Lead Opinion
Appellant Kevin Herrington was convicted in 2006 of unlawful possession of ammunition (UA), in violation of D.C.Code § 7-2506.01 (2001) (now § 7-2506.01(a) (Supp. 2010)). His conviction was based solely on evidence that he possessed handgun ammunition in his home. Subsequently, in District of Columbia v. Heller,
I.
Appellant was standing on the sidewalk outside his home on the afternoon of November 1, 2005, when two police officers, mistaking him for someone under a court order to stay away from the neighborhood, drove up and asked to speak to him. Appellant ignored the request and went into his house. A short time later, the officers saw appellant leave his house on a bicycle. They pursued him in their police cruiser. After turning a corner, appellant got off his bike and ran back to his house. As he ran, according to the officers, appellant withdrew a black handgun and pointed it at them. At one point appellant stumbled and dropped something, which the officers initially thought was the gun, but which turned out to be a black baseball cap.
Appellant entered his house, which soon was surrounded by police. After a while, appellant emerged, surrendered, and was placed under arrest. Appellant’s mother then permitted the police to search the house. In a heating vent in appellant’s bedroom, the police discovered two boxes of ammunition — one containing .380-cali-ber rounds and the other containing 9-mm. rounds. Appellant’s fingerprints were on the .380-caliber ammunition box.
The ensuing indictment charged appellant with two counts of assault on a police officer while armed (APOWA), two counts of assault with a dangerous weapon (ADW), one count of possession of a firearm during a crime of violence (PFCV), and one count of unlawful possession of ammunition (UA). The government dismissed the ADW counts before trial.
At the close of the government’s case, appellant moved for a judgment of acquittal on the UA count, arguing that the evidence was insufficient to convict him of violating D.C.Code § 7-2506.01 because the prosecution had failed to prove that he lacked a valid registration certificate for a firearm of the same gauge or caliber as the ammunition recovered from his bedroom. The trial court denied the motion, agreeing with the prosecutor that all the government needs to prove to obtain a UA conviction are “that the defendant possessed ammunition, and that he did so knowingly and intentionally.” The court so instructed the jury at the close of the trial.
The jury acquitted appellant of the APOWA and PFCV charges. It found him guilty only of UA.
II.
What is now subsection (a) of D.C.Code § 7-2506.01 provides as follows:
No person shall possess ammunition in the District of Columbia unless:
(1) He is a licensed dealer pursuant to subchapter IV of this unit;
(2) He is an officer, agent, or employee of the District of Columbia or the United States of America, on duty and acting within the scope of his duties when possessing such ammunition;
(3) He is the holder of the valid registration certificate for a firearm of the same gauge or caliber as the ammunition he possesses; except, that no such person shall possess restricted pistol bullets; or
*1241 (4) He holds an ammunition collector’s certificate on September 24,1976.
In Logan v. United States,
The trial court properly adhered to Logan in denying appellant’s motion for judgment of acquittal. Consequently, the government was able to convict appellant of UA merely by proving that he possessed handgun ammunition in his own home,
Appellant argues that his conviction must be reversed because “the right of the people to keep and bear Arms” recognized in the Second Amendment
Because appellant did not raise this Second Amendment claim at trial, it is “subject to the strictures of ‘plain error’ review.”
A. The “Error” — Unconstitutionality of the UA Statute as Applied to Appellant
In Heller, the Supreme Court held that the Second Amendment protects an individual right to keep and bear arms for purposes of self-defense. The Court subsequently held this right to be “fundamental” — necessary to our system of ordered liberty and deeply rooted in the history and traditions of our Nation — and hence incorporated in the concept of due process (and enforceable against state as well as federal limitations on the possession and use of “arms”).
The Second Amendment right is “not a right to keep and carry any weapon
In neither Heller nor McDonald did the Supreme Court directly address restrictions on the possession of ammunition per se. (The District’s requirement that lawfully-maintained firearms be kept unloaded was not challenged in Heller.) Nonetheless, from the Court’s reasoning, it logically follows that the right to keep and bear arms extends to the possession of handgun ammunition in the home; for if such possession could be banned (and not simply regulated), that would make it “impossible for citizens to use [their handguns] for the core lawful purpose of self-defense.”
As we discussed, the UA statute makes it a crime to possess ammunition of any kind anywhere, regardless of its use or purpose; and the prosecution may obtain a conviction under the statute without having to prove that the possessor violated any registration, licensing or regulatory requirement or was otherwise disqualified from exercising his Second Amendment right. A UA conviction therefore may be based solely on proof that the defendant possessed handgun ammunition in his home — solely, that is, on proof of conduct protected by the Second Amendment. In a prosecution such as this one, where nothing more was proved at trial to show that the defendant was disqualified from exercising his Second Amendment rights— there was no evidence, for example, that he possessed the ammunition for an illegal purpose
In light of the constitutionally-protected nature of the conduct addressed by the UA statute, its provision of an affirmative defense if the accused had registered a corresponding firearm only compounds the problem. The Due Process Clause “protects the accused against conviction except upon proof beyond a reasonable doubt of every fact necessary to constitute the crime with which he is charged.”
The limited nature of our holding should be understood. The Second Amendment permits the District to condition the lawful possession of handgun ammunition in the home on the possession of a valid registration certificate for a corresponding handgun (so long as the registration scheme is constitutional).
B. “Plainness” of the Error
To satisfy the second prong of the plain error test, the error must be “clear” or “obvious.”
C. The Third and Fourth Prongs of Plain Error Analysis
Convicting appellant solely for possessing handgun ammunition in his home, in violation of the Second Amendment, unquestionably affects his substantial rights. We also conclude that conviction of a criminal offense on constitutionally insufficient evidence, for conduct “indistinguishable from the mere exercise of [a defendant’s] Second Amendment right,”
III. Conclusion
Appellant was convicted of unlawful possession of ammunition in violation of the Second Amendment. The error is plain, and it is prejudicial to appellant’s substantial rights and to the fairness, integrity, and public reputation of the judicial proceedings. We reverse.
So ordered.
Notes
.
. Elsewhere in the house, the police found a black BB gun. Fingerprints lifted from the gun did not match appellant's, and the officers who pursued him could not identify the BB gun as the weapon he allegedly pointed at them.
.
. Id. at 492.
. Id. at 492-93.
. Id. at 493.
. Id. (quoting Middleton v. United States,
. Contrary to its position in the trial court, the government argues on appeal that the exceptions in the UA statute merely impose on the defendant a burden to produce evidence putting the defense in issue rather than the ultimate burden of persuasion. We disagree. That is not how we construed the statute in Logan, nor is it how the statute has been understood since then. See supra note 7. While the government always bears the ultimate burden of persuasion on each element of a charged offense, see, e.g., In re Warner,
. Although there was no testimony at trial as to whether the .3 80-caliber and 9-mm. rounds found in appellant’s bedroom could be used in handguns, the government implicitly concedes that fact. We have mentioned such use in prior cases. See, e.g.; Muschette v. United States,
. U.S. Const. amend. II.
. Thomas v. United States,
. Id. (citing Johnson v. United States,
. Id. (quoting Johnson,
. McDonald v. City of Chicago, U.S.-,
. U.S. Const. amend. II.
. See, e.g., McDonald,
.Heller did not specify the precise level of scrutiny for evaluating restrictions on the exercise of Second Amendment rights, though it rejected a "rational-basis" test as insufficiently stringent for a specifically-enumerated constitutional right. See Heller, 554 U.S. at-,
. Heller, 554 U.S. at-,
. Id.., 554 U.S. at-,
. D.C.Code § 7-2507.02 (2001). In Heller's wake, the statute was revised. See id. § 7-2507.02 (Supp.2010).
. Heller, 554 U.S. at-,
. Id.
. Cf. Howerton v. United States,
. Thus, we do not address in the present case a challenge to a UA conviction based on the incompatibility of the District's particular registration requirements with the Second Amendment. See Plummer v. United States,
. We express no opinion as to whether the UA statute is constitutional in other applications (e.g., as applied to possession of handgun ammunition outside the home or for an improper purpose, or possession of non-handgun ammunition), or whether it is unconstitutional on its face. "To succeed in a typical facial attack, [appellant] would have to establish 'that no set of circumstances exists under which [the statute] would be valid,’ United States v. Salerno,
. In re Winship,
. Patterson v. New York,
. See id. at 207-08,
does not give the legislatures a free hand "to reallocate burdens of proof by labeling” elements as affirmative defenses. The “obvious constitutional limits” to which the majority referred are the various constitutional doctrines which presently exist regarding the way in which crimes may be defined. Thus, if a crime defined by law as consisting of elements X, Y and Z is reformulated by the legislature so as to consist only of elements X and Y, with non-Z now an affirmative defense to be proved by the defendant, this is permissible under Patterson if and only if it is constitutionally permissible to make X plus Y, standing alone, a criminal offense.
1 Wayne R. LaFave, Substantive Criminal Law § 1.8(c), at 85 (2d ed. 2003) (footnotes omitted).
. In Heller itself, the Court assumed that the District's registration and licensing provisions could remain in effect (with the elimination of the flat ban on handgun possession in the home). The Court granted relief by directing the District to register the respondent's handgun and to issue him a license to carry it in the home (assuming he was not otherwise disqualified from the exercise of Second Amendment rights). See
. We observed in Logan that it is no more difficult for the government to show the defendant’s lack of registration than it is for the defendant to show that he complied with the registration requirement. Logan v. United States,
.We note that the other three affirmative defenses enumerated in the UA statute, which permit a person to possess ammunition if he is a licensed dealer, an authorized government employee, or a properly certified ammunition collector, do not "require the defendant to disprove any element of the offense.” Russell v. United States,
We also note that Logan’s holding — that the exceptions in the UA statute are affirmative defenses to be proved by the defendant — poses no constitutional problem in prosecutions for ammunition possession that falls outside the protections of the Second Amendment, such as possession of ammunition for firearms not covered by the right to keep and bear arms.
. Thomas v. United States,
. Id. (quoting Johnson,
. Appellant’s Reply Br. at 19 n. 17.
. Id. at 20.
. See Plummer v. United States,
. Cf. Lowery v. United States,
Concurrence Opinion
concurring in the judgment:
In Logan v. United States,
I agree that, in light of Heller, the government failed to prove an essential element of the offense. The evidence being insufficient, appellant’s conviction for UA cannot stand.
. This case is distinguishable from Lowery v. United States,
