U.S. v. McArthur

• Decision Date: 31 March 1997
• Docket Number: No. 94-7057,94-7057
• Citation: 108 F.3d 1350
• Parties: 10 Fla. L. Weekly Fed. C 801 UNITED STATES of America, Plaintiff-Appellee, v. Taneilian McARTHUR, Defendant-Appellant.
• Court: U.S. Court of Appeals — Eleventh Circuit

Page 1350

108 F.3d 1350

10 Fla. L. Weekly Fed. C 801

UNITED STATES of America, Plaintiff-Appellee, v. Taneilian McARTHUR, Defendant-Appellant.

No. 94-7057.

United States Court of Appeals Eleventh Circuit.

March 31, 1997.

Daniel G. Hamm, Montgomery, AL, for defendant-appellant.

Kent B. Brunson, Asst. U.S. Atty., Montgomery, AL, for plaintiff-appellee.

Appeal from the United States District Court for the Middle District of Alabama.

Before ANDERSON, Circuit Judge, and FAY and KRAVITCH, Senior Circuit Judges.

KRAVITCH, Senior Circuit Judge:

Title 18, United States Code, section 930(a), bans the knowing possession of a firearm in a federal facility. A separate subsection of the statute conditions convictions under this provision upon the posting of conspicuous notice of the prohibition. The main issue in this case, and one of first impression, is whether proof of adequate notice is an element of the crime of possession or an affirmative defense. We hold that it is an affirmative defense. We also hold, consistent with established precedent, that a restitution order under the Victim and Witness Protection Act can only be based upon harm resulting from conduct of which the defendant was convicted.

I.

Taneilian McArthur was involved in an argument with another man, Corey Smith, inside the Enlisted Men's Club at Maxwell Air Force Base, Gunter Annex. McArthur left the club first, retrieved his gun from the trunk of his car and placed it on the front seat. In the parking lot later that evening, McArthur pulled his car in front of Smith as Smith exited the club. Smith approached McArthur's car and McArthur shot him, allegedly in self-defense.

A grand jury indicted McArthur for committing three federal crimes: assault with intent to commit murder within the special maritime and territorial jurisdiction of the United States, 18 U.S.C.A. § 113(a) (1969 & Supp.1996) (Count One); using and carrying a firearm in relation to a crime of violence, 18 U.S.C.A. § 924(c)(1) (Supp.1996) (Count Two); and possessing a firearm in a federal facility, 18 U.S.C.A. § 930(a) (Supp.1996), amended by Pub.L. 104-294, § 603(u), 110 Stat. 3488,--(1996) (Count Three). ¹ A jury acquitted McArthur of Counts One and Two, but convicted him of Count Three. The district court sentenced McArthur to six months' imprisonment. In calculating restitution pursuant to the Victim and Witness Protection Act, 18 U.S.C.A. §§ 3579-3580 (1985), the district court found that the financial loss from Smith's hospitalization and injuries totaled $28,176.07 and ordered McArthur to pay that amount.

On appeal, McArthur alleges that his conviction must be reversed because the government failed to prove an essential element of the offense charged in Count Three. He further claims that restitution was improper, because it was founded on counts of which he was acquitted.

II.

Title 18, section 930 ("section 930") defines four federal crimes: simple possession of a firearm or dangerous weapon in a federal facility (subsection (a)); ² simple possession in a federal court facility (subsection (e)); possession with intent to use the weapon in the commission of a crime (subsection (b)); and killing or attempted killing in the course of a violation of subsections (a) or (b) (subsection (c)). Convictions under subsections (a) and (e) are limited by subsection (h). It provides:

Notice of the provisions of subsections (a) and (b) shall be posted conspicuously at each public entrance to each Federal facility, and notice of subsection (e) shall be posted conspicuously at each public entrance to each Federal court facility, and no person shall be convicted of an offense under subsection (a) or (e) with respect to a Federal facility if such notice is not so posted at such facility, unless such person had actual notice of subsection (a) or (e) as the case may be.

18 U.S.C.A. § 930(h).

McArthur first contends that the government failed to prove beyond a reasonable doubt all of the elements of the crime charged in Count Three and that the district court erred in failing to instruct the jury as to all of the elements the offense. Specifically, he argues that whereas subsection (a) of section 930 bans firearm possession in federal facilities, subsection (h) prohibits a conviction under subsection (a) unless conspicuous notice is posted to inform people of the prohibition. According to McArthur, subsection (h) is an element of the offense of possession and, therefore, the government must prove the existence of the required notice beyond a reasonable doubt. See In re Winship, 397 U.S. 358, 364, 90 S.Ct. 1068, 1072-73, 25 L.Ed.2d 368 (1970) (government must prove every element of a crime beyond a reasonable doubt). We review his statutory claim de novo. United States v. De Castro, 104 F.3d 1289, 1291 (11th Cir.1997). ³

To determine whether an exception to a criminal offense is an element of the crime or an affirmative defense, we undertake a three-part inquiry. We begin with the language and structure of the statute. Next, we examine the legislative history of the provision. United States v. Laroche, 723 F.2d 1541, 1543 (11th Cir.) (following United States v. Mayo, 705 F.2d 62 (2d Cir.1983)), cert. denied, 467 U.S. 1245, 104 S.Ct. 3521, 82 L.Ed.2d 829 (1984). Finally, we decide whether the defendant or the government is better situated to adduce evidence tending to prove or disprove the applicability of the exception. United States v. Jackson, 57 F.3d 1012, 1016 (11th Cir.), cert. denied, --- U.S. ----, 116 S.Ct. 432, 133 L.Ed.2d 346 (1995).

With regard to the language and structure of the statute, we are guided by two interpretive presumptions. First, a narrow proviso to a more general statutory offense is more likely to be an affirmative defense than an element of the offense. As the Supreme Court has stated, "an indictment ... founded on a general provision defining the elements of an offense ... need not negative the matter of an exception made by a proviso or other distinct clause, whether in the same section or elsewhere. ... " McKelvey v. United States, 260 U.S. 353, 357, 43 S.Ct. 132, 134, 67 L.Ed. 301 (1922). ⁴ A second, but related, rule is that where one can omit the exception from the statute without doing violence to the definition of the offense, the exception is more likely an affirmative defense. Thus, in United States v. Outler, 659 F.2d 1306, 1309-10 (5th Cir. Unit B Oct. 1981), cert. denied, 455 U.S. 950, 102 S.Ct. 1453, 71 L.Ed.2d 665 (1982), we explained that where "an exception ... [is] so necessary to a true definition of the offense ... the elements of the crime are not fully stated without the exception." ⁵ In that case we held that an essential element of the crime of prescribing controlled substances is that a physician act "without a legitimate medical reason," even though such a requirement was not part of the statutory definition of the crime. ⁶ 659 F.2d at 1309. We reasoned that due process requires that an exception which "embodies the culpability of the offense" must be an essential element. Id. at 1310. Naturally, these presumptions are merely interpretive aids; we also consider other indications of legislative will evident in the statute.

Considering the first of our interpretive guides, subsection (h) appears to be an affirmative defense; it is a narrow exception to a general proscription. Specifically, subsection (a) bans all firearm possession in federal facilities, and subsection (h) excepts possession at facilities where notice is inadequate or inconspicuous. Section 930's plain language indicates that subsection (h) is a defense: "no person shall be convicted of an offense under subsection (a) or (e)" without notice. 18 U.S.C.A. § 930(h) (emphasis added). Because subsection (a) by itself comprises "an offense," subsection (h) does not appear to be an element of the offense. ⁷

Moreover, subsection (a) defines a perfectly cogent offense. Absent subsection (h), subsection (a) simply bans knowing possession on federal facilities. We do not find this troubling; indeed, we note that section 930 defines other crimes--possession of a firearm with intent to use it in a crime (subsection (b)) and killing or attempted killing in the course of another violation (subsection (c))--without excepting prosecutions where notice is deficient. This statute is not the "rare instance[ ]" where an exception is truly an element of the crime, raising the concerns we highlighted in Outler. Section 930 does not conceal mens rea in an exception; rather, subsection (a) requires the government to prove that a defendant knowingly possessed a firearm in a federal facility. ⁸ Consequently, it ensures convictions based on more than mere innocence--it requires that the defendant know he has a gun in his possession and know that he is entering a federal facility. ⁹ In light of this requirement and the pervasive regulation of weapon possession at federal facilities, ¹⁰ due process is not offended by a prosecution without proof of adequate notice.

The legislative history of section 930, although sparse, indicates that Congress viewed subsection (h) as an affirmative defense. Part of the massive Anti-Drug Abuse Act of 1988, Pub.L. 100-690, 102 Stat. 4181 (1988), section 930 originated in the House of Representatives and was enacted into law as passed by the House. See H.R. 5210, 100th Cong. § 6215 (1988). Before the Senate voted on the measure, the Senate Judiciary Committee reviewed the House bill and Senator Biden, the committee chair, drafted a section-by-section analysis. With regard to the provision before us, he stated that "the absence of the required notice will be a complete defense to the simple possession offense [subsection (a) ] unless the defendant had actual knowledge." 134 CONG. REC. S.17,360-02 (daily ed. Nov. 10, 1988) (statement of Sen. Biden) (emphasis added). Although this history would not, by itself, carry the day for the government, it supports...