United States v. Herbert Lee Thomas

531 F.2d 419
CourtCourt of Appeals for the Ninth Circuit
DecidedMay 24, 1976
Docket75--2417
StatusPublished
Cited by19 cases

This text of 531 F.2d 419 (United States v. Herbert Lee Thomas) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Herbert Lee Thomas, 531 F.2d 419 (9th Cir. 1976).

Opinions

OPINION

Before BARNES, HUFSTEDLER and WRIGHT, Circuit Judges.

BARNES, Circuit Judge:

Appellant appeals from his conviction on two counts by a jury of the possession and [420]*420transfer of an unregistered firearm. We affirm each conviction.

On or about August 9, 1974, defendant-appellant pawned a firearm, described as “a short barrel rifle, .22 caliber, serial number 43070” at the A.B.C. Loan Co. on South Central Street, Los Angeles.

The “rifle” was later measured and had a barrel length of 8V2 inches, and an overall length of 16V2 inches. This “rifle” was not registered to appellant, nor was it registered under the “National Firearms Registration and Transfer Record” as kept by the Federal Government, in violation of 26 U.S.C. Sec. 5841, nor was a tax paid upon such transfer, 26 U.S.C. Sec. 5811.

The possession of such an unregistered firearm is prohibited under 26 U.S.C. Sec. 5861(d). The transfer of such a firearm is prohibited under 26 U.S.C. Sec. 5861(e). A firearm means a rifle having a barrel . of less than 16 inches in length, 26 U.S.C. Sec. 5845(a)(3), or a weapon made from a rifle if such weapon as modified has an overall length of less than 26 inches, or a barrel ... of less than 16 inches in length, 26 U.S.C. Sec. 5845(a)(4).

The firearm was test fired by the government by firing three rounds of “.22 short, long and long rifle rimfire cartridges,” and found fully operable.

The term “transfer” includes selling, assigning, pledging, leasing, loaning, giving away, or otherwise disposing of.

Appellant asserted when arrested (and at trial produced evidence in his behalf) that he had found the firearm while horseback riding with friends; that it was badly rusted and corroded; that he had thought it was an antique pistol; that he had cleaned it up and had hung it on his wall as a souvenir; that he had never attempted to fire it. Appellant admitted he had pawned the gun.

26 U.S.C. Sec. 5845(a) provides that the term “firearm” shall not include “an antique firearm or any device which, although designed as a weapon, the Secretary or (his) delegate finds by reason of the date of its manufacture, value, design, and other characteristics is primarily a collector’s item and is not likely to be used as a weapon.” No such finding was here proved nor was any attempt made to prove it. The evidence in fact was to the contrary.

26 U.S.C. Sec. 5845(g) includes a further definition of an “antique firearm” as one not using rimfire or “center fire ignition with fixed ammunition and manufactured in or before 1898 . . . and also any firearm using fixed ammunition” which ammunition is no longer manufactured in the United States. No such proof was here offered nor was any attempt made to prove it. The evidence, in fact, was to the contrary.

Defendant’s only defense was to offer proof that he found the weapon on the ground under trash; of his sincere belief that it was “an antique pistol,” and that he believed he was not required to register it.

The worth of defendant’s defense, resting on his belief that the firearm was an antique firearm, was challenged by the prosecution, in conference with the court prior to trial, in the presence of defendant’s counsel. The trial court ruled in favor of the prosecution. The court held the fact that the defendant did not know that the firearm must be registered, or that it had not been registered, or that it was not an antique, or that it was operable, were all immaterial to the case.

The jury during its deliberations, asked the court:

“Does the defendant have to know that the firearm is a short barrel rifle?”

and the court answered:

“No, the defendant does not have to know that the firearm is a short-barrel rifle. The jury must determine from the evidence however whether or not the firearm is a rifle with a barrel less than 16 inches. Please keep in mind all the other instructions given by the court.”

No attack is herein made upon this instruction, but upon (1) the court’s refusal to give defendant’s proposed Instructions No. [421]*421One1 relating to the knowing possession of a firearm, and Two 2 relating to the knowing transfer of a firearm and (2) the court’s refusal to give defendant’s proposed Instruction No. Three.3 4Also raised is the question whether the court erred in limiting direct and cross-examination of witnesses.

Defendant’s proposed and refused instructions were offered to raise the defense of “mistake of fact.” The trial court held mistake of fact was no defense. The court gave the government’s proposed Instruction No. 7, after modifying it, as follows:

“There is no requirement that the defendant be shown to have a specific intent to commit the crime. The Government does not need to show that the defendant, Herbert Lee Thomas, knew that the firearm was not registered or that he knew he was required to register it. The only knowledge which the Government needs to prove is that the firearm was in his possession.”

As is well summarized in Devitt and Blackmar, 2d Ed., 1973-74 Supplemental Service, Sec. 34.10:

“It is not necessary that the defendant have knowledge of every feature of a firearm that might subject it to special requirements. All that is necessary is that he have sufficient knowledge to realize that it approaches the area of regulation. United States v. DeBartolo, 482 F.2d 312 (1st Cir. 1973).”

This comment is based on an interpretation quoted in United States v. DeBartolo, 482 F.2d 312 (1st Cir. 1973), of a Supreme Court case decided subsequent to United States v. Freed, 401 U.S. 601, 91 S.Ct. 1112, 28 L.Ed.2d 356 (1971) [i. e., United States v. International Minerals & Chemical Corp., 402 U.S. 558, at 564-65, 91 S.Ct. 1697, 29 L.Ed.2d 178 (1971)], where the Supreme Court said:

" ‘In Balint [U. S. v. Balint, 258 U.S. 250, 42 S.Ct. 301, 66 L.Ed. 604] the Court was dealing with drugs, in Freed with hand grenades, in this case with sulfuric acid and other dangerous acids. Pencils, dental floss, paper clips may also be regulated. But they may be the type of products which might raise substantial due process questions if Congress did not require . . . “mens rea” as to each ingredient of the offense. But where, as here and as in Balint and Freed, dangerous or deleterious devices or products or obnoxious waste materials are involved, the probability of regulation is so great that anyone who is aware that he is in possession of them or dealing with them must be presumed to be aware of the regulations.’ 4 (emphasis added).

The DeBartolo opinion also said:

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United States v. Herbert Lee Thomas
531 F.2d 419 (Ninth Circuit, 1976)

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531 F.2d 419, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-herbert-lee-thomas-ca9-1976.