Lead Opinion
Opinion by Judge REINHARDT; Dissent by Chief Judge KOZINSKI.
At first glance, there appears to be something odd about a court of law in a diverse nation such as ours deciding whether a specific individual is or is not “an Indian.”
As our court has noted before, the law governing “[t]he exercise of criminal jurisdiction over Indians and Indian country [encompasses] a ‘complex patchwork of federal, state, and tribal law,’ which is better explained by history than by logic.” United States v. Bruce,
I.
Cruz was born in 1987 to Roger Cruz and Clara Clarice Bird. His father is Hispanic and his mother is 29/64 Blackfeet Indian and 32/64 Blood Indian. The Blackfeet are a federally recognized tribe based in northern Montana; the Blood Indians are a Canadian tribe. Given his parents’ heritage, Cruz is 29/128 Blackfeet Indian and 32/128 Blood Indian.
For a period of three or four years during his childhood, Cruz lived in the town of Browning, Montana on the Blackfeet Reservation. Between the age of seven and eight, he moved off the reservation and spent the next ten years living first with his father in Great Falls, Montana and subsequently with his uncle in Delano, California. Neither Great Falls nor Delano is located on an Indian reservation or otherwise located in Indian country.
On December 21, 2006, Cruz and a group of friends spent a part of the evening drinking in his room at the Town Motel. While standing outside the motel talking on a cordless phone to his girlfriend, Cruz was approached by Eudelma White Grass, who had been drinking in a neighboring room and was heavily intoxicated. An altercation took place in which White Grass was severely injured.
Cruz was arrested and charged with “[ajssault resulting in serious bodily injury,” 18 U.S.C. § 113(a)(6), which is a federal offense when committed by an Indian on an Indian reservation, 18 U.S.C. § 1153. He pled not guilty and went to trial, where his Indian status was a contested issue. At the close of the government’s case-in-chief, Cruz moved for judgment of acquittal, contending that the government failed to establish his Indian status by proof beyond a reasonable doubt.
II.
The standard of review to be applied on appeal is contested by the parties. We begin by observing that, even though the question “of Indian status operates as a jurisdictional element under § 1153,” Bruce,
Here, however, Cruz’s sufficiency-of-the-evidence challenge made at the close of the prosecution’s case-in-chief was not preserved because no new challenge was made following submission of all of the evidence. “The proper way ... to challenge the sufficiency of the government’s evidence pertaining to [a] jurisdictional element ... is a motion for acquittal under Rule 29, presented at the close of the government’s case-in-chief.”
[Ujnder our ordinary test — the standard applicable when the defendant makes all the proper motions' — we cannot reverseunless there is a clear showing as to insufficiency: we must affirm if any rational trier of fact could have found the evidence sufficient. Thus, it is difficult to imagine just what consequences flow from our application of the [plain error] standard[ ] or to envision a case in which the result would be different because of the application of one rather than the other of the standards.
Under plain-error review, reversal is permitted only when there is (1) error that is (2) plain, (3) affects substantial rights, and (4) “seriously affects the fairness, integrity, or public reputation of judicial proceedings.” Johnson v. United States,
III.
A “defendant’s Indian status is an essential element of a § 1153 offense which the government must allege in the indictment and prove beyond a reasonable doubt.” Bruce,
Cruz concedes that he meets the first prong of the test since his blood quotient is twenty-two percent Blackfeet. Only the second prong, therefore, is at issue here. In Bruce we outlined four factors that govern the second prong; those four factors are, “in declining order of importance, evidence of the following: 1) tribal enrollment; 2) government recognition formally and informally through receipt of assistance reserved only to Indians; 3) enjoyment of the benefits of tribal affiliation; and 4) social recognition as an Indian through residence on a reservation and participation in Indian social life.” Id. at 1224 (quoting United States v. Lawrence,
Taken in the light most favorable to the government, the record reveals the following facts related to Cruz’s Indian status:
1. Cruz is not an enrolled member of the Blackfeet Tribe of Indians or any other tribe.
2. Cruz has “descendant” status in the Blackfeet Tribe as the son of an enrolled member (his mother), which entitles him to use Indian Health Services, to receive some educational grants, and to fish and hunt on the reservation.
3. Cruz has never taken advantage of any of the benefits or services to which he is entitled as a descendant.
4. Cruz lived on the Blackfeet Reservation from the time he was four years old until he was seven or eight. He rented a room in a motel on the reservation shortly before the time of the offense.
5. As a descendant, Cruz was subject to the criminal jurisdiction of the tribal court7 and was at one time prosecuted in tribal court.
6. Cruz attended a public school on the reservation that is open to non-Indians and worked as a firefighter for the federal Bureau of Indian Affairs, a job that is also open to non-Indians.
7. Cruz has never participated in Indian religious ceremonies or dance festivals, has never voted in a Blackfeet tribal election, and does not have a tribal identification card.
Analyzing this evidence, it is clear that Cruz does not satisfy any of the four Bruce factors. As to the first and most important factor, it is undisputed that Cruz is not an enrolled member of the Blackfeet Tribe or any other tribe. In fact, Cruz is not even eligible to become an enrolled member of the Blackfeet Tribe, as he has less than one quarter Blackfeet blood, which is the minimum amount necessary for enrollment.
Nor is there any evidence that Cruz satisfies the second most important factor, “government recognition ... through receipt of assistance reserved only to Indians.” Bruce,
In sum, the evidence in this case, when taken in the light most favorable to the government, demonstrates that Cruz satisfies at best only a small part of the least important of the four Bruce factors. He does not satisfy any of the factors in full, and there is not even a scintilla of evidence suggesting that he satisfies a single one of the three most important factors. Were we to hold that evidence satisfying merely a portion of the least important Bruce factor is, in itself, sufficient to support a § 1153 conviction, we would be ignoring Bruce’s mandate in various respects, including its requirement that the factors be considered “in declining order of impor-
The government does not dispute our assessment of the record. Rather, in fight of the near total lack of evidence that could satisfy the Bruce test as it is written, it urges us to expand Bruce by holding that mere “eligibility for ... assistance” reserved to Indians is sufficient under the second Bruce factor.
Even were we free to follow the government’s recommended course, we would not. The four factors that constitute the second Bruce prong are designed to “probe[ ]. whether the Native American has a sufficient non-racial link to a formerly sovereign people.” Bruce,
The government and our dissenting colleague also argue that the fact that Cruz was prosecuted by the Blackfeet tribal court demonstrates that he is an Indian because a “tribe has no jurisdiction to punish anyone but an Indian.” Id. at 1227; see Dissenting Op. at 852. This argument is meritless for multiple reasons. First and foremost, the record in this case is incredibly thin with respect to Cruz’s contact with the tribal justice system: all we know is that he has “been prosecuted.” There is no evidence regarding the nature of that prosecution, to what stage, if any, it proceeded, and certainly the record does not indicate whether Cruz was ever determined for purposes of that prosecution to be an Indian. Finally, the record does not suggest that the prosecution resulted in a conviction. Based on the evidence contained in the trial record, which is all that we may consider, Cruz’s case may well have been dismissed for lack of jurisdiction after a finding that he is not an Indian.
Furthermore, while the government makes much of the fact that the court in Bruce considered the exercise of tribal jurisdiction over the defendant throughout her entire lifetime relevant, it fails to recognize the significantly different posture of that case. Bruce addressed a prosecution under § 1152. However, under § 1152, the question of Indian status is an affirmative defense. Id. at 1222-23 (citing United States v. Hester,
Because the evidence viewed in the light most favorable to the government does not demonstrate that Cruz is an Indian or that he meets any of the Bruce factors, no rational trier of fact could have found that the government proved the statutory element of § 1153 beyond a reasonable doubt. Accordingly, the district court’s denial of the motion for judgment of acquittal was error. Where the government has failed to show that any of the Bruce factors has been satisfied, we have no trouble concluding that the error was “clear” and “obvious.” Olano,
IV.
For the reasons stated above, the decision below is reversed and the judgment of conviction vacated. The district court is instructed to grant the motion for judgment of acquittal.
Notes
. Although some prefer the term "Native American" or "American Indian,” we use the term "Indian” throughout this opinion as that is the term employed in the statutes at issue in this appeal.
. ”[T]he term 'Indian country’ ... means (a) all land within the limits of any Indian reservation under the jurisdiction of the United States Government ... (b) all dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof ... and (c) all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running through the same.” 18 U.S.C. § 1151.
. As Cruz’s Indian status is the central issue on appeal, we discuss the evidence introduced regarding this question in the text below.
. This is not the case when the defendant moves for acquittal at the close of the government's case-in-chief and the district court defers ruling on that motion until it has reviewed all of the evidence. In that situation, we review "the motion on the basis of the evidence at the time the ruling was reserved.” Fed.R.Crim.P. 29(b). However, where, as here, the district judge does not defer ruling but instead rules immediately, "a defendant waives his objection to the trial court’s denial of a motion for acquittal ... if he elects to present evidence on his own behalf.” United States v. Alexander,
We note that the terms of art "motion for judgment of acquittal” and "challenge to the sufficiency of the evidence” are functionally equivalent: "Rule 29 motions for acquittal do not need to state the grounds upon which they are based because 'the very nature of such motions is to question the sufficiency of the evidence to support a conviction.’ ” United States v. Viayra,
. Alternatively, the defendant may forego the opportunity to move for acquittal at the close of the government’s case-in-chief and may instead make such a motion after presenting a defense, see Fed.R.Crim.P. 29(a), although prudent counsel are unlikely to pass on the opportunity to make the motion at both junctures.
. In United States v. Ramirez, the only issue apparently raised by the parties was whether "the documents produced at trial” were sufficient to demonstrate that the individuals in question were in fact enrolled members of the relevant tribe and therefore whether the first Bruce factor was satisfied.
. The parties have not cited to us any Blackfeet ordinances or codes establishing this point. As we explain infra pp. 849-50 & note 15, the fact that charges were brought against Cruz in tribal court does not necessarily mean the tribal court had jurisdiction over him. Our own reading of the Blackfeet code suggests that perhaps the tribe's criminal jurisdiction is limited to enrolled members of the Blackfeet Tribe and other tribes. Cf. Blackfeet Code § 1.1 ("The Blackfeet Tribal Court has jurisdiction over all persons of Indian descent, who are members of the Blackfeet Tribe of Montana and over all other American Indians unless its authority is restricted by an Order of the Secretary of the Interior.”) (emphasis added). It is undisputed that Cruz is
. We also note that Blackfeet Ord. 14, which establishes "procedures governing enrollment” and which was admitted into evidence at trial, states that children born after August 30, 1962 must have "one-fourth degree of Blackfeet Indian blood or more” in order to qualify for descendant status as well. Id. § 2(d). Under this ordinance, Cruz would not appear to qualify for any tribal status whatsoever. However, because the Director of Tribal Enrollment testified that Cruz enjoys descendant status — apparently despite the tribal regulations to the contrary' — we treat him as enjoying that status for purposes of our analysis. We note the incongruity between his blood quotient and the tribal ordinance only to underscore the error of the dissent’s placing near exclusive weight on Cruz’s descendant status in concluding that Cruz is an Indian.
. This concession reflects a sensible understanding of the law. If, for example, a tribal authority declared that anyone with an ancestor who was a member of the tribe, no matter how distant, counts as a "descendant,” we would be hard pressed to consider such an individual subject to prosecution under § 1153, even though “tribal authorities [would clearly] recognize [such a person] as an Indian” under our dissenting colleague’s formulation. Dissenting Op. at 852 (emphasis omitted).
. While Cruz did attend school on the reservation for a period of time, the school was open to non-Indians.
. Employment with the BIA is open to non-Indians. While it is true that the BIA is permitted to give preference to Indians when making hiring decisions, see 25 U.S.C. §§ 472, 472a; Morton v. Mancan,
. Although we base our analysis on the evidence in the record and not on the PreSentencing Report, we note that the Report indicates that Cruz “returned to [the reservation] shortly before the instant offense.” The evidence at trial was that he lived on the reservation for three to four years during his childhood and then moved back shortly before the instant offense.
. The dissent would have us excise this portion of Bruce's holding from that opinion by dismissing it as "a stray comment.” Dissenting Op. at 852. This is a curious suggestion from our colleague, who, at one point, was the most vigorous proponent of the proposition that ”an[y] issue germane to the eventual resolution of the case, [that has been] resolve[d] after reasoned consideration in a published opinion [is] the law of the circuit.” United States v. Johnson,
. As indicated above, the record demonstrates that descendants of enrolled Blackfeet members are entitled to use Indian Health Services, are eligible for certain scholarships, and are permitted to hunt and fish on the reservation. The government does not dispute that Cruz never took advantage of any of these benefits.
. Our dissenting colleague would equate the power to arrest with the power to determine Indian status, thereby delegating to every tribal police officer the determination of whether an individual may be prosecuted federally as an Indian. See Dissenting Op. at 852 ("/TJribal authorities recognize [Cruz] as an Indian.... That they do is confirmed by the fact that ... the tribal police took him before the tribal court rather than turning him over to state or federal authorities. How that case was finally resolved is irrelevant ....” (second emphasis added)). We reject the dissent's unusual approach: both the legitimate reach of federal authority under the Constitution and the delicate question of whether an individual “counts” as an Indian for purposes of a federal criminal prosecution that could lead to his incarceration are issues too -important to be decided on the basis of a single arrest and in the absence of any true judicial consideration.
. "[Ojnce a defendant has satisfied his burden of production with respect to an affirmative defense, the burden shifts to the government to disprove the defense beyond a reasonable doubt.” Dominguez-Mestas,
. Because we reverse the district court’s denial of Cruz’s motion for judgment of acquittal, we need not reach his claim that the district court improperly instructed the jury with respect to the relative weight the four Bruce factors are to receive. However, since this question could well arise in other prosecutions, we take this opportunity to explain that the district court’s instruction in this case was erroneous because it failed to inform the jury that the Bruce factors must be considered "in declining order of importance,” as stated in Bruce.
Dissenting Opinion
dissenting:
Because defendant has the requisite amount of Indian blood, the only question is whether he has “tribal or government recognition as an Indian.” United States v. Bruce,
That Cruz may not have taken advantage of these benefits doesn’t matter because the test is whether the tribal authorities recognize him as an Indian, not whether he considers himself one. That they do is confirmed by the fact that, when he was charged with an earlier crime on the reservation, the tribal police took him before the tribal court rather than turning him over to state or federal authorities. How that case was finally resolved is irrelevant; what matters is that the tribal authorities protected him from a state or federal prosecution by treating him as one of their own. Finally, Cruz was living on the reservation when he was arrested, another piece of evidence supporting the jury’s verdict.
The majority manages to work its way around all of this evidence by taking a stray comment in Bruce to the effect that certain factors have been considered in “declining order of importance” and turning it into a four-part balancing test. But Bruce was not announcing a rule of law; it was merely reporting what it thought other courts had done: “[Cjourts have considered, in declining order of importance, evidence of [four factors].”
Bruce borrowed the “declining order of importance” language from United States v. Lawrence,
This is the opposite of what my colleagues do today: They turn the four factors into a rigid multi-part balancing test, with the various prongs reinforcing or offsetting each other, depending on how they are analyzed. This is not what the judge in St. Cloud had in mind, and certainly nothing like what Bruce adopted as the law of our circuit. It is an invention of the majority in our case, designed to take power away from juries and district judges and give it to appellate judges. Nothing in the law, dating back to the Supreme Court’s opinion in Rogers, justifies this fine mincing of the evidence. The question we must answer is whether there is enough evidence from which a rational jury could have concluded beyond a reasonable doubt that Cruz was recognized as an Indian. Clearly there was, and that’s the end of our task.
Nor do I maintain, as the majority makes believe, that Cruz’s descendant status is enough to make him an Indian. Whether or not it is, there are additional facts here: Cruz’s residence on the reservation and the fact that he was previously arrested and brought before the tribal court. The latter is a fact that the Bruce majority held to be highly significant. Bruce did not consider the disposition of prior tribal court cases relevant and we are not free to disregard the arrest and prosecution by tribal authorities on this spurious basis.
Worse still, after huffing and puffing for 11 hefty paragraphs and 12 chubby footnotes trying to explain why the district court erred at all, the majority concludes in a single opaque sentence that the error is “plain.” Just how plain can this error be when the majority has to struggle so long and hard to find any error at all? After complaining bitterly about pointy-headed judges who “slic[e] ever finer and finer distinctions whose practical consequences are seemingly minuscule, if not microscopic,” maj. op. at 845, my colleagues pull out a scalpel of their own and proceed to engage in the same exercise, so that “our standards of review continue to multiply, the relationships between them growing more obscure with each iteration.” Id. at 845. Before reading today’s opinion, no one could have guessed its outcome and methodology. Saying that the error is plain eviscerates the “plain” part of the plain error standard. If this is plain error, no error isn’t.
Not satisfied with merely reversing the verdict, the majority goes a bridge too far by converting its novel four-part test into a jury instruction. This is wholly unnecessary, as Cruz cannot be tried again for violating 18 U.S.C. § 1153 because of double jeopardy. It is also wrong. We don’t instruct juries as to how to weigh the evidence; that is their function, not ours. Yet the majority now requires jurors to assign relative weight to various pieces of evidence presented to them. I am aware of no such instruction anywhere else in our jurisprudence and the majority points to none. It is a bold step into uncharted territory and, in my judgment, an unwise one.
The majority engages in vigorous verbal callisthenics to reach a wholly counter-intuitive-and wrong-result. Along the way, it mucks up several already complex areas of the law and does grave injury to our plain error standard of review. I hasten to run in the other direction.
