Ncnb Corporation, a North Carolina Corporation North Carolina National Bank v. United States

684 F.2d 285, 50 A.F.T.R.2d (RIA) 5281, 1982 U.S. App. LEXIS 17487
CourtCourt of Appeals for the Fourth Circuit
DecidedJuly 13, 1982
Docket78-1771
StatusPublished
Cited by55 cases

This text of 684 F.2d 285 (Ncnb Corporation, a North Carolina Corporation North Carolina National Bank v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ncnb Corporation, a North Carolina Corporation North Carolina National Bank v. United States, 684 F.2d 285, 50 A.F.T.R.2d (RIA) 5281, 1982 U.S. App. LEXIS 17487 (4th Cir. 1982).

Opinions

WIDENER, Circuit Judge:

Appellee taxpayers, North Carolina National Bank and its parent NCNB Corporation, were granted a rehearing en banc of the panel decision in NCNB Corporation v. United States, 651 F.2d 942 (4th Cir. 1981), which reversed the district court and held for the United States. We now vacate the panel decision and affirm the judgment of the district court, although our reasoning may not be the same. S. E. C. v. Chenery, 318 U.S. 80, 63 S.Ct. 454, 87 L.Ed. 626 (1943).

I

At issue in this case is the proper treatment, for purposes of income tax computation, of certain expenditures incurred by NCNB in activities connected with its statewide branch banking system. North Carolina National Bank was formed in 1960 through the merger of banks in Charlotte and Greensboro; in subsequent years, NCNB, through other mergers and the opening of branches in numerous North Carolina cities, has become the largest bank in the state. In the period between 1970 and 1973, for instance, the bank opened 57 new branches, including 21 offices in cities where the bank had not previously had operations.

As part of the expansion process and as a part of branch banking which is its business, NCNB incurred a variety of expenses. Besides the obvious cost of constructing and equipping new facilities, the bank conducted various market and feasibility studies, devoted staff time to planning and implementing expansion projects, and completed the process by applying for permission from the Comptroller of the Currency to open and relocate various facilities. During the years 1965-70 the bank capitalized the costs connected with building and equipping new facilities, pursuant to Internal Revenue Code § 263. The taxpayer, however, deducted as current expenses other costs incurred in the expansion process, pursuant to IRC § 162. The Commissioner of Internal Revenue asserted a deficiency with respect to the bank’s tax returns, arguing that the costs taken as current expenses actually [287]*287should have been capitalized.1 The Commissioner maintained that none of the expenditures were current expenditures because they related to the production of future income. (651 F.2d at 947). The taxpayer paid the assessed deficiencies and then timely sued for refunds in the district coúrt. The trial court held for NCNB, concluding that the opening of a new branch bank “produces nothing corporeal or salable. It does not create a capital asset within the meaning of the Internal Revenue Code of 1954.” The expenditures at issue were thus ordinary and necessary expenses and deductible under IRC § 162(a), it held.

This court’s panel concluded, however, that the district court had applied an incorrect legal standard and reversed. 651 F.2d at 947. The panel majority reasoned that the propriety of deducting expenses must be considered in light of “[t]he rule expressed ... [in Richmond Television Corp. v. United States, 345 F.2d 901, 907 (4th Cir.), vacated on other grounds, 382 U.S. 68, 86 S.Ct. 233, 15 L.Ed.2d 143, original holding on this issue reaffirmed, 354 F.2d 410 (4th Cir. 1965) ] requiring the matching of revenues and costs in the appropriate accounting period.... ” 651 F.2d at 948. The panel concluded that benefits from the expenditures in question extended beyond the individual accounting years and thus the taxpayer could not deduct them as current expenses in the years incurred. Id. at 962-63.

II

The question of whether particular expenditures are more properly charged to current expense or capitalized has long been a point of contention between those taxed and the Internal Revenue Service. It is unnecessary for us to explain the accounting behind these confrontations as it is adequately explored in the panel opinion and elsewhere. 651 F.2d 948-53. Kg. S. Davidson, J. Schindler, C. Stickney & R. Weil, Financial Accounting, 279-299 (1976). It should be noted, though, that neither courts nor the accounting profession have devised a universal, foolproof method of distinguishing current expenses from capital costs. As the Court remarked: “The standard set up by the statute is not a rule of law; it is rather a way of life. Life in all its fullness must supply the answer to the riddle.” Welch v. Helvering, 290 U.S. 111, 115, 54 S.Ct. 8, 9, 78 L.Ed. 212 (1933).

Section 162(a) of the Internal Revenue Code sets forth five criteria for evaluating whether an expenditure is a current expense.

[A]n item must (1) be “paid or incurred during the taxable year,” (2) be for “carrying on any trade or business,” (3) be an “expense,” (4) be a “necessary” expense, and (5) be an “ordinary” expense.

Commissioner v. Lincoln Savings & Loan Association, 403 U.S. 345, 352, 91 S.Ct. 1893, 1898, 29 L.Ed.2d 519 (1971). The principal issue in this case as in most such cases is whether the expenditure is “ordinary and necessary.” The Supreme Court has grappled with the problem several times, initially in Welch v. Helvering, 290 U.S. 111, 54 S.Ct. 8, 78 L.Ed. 212 (1933). In Welch, a former officer of a bankrupt corporation paid several debts incurred by the corporation and then sought to deduct the expense as a cost necessary to protect his reputation. Id. at 112-13, 54 S.Ct. at 8-9. The Commissioner of Internal Revenue argued that the expenditures were capital in nature because they were not ordinary expenditures for an individual to make. Id. at 115,54 S.Ct. at 9. The Supreme Court agreed, noting, “Repu[288]*288tation and learning are akin to capital assets .... The money spent in acquiring them is well and wisely spent. It is not an ordinary expense.” Id. at 115-16, 54 S.Ct. at 9-10.

The Court has considered differences between capital and current expenditures several times subsequently,2 but most decisively in Commissioner v. Lincoln Savings & Loan Association, 403 U.S. 345, 91 S.Ct. 1893, 29 L.Ed.2d 519 (1971). Lincoln Savings & Loan concerned the deductibility of a payment by a savings institution to a reserve fund held by a federal agency. Id. at 348, 91 S.Ct. at 1896. In deciding whether the payment was a contribution to an asset or an expense, the Court said:

What is important and controlling, we feel, is that the ... payment serves to create or enhance for Lincoln what is essentially a separate and distinct additional asset and that, as an inevitable consequence, the payment is capital in nature and not an expense, let alone an ordinary expense, deductible under § 162(a)...

403 U.S. at 354, 91 S.Ct. at 1899. While concluding that the contribution to the reserve fund was capital, the Court in Lincoln Savings & Loan specifically rejected the argument that the expenditure was not deductible simply because it had an effect beyond one year:

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684 F.2d 285, 50 A.F.T.R.2d (RIA) 5281, 1982 U.S. App. LEXIS 17487, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ncnb-corporation-a-north-carolina-corporation-north-carolina-national-bank-ca4-1982.