purchase price, and agreed to return a few days later in order to take delivery. Appellant Squires, who was known to Mr. Agramonte as the operator of a nearby furniture store, accompanied Tortora on this occasion.
On December 24, 1968, Tortora returned to the store to pick up the gun, but was told that before he could take it he would have to produce a driver’s license or other suitable identification to be listed on a federal form. Tortora stated that he did not have such identification but would return later, and he left without the gun. A few hours later Tortora, accompanied by Squires, returned to the store. Squires informed Agramonte that he was there to pick up Tortora’s gun. Agramonte told Squires that he would have to present proper identification and was required to fill out certain necessary government forms. Agramonte then referred Squires and Tortora to his wife who was acting as bookkeeper.
Squires and Tortora explained the situation to Mrs. Agramonte who, on the basis of information listed on Squires’s automobile registration, then drew up a new bill of sale and a Form 4473
The only factual dispute centers around the signing of the Form 4473 by Squires. Mrs. Agramonte testified that, after she had prepared the form, she told Squires to read it and sign it. However, she could not remember whether she explained to him, as later became her custom, that the form was for the purpose of keeping guns out of the hands of drug users and criminals. Squires testified that Mrs. Agramonte merely told him to sign the form and that his understanding was that the completion of the form by filling in the required information was only a bookkeeping formality. He further testified that he did not read the form because the store was crowded and he did not wish to delay the customers waiting behind him. He denied any knowledge, at that time, of the prohibitions of the statutes cited in the certification statement.
It was stipulated that Squires had been convicted on a guilty plea in August 1964 of conspiring to violate 18 U.S.C. §§ 2314 and 2315 and it was also stipulated that the rifle being purchased at the Agramonte store had been transported in interstate commerce. Because of this 1964 conviction, Squires concedes that his certification on the Form 4473 which he signed was false.
At trial defense counsel requested a jury instruction to the effect that the jury could consider whether Form 4473 was reasonably designed to give a person adequate warning as to the gravamen of the certification. The denial of this request is assigned as error. In addition, when it became apparent that a government-submitted charge on recklessness was about to be accepted, defense counsel submitted a less stringent instruction on the issue and this substituted request was substantially accepted by the court.
Defense counsel, for the purpose of highlighting the lack of clarity in the form which Squires signed, attempted unsuccessfully to introduce into evidence a copy of Revised Form 4473 which was promulgated six months
As both assignments of error hinge on the proper definition of “knowingly” within the meaning of the statute, we turn first for enlightenment to the legislative history of the statute. The committee reports state that § 922(a) (6) “prohibits the making of false statements or the use of any deceitful practice {both knowingly) by a person in connection with the acquisition or attempted acquisition of a firearm.”
When knowledge of the existence of a particular fact is an element of an offense, such knowledge is established if a person is aware of a high probability of its existence, unless he actually believes that it does not exist.
Leary v. United States, 395 U.S. 6, 46 n. 93, 89 S.Ct. 1532, 23 L.Ed.2d 57 (1969), citing Model Penal Code 27 (A.L.I. Prop.Official Draft, 1962). This formulation is merely a more comprehensive version of the lay definition of “knowledge” in that it recognizes that there are many facts which one does not “know with certainty,” and it comports with the use of “knowingly” in other criminal statutes. See, e. g., Pauldino v. United States, 379 F.2d 170 (10 Cir. 1967); Freije v. United States, 386 F.2d 408 (1 Cir. 1967), on appeal after remand, 408 F.2d 100 (1 Cir.), cert. denied, Saia v. United States, 396 U.S. 859, 90 S.Ct. 129, 24 L.Ed.2d 111 (1969); Popeko v. United States, 294 F.2d 168, 170 (5 Cir. 1961), cert. denied, 374 U.S. 835, 83 S.Ct. 1883, 10 L.Ed.2d 1056 (1963); United States v. Hines, 256 F.2d 561, 563-564 (2 Cir. 1958); Graves v. United States, 252 F.2d 878 (9 Cir. 1958); Bateman v. United States, 212 F.2d 61, 70 and n. 6 (9 Cir. 1954). The cases cited by the Government that deal with the enforcement of the Securities laws are distinguishable. In those areas of fiduciary responsibility the persons issuing statements are under an affirmative duty to investigate, and it is entirely appropriate to include “should have known” within the definition of “know.” We find those cases inapplicable here and we adopt the Model Penal Code formulation for the purposes of the statutes at issue in this case.
Inasmuch as knowledge is a specific element of the crime proscribed
Turning from general principles to the present case, we find that the trial judge instructed the jury: “Thus, if you find * * * that had [the defendant Squires] read the form he would have known that he was prohibited from receiving the firearm, * * * you may find that the defendant acted wilfully and knowingly, even though he was actually ignorant of the prohibition of this statute.” The primary error in this instruction is that it is internally inconsistent. If Squires “were actually ignorant of the prohibition of [the statutes cited in the form],” it should be evident that “had he read the form” he would not “have known he was prohibited from receiving the firearm.”
In conclusion, the errors below resulted primarily from the sincere efforts of a distinguished judge to deal with the unnecessary issues introduced by the inadequate drafting of the original Form 4473. Although ignorance of the law may conceivably arise as an issue even with the revised form, we expect that the revised form will eliminate much of the difficulty in the prosecution of eases under § 922(a) (6). The judgment of conviction is reversed, and the case is remanded for retrial on the first count.
. § 922(a) (6) provides:
(a) It shall be unlawful—
¡k # if: £ *
(6) for any person in connection with the acquisition or attempted acquisition of any firearm or ammunition from a licensed importer, licensed manufacturer, licensed dealer, or licensed collector, knowingly to make any false or fictitious oral or written statement or to furnish or exhibit any false, fictitious, or misrepresented identification, intended or likely to deceive such importer, manufacturer, dealer, or collector with respect to any fact material to the lawfulness of the sale or other disposition of such firearm or ammunition under tlie provisions of this chapter.
. § 924(a) provides in pertinent part:
Whoever violates any provision of this chapter * * * shall be fined not more than $5,000, or imprisoned not more than five years, or both, and shall become eligible for parole as the Board of Parole shall determine.
. § 922(h) provides in pertinent part:
(h) It shall be unlawful for any person—
(1) who is under indictment for, or who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year;
sk * ❖ * *
to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce.
. A facsimile of the form signed by the appellant, the Department of Treasury— Internal Revenue Service Form 4473, captioned “Firearms Transaction Rec-
The Gun Control Act became effective on December 16, 1968, only eight days before the transaction in question. Section 105 of Pub.L. 90-618. Thus, if Squires had signed the certification nine days earlier, he would not have been making a false statement.
. The judge instructed:
Thus, if you find:
(1) That the defendant was shown Form 4473;
(2) That he was told to read it before signing;
(3) That had he read the form he would have known he was prohibited from receiving the firearm; and
(4) His signing the form without reading it was so unjustified by the circumstances surrounding the transaction that it was reckless conduct—
• — you may find that the defendant acted wilfully and knowingly, even though he was actually ignorant of the prohibition of this statute.
. See supra note 4.
. I certify that: (1) I am neither under indictment for, nor have I been convicted of, a crime punishable by imprisonment for a term exceeding one year;
(2) I am not a fugitive from justice;
(3) I am not an unlawful user of, or addicted to marihuana or a depressant, stimulant or narcotic drug; (4) I have not been adjudicated mentally defective and I have never been committed to a mental institution; (5) I have not been discharged from the Armed Forces under dishonorable conditions; (6) I am not an alien illegally in the United States; and (7) I am not a person who, having been a citizen of the United States, has renounced his citizenship.
. Senate Rep.No.1501, 90th Cong., 2d Sess. 33 (1968) ; House Rep.No.1577, 90th Cong., 2d Sess. 13 (1968) (emphasis added). The reports are reproduced in 1968 U.S.Code Cong. & Admin.News, p. 4410.
. This same inconsistency is found in the prosecution’s requested instruction.
. It appears that this latter problem, ignorance of the law, will be in large part eliminated from future prosecutions by the use by transferors of Revised Form 4473. See supra note 7 and accompanying text.
. We consider that there is sufficient evidence that an accused transferee deliberately failed to read the form if the transferee’s attention is unambiguously alerted, either by the transferor or by the form, to the necessity of reading the form before signing it, and if, despite this warning, the transferee neglects to read the form. On this point, as the trial judge instructed, all the circumstances surrounding the transaction are to be considered in determining whether the transferee was adequately alerted to the necessity of reading the form.
. The case of United States v. Abrams, 427 F.2d 86 (2 Cir.), cert. denied, 400 U.S. 832, 91 S.Ct. 64, 27 L.Ed.2d 63 (1970), cited by the Government, supports our decision in the present case. In Abrew»* the court stated, with reference to a conviction for making a false statement in an affidavit requesting a stay in immigration proceedings, “the jury could have found from the evidence that appellant acted with reckless disregard of whether the statements made were true and with a conscious purpose to avoid learning the truth.” 427 F.2d at 91 (emphasis added). In the instant case the error in the court’s instructions lies in the failure to require “conscious avoidance” by Squires both as to what the form said and as to the import of the cited statutes in relation to his certification.
Concurrence Opinion
(concurring):
I concur in the reversal of the judgment of conviction but for reasons differing somewhat from those expressed in the majority opinion. My problem is how to reconcile my own belief that the defendant did not “knowingly” commit the crime (1) with the trial court’s charge correctly (in my opinion) defining “knowingly” and (2) without usurping the fact-finding function of the jury.
Finding no errors of commission, I am quite convinced that an error of omission may well have been of vital importance to the jury’s deliberations, namely, the failure to direct the jury to consider whether Form 4473 was reasonably designed to give a person adequate warning as to the representations as to which he was certifying.
The government’s case depends almost entirely on the form which Squires signed. The first page of the form (Appendix hereto) is relied on by the government to establish notice. The only place for the transferee’s (the purchaser’s) signature is in a section entitled “Section B — Statement of Transferee” and under a paragraph reading as follows:
“I certify that I am not prohibited by the provisions of Chapter 44 of Title 18, United States Code, or Title VII of the Omnibus Crime Control and Safe Streets Act of 1968 (Public Law 90-351, as amended, 18 U.S.C., Appendix) from receiving a firearm in interstate or foreign commerce.”
A purchaser, while in the process of transacting a purchase and certainly under the circumstances attendant to the purchase here, could hardly be expected to hire a lawyer or go to a law library to ascertain the prohibitions of the statute. Moreover, the “Notice to Transferees” which contains the prohibitions is relegated to a position at the bottom of the form and far below any place for a transferee’s (purchaser’s) signature which might well escape his attention. Normally, a subscriber certifies or attests to that which appears above his
Since Congress made “knowingly” an essential element of the crime, I, therefore, would be better satisfied of Squires’ guilt had the element of notice been stressed in the instructions insofar as this particular form and its format were concerned.
