Guedes v. Bureau of Alcohol, Tobacco, Firearms
Guedes v. Bureau of Alcohol, Tobacco, Firearms
Opinion
In October 2017, a lone gunman armed with bump-stock-enhanced semiautomatic weapons murdered 58 people and wounded hundreds more in a mass shooting at a concert in Las Vegas, Nevada. In the wake of that tragedy, the Bureau of Alcohol, Tobacco, Firearms and Explosives ("Bureau") promulgated through formal notice-and-comment proceedings a rule that classifies bump-stock devices as machine guns under the National Firearms Act,
I
A
The National Firearms Act (i) regulates the production, dealing in, possession, transfer, import, and export of covered firearms; (ii) creates a national firearms registry; and (iii) imposes taxes on firearms importers, manufacturers, and dealers, as well as specified transfers of covered firearms.
The firearms subject to regulation and registration under the National Firearms Act include "machinegun[s]."
The definition also covers "the frame or receiver of any such weapon," as well as "any part" or "combination of parts designed and intended, for use in converting a weapon into a machinegun," and "any combination of parts from which a machinegun can be assembled" as long as those "parts are in the possession or under the control of a person." Id .
Congress expressly charged the Attorney General with the "administration and enforcement" of the National Firearms Act,
The Gun Control Act of 1968,
The Attorney General has delegated the responsibility for administering and enforcing the National Firearms Act and the Gun Control Act to the Bureau.
See
B
1
Machine guns are generally prohibited by federal law.
See
A "bump stock" is a device that replaces the standard stationary stock of a semiautomatic rifle-the part of the rifle that typically rests against the shooter's shoulder-with a non-stationary, sliding stock that allows the shooter to rapidly increase the rate of fire, approximating that of an automatic weapon.
Exercising his regulatory authority, the Attorney General first included a bump-stock type device within the statutory definition of "machinegun" in 2006.
See
ATF Ruling 2006-2;
see also
Akins v. United States
,
2
On October 1, 2017, a shooter used multiple semiautomatic rifles equipped with bump stocks to fire several hundred rounds of ammunition into a crowd of concert
attendees within a roughly ten-minute span of time. The " 'rapid fire' operation" of the shooter's weapons enabled by the bump stocks left 58 dead and approximately 500 wounded.
The Las Vegas massacre prompted an immediate outcry from the public and members of Congress.
See
Guedes
,
The Bureau promulgated its final rule on December 26, 2018. With respect to the statutory definition of machine gun, the Bump-Stock Rule provided that the National Firearms Act's use of "the term 'automatically' as it modifies 'shoots, is designed to shoot, or can be readily restored to shoot,' "
In light of those definitions, the Bump-Stock Rule concluded that the statutory term " 'machinegun' includes a bump-stock-type device"-that is, "a device that allows a semiautomatic firearm to shoot more than one shot with a single pull of the trigger by harnessing the recoil energy of the semiautomatic firearm to which it is affixed so that the trigger resets and continues firing without additional physical manipulation of the trigger by the shooter." 83 Fed. Reg. at 66,553-66,554 (codified at
In adopting the Bump-Stock Rule, the Bureau relied on both the "plain meaning" of the statute and the agency's charge to implement the National Firearms Act and the Gun Control Act. 83 Fed. Reg. at 66,527 (citing and invoking
Chevron, U.S.A. v. Natural Res. Def. Council
,
The Bureau was explicit that the Bump-Stock Rule would only become "effective" on March 26, 2019, ninety days after promulgation. 83 Fed. Reg. at 66,514. The Bureau further assured that individuals would be subject to "criminal liability only for possessing bump-stock-type devices af ter the effective date of regulation, not for possession before that date." Id . at 66,525; see also id . (providing that the Rule "criminalize[s] only future conduct, not past possession of bump-stock-type devices that ceases by the effective date"); id . at 66,539 ("To the extent that owners timely destroy or abandon these bumpstock-type devices, they will not be in violation of the law[.]"). Bump-stock owners were directed to destroy their devices or leave them at a Bureau office by March 26, 2019. Id. at 66,514.
Although most of the rulemaking process occurred during the tenure of Attorney General Jefferson Sessions, he resigned his office on November 7, 2018. The President then invoked the Federal Vacancies Reform Act of 1998 ("Reform Act"),
On March 11, 2019, Attorney General Barr announced that he had "independently reevaluate[d]" the Bump-Stock Rule and the "underlying rulemaking record." 94 Fed. Reg. at 9,240. "[H]aving reevaluated those materials without any deference to [Whitaker's] earlier decision," Attorney General Barr "personally c[a]me to the conclusion that it is appropriate to ratify and affirm the final rule," and did so. Id.
C
Three groups of bump-stock owners and advocates filed suit in the United States District Court for the District of Columbia to prevent the Bump-Stock Rule from taking effect.
See
Damien Guedes v. Bureau of Alcohol, Tobacco, Firearms, and Explosives
, No. 18-cv-2988;
David Codrea v. William P. Barr
, No. 18-cv-3086;
Firearms Policy Coalition, Inc. v. William P. Barr
, No. 18-cv-3083. As relevant here, the Guedes plaintiffs ("Guedes") and the Codrea plaintiffs ("Codrea") argued that the Bureau promulgated the Bump-Stock Rule in violation of the Administrative Procedure Act,
The district court denied all three motions for a preliminary injunction.
Guedes
,
Guedes, Codrea, and the Coalition all appealed. But none of them sought a stay or an injunction pending appeal. They chose instead to seek highly expedited disposition, which this court granted. While the appeal was pending, Attorney General Barr ratified and individually endorsed the final Bump-Stock Rule. At the post-argument request of the Coalition, we voluntarily dismissed its appeal. Order,
Guedes v. Bureau of Alcohol, Tobacco, Firearms, and Explosives
, No. 19-5042,
II
A preliminary injunction is "an extraordinary remedy that may only be awarded upon a clear showing that the plaintiff is entitled to such relief."
Winter v. Natural Res. Def. Council, Inc.
,
We review a district court's denial of a preliminary injunction for an abuse of discretion, but in doing so we review the district court's legal conclusions
de novo
and any findings of fact for clear error.
Serono Labs., Inc. v. Shalala
,
III
A foundational requirement for obtaining preliminary injunctive relief is that the plaintiffs demonstrate a likelihood of success on the merits.
See
Nken
,
Neither the challenge to Acting Attorney General Whitaker's authority nor the objections to the substantive validity of the Bump-Stock Rule clears that hurdle. And because the plaintiffs have shown no likelihood of success on the merits, we choose not to "proceed to review the other three preliminary injunction factors."
Arkansas Dairy Coop. Ass'nv. United States Dep't of Agric.
,
A
Codrea levels a broadside attack on the rule as categorically invalid because Acting Attorney General Whitaker allegedly lacked the legal authority to approve the Bump-Stock Rule's issuance. Specifically, Codrea argues that Whitaker's designation
to serve as Acting Attorney General violated both the Attorney General Act,
The Appointments Clause requires that "all * * * Officers of the United States" be appointed by the President "by and with the Advice and Consent of the Senate." U.S. Const. Art. II, § 2, cl. 2. This requirement is the "default manner of appointment,"
Edmond v. United States
,
One stark consequence of this scheme is that "the responsibilities of an office * * * [can] go unperformed if a vacancy arises and the President and Senate cannot promptly agree on a replacement."
National Labor Relations Bd. v. SW Gen., Inc.
, --- U.S. ----,
The Reform Act is the most recent iteration of that interbranch accommodation. It provides for three options whenever a Senate-confirmed officer "dies, resigns, or is otherwise unable to perform the functions and duties of the office[.]"
Congress broadly designated the Reform Act to be the "exclusive means for temporarily authorizing an acting official to perform the functions and duties of any" Executive office that would otherwise require Senate confirmation.
The Attorney General Act,
Codrea and the Department have battled at length over the interaction between the Reform Act and the Attorney General Act in the event of a vacancy in the position of the Attorney General. The Government maintains, and the district court agreed, that the two statutes provide the President with alternative means of designating an acting replacement.
Guedes
,
We need not wade into that thicket. While this appeal was pending, Attorney General Barr independently "familiarized [him]self with the rulemaking record [and] * * * reevaluated those materials without any deference to [Whitaker's] earlier decision."
Codrea accepts the validity of Attorney General Barr's ratification as to both his statutory and his Appointments Clause claims. Codrea Br. 20-21 (adopting Coalition Reply Br. 22);
see also
Codrea insists otherwise. He argues that Attorney General Barr's ratification does not moot the claim because of the mootness doctrine's exceptions for a defendant's voluntary cessation of challenged conduct or for acts capable of repetition yet evading review. Codrea Br. 20-21 (adopting Coalition Reply Br. 17). That argument fails because ratification is generally treated as a disposition on the legal merits of the appointments challenge and, in any event, no mootness exception applies in this case.
1
The mootness doctrine "ensures compliance with Article III's case and controversy requirement by 'limit[ing] federal courts to deciding actual, ongoing controversies.' "
Aref v. Lynch
,
We have repeatedly held that a properly appointed official's ratification of an allegedly improper official's prior action, rather than mooting a claim, resolves the claim on the merits by "remedy[ing] [the] defect" (if any) from the initial appointment.
Wilkes-Barre Hosp. Co. v. National Labor Relations Bd.
,
In
Doolin
, we treated the curative effects of ratification as analogous to rendering any defect in the agency's action "harmless error" under the Administrative Procedure Act,
Those cases' treatment of ratification as resolving the merits of a claimed appointment flaw parallels how this court analyzes the agency practice of post-promulgation notice and comment. When an agency "issues final regulations without the requisite comment period and then tries to
cure
that Administrative Procedure Act violation by holding a post-promulgation comment period," we have repeatedly held that the agency prevails on the merits as long as it can demonstrate that it has kept an "open mind" throughout the subsequent comment period.
See
,
e.g.
,
Intermountain Ins. Serv. of Vail v. Commissioner,
Codrea points to
Landry v. FDIC
,
2
Codrea argues that we should analyze the effect of ratification through the lens of mootness rather than treating ratification as resolving the case on the merits. Codrea Br. 20-21 (adopting Coalition Reply Br. 16-17).
Codrea notes that all of our prior ratification cases dealt with appointments challenges that arose as defenses to enforcement actions that were being prosecuted by a properly appointed official, but that were allegedly "tainted" by some preceding action of an unlawfully appointed official. Codrea Br. 20-21 (adopting Coalition Reply Br. 20);
see, e.g.
,
Intercollegiate Broad.
, 796 F.3d at 124 (raising Appointments Clause defense in a "subsequent proceeding" based on the "continuing taint arising from the first" proceeding);
Doolin
,
In that scenario, Codrea reasons, the appointment issue arose only as an affirmative defense; no act intervened during litigation to eliminate the factual basis for an affirmative claim for relief in a way that generally would trigger mootness analysis. Here, by contrast, Codrea has raised as a plaintiff an independent, pre-enforcement challenge to an agency rule in an attempt to avert a present duty to comply, and he filed suit at a time when the allegedly improperly appointed official was still in office and enforcing his own challenged decision. For that reason, the effect of Attorney General Barr's intervening ratification must be guided not by a merits analysis, but rather by mootness. Codrea Br. 20-21 (adopting Coalition Reply Br. 17);
see,
e.g.
,
EEOC v. First Citizens Bank of Billings
,
The problem for Codrea is that, even if we were to adopt his proposed analytical approach, his claim still lacks any discernible likelihood of success on the merits because no exception to mootness fits this scenario.
First
, this case does not implicate the exception to mootness for cases that are "capable of repetition, yet evading review."
United States v. Sanchez-Gomez
, --- U.S. ----,
People for Ethical Treatment of Animals, Inc. v. Gittens
,
Here, Codrea has wholly failed to show that appointments claims like his are too short-fused to obtain judicial resolution, or that there is anything more than the most remote and "theoretical[ ] possib[ility]" of repetition,
Nelson v. Miller
,
Second
, Codrea's invocation of the rule that a defendant's voluntary cessation of challenged activity will not moot a case fares no better.
See
Friends of the Earth, Inc. v. Laidlaw Environmental Servs.
,
The voluntary-cessation doctrine has no apparent relevance here. That is because the power to effect the legally relevant ratification by a duly installed Attorney General-the supposed source of "cessation"-lies beyond the unilateral legal authority of any of the named defendants, the Office of the Attorney General, or even the President of the United States. Under the peculiar circumstances of this case, where the ratification was a result of the combined actions of a presidential nomination and an independent Senate confirmation, the "voluntariness" in "voluntary cessation" is not implicated.
Aimed as it is at party manipulation of the judicial process through the false pretense of singlehandedly ending a dispute, the voluntary-cessation exception presupposes that the infringing party voluntarily exercises its own unilateral power not only to terminate the suit and evade judicial review, but also to "pick up where he left off" and complete the devious "cycle" after the litigation is dismissed.
Already, LLC
,
see
City News & Novelty, Inc. v. City of Waukesha
,
That framework ill fits a situation where, as here, the intervening acts of independent third parties are essential to accomplish a legally relevant change in circumstances. Here, ratification materially changed the circumstances of the litigation only because it was undertaken by a validly appointed Attorney General whose authority to act Codrea does not challenge. Codrea Br. 20-21 (adopting Coalition Reply Br. 22) ("Plaintiff assumes that the ratification was not tainted by Mr. Whitaker's actions in promulgating the Rule in the first place."). That "cessation" of the legal challenge was outside the hands of the named defendants-then-Acting Attorney General Whitaker, the Bureau of Alcohol, Tobacco, Firearms and Explosives, Acting Bureau Director Thomas Brandon, and Attorney General William Barr. The essential predicate for that legally relevant form of cessation was the (non-defendant) President's nomination and the (non-defendant) Senate's independent confirmation of a new Attorney General, and their endowment of him with the authority to "cease" the litigation by way of ratification.
In other words, the defendants in this case lacked the unilateral power, or the power at all, to voluntarily cease and restart the conduct complained of-having a Reform-Act-appointed Acting Attorney General promulgate or enforce a rule adversely affecting Guedes and Codrea. Without such power, the risk of manipulating the litigation process evaporates. In addition, the deliberative burdens of the Senate's intervening and independent advice-and-consent role extinguish the strategic concerns animating the voluntary-cessation doctrine in the first place.
Cf.
Clarke v. United States
,
In sum, because Codrea has shown no likelihood of success on his appointment-based challenges due to Attorney General Barr's independent and unchallenged ratification of the Bump-Stock Rule, the district court did not abuse its discretion in denying a preliminary injunction based on those statutory and constitutional claims.
B
We next consider the plaintiffs' contention that the Bureau lacked statutory authority to promulgate the Bump-Stock Rule. Specifically, Guedes and Codrea argue that the statutory definition of "machinegun" cannot be read to include bumpstock devices. Guedes and Codrea have not demonstrated a substantial likelihood of success on that claim.
1
At the outset, we must determine the standard by which to assess the Rule's conclusion that bump-stock devices amount to "machineguns" under the statutory definition. In particular, should we examine the Rule's conclusion to that effect under the Chevron framework, or is Chevron inapplicable?
If
Chevron
treatment is in order, we first ask if the statute is ambiguous concerning whether bump-stock devices can be considered "machineguns"; and if so, we sustain the Rule's conclusion that bump-stock devices are machine guns as long as it is reasonable.
See
,
e.g.
,
Entergy Corp. v. Riverkeeper, Inc.
,
Much, then, can turn on whether an agency's interpretation merits treatment under Chevron . For that reason, and because none of the parties presents an argument for applying the Chevron framework (the plaintiffs contend that Chevron is inapplicable and the government does not argue otherwise), we devote considerable attention to the question of Chevron 's applicability to the Bump-Stock Rule. We conclude that the Rule warrants consideration under Chevron .
a
The applicability of
Chevron
materially depends on what kind of rule the Bump-Stock Rule represents. There is a "central distinction" under the Administrative Procedure Act between legislative rules and interpretive rules.
Chrysler Corp v. Brown
,
Legislative rules result from an agency's exercise of "delegated legislative
power" from Congress.
Am. Mining Cong. v. Mine Safety & Health Admin.
,
To determine whether a rule is legislative or interpretive, we ask whether the agency "intended" to speak with the force of law.
Encino Motorcars
,
All pertinent indicia of agency intent confirm that the Bump-Stock Rule is a legislative rule. The Rule unequivocally bespeaks an effort by the Bureau to adjust the legal rights and obligations of bump-stock owners-i.e., to act with the force of law. The Rule makes clear throughout that possession of bump-stock devices will become unlawful only as of the Rule's effective date, not before.
To that end, the Rule informs bump-stock owners that their devices "
will be prohibited when
this rule becomes effective." 83 Fed. Reg. at 66,514 (emphasis added). It correspondingly assures bump-stock owners that "[a]nyone currently in possession of a bump-stock-type device
is not acting unlawfully unless
they fail to relinquish or destroy their device after the effective date of this regulation."
Id.
at 66,523 (emphasis added). And the Rule "provides specific information about acceptable methods of disposal, as well as the timeframe under which disposal must be accomplished
to avoid violating
Those statements, and others like them in the Rule, embody an effort to "directly govern[ ] the conduct of members of the public, affecting individual rights and obligations."
Long Island Care at Home, Ltd. v. Coke
,
The Bureau further evinced its intent to exercise legislative authority by expressly invoking the
Chevron
framework and then elaborating at length as to how
Chevron
applies to the Rule. The Rule observes that, "[w]hen a court is called upon to review an agency's construction of the statute it administers, the court looks to the framework set forth in
Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc.
" 83 Fed. Reg. at 66,527. The Rule then contains several paragraphs of
analysis describing the application of each of
Chevron
's two steps to the Rule. That discussion is compelling evidence that the Bureau did not conceive of its rule as merely interpretive. Because "interpretive rules * * * enjoy no
Chevron
status as a class,"
Mead
,
Other evidence of agency intent points to the same conclusion. One consideration under our decisions is "whether the agency has explicitly invoked its general legislative authority."
Am. Mining Cong.
,
The Rule's publication in the Code of Federal Regulations also indicates that it is a legislative rule.
See
Am. Mining Cong.
,
In short, the Rule confirms throughout, in numerous ways, that it intends to speak with the force of law. It contained all of those indicia uniformly conveying its intended legislative character when Acting Attorney General Whitaker issued it. And it still contained those indicia when Attorney General Barr subsequently ratified it.
Notwithstanding all of that, the government's litigating position in this case seeks to reimagine the Rule as merely interpretive. The government's briefing says that the Rule is "not an act of legislative rulemaking," and that the Rule instead only "sets forth the agency's interpretation of the best reading of the statutory definition of 'machinegun.' " Gov't Br. 38.
The government's position to that effect has highly significant implications for owners of bump-stock devices. Whereas a legislative rule, as an exercise of delegated lawmaking authority, can establish a new legal rule going forward, an interpretive rule by nature simply communicates the agency's interpretation of what a statute has always meant. So here, if the Bump-Stock Rule is merely interpretive, it conveys the government's understanding that bump-stock devices have always been machine guns under the statute. The government says exactly that in its brief, observing that, per the interpretation set out in the Rule, "any bump stock made after 1986 has always been a machinegun." Gov't Br. 38.
That in turn would mean that bump-stock owners have been committing a felony for the entire time they have possessed the devices. Under
The government's account of the Rule in its brief-including its position that bump-stock owners have always been felons-is incompatible with the Rule's terms. The Rule gives no indication that bump stocks have always been machine guns or that bump-stock owners have been committing a felony for the entire time they have possessed the device. The Rule in fact says the opposite. After all, it establishes an effective date, after which (and only after which) bump-stock possession will be prohibited. 83 Fed. Reg. at 66,523. A future effective date of that kind cannot be reconciled with a supposed intent to convey that bump-stock possession "has always been banned." Gov't Br. 38.
The government now characterizes the Rule's effective date as merely marking the end of a period of discretionary withholding of enforcement, in that the Rule informs the public that the Department will "not pursue enforcement action against individuals who sold or possessed bump stocks prior to the effective date." Id. at 38-39. Once again, that is not what the Rule says. The government engages in enforcement discretion when it voluntarily refrains from prosecuting a person even though he is acting unlawfully . The Rule, by contrast, announces that a person "in possession of a bumpstock type device is not acting unlawfully unless they fail to relinquish or destroy their device after the effective date of this regulation." 83 Fed. Reg. at 66,523 (emphases added). That is the language of a legislative rule establishing when bump-stock possession will become unlawful, not an interpretive rule indicating it has always been unlawful.
In short, the government cannot now, in litigation, reconceive the Bump-Stock Rule as an interpretive rule. The character of a rule depends on the agency's intent when issuing it, not on counsel's description of the rule during subsequent litigation.
See
Encino Motorcars
,
b
Ordinarily, legislative rules receive
Chevron
deference.
See
Nat'l Mining Ass'n
,
The Supreme Court has established that we afford
Chevron
deference if we determine (i) "that Congress delegated authority to the agency generally to make rules carrying the force of law," and (ii) "that the agency interpretation claiming deference was promulgated in the exercise of that authority."
Mead
,
First, we know Congress intended a delegation of legislative authority to the agency because Congress made the relevant delegations express. As noted, the Attorney General has the power to prescribe "such rules and regulations as are necessary to carry out the provisions of" the Gun Control Act.
Second, we know that the Bureau promulgated the Bump-Stock Rule "in the exercise of that authority" to "make rules carrying the force of law" because that criterion is the defining characteristic of a legislative rule.
Mead
,
Nonetheless, the parties protest the applicability of Chevron on several grounds. The plaintiffs first argue that Chevron deference has been waived or forfeited by the government. Next, the parties (including the government) submit that Chevron deference is inapplicable in the context of criminal statutes. And finally, Guedes contends that Chevron deference for criminal statutes is displaced by the rule of lenity. None of those objections to applying Chevron , we conclude, is likely to succeed in the context of the Bump-Stock Rule.
(i)
The agency plainly believed it was acting in a manner warranting Chevron treatment given that it expressly invoked the Chevron framework in the Rule. The plaintiffs assert that the government nonetheless has forfeited, or even waived, the application of Chevron deference by declining to argue for it in this litigation. And while the government has not taken a definitive position before us on whether Chevron can be waived or forfeited, it has declined to invoke Chevron throughout the course of the litigation.
In particular, in its briefing before the district court, the government expressly disclaimed any entitlement to Chevron deference. And after the district court nonetheless relied on Chevron to affirm the Rule, the government filed notices in other pending challenges to the Rule, stating that it "ha[s] not contended that the deference afforded under Chevron * * * applies in this action.'" E.g. , Notice of Supplemental Authority at 2, Gun Owners of Am., Inc. v. Barr , No. 1:18-cv-1429 (W.D. Mich. Feb. 27, 2019), ECF No. 38. Now, in this appeal, the government affirmatively disclaims any reliance on Chevron . See Gov't Br. 37. And at oral argument, the government went so far as to indicate that, while it believes the Rule should be upheld as the best reading of the statute without any need for Chevron deference, if the Rule's validity turns on the applicability of Chevron , it would prefer that the Rule be set aside rather than upheld under Chevron . Oral Argument at 42:38-43:45.
To the extent
Chevron
treatment can be waived, we assume that the government's posture in this litigation would amount to a waiver rather than only a forfeiture.
See
Wood v. Milyard
,
We have, however, held that an agency's lawyers cannot
forfeit
the applicability of
Chevron
deference unless the underlying agency action fails to "manifests its engagement in the kind of interpretive exercise to which review under
Chevron
generally applies-i.e., interpreting a statute it is charged with administering in a manner (and through a process) evincing an exercise of its lawmaking authority."
SoundExchange, Inc. v. Copyright Royalty Bd.
,
Forfeiture and waiver involve, respectively, a failure to invoke, or an affirmative decision not to invoke, a party's "right or privilege."
Johnson v. Zerbst
,
If a statute contains ambiguity,
Chevron
directs courts to construe the ambiguity as "an implicit delegation from Congress to the agency to fill in the statutory gaps."
FDA v. Brown & Williamson Tobacco Corp.
,
We, for example, would give no mind to a litigant's failure to invoke interpretive canons such as
expressio unius
or constitutional avoidance even if she intentionally left them out of her brief. "[T]he court is not limited to the particular legal theories advanced by the parties, but rather retains the independent power to identify and apply the proper construction of governing law."
Kamen v. Kemper Fin. Servs., Inc.
,
Allowing an agency to freely waive
Chevron
treatment in litigation also would stand considerably in tension with basic precepts of administrative law. As we have explained, a legislative rule qualifying for
Chevron
deference remains legislative in character even if the agency claims during litigation that the rule is interpretive:
Chenery
instructs that the proper subject of our review is what the agency actually did, not what the agency's lawyers later say the agency did.
See
A waiver regime, moreover, would allow an agency to vary the binding nature of a legislative rule merely by asserting in litigation that the rule does not carry the
force of law, even though the rule speaks to the public with all the indicia of a legislative rule. Agency litigants then could effectively amend or withdraw the legal force of a rule without undergoing a new notice-and-comment rulemaking. That result would enable agencies to circumvent the Administrative Procedure Act's requirement "that agencies use the same procedures when they amend or repeal a rule as they used to issue the rule in the first instance."
Perez v. Mortg. Bankers Ass'n
, --- U.S. ----,
We thus conclude, consistent with
SoundExchange
's approach to forfeiture of
Chevron
, that an agency's lawyers similarly cannot waive
Chevron
if the underlying agency action "manifests its engagement in the kind of interpretive exercise to which review under
Chevron
generally applies."
SoundExchange
,
In this case, the Bump-Stock Rule plainly indicates the agency's view that it was engaging in a rulemaking entitled to
Chevron
deference. That observation naturally follows from the Rule's legislative character, which generally yields treatment under
Chevron
.
See
Nat'l Mining Ass'n
,
The Bureau, in rejecting objections that the agency's interpretation "would not be entitled to deference under Chevron ," 83 Fed. Reg. at 66,526, specifically invoked the Chevron framework and marched through its two-step analysis, id. at 66,527. At step one, the agency explained that its interpretation "accord[ed] with the plain meaning" of the statute. And at step two, the agency explained that it "ha[d] the authority to interpret elements of the definition of 'machinegun' like 'automatically' and 'single function of the trigger,' " concluding that its "construction of those terms is reasonable under Chevron [Step Two]." Id .
The Rule expressly defends the agency's reading of the statute as an interpretive exercise implicating Chevron . Agency counsel's later litigating decision to refrain from invoking Chevron thus affords no basis for our denying the Rule Chevron status.
(ii)
Next, the plaintiffs submit that
Chevron
deference has no application to regulations interpreting statutes like the National Firearms Act and the Gun Control Act because they impose criminal penalties on violators.
Chevron
deference in the context of such statutes, the plaintiffs urge, would flout an understanding that "criminal laws are for courts, not for the Government, to construe."
Abramski v. United States
,
Guedes and Codrea, however, have failed to demonstrate a likelihood of success in establishing a general rule against applying Chevron to agency interpretations of statutes that have criminal-law implications. To the contrary, precedent says otherwise.
Start with
Chevron
itself. At issue in
Chevron
was the meaning of the term "stationary source" in the Clean Air Act.
See
Chevron
,
For another example, consider the securities laws. The SEC's interpretation of those laws regularly receives
Chevron
treatment,
e.g.
,
Nat'l Ass'n of Mfrs. v. SEC
,
While the Court in
O'Hagan
applied
Chevron
in a criminal case, it (like
Chevron
itself) did not specifically address whether the criminal context should have afforded a basis for denying deference to the agency's interpretation. But the Court engaged with that precise issue in
Babbitt v. Sweet Home Chapter of Communities for a Great Oregon
,
Our circuit precedent is in accord. Recently, in
Competitive Enterprise Institute v. United States Department of Transportation
,
Also, at least twice before, we afforded
Chevron
deference to an agency's construction of a statute in the criminal context over the express objection of a defendant. In
United States v. Kanchanalak
,
To be sure, the Supreme Court has signaled some wariness about deferring to the government's interpretations of criminal statutes.
See
Abramski
,
That holding, and our court's precedents, govern us here and call for the application of Chevron . The parties have identified no distinction between the provision at issue in this case and the provisions with criminal penalties to which Chevron deference has been applied. The briefing contains nary a word suggesting any distinction between this case and prior decisions applying Chevron in criminal contexts. And neither Guedes nor counsel for the government offered any distinction even when specifically asked at oral argument. See Oral Argument at 6:08-7:15, 45:45-49:00.
Nothing in the relevant statutory delegations of authority, moreover, suggests a basis for denying
Chevron
treatment for agency actions with criminal implications The Supreme Court has instructed that the inquiry turns on whether the "language of the delegation provision" is sufficiently "broad" such that it is "clear * * * the statute gives [the] agency * * * power to enforce
all
provisions of the statute."
Gonzales v. Oregon
,
The statutory context bolsters the inference that Congress intended those delegations to encompass regulations with criminal implications. The Gun Control Act, found at Chapter 44 of Title 18, is a purely criminal statute.
See
The plaintiffs rely on
United States v. Thompson/Center Arms Co.
, in which the Supreme Court applied the rule of lenity to an ambiguous provision of the National Firearms Act.
The plaintiffs also cite
United States v. McGoff
,
At oral argument, the plaintiffs suggested that permitting an agency's interpretation to carry the force of law in the criminal context would infringe the separation of powers.
See
Oral Argument 6:51-6:58. That suggestion is difficult to square with the Supreme Court's decision in
Touby v. United States
,
In short, Congress delegated authority to administer the National Firearms Act and the Gun Control Act to the Attorney General, and the Attorney General promulgated a legislative rule in the exercise of that authority. Under binding precedent, Guedes and Codrea have failed to demonstrate a likelihood of success on their claim that the Rule is invalid just because of its criminal-law implications.
(iii)
Relatedly, Guedes argue that
Chevron
is inapplicable because a different canon of interpretation, the rule of lenity, should control instead. Under the rule of lenity, "ambiguity concerning the ambit of criminal statutes should be resolved in favor of lenity."
Rewis v. United States
,
It is true that the rule of lenity generally applies to the interpretation of the National Firearms Act and the Gun Control Act. But in circumstances in which
both
Chevron
and the rule of lenity are applicable, the Supreme Court has never indicated that the rule of lenity applies first. In fact, the Court has held to the contrary. In
Babbitt
, the Court squarely rejected the argument that "the rule of lenity should foreclose any deference to the Secretary's interpretation of the ESA because the statute includes criminal penalties."
Our precedent takes the same tack. In
Kanchanalak
, we expressly rebuffed the argument that Guedes now presses: "To argue, as defendants do, that the rule of lenity compels us to reject the FEC's otherwise reasonable interpretation of an ambiguous statutory provision [under
Chevron
] is to ignore established principles of law."
Those precedents are in line with the Supreme Court's characterization of the rule of lenity as a canon of "last resort." The Court has instructed that "[t]he rule comes into operation at the end of the process of construing what Congress has expressed, not at the beginning as an overriding consideration of being lenient to wrongdoers."
Callanan v. United States
,
Finally, our approach coheres with the rule of lenity's purposes. The doctrine serves to ensure that "legislatures and not courts [are] defin[ing] criminal activity" and to secure "fair warning" about the content of criminal law.
United States v. Bass
,
First,
Chevron
is consistent with the separation of powers, including for regulations defining criminal activity, because delegations of legislative authority in the criminal sphere are constitutional.
See
Touby
, 500 U.S. at 165,
Second,
Chevron
promotes fair notice about the content of criminal law. It applies only when, at Congress's direction, agencies have followed "relatively formal administrative procedure tending to foster the fairness and deliberation that should underlie a pronouncement of such force."
Mead
,
For substantially the same reasons, plaintiffs' challenge under the Due Process Clause cannot succeed. To apply
Chevron
, Codrea notes, we must first determine that the statute is ambiguous, but that, in Codrea's view, would imply that the statute is facially void for vagueness. Codrea's challenge is misconceived. A criminal statute is void for vagueness if it fails to provide ordinary people "fair notice" of the conduct it proscribes.
Sessions v. Dimaya
, --- U.S. ----,
2
Having concluded that the
Chevron
framework is applicable, we now proceed to examine the Bump-Stock Rule under it. We first ask whether the agency-administered statute is ambiguous on the "precise question at issue."
Chevron
,
The National Firearms Act and the Gun Control Act both define "machinegun" to mean "any weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more than one shot, without manual reloading, by a single function of the trigger."
The Bump-Stock Rule determines that semiautomatic rifles equipped with bump-stock-type devices are "machineguns"
because they "function[ ] as the result of a self-acting or self-regulating mechanism that allows the firing of multiple rounds" through "a single pull of the trigger." 83 Fed. Reg. at 66,553. Applying Chevron , we determine that the statutory definition of "machinegun" is ambiguous and the Bureau's interpretation is reasonable. The plaintiffs therefore are unlikely to succeed on the merits of their claim that the Rule is out of step with the statutory definition.
a
At Chevron 's first step, two features of the statutory definition of "machinegun" render it ambiguous. The first is the phase "single function of the trigger." The second is the word "automatically." We discuss them in that order.
(i)
As the district court recognized, the statutory phrase "single function of the trigger" admits of more than one interpretation. It could mean "a mechanical act of the trigger."
Guedes
,
The first interpretation would tend to exclude bump-stock devices: while a semiautomatic rifle outfitted with a bump stock enables a continuous, high-speed rate of fire, it does so by engendering a rapid bumping of the trigger against the shooter's stationary finger, such that each bullet is fired because of a distinct mechanical act of the trigger. The second interpretation would tend to include bump-stock devices: the shooter engages in a single pull of the trigger with her trigger finger, and that action, via the operation of the bump stock, yields a continuous stream of fire as long she keeps her finger stationary and does not release it. See 83 Fed. Reg. at 66,519.
Neither of those interpretations is compelled (or foreclosed) by the term "function" in "single function of the trigger." The word "function" focuses our attention on the "mode of action," 4 Oxford English Dictionary 602 (1933), or "natural * * * action," Webster's New International Dictionary 876 (1933), by which the trigger operates. But the text is silent on the crucial question of which perspective is relevant.
A mechanical perspective, for instance, might focus on the trigger's release of the hammer, which causes the release of a round. From that perspective, a "single function of the trigger" yields a single round of fire when a bump-stock device moves the trigger back and forth. By contrast, from the perspective of the shooter's action, the function of pulling the trigger a single time results in repeated shots when a bump-stock device is engaged. From that perspective, then, a "single function of the trigger" yields multiple rounds of fire.
In light of those competing, available interpretations, the statute contains a "gap for the agency to fill."
Chevron
,
Guedes argues that the phrase "single function of the trigger" unambiguously compels a focus on the trigger's mechanical operation. He contends, for example, that "[r]egardless of the mechanism by which the shooter acts * * * it is the movement of the trigger releasing the hammer * * * that define[s] the boundaries of two distinct 'single' functions of the trigger." Guedes Br. 12-13. That argument begs the crucial question of perspective. It may be reasonable to take the view, as Guedes does, that the mechanical operation of the trigger is the lens through which to view its function. But to establish a likelihood of success on the merits, Guedes and Codrea would have to establish that reading the statute to mean a "single pull of the trigger" by the shooter is impermissible . They have not done so.
At
Chevron
's first step, we do not ask which of those interpretations is the better reading of the statute. Rather, we ask whether either of those interpretations is unambiguously "compel[led]" by the statute, to the exclusion of the other one.
Chevron
,
Nor does
Staples v. United States
,
(ii)
Similarly, the statutory term "automatically" admits of multiple interpretations. The statute speaks in terms of a "weapon which shoots * * * automatically more than one shot, without manual reloading, by a single function of the trigger."
The plaintiffs would read the phrase "by a single function of the trigger" to provide "the starting and the ending point of just how much human input is allowable." Codrea Br. 14. In their view, then, a gun cannot be said to fire "automatically" if it requires both a single pull of the trigger
and
constant pressure on the gun's barrel, as a bump-stock device requires. We are unpersuaded. After all, a quite common feature of weapons that indisputably qualify as machine guns is that they require both a single pull of the trigger
and
the application of constant and continuing pressure on the trigger after it is pulled. We know, therefore, that the requirement of some measure of additional human input does not render a weapon nonautomatic. To purloin an example from the district court: an "automatic" sewing machine still "requires the user to press a pedal
and
direct the fabric."
Guedes
,
That workaday example illustrates another, perhaps more natural, reading of "automatically": the "automatic[ ]" mechanism need only be " set in motion " by a single function of the trigger.
United States v. Olofson
,
In sum, the statutory definition of "machinegun" contains two central ambiguities, both of which the agency has attempted to construe. We therefore proceed to Chevron 's second step.
b
At the second step, "the question for the court is whether the agency's [construction] is based on a permissible construction of the statute."
Chevron
,
The Bureau's interpretation of "single function of the trigger" to mean "single pull of the trigger" is a permissible reading of the statute. The Bureau is better equipped than we are to make the pivotal policy choice between a mechanism-focused and shooter-focused understanding of "function of the trigger." And the Bureau's interpretation comports with how some courts have read the statute, which is a strong sign of reasonableness. In
Akins v. United States
,
The Bureau's interpretation of "automatically" is permissible too. The Rule's requirement of a "self-acting or self-regulating mechanism" demands a significant degree of autonomy from the weapon without mandating a firing mechanism that is completely autonomous. That definition accords with the everyday understanding of the word "automatic." And it focuses the inquiry about what needs to be automated right where the statute does: the ability of the trigger function to produce "more than
one shot, without manual reloading."
The plaintiffs argue that the Bureau's definition of "machinegun" is unreasonable because it has the effect of reaching all semiautomatic rifles. Because "virtually all" semiautomatic rifles can be "bump-fired" with the use of common household items, the plaintiffs contend, the Bureau's definition covers even unmodified semiautomatic rifles, which renders it unreasonable. Guedes Br. 18.
The Rule explains why the plaintiff's understanding is incorrect, and the Rule's explanation in that regard is reasonable. See 83 Fed. Reg. at 66,532-66,534. The Bureau acknowledges that bump firing-a technique using a stable point like a belt loop to approximate the function of a bump stock-is possible with semiautomatic weapons. See id. at 66,533. But even when a semiautomatic weapon is bump fired using an object like a belt loop or a rubber band, the Bureau explained, the weapon does not fire "automatically" because there is no "self-acting or self-regulating mechanism." Rubber bands and their ilk do not "capture and direct the recoil energy" to "harness[ ] [it] as part of a continuous back-and-forth cycle." Id. at 66,533. Rather, "the shooter must do so" herself. Id. Bump firing without the aid of a bump-stock-type device is therefore "more difficult" because it relies solely on the shooter "to control the distance that the firearm recoils and the movement along the plane on which the firearm recoils." Id.
Bump stocks, on the other hand, are specifically designed to "direct[ ] the recoil energy of the discharged rounds * * * in constrained linear rearward and forward paths." Id. at 66,532. By capturing the recoil energy of the gun and directing it through a specified "distance" and along a specified "plane," bump stocks "incorporate[ ] a self-acting or self-regulating component" that would otherwise be absent. Id. at 66,533. Thus, belt loops, unlike bump stocks, do not transform semiautomatic weapons into statutory "machineguns." Or so the Bureau reasonably concluded in the Rule.
"If a statute is ambiguous, and if the implementing agency's construction is reasonable,
Chevron
requires a federal court to accept the agency's construction of the statute, even if the agency's reading differs from what the court believes is the best statutory interpretation."
Brand X
,
C
In addition to their argument that the Rule is incompatible with the statutory definition of a machine gun, the plaintiffs also contend that the Rule is arbitrary and capricious. Agency action is arbitrary or capricious if "the agency has relied on factors which Congress has not intended it to consider, entirely failed to consider an important aspect of the problem, offered an explanation for its decision that runs counter to the evidence before the agency, or is so implausible that it could not be ascribed to a difference in view or the product of agency expertise."
Motor Vehicle Mfrs. Ass'n v. State Farm Mut. Auto. Ins. Co.
,
First , the plaintiffs argue that the Rule fundamentally mischaracterizes the operation of bump-stock devices. In their view, the Rule disregards that, for each shot, "the shooter must manually and volitionally push the trigger into [a] stationary finger." Guedes Br. 24. It is true that, for a bump-stock-equipped device to repeatedly fire, the shooter must keep the bumpstock engaged by maintaining constant forward pressure on the gun. But in the Rule, the Bureau correctly describes the operation of bump-stock-equipped devices: the shooter must "maintain[ ] constant forward pressure [on the gun] with the non-trigger hand" in order to maintain continuous fire. 83 Fed. Reg. at 66,532. The bump stock takes advantage of the gun's recoil, channeled into a linear back-and-forth cycle, to permit the shooter to fire continuously by maintaining steady forward pressure on the gun. There is thus no disagreement about the basic mechanics of bump-stock devices.
Guedes takes particular issue with the Rule's characterization of recoil. He argues that bump-stock-equipped devices cannot "harness[ ] the recoil energy of the firearm" because they do not use "a device such as a spring or hydraulics * * * [to] automatically absorb the recoil and use this energy to activate itself." Guedes Br. 16-17. But the Rule does not adopt such an impoverished definition of "automatically." The Rule requires only that the recoil be used in service of a "self-acting or self-regulating mechanism." A bump stock "direct[s] the recoil energy of the discharged rounds * * * in constrained linear rearward and forward paths," 83 Fed. Reg. at 66,518 (quoting 83 Fed. Reg. at 13,443 ), which qualifies as a "self-regulating mechanism."
Second , the plaintiffs assert that the Rule is arbitrary because its definition encompasses all semiautomatic weapons. That argument is largely redundant of the plaintiffs' Chevron step two argument to the same effect, which we have already addressed. We dispose of this iteration of the same argument on the same grounds: Bump stocks, unlike commonplace household objects, are specifically designed to "direct[ ] the recoil energy of the discharged rounds * * * in constrained linear rearward and forward paths." Id. Bump stocks, unlike household objects, are machine guns because they alone involve a "self-acting or self-regulating mechanism." Id.
Third , the plaintiffs submit that the Rule arbitrarily excludes binary-trigger guns from its definition of "machinegun." Binary-trigger guns shoot one round when the trigger is pulled and another round when the trigger is released. 83 Fed. Reg. at 66,534. The Rule concludes that such devices are not machine guns because the second shot is "the result of a separate function of the trigger." Id. The plaintiffs argue that if the release of the trigger is a separate function, the operation of a bump stock-which requires the shooter to keep the trigger finger stationary while steadily pushing the gun forward into the finger-must also involve multiple functions of the trigger. But the Rule reasonably distinguishes binary-trigger guns on the ground that they require a second act of volition with the trigger finger . The release of a trigger is a volitional motion. But merely holding the trigger finger stationary-which is what operation of a bump stock entails-is not.
Fourth , Guedes contends that the Rule is arbitrary because its definition of "automatically" is ambiguous. The Rule's definition, Guedes notes, does not specify how much manual input is too much. But the existence of latent ambiguity does not render an interpretation arbitrary or capricious. Agencies are permitted to promulgate regulations interpreting ambiguous statutes without having to resolve all possible ambiguity.
Fifth
, Codrea argues that the Rule arbitrarily failed to consider reliance interests, "an important aspect of the problem."
State Farm
,
Finally
, Guedes argues that the Rule is arbitrary because it is the product of "naked political desire." Guedes Br. 18. Insofar as Guedes means to claim that the Rule arises from political considerations, he is surely right. All would agree that the Bureau enacted this Rule in response to the urging of "the President, Members of Congress, and others," as part of an "immediate and widespread" outcry in the wake of the 2017 mass shooting in Las Vegas.
Guedes
,
Guedes might instead mean to contend that the Bureau was so eager to enact the policy preferences of the President that it failed to engage in reasoned consideration of the issues. The central purpose of arbitrary or capricious review is to assure that the agency has engaged in "reasoned decisionmaking."
State Farm
,
D
Finally, Codrea argues that the Rule must be vacated because it is impermissibly retroactive, violating both
Further, it matters not that the government's post hoc litigation strategy has been to characterize the Rule as merely interpretive and, consequently, backward looking. Irrespective of that litigating position, the Rule is legislative in character and therefore purely prospective. Any criminal consequences did not attach until the Rule's effective date. And notice to the public has been clear and explicit.
* * * * *
The plaintiffs have failed to establish a likelihood of success both for their challenge to Acting Attorney General Whitaker's appointment and for their objections to the substantive validity of the Rule. For the foregoing reasons, we affirm the district court's denial of a preliminary injunction.
So ordered.
Karen Lecraft Henderson, Circuit Judge, concurring in part and dissenting in part:
Federal law makes it a crime to possess or transfer a "machinegun."
A "machinegun" is a firearm "which shoots ... automatically more than one shot, without manual reloading, by a single function of the trigger."
I. BACKGROUND
A. Statutory Framework
The National Firearms Act of 1934, Pub. L. No. 73-474,
The Firearms Owners' Protection Act of 1986 (Act), Pub. L. No. 99-308,
B. History of Bump Stock Regulation
Firearms manufacturers have created various devices that allow a lawful semiautomatic rifle to perform more rapidly. A bump stock is one such device. It replaces the standard stock of a rifle-the part that rests against the shooter's shoulder. A bump stock "free[s] the weapon to slide back and forth rapidly." Bump-Stock-Type Devices , 83 Fed. Reg. at 66,516. The sliding motion allows a shooter to increase his rate of fire. A rifle produces recoil energy upon firing. The bump stock helps direct the firearm's recoil and convert the recoil energy into rapidly firing rounds. It works like this: the shooter pulls the trigger; the recoil causes the firearm to slide backward; the shooter maintains backward pressure on the trigger with the index finger of his shooting hand and forward pressure on the barrel with his other hand. Id. This process causes the firearm to slide back and forth rapidly, bumping the shooter's stationary trigger finger and thereby firing additional rounds. Id.
Some bump stock devices use only the shooter's physical pressure to channel the recoil energy and do not include springs or mechanical parts. Id. For these devices, a single pull of the trigger alone-without the shooter's additional forward pressure-does not cause the firearm to shoot more than one round. Video evidence in the record makes this clear. 3 In the video, the shooter fires a rifle equipped with a non-mechanical bump stock. The shooter holds the rifle with one hand, the trigger hand. He then pulls the trigger and the rifle fires a single shot. Without his other hand's forward pressure on the barrel, the rifle equipped with a non-mechanical bump stock fires only a single round with each pull of the trigger.
The ATF first classified a bump stock type device in 2002, concluding that it was not a "machinegun." Id. at 66,517. The classification involved a product called the Akins Accelerator, a bump stock that used internal springs. "To operate the device, the shooter initiated an automatic firing sequence by pulling the trigger one time, which in turn caused the rifle to recoil within the stock, permitting the trigger to lose contact with the finger and manually reset." Id. "Springs in the Akins Accelerator then forced the rifle forward, forcing the trigger against the finger, which caused the weapon to discharge the ammunition." Id. The ATF interpreted the statutory language "single function of the trigger" to mean a "single movement of the trigger." Id. A semi-automatic rifle fires only a single round each time the trigger is pulled and reset. According to the ATF, because the Akins Accelerator did not modify how a semiautomatic rifle's trigger "moves" with each shot, it was not a "machinegun."
In 2006, the ATF reclassified the Akins Accelerator as a "machinegun." It reinterpreted the phrase "single function of the trigger" from "single movement of the trigger" to "single pull of the trigger."
Id.
The reinterpretation made all the difference. Once a shooter pulls and maintains pressure on the trigger, the internal springs of the Akins Accelerator start an automatic sequence that keeps the rifle firing until the shooter removes his finger or depletes the ammunition. The firing of multiple rounds based on a single continuous pull of the trigger made the device a "machinegun" under the ATF's reinterpretation. The Akins Accelerator inventor challenged the ATF's changed reading in federal district court (M.D. Fla.), arguing that the Agency misinterpreted the statutory definition of "machinegun." The district court upheld the ATF's determination and the Eleventh Circuit affirmed.
Akins v. United States
,
"In ten letter rulings between 2008 and 2017, ATF applied the 'single pull of the trigger' interpretation to other bumpstock-type devices" and determined that none qualified as a "machinegun." Bump-Stock-Type Devices , 83 Fed. Reg. at 66,517. Although each device fired more than one round with a single pull of the trigger, the ATF concluded that none was a "machinegun" because the firing sequence did not occur "automatically." Unlike the Akins Accelerator, the devices did not rely on springs or mechanical parts. In order to use them, "the shooter [had to] apply constant forward pressure with the non-shooting hand and constant rearward pressure with the shooting hand." Joint Appendix (J.A.) at 278. Thus, the ATF drew a distinction between a bump stock with mechanical parts like springs that cause a more rapid firing sequence and a bump stock that uses both of the shooter's hands to do the same. E.g. , Letter from Richard W. Marianos, Assistant Dir. Pub. and Governmental Affairs, to Congressman Ed Perlmutter (April 16, 2013), reprinted at J.A. 281-82.
C. The Bump Stock Rule
In October 2017, a gunman armed with several semiautomatic rifles killed 58 people and wounded 500 more in Las Vegas, Nevada. The rifles were equipped with bump stock devices, which "were readily available in the commercial marketplace through online sales directly from the manufacturer, and through multiple retailers."
Bump-Stock-Type Devices
, 83 Fed. Reg. at 66,514. Using these devices, the gunman was able to fire hundreds of rounds in a matter of minutes. Within months, the ATF began to promulgate a regulation to classify any bump stock type device as a "machinegun." President Trump directed the DOJ to "dedicate all available resources to ... propos[ing] for notice and comment a rule banning all devices that turn legal weapons into machineguns."
Application of the Definition of Machinegun to "Bump Fire" Stocks and Other Similar Devices
,
In December 2018, the ATF promulgated the Bump Stock Rule. 4 Bump-Stock-Type Devices , 83 Fed. Reg. at 66,514. It declares that all bump stock type devices "are 'machineguns' as defined by the National Firearms Act of 1934 and the Gun Control Act of 1968 because such devices allow a shooter of a semiautomatic firearm to initiate a continuous firing cycle with a single pull of the trigger." Id. According to the Rule, the "devices convert an otherwise semiautomatic firearm into a machinegun by functioning as a self-acting or self-regulating mechanism that harnesses the recoil energy of the semiautomatic firearm in a manner that allows the trigger to reset and continue firing without additional physical manipulation of the trigger by the shooter." Id. (emphasis added). Thus, "a semiautomatic firearm to which a bump-stock device is attached is able to produce automatic fire with a single pull of the trigger." Id.
The Bump Stock Rule was scheduled to go into effect on March 26, 2019.
5
There were then an estimated 280,000 to 520,000 previously legal bump stocks in circulation in the United States.
See
Bump-Stock-Type Devices,
D. Procedural History
The plaintiffs, five individual firearms owners and four non-profit organizations, challenge the Bump Stock Rule's legality on several grounds. Their primary challenge is that the Rule misinterprets the statutory definition of "machinegun" and mistakenly extends that definition to cover bump stock type devices. They also attack the Rule for alleged procedural gaps in the rulemaking process and for taking property without just compensation in violation of the Fifth Amendment's Due Process Clause. Finally, the plaintiffs contend that former Acting Attorney General Matthew Whitaker was not properly appointed to his position and thus lacked authority to approve the Rule. The plaintiffs separately moved for preliminary injunctive relief.
The district court consolidated and denied the motions. "A plaintiff seeking a preliminary injunction must establish that he is likely to succeed on the merits, that he is likely to suffer irreparable harm in the absence of preliminary relief, that the balance of equities tips in his favor, and that an injunction is in the public interest."
Winter v. Nat. Res. Def. Council, Inc.
,
II. ANALYSIS
A. STANDARD OF REVIEW
The district court's denial of preliminary injunctive relief rests on its legal determination that the Bump Stock Rule does not misinterpret or misapply the statutory definition of "machinegun." Our review is therefore
de novo
.
City of Las Vegas v. Lujan
,
Despite the parties' agreement that the
de novo
standard of review applies, my colleagues, like the district court,
see
Guedes
,
concluding that a straw purchaser's "misrepresentation" counted as "material" under the statute notwithstanding the true buyer could legally possess a gun.
My colleagues believe that this case is different because the
With respect, I am not convinced that my colleagues' reading of
Babbitt
as the last word on this topic is correct.
See
Solid Waste Agency of N. Cook Cty. v. U.S. Army Corps of Eng'rs
,
Codrea Opening Br. at 9-11, that
Chevron
review does not apply to a statute/rule with criminal sanctions.
10
Apel
,
We have never suggested that the rule of lenity should provide the standard for reviewing facial challenges to administrative regulations whenever the governing statute authorizes criminal enforcement. Even if there exist regulations whose interpretations of statutory criminal penalties provide such inadequate notice of potential liability as to offend the rule of lenity, the "harm" regulation, which has existed for two decades and gives a fair warning of its consequences, cannot be one of them.
Although I do not dispute that the ATF has been delegated general rulemaking authority to implement section 5845(b),
inter alia
, I am less certain than my colleagues that we owe deference to the ATF's interpretation of section 5845(b). "Deference under
Chevron
to an agency's construction of a statute that it administers is premised on the theory that a statute's ambiguity constitutes an implicit delegation from Congress to the agency to fill in the statutory gaps."
FDA v. Brown & Williamson Tobacco Corp.
,
I believe the applicable standard of review is
de novo
and therefore we should go "the old-fashioned" route and "decide for ourselves the best reading" of "machinegun."
Miller v. Clinton
,
B. "Single Function of the Trigger"
The Rule determines that "single function of the trigger" within the statutory definition of "machinegun" means "single pull of the trigger and analogous motions."
Bump-Stock-Type Devices
, 83 Fed. Reg. at 66,554. To me, the "function" of the trigger means "action" of the trigger. Webster's New International Dictionary 1019 (2d ed. 1934). According to the section 5845(b) definition, the trigger function "shoots" the firearm.
The Rule recognizes that not all firearms feature a pull trigger; some involve "fire initiated by voice command, electronic switch, swipe on a touchscreen or pad, or any conceivable number of interfaces."
Bump-Stock-Type Devices
, 83 Fed. Reg. at 66,534 ;
see also
United States v. Fleischli
,
The plaintiffs claim that the Rule's interpretation of "single function" impermissibly shifts the statutory focus from the trigger 's action to the trigger finger 's action. But the Rule defines "single function" to mean "single pull of the trigger and analogous motions." The Rule's definition describes the "motion" of the trigger, not of the trigger finger. Id. at 66,554. Indeed, nothing in the Rule's definition refers to a shooter's finger or a volitional action. Id. The plaintiffs challenge the Rule because the ATF determines therein that a bump stock device allows the firearm to shoot more than one shot with only a single pull. But that is a question of application, not definition. As for the definition, I believe the Rule correctly reads "function" by focusing on how the trigger acts-that is, through a pull.
C. "Automatically"
The Bump Stock Rule defines "automatically" to mean "as the result of a self-acting or self-regulating mechanism that allows the firing of multiple rounds through a single pull of the trigger." Id. at 66,519. The plaintiffs challenge this definition because it does not account for the additional physical input the shooter must provide in the firing sequence to make a firearm with a bump stock shoot more rapidly. That "pull plus" action, they say, invalidly expands the statutory text: a " 'single function of the trigger' is the starting and the ending point of [making] a firearm automatic." Codrea Br. at 14. I agree. 12
The Rule's fatal flaw comes from its "adding to" the statutory language in a way that is-at least to me-plainly
ultra vires
. 1A Sutherland Statutory Construction § 31.02, at 521 (4th ed. 1985) ("The legislative act is the charter of the administrative agency and administrative action beyond the authority conferred by the statute is ultra vires.");
see
Burnet v. Marston
,
My reading of the statute comports with the common sense meaning of the language used. Suppose an advertisement declares that a device performs a task "automatically by a push of a button." I would understand the phrase to mean pushing the button activates whatever function the device performs. It would come as a surprise, I submit, if the device does not operate until the button is pushed and some other action is taken-a pedal pressed, a dial turned and so on. Although the device might be "automatic" under some definition, it would not fit the advertised definition of "automatic": by a push of a button period.
More importantly, my reading of the statute-unlike the ATF's reading-maintains the longstanding distinction between
"automatic" and "semiautomatic" in the firearms context. The original definition of "machinegun" in the 1934 Act included a firearm that shoots more than one round "automatically or semiautomatically."
The ATF insists that my interpretation renders "automatically" superfluous-a result inconsistent with the well-established principle that " '[a] statute should be construed so that effect is given to all its provisions, so that no part will be inoperative or superfluous, void or insignificant.' "
Corley v. United States
,
Finally, the ATF, as well as the district court, posits that the Bump Stock Rule meets one ordinary meaning of "automatically"-that is, "perform[s] parts of the work formerly or usually done by hand." Webster's New International Dictionary 187 (2d ed. 1934). Both believe that a bump stock "makes it easier to bump fire because it controls the distance the firearm recoils and ensures that the firearm moves linearly-two tasks the shooter would ordinarily have to perform manually."
Guedes
,
D. Is a Bump Stock a "Machinegun?"
Having interpreted "automatically" and "single function of the trigger," the Rule declares that a " 'machinegun' includes a bump-stock-type device, i.e., a device that allows a semiautomatic firearm to shoot more than one shot with a single pull of the trigger by harnessing the recoil energy of the semiautomatic firearm to which it is affixed so that the trigger resets and continues firing without additional physical manipulation of the trigger by the shooter." Id. at 66,553 -54. There are at least two defects in this classification. It ignores the fact that a non-mechanical bump stock-a type of bump stock device covered by the Rule-does not allow the firearm to shoot more rapidly with a single pull of the trigger because the shooter must provide "constant forward pressure with the non-trigger hand" for the device to function. Id. at 66,532. It also erroneously determines that a bump stock allows a semiautomatic rifle to fire more than one round with a single pull of the trigger. For these reasons, I agree with the plaintiffs that a bump stock is not a "machinegun."
First , a firearm equipped with a non-mechanical bump stock does not fire "automatically" because the shooter must also provide constant forward pressure with his non-shooting hand. The Rule's very description of a non-mechanical bump stock manifests that its proscription is ultra vires :
[Bump stock] devices replace a rifle's standard stock and free the weapon to slide back and forth rapidly, harnessing the energy from the firearm's recoil either through a mechanism like an internal spring or in conjunction with the shooter's maintenance of pressure (typically constant forward pressure with the non-trigger hand on the barrel-shroud or fore-grip of the rifle, and constant rearward pressure on the device's extension ledge with the shooter's trigger finger).
Id. at 66,516 (emphases added). This description covers two types of bump stocks, one that includes a mechanism like an internal spring and the other that requires the shooter to maintain pressure with his non-trigger hand. Id. The first type, including the original Akins Accelerator, has been classified as a "machinegun" and hence illegal since 2006. Id. at 66,517. The Rule must-and does-aim at the second type-the non-mechanical bump stock-which operates only in conjunction with the shooter's added physical pressure. 16 But that added physical pressure is inconsistent with the statutory definition of a "machinegun," which fires multiple rounds with a self-acting mechanism effected through a single pull of the trigger simpliciter . In short, the statute uses "pull" and the Rule-invalidly-uses "pull plus ."
Other parts of the Rule expose the ATF's error. In discussing its interpretation of "automatically," the ATF gave the following explanation: "[s]o long as the firearm is capable of producing multiple rounds with a single pull of the trigger until [1] the trigger finger is removed, [2] the ammunition supply is exhausted, or [3] the firearm malfunctions, the firearm shoots 'automatically' irrespective of why the firing sequence ultimately ends." Id. at 66,519. Yet elsewhere the ATF describes the firing process of a firearm with a bump stock as follows: "the shooter 'pulls' the trigger once and allows the firearm and attached bump-stock-type device to operate until the shooter releases the trigger finger or the constant forward pressure with the non-trigger hand." Id. at 66,532 (emphasis added). In my view, this assertion is an explicit recognition that a bump stock device does not continue shooting rounds with a single trigger pull if the shooter does not maintain "constant forward pressure with the non-trigger hand." Id. at 66,532.
Moreover, I find it difficult to ignore the ATF's repeated earlier determinations that non-mechanical bump stocks do not initiate an automatic firing sequence. Three ATF determination letters from 2010 to 2013 explained why non-mechanical bump stocks are not "machineguns":
[Our] evaluation confirmed that the submitted stock (see enclosed photos) does attach to the rear of an AR-15 type rifle which has been fitted with a sliding shoulder-stock type buffer-tube assembly. The stock has no automatically functioning mechanical parts or springs and performs no automatic mechanical function when installed. In order to use the installed device, the shooter must apply constant forward pressure with the non-shooting hand and constant rearward pressure with the shooting hand.
Determination Letter signed by John R. Spencer, Chief, Firearms Tech. Branch, ATF (June 7, 2010), reprinted at J.A. 278; see also Determination Letter signed by John R. Spencer, Chief, Firearms Tech. Branch, ATF (April 2, 2012), reprinted at J.A. at 279-80; Letter from Richard W. Marianos, Assistant Dir. Pub. and Governmental Affairs, to Congressman Ed Perlmutter (April 16, 2013), reprinted at J.A. 281-82. The Rule does not fairly treat the ATF's repeated determinations that a non-mechanical bump stock "performs no automatic mechanical function when installed." J.A. 278. Instead, it rejects its previous reading as based on an incomplete legal definition of "automatically." Bump-Stock-Type Devices , 83 Fed. Reg. at 66,521. 17 But those determinations made factual findings that the non-mechanical bump stock operates only if the shooter applies "constant forward pressure with the non-shooting hand and constant rearward pressure with the shooting hand." Determination Letter signed by John R. Spencer, Chief, Firearms Tech. Branch, ATF (June 7, 2010). And those factual findings dictate that a non-mechanical bump stock is not a "machinegun" under section 5845(b).
Second , a semiautomatic rifle equipped with a bump stock cannot fire more than one round with a single function of the trigger. The plaintiffs argue-and the ATF does not dispute-that the trigger of a semiautomatic rifle must release the hammer for each individual discharge. Nor is there any dispute that a semiautomatic rifle cannot fire again until the trigger is released, which causes the hammer to reset. The Rule refers to the release of the trigger as a "separate" function. Bump-Stock-Type Devices , 83 Fed. Reg. at 66,534 ("While semiautomatic firearms [equipped with certain devices] may shoot one round when the trigger is pulled, the shooter must release the trigger before another round is fired. Even if this release results in a second shot being fired, it is as the result of a separate function of the trigger."). Once the trigger shoots, it must be released to reset the hammer and the trigger must be pulled again for each subsequent shot. Verified Declaration of Richard (Rick) Vasquez, former Acting Chief of the Firearms Tech. Branch of ATF, at 4 (with bump stock, "after the first shot is discharged, the trigger must be released, reset, and pulled completely rearward, before the subsequent round is discharged"), reprinted at J.A. 275. Thus, a semiautomatic rifle equipped with a bump stock cannot shoot more than one round with a single pull of the trigger. 18
Still, the ATF insists that a bump stock allows a firearm to shoot multiple shots with a single pull. Bump-Stock-Type Devices , 83 Fed. Reg. at 66,553 -54. The ATF focuses on whether the shooter must pull his index finger more than once to fire multiple shots. Because a bump stock allows the firearm to fire more than once with a single pull of the index finger, the ATF concludes that a bump stock is a "machinegun." Remember, however, section 5845(b) uses "single function of the trigger," not single function of the shooter's trigger finger.
If the focus is-as it must be-on the trigger, a bump stock does not qualify as a "machinegun." A semiautomatic rifle shoots a single round per pull of the trigger and the bump stock changes only how the pull is accomplished. Without a bump stock, the shooter pulls the trigger with his finger for each shot. With a bump stock, however, the shooter-after the initial pull-maintains backward pressure on the trigger and puts forward pressure on the barrel with his non-shooting hand; these manual inputs cause the rifle to slide and result in the shooter's stationary finger pulling the trigger. Bump-Stock-Type Devices , 83 Fed. Reg. at 66,533 ("The constant forward pressure with the non-trigger hand pushes the firearm forward, again pulling the firearm forward, engaging the trigger, and firing a second round."). The bump stock therefore affects whether the shooter pulls his trigger finger or keeps it stationary . It does not change the movement of the trigger itself, which "must be released, reset, and fully pulled rearward before [a] subsequent round can be fired." Verified Declaration of Richard (Rick) Vasquez, former Acting Chief of the Firearms Tech. Branch of ATF, at 3-4.
Like countless other Americans, I can think of little legitimate use for a bump stock. That thought, however, has nothing to do with the legality of the Bump Stock Rule. For the reasons detailed supra , I believe the Bump Stock Rule expands the statutory definition of "machinegun" and is therefore ultra vires . In my view, the plaintiffs are likely to succeed on the merits of their challenge and I would grant them preliminary injunctive relief.
Accordingly, I respectfully dissent.
APPENDIX
Photograph One: Trigger separates from stationary index finger.
Photograph Two: Trigger comes into contact with stationary index finger.
Except when quoting sources, we use the two-word spelling of machine gun.
It bears noting that the merits-based analysis of prejudice that Codrea seeks to avoid includes a somewhat analogous exception for a defendant's strategic manipulation of the process to avoid judicial review.
See
Sugar Cane Growers Co-op. of Fla. v. Veneman
,
This case does not present, and we need not decide, whether the President's unilateral designation of a different
acting
Attorney General would have implicated the voluntary-cessation doctrine.
See
Trinity Lutheran Church of Columbia, Inc. v. Comer
, --- U.S. ----,
I concur in Parts II and III.A of the majority opinion.
It thus extends to "the frame or receiver of any such weapon, any part designed and intended solely and exclusively, or combination of parts designed and intended, for use in converting a weapon into a machinegun, and any combination of parts from which a machinegun can be assembled if such parts are in the possession or under the control of a person."
The declaration of Rick Vasquez, a former senior ATF Technical Expert, attests to the accuracy of the video evidence.
The Rule amends three separate regulations,
After hearing argument on March 22, 2019, we issued an administrative order staying the Rule's effective date but only as to the plaintiffs. Per Curiam Order, Guedes v. ATF , No. 19-5042 (D.C. Cir. March 23, 2019).
Even under
Chevron
, "[a]n agency construction of a statute cannot survive judicial review if a contested regulation reflects an action that exceeds the agency's authority."
Aid Ass'n for Lutherans v. U.S. Postal Serv.
,
In reply to my colleagues' insistence that, at the rulemaking stage, the ATF emphasized its reliance on Chevron , Maj. Op. at 18-19, I would note that the ATF in fact declared that the Rule's interpretations of "single function of the trigger" and "automatically" "accord with the plain meaning of those terms." Bump-Stock-Type Devices , 83 Fed. Reg. at 66,527 (emphasis added). Its "fallback" position at that stage was " even if those terms are ambiguous, this rule rests on a reasonable construction of them." Id. (emphasis added).
See
See
One post-
Apel
and
Abramski
Circuit decision applies the
Chevron
framework to a regulation with criminal and civil enforcement provisions.
Competitive Enter. Inst. v. U.S. Dep't of Transp.
,
I leave for another day whether the Government can "waive"
Chevron
review, as my colleagues view the ATF's stance here. Maj. Op. at 21-23;
but see
Glob. Tel*Link v. FCC
,
The Supreme Court has upheld executive branch interpretations of the criminal law based on
express
delegations of interpretive authority.
See
United States v. O'Hagan
,
A portion of the Bump Stock Rule's definition of "automatically" strikes me as unobjectionable. It adopts the phrase "functioning as the result of a self-acting or self-regulating mechanism" as a substitute for "automatically." Bump-Stock-Type Devices , 83 Fed Reg. at 66,554. It does so because dictionaries in use at the time the 1934 Act was enacted defined "automatically" that way. Id. at 66,519 ; see also Webster's New International Dictionary 187 (2d ed. 1934) ("automatic" means "[h]aving a self-acting or self-regulating mechanism that performs a required act at a predetermined point in an operation").
Section 5845(b) can be diagrammed as follows:
See generally Marye Hefty et al., Sentence Diagramming 7-11, 17-20, 24-25, 30-31, 33, 49 (2008).
In
United States v. Olofson
,
I am not quibbling about semantics. The two definitions of "automatically" have different aims: one refers to a self-acting object; the other refers to automating a formerly "by-hand" task. Webster's Third New International Dictionary 148 (1993). The "formerly by-hand" definition would shift the focus from whether a bump stock provides a self-acting mechanism to fire multiple rounds to whether a bump stock automates any action in the firing sequence.
At oral argument, the ATF asserted that the non-trigger hand's "additional forward pressure" is part of the "automatic" firing process. Transcript of Oral Argument 73-74. "Automatic" means "self-acting or self-regulating." Bump-Stock-Type Devices , 83 Fed. Reg. at 66,553. The non-trigger hand's constant forward pressure requires physical, not automatic, action.
During the rulemaking, the ATF repeatedly declared that its earlier determinations "did not include extensive legal analysis of the statutory terms 'automatically' or 'single function of the trigger.' " Bump-Stock-Type Devices , 83 Fed. Reg. at 66,516 ; see also id. at 66,514, 66,521, 66,528, 66,531. I defy a careful reader of the rulemaking to find any legal, as opposed to functional, analysis of a bump stock device, much less substantial legal analysis. Id. at 66,518 ("[P]rior ATF rulings concerning bump-stock-type devices did not provide substantial or consistent legal analysis regarding the meaning of the term 'automatically.' ").
Record evidence supports my point. As discussed earlier, the record includes a video of a shooter firing a rifle equipped with a bump stock. The video is in slow motion and focuses on the trigger. For each shot the rifle fires, the trigger is pulled by the shooter's stationary trigger finger. The trigger is then released between each shot. And the trigger is pulled again for the next shot. This trigger movement confirms that a bump stock does not allow a rifle to shoot more than one round with only a single pull of the trigger. Attached as an appendix are photographs, taken from the video, that illustrate the trigger's movement during the bump stock's firing sequence.
Reference
- Full Case Name
- Damien GUEDES, Et Al., Appellants v. BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND EXPLOSIVES, Et Al., Appellees
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- 133 cases
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