Lead Opinion
Defendant-Appellant James Baker appeals his conviction for being a felon in possession of ammunition, as well as his sentence. We are called upon to decide whether the jury should have been instructed on Mr. Baker’s proposed “innocent possession” defense to being a felon in possession of ammunition and whether 18 U.S.C. § 921(a)(20) of the Armed Ca
I. BACKGROUND
At approximately 4:00 a.m. on November 1, 2005, James Baker was sitting in a car in a parking lot outside his stepdaughters’ apartment complex. Officer Richard Bachman of the Wichita, Kansas Police Department was patrolling the area and thought that the vehicle, which was parked with its lights on, looked suspicious. He turned his patrol car’s lights on the vehicle. As he did so, Mr. Baker got out of the car and approached the patrol car. Officer Bachman instructed Mr. Baker to stop moving and asked Mr. Baker for identification, which he provided. The dispatcher ran a routine records check on the vehicle, which revealed that the tag had been reported as lost or stolen. Based on this information, Officer Bachman detained Mr. Baker. The dispatcher then reported that a records check on Mr. Baker revealed the existence of two active city bench warrants for his arrest. Officer Bachman therefore arrested Mr. Baker. During a search incident to the arrest, Officer Bachman found a speed loader with six rounds of live ammunition in Mr. Baker’s pocket. It was later discovered that the ammunition had been stolen earlier that night during a burglary of Doc’s Steakhouse in Wichita.
Mr. Baker was charged in a two-count indictment with being a felon in possession of ammunition, in violation of 18 U.S.C. § 922(g)(1), and with possession of stolen ammunition, in violation of 18 U.S.C. § 922(j). He pleaded not guilty, and the case went to trial. During the trial, Mr. Baker testified that he saw the ammunition on the ground after leaving a Halloween party at an apartment complex. According to Mr. Baker, he picked up the ammunition so that he could turn it into the police; he did not want to leave it on the ground because he was worried that a child might find it. Before Mr. Baker drove to the police station, however, he and two other individuals drove to another apartment complex. He testified that he was sitting in the car in the complex’s parking lot when he saw Officer Bachman in the patrol car. Mr. Baker figured he could hand the bullets over to Officer Bachman rather than go to the police station, so he got out of the car and approached Officer Bachman, who had exited the patrol car. Officer Bachman immediately started questioning Mr. Baker about the reason he was in the parking lot, and before Mr. Baker could give him the bullets, Officer Bachman placed him under arrest and discovered the bullets. Mr. Baker also testified that he only had the ammunition for about ten minutes before he was arrested.
At the close of the evidence, Mr. Baker requested an “innocent possession” jury instruction. Specifically, he sought the following instruction:
It is a defense to the charge of unlawful possession of ammunition that the defendant’s possession of the ammunition constituted innocent possession. Possession of ammunition constitutes innocent possession where:
1. The ammunition was obtained innocently and held with no illicit purpose; and
2. Possession of the ammunition was transitory, i.e., in light of the circumstances presented there is a good basis to find that the defendant took adequate measures to rid himself of possession of the ammunition as promptly as reasonably possible.
If you find that the defendant possessed ammunition specified in Count 1 and Count 2 and that possession constituted innocent possession, you should find the defendant not guilty.
The probation office prepared a presen-tence report (“PSR”) recommending that Mr. Baker be sentenced as an armed career criminal under 18 U.S.C. § 924(e) and § 4B1.4 of the U.S. Sentencing Guidelines (“Guidelines”) based upon the office’s determination that Mr. Baker had three pri- or convictions for violent felonies. Mr. Baker argued that he should not be sentenced as an armed career criminal, objecting to the characterization of one of his prior convictions as a “violent felony.” The District Court overruled Mr. Baker’s objection and adopted the recommendations of the PSR. Based upon a total offense level of 33 and criminal history category VI, the Guidelines recommended a sentencing range of 235 to 293 months’ imprisonment. The District Court concluded that a sentence within the advisory range was appropriate in this case and sentenced Mr. Baker to a term of 235 months. Mr. Baker now appeals both his conviction and his sentence, arguing that the District Court erred in refusing to give the jury an instruction on “innocent possession” and in sentencing him as an armed career criminal.
II. DISCUSSION
A. Innocent Possession
We review jury instructions de novo, asking whether, as a whole, the instructions accurately informed the jury of the issues and the governing law. United States v. LaVallee,
To obtain a conviction under § 922(g)(1), the government must prove beyond a reasonable doubt that (1) the defendant was previously convicted of a felony; (2) the defendant thereafter knowingly possessed ammunition; and (3) the possession was in or affecting interstate commerce. United States v. Ledford,
Mr. Baker argues, however, that his motive in possessing the ammunition is (or should be) relevant to the crime charged. Specifically, he contends that if a defendant obtains ammunition innocently, with no illicit purpose, and takes adequate measures to rid himself of it as promptly as reasonably possible, he cannot be convicted under § 922(g). As support for this contention, Mr. Baker cites United States v. Mason,
In Mason, the defendant (a felon) testified that he found a gun in a bag while working as a delivery driver. Id. at 621. He claimed he picked up the bag and gun because he was near a school and there were children around. Id. He then drove to the Library of Congress, his next delivery stop, where he intended to turn the gun over to a police officer he knew. Id. As the defendant was entering the building, however, another officer saw the gun and arrested the defendant. Id. The court of appeals held that the district court should have instructed the jury on the innocent possession defense. Id. at 625. Specifically, the court held that the defense is available when the record reveals that:
(1) the firearm was attained innocently and held with no illicit purpose and (2) possession of the firearm was transitory — i.e., in light of the circumstances presented, there is a good basis to find that the defendant took adequate measures to rid himself of possession of the firearm as promptly as reasonably possible.
Id. at 624. It reasoned that absent such a defense, “a felon-in-possession always will be guilty once he knowingly possesses a weapon, without regard to how or why he came into possession or for how long possession was retained.” Id. at 623.
In our view, however, that is precisely what Congress envisioned by prohibiting knowing, as opposed to willful, possession of ammunition. See United States v. Reed,
We acknowledge that this Circuit has recognized the availability of a necessity defense, which does permit inquiry into the circumstances under which a felon possesses contraband. To prevail on the necessity defense, the defendant must show that “(1) there is no legal alternative to violating the law, (2) the harm to be prevented is imminent, and (3) a direct, causal relationship ... exist[s] between defendant’s action and the avoidance of harm.”
Mr. Baker suggests, however, that even under our existing case law, the facts of his case do not amount to a crime. We disagree. In United States v. Santistevan,
[I]f the “concrete involvement” language is being used as a means of separating “true” criminal acts from other situations, such as an undercover police officer who transfers drugs to an unsuspecting buyer during the course of a sting operation, or the “Good Samaritan” private citizen who finds drugs on the street and takes them to the police station, we believe the “concrete involvement” language is an inappropriate vehicle. [Title 21 U.S.C. § ] 841(a)(1) would, if read literally, criminalize the two situations described above. While that result may seem absurd, the conclusion that Congress in fact intended this result is bolstered by the enactment of statutes like 21 U.S.C. § 885, which confers an immunity to an individual like an undercover officer who handles controlled substances during the course of his official duties. If Congress did not intend to criminalize this type of conduct because there is no evidence of any “concrete involvement,” then § 885 seems unnecessary. Moreover, while § 841(a)(1) might literally extend to an individual who finds drugs on the street and brings them to a police station, we believe adequate protection exists in the sound exercise of prosecutorial diseretion, rather than requiring any type of nebulous “concrete involvement” in the criminal undertaking.
Id. at n. 7; see also Al-Rekabi,
Far from recognizing that being a “Good Samaritan” is a defense to criminal liability, we acknowledged in Santistevan that Congress in fact intended § 841(a)(1) to encompass a situation in which a person brings innocently found drugs to a police station. See Santistevan,
B. Application of the Armed Career Criminal Act
The Armed Career Criminal Act (“ACCA”) enhances a sentence to a mandatory minimum of fifteen years for a felon convicted of possessing ammunition when the felon “has three previous convictions ... for a violent felony or a serious drug offense.” 18 U.S.C. § 924(e)(1). A “violent felony” includes a burglary “punishable by imprisonment for a term exceeding one year.” See id. § 924(e)(2)(B)(ii). The ACCA exempts, however, certain convictions for which a person has had his civil rights restored:
What constitutes a conviction of [a crime punishable by imprisonment for a term exceeding one year] shall be determined in accordance with the law of the jurisdiction in which the proceedings were held. Any conviction which has been expunged, or set aside or for which a person has been pardoned or has had civil rights restored shall not be considered a conviction for purposes of this chapter, unless such pardon, expungement, or restoration of civil rights expressly provides that the person may not ship, transport, possess, or receive firearms.
18 U.S.C. § 921(a)(20) (emphasis added).
In 1997, 1999, and 2003, Mr. Baker was convicted of burglary under Kansas law and sentenced to more than one year’s imprisonment for each conviction. Based
We review de novo an issue of statutory interpretation involving the ACCA. United States v. Burns,
In this Circuit, however, to determine whether state law expressly restricts a felon’s right to possess firearms, we “look to the whole of state law.” Burns,
Mr. Baker argues, however, that 18 U.S.C. § 921(a)(20) is “conviction specific,”
We addressed a related question in United States v. Burns,
The defendant argued against application of the ACCA, contending that his burglary convictions in 1965 could not be considered violent felonies under § 921(a)(20) because the certificate of discharge restoring his civil rights did not state that he could not possess a firearm. Burns,
Bums stands for the proposition that the defendant must actually have the right to possess firearms restored to him before an otherwise-qualifying conviction is not considered a violent felony for purposes of § 924(e). Indeed, two of our sister circuits relied on Bums in explicitly rejecting the approach urged by Mr. Baker. See United States v. Dockter,
In this case, since his first burglary conviction in 1997, Mr. Baker has not been out of state custody for a period of five years between felony convictions. Thus, his right to possess a firearm was never effectively restored as to the 1997 burglary, and the District Court properly considered it a violent felony under § 924(e). The District Court therefore did not err in enhancing his sentence.
III. CONCLUSION
Because we conclude that “innocent possession” is not a defense to being a felon in possession of ammunition, we conclude that the District Court did not err in refusing to tender such an instruction. Accordingly, we AFFIRM Mr. Baker’s conviction. In addition, because we conclude that Mr. Baker never had his right to possess firearms effectively restored under Kansas law, the District Court properly concluded that his 1997 burglary conviction is a violent felony for purposes of the ACCA. Accordingly, we AFFIRM Mr. Baker’s sentence.
Notes
. Mr. Baker raises two other arguments on appeal: (1) 18 U.S.C. § 922(g)(1) is an unconstitutional exercise of Congress’s authority under the Commerce Clause; and (2) because Mr. Baker is permitted to possess ammunition under state law, he should not be prohibited from doing so under federal law. Mr. Baker candidly admits that Supreme Court and Tenth Circuit precedent forecloses these arguments, and he seeks merely to preserve the issues for further review. We acknowledge that he has done so.
. We have also discussed, but never explicitly recognized, a "fleeting possession” defense, which requires proof that the defendant "(1) merely momentarily possessed the contraband, and (2) either lacked knowledge that he possessed contraband or had a legally justifiable reason to possess it temporally.” Al-Rekabi,
. United States v. Herron,
. We note a split in the circuits regarding whether a court may look only to a certificate of restoration of civil rights upon release from parole or imprisonment to decide whether the certificate expressly limits a felon's right to possess firearms, or whether, as in this Circuit, we may look to the whole of state law to make such a determination. See United States v. Chenowith,
. Bums interpreted an older, but similar, version of the same statute at issue in this case. See Kan. Stat. Ann. § 21-4204(l)(b) (1991) (providing that "[u]nlawful possession of a firearm is ... possession of a firearm with a barrel less than 12 inches long by a person who, within five years preceding such violation has been convicted of a felony under the laws of Kansas or any other jurisdiction or has been released from imprisonment for a felony”).
Dissenting Opinion
dissenting:
I respectfully dissent from the majority’s holding in Part I-A, which refuses to recognize a defense of innocent possession. I am persuaded by the reasoning of United States v. Mason,
It seems we should examine the majority’s holding in its full implications. To do so, it is necessary, under our general precedents, to consider the evidence in the light most favorable to Defendant Baker in determining whether Baker is entitled to have the innocent possession defense considered. See United States v. Al-Rekabi,
The majority’s holding is that, even if the jury believed every part of Baker’s testimony, it is in keeping with Congres
Because I find the analysis of Chief Judge Edwards in Mason persuasive, it is not necessary for me to embellish that rationale. I will, however, comment on two aspects of the instant case. First, as Baker argues in his brief, courts that have rejected the innocent possession defense based on a strict statutory construction and public policy grounds have generally not acknowledged the contradiction posed by the fact that they have recognized the duress or justification defenses, which are similarly not found in the statutory language and so are, presumably, contrary to the posited legislative intent of strict liability. Nor would even an entrapment defense, if established, afford relief if such strict statutory construction were applied.
Second, the majority’s reliance on prose-cutorial discretion is misplaced, as this case illustrates rather clearly. This is not because there was an abuse of prosecutorial discretion in this case. To the contrary, on this record it seems reasonable for the prosecutor to have decided that Baker’s explanation was “plausible, albeit debatable.” Mason,
I am convinced that in light of the Defendant Baker’s showing, which is sufficient to have the innocent possession defense considered, I would reverse and remand for a new trial where the innocent possession defense is permitted to be considered. Accordingly I respectfully dissent.
. It is worth noting also that no firearm or other weapon was involved in this offense, nor was one involved in any of the prior convictions which formed the basis for the determination that Baker was subject to a mandatory minimum sentence of fifteen years as an "Armed Career Criminal.'
. The entrapment defense theory likewise has no statutory genesis and Congress has never spoken on the subject. Mathews v. United States,
