UNITED STATES OF AMERICA, Plaintiff-Appellee, v. DAMIEN ZEPEDA, Defendant-Appellant.
No. 10-10131
UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT
January 18, 2013
D.C. No. 2:08-cr-01329-ROS-1
Appeal from the United States District Court for the District of Arizona Roslyn O. Silver, Chief District Judge, Presiding
Argued and Submitted July 17, 2012-San Francisco, California
Filed January 18, 2013
Before: Ferdinand F. Fernandez, Richard A. Paez, and Paul J. Watford, Circuit Judges.
Opinion by Judge Paez; Dissent by Judge Watford
SUMMARY*
Criminal Law
The panel reversed jury convictions under the Major Crimes Act,
The panel held that whether a given tribe is federally recognized, as required for jurisdiction under
The panel held that a Certificate of Enrollment in an Indian tribe, entered into evidence through the parties’ stipulation, is insufficient evidence for a rational juror to find beyond a reasonable doubt that a defendant is an Indian for purposes of
Dissenting, Judge Watford would hold that federal recognition of an Indian tribe is a question of law for the court to resolve.
* This summary constitutes no part of the opinion of the court. It has been prepared by court staff for the convenience of the reader.
COUNSEL
Joan G. Ruffennach, Assistant United States Attorney, Office of the United States Attorney, Phoenix, Arizona, for Plaintiff-Appellee.
Michele R. Moretti, Law Office of Michele R. Moretti, Lake Butler, Florida, for Defendant-Appellant.
OPINION
PAEZ, Circuit Judge:
On October 25, 2008, Damien Zepeda (“Zepeda“) traveled with his brothers Jeremy and Matthew Zepeda (“Matthew“) to the home of Dallas Peters (“Peters“), located on the Ak-Chin Reservation of Arizona. Zepeda and Matthew opened fire upon the house‘s occupants, injuring Peters severely. In a nine-count indictment, the government charged Zepeda with, inter alia, conspiracy to commit assault, assault with a deadly weapon, and use of a firearm during a crime of violence.1 The indictment alleged that
The Major Crimes Act,
This appeal calls upon us to decide whether a Certificate of Enrollment in an Indian tribe, entered into evidence through the parties’ stipulation, is sufficient evidence for a rational juror to find beyond a reasonable doubt that the defendant is an Indian for the purposes of
I.
At Zepeda‘s trial, the government introduced into evidence a document entitled “Gila River Enrollment/Census Office Certified Degree of Indian Blood.”4 The document bore an “official seal” and stated that Zepeda was “an enrolled member of the Gila River Indian Community,” and that “information [wa]s taken from the official records and membership roll of the Gila River Indian Community.” It also stated that Zepeda had a “Blood Degree” of “1/4 Pima [and] 1/4 Tohono O‘Odham” for a total of 1/2. The Certificate was signed by “Sheila Flores,” an “Enrollment Services Processor.” The prosecutor and Zepeda‘s attorney stipulated to admission of the Certificate into evidence without objection.5 Their stipulation stated: “The parties have conferred and have agreed that Exhibit 1[, the Tribal Enrollment Certificate,] . . . may be presented at trial without objection and [its] contents are stipulated to as fact.”
The Tribal Enrollment Certificate was published to the jury through the testimony of Detective Sylvia Soliz, a detective for the Ak-Chin Police Department, who told the jury that she obtained the Certificate from the Gila River Indian Community in advance of trial, “confirming” that
Q: [W]e‘ve talked a little bit about Native Americans and Indian blood and that sort of thing. Is this a jurisdictional requirement that you have? Explain that for the jury.
A: Yes, it is. I am only able to investigate if the witness would come to a federal status and the victim was an enrolled member of a tribe or — and if it occurred on the reservation boundaries.
. . .
Q: You talked about a certification of Indian blood. What is that?
A: It‘s a piece of paper confirming through the tribe that you obtained from the enrollment office that confirms that this person is an enrolled member of their tribe and he[,] and they[,] do meet the blood quantum.
Q: And is that sometimes used in determining whether that person might be able to receive tribal benefits from the tribe?
A: Yes, it does.
Zepeda‘s brother Matthew also testified regarding Zepeda‘s Indian status. Matthew testified that he was half
No further evidence regarding Zepeda‘s Indian status was admitted. At the close of the government‘s case in chief, Zepeda moved for a judgment of acquittal under
On appeal, Zepeda argues, inter alia, that the government failed to prove beyond a reasonable doubt that he was an Indian under
II.
Indian “tribes generally have exclusive jurisdiction over crimes committed by Indians against Indians in Indian country.”7 United States v. LaBuff, 658 F.3d 873, 876 (9th Cir.
Indian tribes are recognized as quasi-sovereign entities that may regulate their own affairs except where Congress has modified or abrogated that power by treaty or statute. Courts have also recognized, however, that regulation of criminal activity in Indian country is one area where competing federal interests may override tribal interests.
To balance the sovereignty interest of Indian tribes and the United States‘s interest in punishing offenses committed in Indian country, Congress enacted two statutes,
The question of Indian status operates as a jurisdictional element under
“Although jurisdictional questions are ordinarily reviewed de novo, when a defendant brings a motion for acquittal in order to challenge the sufficiency of the evidence underlying a jurisdictional element, we owe deference to the jury‘s ultimate factual finding.” Cruz, 554 F.3d at 843-44. “Accordingly . . . we review the district court‘s decision under the standard applied to sufficiency-of-the-evidence challenges: ‘whether, after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.‘” Id. at 844 (quoting Jackson v. Virginia, 443 U.S. 307, 319 (1979) (emphasis omitted)); see also United States v. Nevils, 598 F.3d 1158, 1163-67 (9th Cir. 2010) (en banc).
III.
A.
We first must determine whether the Tribal Enrollment Certificate was properly admitted into evidence, or rather, as Zepeda urges, whether its admission violated his rights under the Confrontation Clause. Because Zepeda did not object at trial to the district court‘s admission of the Certificate pursuant to the parties’ stipulation, we review for plain error. United States v. Wright, 625 F.3d 583, 607 (9th Cir. 2010).
“The test regarding the validity of a stipulation is voluntariness.” United States v. Molina, 596 F.3d 1166, 1168-69 (9th Cir. 2010). We have previously held that ““[s]tipulations freely and voluntarily entered into in criminal trials are as binding and enforceable as those entered into in civil actions.“” Id. at 1169 (quoting United States v. Technic Servs., Inc., 314 F.3d 1031, 1045 (9th Cir. 2002) (alteration in original)). ““[S]tipulations serve both judicial economy and the convenience of the parties, [and] courts will enforce them absent indications of involuntary or uninformed consent.“” Id. (quoting CDN Inc. v. Kapes, 197 F.3d 1256, 1258 (9th Cir. 1999) (alterations in original)). “A ‘defendant who has stipulated to the admission of evidence cannot later complain about its admissibility’ unless he can show that the stipulation was involuntary.” Id. (quoting Technic Servs., 314 F.3d at 1045).
Zepeda points to no record evidence that he entered into the stipulation at issue involuntarily. Rather, he points to a lack of record evidence that his attorney informed him of the contents of the stipulation and its legal effect, and asserts that his counsel‘s waiver of his Confrontation Clause rights was
Moreover, our case law recognizes that “defense counsel may waive an accused‘s constitutional rights as a part of trial strategy.” United States v. Gamba, 541 F.3d 895, 900 (9th Cir. 2008). Counsel‘s authority extends to waivers of the accused‘s Sixth Amendment right to cross-examination and confrontation as a matter of trial tactics or strategy. Wilson v. Gray, 345 F.2d 282, 287-88 (9th Cir.), cert. denied, 382 U.S. 919 (1965).
Zepeda argues that waiver of a fundamental constitutional right cannot ever constitute a sound trial strategy, particularly where, as here, the Tribal Enrollment Certificate purported to establish an essential jurisdictional element. It appears from the record, however, that Zepeda‘s attorney strategically focused Zepeda‘s defense on the implausibility of government witnesses’ testimony, as compared to Zepeda‘s markedly different version of the relevant events. He chose not to direct the jury‘s attention to Zepeda‘s Indian status, and informed the jury during his opening statement: “I will stipulate and concede things that ought to be conceded in terms of my client, Mr. Zepeda.” Although ultimately not a winning strategy, it was clearly “deliberately made as a matter of trial tactics,” and did not involve a “basic trial right[]” such as the decision “whether to plead guilty, waive
Accordingly, we conclude that the district court did not plainly err in admitting the Tribal Enrollment Certificate into evidence pursuant to the parties’ stipulation.
B.
Having determined that the Tribal Enrollment Certificate was properly admitted into evidence, we turn to whether, viewing all evidence in the light most favorable to the government, any rational juror could have found beyond a reasonable doubt that Zepeda was an Indian, on the basis of the slim evidence as to both prongs of the Bruce test.
As noted, “[t]he Bruce test requires that the Government prove two things: that the defendant has a sufficient ‘degree of Indian blood,’ and has ‘tribal or federal government recognition as an Indian.‘” Cruz, 554 F.3d at 845 (quoting Bruce, 394 F.3d at 1223, 1224). “The first prong requires ‘some’ Indian blood.” United States v. Ramirez, 537 F.3d 1075, 1082 (9th Cir. 2008) (quoting Bruce, 394 F.3d at 1223). “Thus, ‘evidence of a parent, grandparent, or great-grandparent who is clearly identified as an Indian is generally sufficient to satisfy this prong.‘” Id. (quoting Bruce, 394 F.3d at 1223).
Our recent decision in United States v. Maggi made clear that “[t]here is an important overlay to the Bruce test: To be considered an Indian under . . . [
In Maggi, the court addressed the consolidated appeals of two defendants, Gordan Mann and Shane Maggi, both tried and convicted pursuant to
The court in Maggi commented that we had previously addressed the issue of whether prosecution under
We need not address . . . the question whether LaPier has shown a significant degree of blood and sufficient connection to his tribe to be regarded as one of its members for criminal jurisdiction purposes. There is a simpler threshold question that must be answered first, and in this case it is dispositive: Is the Indian group with which LaPier claims affiliation a federally acknowledged Indian tribe? If the answer is no, the inquiry ends. A defendant whose only claim of membership or affiliation is with an Indian group that is not a federally acknowledged Indian tribe cannot be an Indian for criminal jurisdiction purposes.
Id. at 304-05 (internal quotation marks and citations omitted). The court therefore concluded that LaPier was not entitled to habeas relief.
Maggi recognized that LaPier‘s threshold requirement of affiliation with a federally recognized tribe stemmed from judicial and legislative acknowledgment that federal criminal jurisdiction over Indians is not dependent on a racial classification, but upon the federal government‘s relationship with the Indian nations as separate sovereigns. 598 F.3d at 1078-79 (discussing LaPier, 986 F.2d at 305 (“Federal legislation treating Indians distinctively is rooted in the unique legal status of Indian tribes under federal law and upon the plenary power of Congress, based on a history of treaties and the assumption of a guardian-ward status, to legislate on behalf of federally recognized Indian tribes.“), United States v. Antelope, 430 U.S. 641, 646 (1977) (“[F]ederal regulation of Indian affairs is not based upon
Accordingly, Maggi concluded that LaPier‘s requirement of affiliation with a federally recognized tribe was not altered or superseded by the test announced in Bruce, “which presupposes that ‘tribal or government recognition as an Indian’ means as an Indian from a federally recognized tribe.” Maggi, 598 F.3d at 1079 (quoting Bruce, 394 F.3d at 1223). It followed from this analysis that the first prong of the Bruce test requires “that the bloodline be derived from a federally recognized tribe.” Id. at 1080.11
C.
We must therefore determine whether the evidence the government presented at trial was sufficient, drawing all inferences in the government‘s favor, to satisfy the threshold question identified in LaPier and Maggi, namely, whether
The government (and the dissent) argues that whether a given tribe is federally recognized is a question of law that should be determined by the court rather than the jury, and requests, at this late stage, that we take judicial notice of the fact that both the “Gila River Indian Community of the Gila River Indian Reservation, Arizona” and the “Tohono O‘Odham Nation of Arizona” are federally-recognized Indian tribes.12 We address each issue in turn.
a.
Bruce and its progeny make clear that Indian status is an element of any
In United States v. Heath, 509 F.2d 16 (9th Cir. 1974), the court considered the effect of the Klamath Termination Act,
Finally, in Maggi, discussed at length above, the court found that the threshold requirement of a bloodline from a federally recognized tribe was lacking for one defendant because there was an absence of evidence that his bloodline derived from a recognized tribe. 598 F.3d at 1080. This precedent, considered as a whole, reflects our recognition that there is a legal element embedded in the first prong of the Bruce test: Federal recognition is a legal status afforded to “American Indian groups indigenous to the continental United States . . . that can establish a substantially continuous tribal existence and which have functioned as autonomous entities throughout history until the present.”
The government and dissent draw an analogy to territorial jurisdiction cases, and argue that the judge should determine the existence of federal recognition as a matter of law and so instruct the jury. Further, the government and dissent would
In analogizing federal recognition to territorial jurisdiction, the dissent bases its disagreement, in part, on an “overriding practical consideration.” Dissent at 33; see Dissent Part II. Although a practical consideration should not trump adherence to our case law, we nonetheless pause to address it. The dissent argues that, historically, determination of federal recognition of an Indian tribe “involved review of source materials that judges are better suited than juries to evaluate,” such as treaties, statutes and executive orders. Dissent at 33-35. After reviewing this historical context, the dissent concludes, “[t]he fact that the source materials for resolving the issue of federal recognition have until recently been legal texts explains why there is no historical support for submitting that issue to the jury.” Dissent at 35. The dissent
We draw support for our conclusion that the government failed to meet its burden of proof here from United States v. James, 987 F.2d 648 (9th Cir. 1993). In that case, the
[T]here was no evidence before the jury at all on whether the banks were insured by the FDIC. The bank employees who testified did not testify as to the FDIC status of the banks, and the stipulation concerning the “FDIC aspect” of the case was not read to the jury or received into evidence. Without any evidence on the FDIC status of the bank, no rational jury could have found beyond a reasonable doubt that the banks were insured by the FDIC.
Id. at 650 (citation omitted).
Here, like in James, because the government presented no evidence to the jury that Zepeda‘s bloodline derived from a federally recognized tribe, the jury lacked the requisite foundation to find beyond a reasonable doubt that the Pima or Tohono O‘Odham tribes are federally recognized. Accordingly, we conclude that evidence of federal
b.
The government is correct, as a general matter, that the Bureau of Indian Affairs‘s list of federally recognized tribes is a proper subject of judicial notice, even on appeal. The fact of federal recognition is “capable of accurate and ready determination,” the Federal Register is a “source[] whose accuracy cannot reasonably be questioned,” and a court may take judicial notice “at any stage of the proceeding.” Fed. R. Evid. 201(b)(2), (d); Papai v. Harbor Tug & Barge Co., 67 F.3d 203, 207 n.5 (9th Cir. 1995), rev‘d on other grounds, 520 U.S. 548 (1997) (“Rule 201 provides for judicial notice of adjudicative facts that are, inter alia, ‘capable of accurate and ready determination by resort to sources whose accuracy cannot reasonably be questioned.’ Such ‘[j]udicial notice may be taken at any stage of the proceeding,’ including on appeal . . . .“) (citations omitted).
However, Rule 201 further provides that, “[i]n a criminal case, the court must instruct the jury that it may or may not accept the noticed fact as conclusive.” Fed. R. Evid. 201(f). In other words, judicially-noticed facts are insufficient to meet the government‘s burden of proof beyond a reasonable doubt unless and until they are accepted by the jury as conclusive. Accordingly, we have recognized that, “[f]or a court . . . to take judicial notice of an adjudicative fact after a jury‘s discharge in a criminal case would cast the court in the role of a fact-finder and violate defendant‘s Sixth Amendment right to trial by jury.” United States v. Dior,
Here, although it would have been proper for the government to request the district court to take judicial notice of the fact of the Gila River Indian Community of the Gila River Indian Reservation, Arizona17 and Tohono O‘Odham
Because “there is no evidence that [Zepeda] has any blood from a federally recognized Indian tribe,” Maggi, 598 F.3d at 1075, we conclude that no rational juror could have found Zepeda guilty beyond a reasonable doubt of counts 2 through 9 of the indictment, the offenses predicated on
IV.
In sum, we hold that the Tribal Enrollment Certificate was insufficient to establish that Zepeda is an Indian for the purposes of federal jurisdiction under
Because we hold that the government introduced insufficient evidence under the first prong of the Bruce test, we need not consider whether the Tribal Enrollment Certificate alone was sufficient to carry the government‘s
For the above reasons, Zepeda‘s convictions under
REVERSED in part and REMANDED for resentencing.
WATFORD, Circuit Judge, dissenting:
I part company with the majority on a single issue, but that issue is a game-changer in this case. We all agree that federal courts have subject matter jurisdiction under
I
We have addressed this same judge-or-jury issue in a variety of contexts, one of which is particularly analogous here. A jurisdictional element of various federal crimes requires proof that the offense was committed within “Indian country.” See, e.g.,
Like the Indian country and territorial jurisdiction elements at issue in these cases, the Indian status element of
Federal recognition should be classified as a legal issue because it stands doctrinally on the same footing as the determination that a particular location is within Indian country or the special maritime and territorial jurisdiction of the United States. Both determinations relate to a fixed legal status that does not change from case to case—the status of a particular location relative to the federal government in one instance, the status of the defendant‘s tribe relative to the federal government in the other. And both determinations
The majority offers no principled basis for holding that the jurisdictional status of the defendant‘s Indian tribe is a factual issue in
II
Beyond the doctrinal parallels, an overriding practical consideration supports treating the jurisdictional status of a location and the jurisdictional status of the defendant‘s Indian tribe as questions of law: Historically, both determinations have involved review of source materials that judges are better suited than juries to evaluate. See Miller v. Fenton, 474 U.S. 104, 114 (1985)
Take the Indian country determination as an example. Determining whether a particular location is within Indian country typically involves construing the effect of treaties, statutes, and executive orders with respect to the geographic area at issue. See, e.g., United States v. John, 437 U.S. 634, 638-54 (1978) (interpreting treaties and congressional enactments to determine whether lands designated as a reservation for the Choctaw Indians were within Indian country); United States v. Soldana, 246 U.S. 530, 531-33 (1918) (construing federal statutes to determine whether a railroad right-of-way remained within the Crow Indian Reservation); Donnelly v. United States, 228 U.S. 243, 259-69 (1913) (surveying a wide range of executive orders and legislative enactments to determine whether the bed of the Klamath River was within the Hoopa Valley Reservation). We have rightly deemed judges rather than juries better suited to the task of interpreting the meaning and effect of treaties, statutes, and executive orders. See Sohappy, 770 F.2d at 822 n.6 (“The issue of what constitutes Indian country is properly a matter for the judge and not the jury.“). That allocation of responsibility is consistent with the Supreme Court‘s general observation that “[t]he construction of written instruments is one of those things that judges often do and are likely to do better than jurors unburdened by training in exegesis.” Markman v. Westview Instruments, Inc., 517 U.S. 370, 388 (1996).
For most of our Nation‘s history, determining a tribe‘s federally recognized status also involved interpretation of
The fact that the source materials for resolving the issue of federal recognition have until recently been legal texts explains why there is no historical support for submitting that issue to the jury. Indeed, the majority fails to cite a single instance in which a jury has been asked to decide whether the federal government has recognized an Indian tribe. As will be shown below, our cases have instead treated the issue (at least implicitly) as one of law for the court to resolve.
The majority notes that today the task of determining which tribes have been federally recognized is much simpler
In any event, consulting the BIA‘s list will not always end the federal recognition inquiry. See COHEN § 3.02[5], p. 143 (“Tribes not included on the list may be able to establish their status as federally recognized through other means, however.“). Congress retains the authority to recognize new tribes by statute and to restore the status of previously terminated tribes without any action by the BIA, a power it has exercised a number of times since 1979. See, e.g.,
III
The cases on which the majority relies provide no support for its holding. We did not address whether judge or jury should resolve the issue of federal recognition in United States v. Maggi, 598 F.3d 1073 (9th Cir. 2010), United States v. Cruz, 554 F.3d 840 (9th Cir. 2009), United States v. Bruce, 394 F.3d 1215 (9th Cir. 2005), LaPier v. McCormick, 986 F.2d 303 (9th Cir. 1993), or United States v. Heath, 509 F.2d 16 (9th Cir. 1974). Those cases merely established that a defendant‘s Indian status is an element of the offense that must be proved to the jury beyond a reasonable doubt. See, e.g., Maggi, 598 F.3d at 1077; Cruz, 554 F.3d at 845; Bruce, 394 F.3d at 1229. No one disputes that here. The only question is whether one component of that element—the federally recognized status of the tribe at issue—must be decided by the jury. On that score, the Indian country and territorial jurisdiction cases discussed above are indistinguishable. There, too, the jury must find beyond a reasonable doubt that the offense occurred within Indian country, or within the special maritime and territorial jurisdiction of the United States. Nonetheless, we have held that one component of that element—the jurisdictional status of the place where the crime occurred is a legal question for the court to resolve. See Warren, 984 F.2d at 327; Sohappy, 770 F.2d at 822 & n.6; Gipe, 672 F.2d at 779.
The majority is mistaken in suggesting that Gipe supports its holding. Gipe reaffirms the rule from the territorial
In the cases cited by the majority in which a tribe‘s federally recognized status was actually at issue, we never suggested that federal recognition was a factual question. In Heath, we reversed the defendant‘s conviction under
In LaPier, we rejected a state habeas petitioner‘s contention that, because he was an Indian, the state courts lacked jurisdiction over his offense. We rejected that contention because the petitioner‘s tribe was not federally recognized. LaPier, 986 F.2d at 305-06. Although the district court had not addressed the issue, we decided it ourselves by consulting the list of federally recognized tribes prepared by the BIA. See id. We held that, “[a]bsent evidence of its incompleteness, the BIA list appears to be the best source to identify federally acknowledged Indian tribes whose members or affiliates satisfy the threshold criminal jurisdictional inquiry.” Id. at 305. Had we regarded a tribe‘s federally recognized status as a factual issue, we presumably would have remanded for resolution of that issue in the first instance by the district court.
Finally, in Maggi we reversed a defendant‘s conviction under
The majority also relies on United States v. James, 987 F.2d 648 (9th Cir. 1993), where we reversed a
IV
It follows that we should adopt here the same rule we apply in the Indian country and territorial jurisdiction cases, under which the court resolves the legal component of the jurisdictional element and submits the factual component to the jury. See, e.g., Jones, 480 F.2d at 1139 (“[T]he court‘s instruction correctly left the factual element – the locus of the crime to the jury, while reserving the question of law – whether the federal government had accepted jurisdiction – to itself.“). When a defendant‘s status as an Indian under
The jury in this case did not receive such an instruction, and effectively received no instructions at all on the Indian status element. (The district court merely told the jury that in order to convict the jury had to find “the defendant is an Indian.“) This was error. But because Zepeda did not object to the deficient instruction on Indian status, we review only for plain error, which requires (among other things) an error affecting Zepeda‘s substantial rights. See
No plain error occurred here. At trial, the government introduced uncontroverted evidence satisfying the factual component of the Indian status element: Zepeda‘s certificate of tribal enrollment in the Gila River Indian Community. That certificate established: (1) that Zepeda has blood ancestry of “1/4 Tohono O‘Odham” (thus satisfying the first prong of the Bruce test); and (2) that he was an enrolled member of the Gila River Indian Community (thus satisfying the second prong of the Bruce test). See, e.g., United States v. Torres, 733 F.2d 449, 455 (7th Cir. 1984) (“[U]ncontradicted evidence of tribal enrollment and a degree of Indian blood constitutes adequate proof that one is an Indian for purposes of
The district court did not determine whether the tribes at issue here are recognized by the federal government. But they are, and they were so at the time of trial. The Tohono O‘odham Nation of Arizona and the Gila River Indian Community of the Gila River Indian Reservation, Arizona, both appear on the BIA‘s list of federally recognized tribes. See Indian Entities Recognized and Eligible to Receive Services from the United States Bureau of Indian Affairs, 74 Fed. Reg. 40,218, 40,220, 40,221 (Aug. 11, 2009); see also Gila River Indian Cmty. v. United States, 697 F.3d 886, 889 (9th Cir. 2012). Zepeda has not contested the federally recognized status of either tribe.
As the majority notes (Maj. Op. at 28 n.18), Zepeda does contest whether his “1/4 Tohono O‘Odham” blood is from the Tohono O‘odham Nation of Arizona. That argument, however, has nothing to do with the issue that divides the panel. As I have explained, the court must decide as a legal matter whether a particular tribe has been federally recognized, but the jury still determines as a factual matter whether the defendant has a sufficient blood connection to that tribe to satisfy the first prong of the Bruce test. There is no sufficiency-of-the-evidence problem with respect to that factual issue here: Under Jackson v. Virginia, 443 U.S. 307, 319 (1979), a rational jury could certainly infer that the
But the majority is wrong to credit Zepeda‘s argument in any event, because the Tohono O‘odham Nation of Arizona has historically encompassed, from the outset of federal recognition, members of the tribe residing in Mexico. “The recognition of the Nation by the federal government [in 1937] followed a census conducted on both sides of the border in which the United States affirmed the Nation‘s definition of membership based on O‘odham blood. Members were included in a ‘base roll,’ a document that formed the basis of recognition for their Nation by the United States based on their blood, not on their country of citizenship, residency, or birth.” Courtney E. Ozer, Make It Right: The Case for Granting Tohono O‘odham Nation Members U.S. Citizenship, 16 Geo. Immigr. L.J. 705, 709 (2002) (footnote omitted).
The only question that remains is whether reversal is required because the district court failed to make the required legal ruling on the tribes’ federally recognized status. We dealt with a similar situation in United States v. Warren, 984 F.2d 325 (9th Cir. 1993). There, the defendant was charged with a crime requiring commission of the offense
Our decision in Warren confirms that the district court‘s error in this case did not affect Zepeda‘s substantial rights. Uncontroverted evidence established as a factual matter that Zepeda has a blood connection to one tribe and sufficient non-racial ties to another, satisfying both prongs of the Bruce test. And, as a matter of law, both tribes are federally recognized. That should be the beginning and end of our analysis here. I would affirm Zepeda‘s convictions and therefore must respectfully dissent.
Notes
Except as otherwise expressly provided by law, the general laws of the United States as to the punishment of offenses committed in any place within the sole and exclusive jurisdiction of the United States, except the District of Columbia, shall extend to the Indian country.
This section shall not extend to offenses committed by one Indian against the person or property of another Indian, nor to any Indian committing any offense in the Indian country who has been punished by the local law of the tribe, or to any case where, by treaty stipulations, the exclusive jurisdiction over such offenses is or may be secured to the Indian tribes respectively.
Any Indian who commits against the person or property of another Indian or other person any of the following offenses, namely, murder, manslaughter, kidnaping, maiming, a felony under chapter 109A, incest, assault with intent to commit murder, assault with a dangerous weapon, assault resulting in serious bodily injury (as defined in section 1365 of this title), an assault against an individual who has not attained the age of 16 years, felony child abuse or neglect, arson, burglary, robbery, and a felony under section 661 of this title within the Indian country, shall be subject to the same law and penalties as all other persons committing any of the above offenses, within the exclusive jurisdiction of the United States.
The government‘s reliance on United States v. Johnson, 680 F.3d 1140 (9th Cir. 2012) is misplaced. In that case, the defendant was convicted of two counts of making a false statement on federal “Form 4473” respecting information required to be kept by a federally licensed firearms dealer, in violation of
This case is readily distinguishable. The required contents of federal “Form 4473” is a question purely of statutory interpretation. By contrast, though the requirements of federal recognition are statutorily defined, the Bureau of Indian Affairs must make this determination in the first instance, subject to judicial review under the Administrative Procedure Act. See
The dissent would have this court find as a matter of law that the “Tohono O‘odham Nation of Arizona” and the “Gila River Indian Community of the Gila River Indian Reservation, Arizona” are federally recognized tribes. Dissent at 42. Even were this court permitted to do so—which we are not—we would still be compelled to reverse Zepeda‘s conviction on sufficiency grounds. Analyzing only the first prong of the Bruce test, there would remain no evidence in the record that the “Tohono O‘Odham” referenced in Zepeda‘s Tribal Enrollment Certificate refers to the federally recognized “Tohono O‘odham Nation of Arizona.” The dissent elides this point and claims that “Zepeda has not contested the federally recognized status” of the Gila River Indian Community nor the Tohono O‘odham Nation of Arizona. Dissent at 42. To the point, Zepeda vigorously argues that the name “Tohono O‘Odham” is not on the BIA list and that the “appellation ‘Tohono O‘Odham’ describes the collective Tohono O‘Odham population, a substantial portion of which has always resided in the Sonoran Desert of northwest Mexico. The BIA specifically lists as federally recognized only the ‘Tohono O‘odham Nation of Arizona,’ and not members of the collective ‘Tohono O‘Odham’ tribe, ‘wherever residing’ that Zepeda‘s certificate apparently describes. . . . [T]he Certificate‘s recitation of ‘Tohono O‘Odham’ must include the Tohono O‘Odhams of Mexico, who cannot be the ‘Tohono O‘odham Nation of Arizona’ . . . .”
Even under the dissent‘s law-fact dichotomy, the government still bore the burden of proving beyond a reasonable doubt the fact that Zepeda‘s blood derived from the federally recognized “Tohono O‘odham Nation of Arizona.” As Zepeda‘s argument indicates, this is a factual inquiry and one that was not decided by the jury in this case—nor could it have been as it was never presented to the jury.
