UNITED STATES of America, Appellee v. Luis Alberto Munoz MIRANDA, also known as David, also known as El Gordo, Appellant.
Nos. 13-3032, 13-3036.
United States Court of Appeals, District of Columbia Circuit.
Argued Sept. 15, 2014. Decided March 20, 2015.
1185
John-Alex Romano, Attorney, U.S. Department of Justice, argued the cause and filed the brief for appellee. David M. Lieberman, Attorney, U.S. Department of Justice, entered an appearance.
Before: SRINIVASAN, Circuit Judge, and EDWARDS and SENTELLE, Senior Circuit Judges.
Opinion for the Court filed by Circuit Judge SRINIVASAN.
SRINIVASAN, Circuit Judge:
Luis Alberto Munoz Miranda and Francisco Jose Valderrama Carvajal, citizens of Colombia, pleaded guilty to drug conspiracy charges under the Maritime Drug Law Enforcement Act (MDLEA). They contend on appeal that the MDLEA is unconstitutional as applied to their conduct, that the MDLEA fails to reach extraterritorially to encompass their conduct in Colombia, and that the facts in the record fail to support acceptance of their guilty pleas. We reject their challenges and affirm their convictions.
Appellants waived all but one of the arguments they now raise when they entered pleas of guilty without reserving any right to appeal their convictions. With respect to their remaining claim, concerning whether vessels used by the drug conspiracy were “subject to the jurisdiction of the United States” within the meaning of the MDLEA, that issue implicates the district court‘s subject-matter jurisdiction and thus could not be waived by appellants’ guilty pleas. On the merits of the issue, however, appellants’ statements of stipulated facts fully support the district court‘s conclusion that the relevant vessels were subject to the jurisdiction of the United States.
I.
On April 23, 2010, a federal grand jury indicted Munoz Miranda and Valderrama
Neither Munoz Miranda nor Valderrama Carvajal planned to, or did, leave Colombia in furtherance of the conspiracy. Valderrama Carvajal served as an organizer of the smuggling operations, and Munoz Miranda provided logistical support. In 2011, Colombian officials arrested Munoz Miranda and Valderrama Carvajal. They were extradited to the United States shortly thereafter.
In the district court, Munoz Miranda and Valderrama Carvajal moved to dismiss their indictments on a number of grounds. They claimed that the ships used by the conspiracy did not satisfy the statutory definition of vessels “subject to the jurisdiction of the United States,”
The next day, appellants moved to enter guilty pleas under
Appellants’ statements of stipulated facts also differed in certain respects. Munoz Miranda identified one particular shipment as an example of the conspiracy‘s use of stateless vessels to transport drugs: a shipment intended to travel from Colombia to Honduras “on board a go-fast boat” that was “not registered in Colombia and did not fly a Colombian flag.” J.A. 94. That shipment never left Colombia because it was stolen before it could be moved. Valderrama Carvajal identified the same shipment as an example of the conspiracy‘s actions, and also described a second shipment as an additional example. The latter shipment departed Colombia on board a go-fast boat that “was not registered in Colombia or any other nation, and contained no registration identification.” J.A. 129. Colombian authorities intercepted that vessel when it ran aground on Roncador Island, a remote Colombian island in the Caribbean Sea.
At their plea hearing, appellants confirmed that they knowingly and voluntarily entered pleas of guilty and waived any right to appeal. On October 12, 2012, the district court accepted both guilty pleas
On February 20, 2013, the district court issued an opinion denying reconsideration and memorializing the reasons for its oral denial of the original motions to dismiss. The court first explained that, as established by appellants’ factual stipulations, the two vessels identified as examples of the conspiracy‘s use of stateless boats—the vessel intercepted off of Roncador Island and the vessel intended to transport the stolen shipment—were both “without nationality” under the MDLEA‘s definition and thus were “subject to the jurisdiction of the United States.”
II.
Munoz Miranda and Valderrama Carvajal appeal the district court‘s denial of their motions to dismiss and their related joint motion for reconsideration, as well as their judgments of conviction. Appellants raise both constitutional and statutory claims.
For each of appellants’ arguments, we must first determine whether appellants’ unconditional guilty pleas waived their right to appeal the issue. “It is well settled that a voluntary and intelligent plea of guilty made by an accused person, who has been advised by competent counsel, may not be collaterally attacked.” Bousley v. United States, 523 U.S. 614, 621 (1998) (internal quotation marks omitted). A defendant who pleads guilty can do so conditionally, reserving the ability to raise particular challenges on appeal. See
Appellants instead contend that their arguments are immune from waiver. “There are two recognized exceptions” to the rule that an unconditional guilty plea waives a “defendant[‘s] claims of error on appeal.” Id. First, a challenge to the district court‘s subject-matter jurisdiction—to the court‘s power to hear a given case—can never be waived or forfeited. See Arbaugh v. Y & H Corp., 546 U.S. 500, 514 (2006); United States v. Cotton, 535 U.S. 625, 630 (2002); Delgado-Garcia, 374 F.3d at 1341. Second, certain constitutional challenges asserting a “right not to be haled into court at all” cannot be waived through a guilty plea. Blackledge v. Perry, 417 U.S. 21, 31 (1974); see also Menna v. New York, 423 U.S. 61, 62 (1975) (per curiam); Delgado-Garcia, 374 F.3d at 1341.
Appellants contend that either the subject-matter jurisdiction exception or the so-called Blackledge/Menna exception insulates each of their arguments from waiv-
A.
Appellants contend that the MDLEA is unconstitutional as applied to their conduct in two respects. First, appellants argue that Congress lacks power under the High Seas Clause of Article I to criminalize their actions in furtherance of the charged conspiracy because their conduct did not itself take place on the high seas. See
Appellants contend that their constitutional challenges fall within the subject-matter jurisdiction exception to waiver. We disagree. While appellants point to decisions from our sister circuits holding that certain facial challenges to the constitutionality of a statute implicate subject-matter jurisdiction, see, e.g., United States v. Saac, 632 F.3d 1203, 1208 (11th Cir. 2011), those decisions do not address whether as-applied constitutional challenges can be waived, see United States v. Phillips, 645 F.3d 859, 863 (7th Cir. 2011).
Our decision in Delgado-Garcia is controlling on this score. There, the defendants raised precisely the same due process challenge pressed by appellants here, contending that their convictions violated the Fifth Amendment because the government “did not prove a ‘nexus’ between [their] conduct and the United States,” which “they claim[ed] the Fifth Amendment‘s due process clause requires.” Delgado-Garcia, 374 F.3d at 1341. We held that the defendants had waived that constitutional claim by entering unconditional guilty pleas, and we rejected the defendants’ argument that their challenge fell within the subject-matter jurisdiction exception to the waiver rule. Id. at 1342. The defendants’ “Fifth Amendment claim,” we explained, “is irrelevant to the court‘s
That conclusion governs the resolution of appellants’ parallel Fifth Amendment claim here. And there is no reason to reach any different conclusion with respect to appellants’ as-applied challenge concerning Congress‘s Article I authority under the High Seas Clause. For both challenges, the question whether the MDLEA can be constitutionally applied to appellants’ conduct is a merits question within the district court‘s authority to decide, not an antecedent question going to the district court‘s subject-matter jurisdiction over the case.
It is equally clear that the Blackledge/Menna exception fails to immunize appellants’ constitutional claims from waiver. Together, Blackledge and Menna stand for the proposition that certain constitutional challenges are immune from waiver regardless of whether they raise issues of subject-matter jurisdiction. In Blackledge, the Court held that a due process challenge arising from repetitive, vindictive prosecution for the same crime could not be waived by guilty plea in a situation in which the alleged violation was apparent on the face of the indictment. 417 U.S. at 30. In Menna, the Court reached the same conclusion in the context of a double jeopardy challenge to an “indictment [that] was facially duplicative of [an] earlier offense of which the defendant had been convicted and sentenced.” United States v. Broce, 488 U.S. 563, 575 (1989) (describing Menna); see Menna, 423 U.S. at 62-63 & n. 2. Blackledge and Menna involved circumstances in which the defendant claimed a constitutional “right not to be haled into court at all” as opposed to asserting a “deprivation of constitutional rights that occurred prior to the entry of the guilty plea.” Blackledge, 417 U.S. at 30 (internal quotation marks omitted); see Broce, 488 U.S. at 574; Delgado-Garcia, 374 F.3d at 1342–43.
Appellants contend that their due process and Article I challenges fall within the Blackledge/Menna exception. Once again, our decision in Delgado-Garcia forecloses their argument. We held there that the Blackledge/Menna exception did not encompass the same due process claim advanced by appellants here. Such a challenge “is a claim that the due process clause limits the substantive reach of the conduct elements” of the statute that the defendants were charged with violating, “not a claim that the court lacks the power to bring them to court at all.” 374 F.3d at 1343. As a result, “[e]ven if the prosecution of [the defendants] violated the Fifth Amendment for this reason, [they] would still need to come to ‘court to answer the charge brought against’ them.” Id. (quoting Blackledge, 417 U.S. at 30).
That conclusion not only governs appellants’ parallel due process claim, but it also applies to appellants’ Article I challenge. The latter argument amounts to a contention that the High Seas Clause “limits the substantive reach of the conduct elements” of the MDLEA. Id. Even if application of the MDLEA to appellants’ conduct exceeded the legislative power granted by the High Seas Clause, they “would still need to come to ‘court to answer the charge brought against’ them.” Id. (quoting Blackledge, 417 U.S. at 30). In Blackledge and Menna, by contrast, the very act of haling the defendants into court completed the constitutional violation. We therefore conclude that neither
B.
In addition to their constitutional claims, appellants raise two arguments under the terms of the MDLEA. First, they contend that the MDLEA‘s conspiracy provision,
The extraterritorial reach of a statute ordinarily presents a merits question, not a jurisdictional question. The Supreme Court‘s decision in Morrison v. National Australia Bank Ltd., 561 U.S. 247 (2010), is illustrative. That case addressed whether
Appellants identify no reason for any different conclusion here. Just as in Morrison, to ask “what conduct [the MDLEA] reaches is to ask what conduct [the MDLEA] prohibits, which is a merits question,” not a question of subject-matter jurisdiction. Id. Nothing in the terms of the MDLEA suggests any intention by Congress to depart from that ordinary understanding. The district court therefore had jurisdiction “to adjudicate the question whether [the MDLEA] applies to [appellants‘] conduct.” Id. It follows that the subject-matter jurisdiction exception affords appellants no relief from the waiver rule for unconditional guilty pleas.
C.
In their second claim under the statute, appellants contend that their charged offenses did not involve “vessel[s] subject to the jurisdiction of the United States” as defined by the MDLEA.
1.
The MDLEA prohibits manufacturing, distributing, or possessing with intent to distribute drugs “on board” (i) a “vessel of
The MDLEA prescribes that, in cases involving “vessels subject to the jurisdiction of the United States,” the question whether the vessels at issue qualify as “subject to the jurisdiction of the United States” is a threshold question to be resolved by the district court, not a question for the jury: “Jurisdiction of the United States with respect to a vessel subject to this chapter is not an element of an offense. Jurisdictional issues arising under this chapter are preliminary questions of law to be determined solely by the trial judge.”
The courts of appeals that have addressed the issue disagree on whether United States jurisdiction over a vessel under
We agree with the Fifth and Eleventh Circuits and conclude that, under
That approach indicates that the question whether a vessel is “subject to the jurisdiction of the United States” goes to subject-matter jurisdiction. The issue is framed as a “threshold limitation on [the] statute‘s scope,” and “the Legislature clearly state[d] that” it should “count as jurisdictional.” Arbaugh, 546 U.S. at 515. Congress prescribed that the “[j]urisdiction of the United States with respect to a vessel” is a “[j]urisdictional issue[].”
In addition, “context ... is relevant to whether a statute ranks a requirement as jurisdictional,” Reed Elsevier, 559 U.S. at 168, and here, the context of
Those practical considerations ordinarily weigh in favor of construing a threshold statutory condition to be non-jurisdictional. See Henderson, 131 S.Ct. at 1202. Here, however, there are strong reasons to conclude that Congress intended the “jurisdiction of the United States with respect to a vessel” to be non-waivable and non-forfeitable by a defendant and to be independently confirmed by courts regardless of whether it is raised. In particular, Congress made the requirement a jurisdictional one in order to minimize the extent to which the MDLEA‘s application might otherwise cause friction with foreign nations.
The MDLEA defines certain non-United States vessels as “subject to the jurisdiction of the United States,” including a “vessel without nationality,” a “vessel registered in a foreign nation if that nation has consented or waived objection to the
In that setting, it is eminently understandable why Congress would want the “[j]urisdiction of the United States with respect to a vessel,”
Suppose, for instance, that a defendant wishes to plead guilty and thus has no desire to dispute that a vessel is “subject to the jurisdiction of the United States,” even though the vessel is “registered in a foreign nation” and “that nation has [not] consented or waived objection to the enforcement of United States law by the United States.”
Notably, Congress demonstrated the same sensitivity to the interests of affected foreign sovereigns in another provision of the MDLEA—enacted contemporaneously with
The government, relying on the First Circuit‘s divided decision in Gonzalez, argues that the term “jurisdiction” in
First, the government fails to account for the strong reasons to understand
In addition, when Congress establishes a so-called “jurisdictional element” addressing the reach of its legislative authority, Congress does not use the term “jurisdiction” in the statute. See, e.g.,
Statutes that establish “jurisdictional elements” not only contain no use of the term “jurisdiction,” but, consistent with the description “jurisdictional element,” treat the relevant condition as an element of the offense to be found by a jury. In that sense, “proof of [a jurisdictional element] is no different from proof of any other element of a federal crime.” Id. at 381. By contrast,
Additionally, a provision‘s “placement within” the statute can “indicat[e] that Congress wanted that provision to be treated as having jurisdictional attributes.” Henderson, 131 S.Ct. at 1205; see also Reed Elsevier, 559 U.S. at 164-65; Arbaugh, 546 U.S. at 514-15. The placement of
That is particularly evident in light of the history of
Any person who violates this section shall be tried in the United States district court at the point of entry where that person enters the United States, or in the United States District Court of the District of Columbia. Jurisdiction of the United States with respect to vessels subject to this chapter is not an element of any offense. All jurisdictional issues arising under this chapter are preliminary questions of law to be determined solely by the trial judge.
In 2006, Congress relocated the MDLEA, and in doing so separated what was § 1903(f) into two neighboring subsections within the new
For those reasons, we conclude that
2.
Proceeding to the merits, we reject appellants’ argument that the vessels described in their stipulated facts were not “subject to the jurisdiction of the United States.” The district court concluded that appellants’ charged conduct involved “vessels without nationality,” one type of vessel “subject to the jurisdiction of the United States.”
There is no basis for overturning the district court‘s finding that appellants were both involved with “vessels without nationality.” In their factual stipulations, each appellant acknowledged that he “was a co-conspirator in a drug trafficking organization which, from in or about 2006 and continuing until August 25, 2010, transported narcotics from Colombia on stateless go-fast vessels through international waters to other countries.” J.A. 93, 128 (emphasis added). Appellants do not dispute that “stateless” vessels are vessels “without nationality.”
Additionally, appellants each gave a “particular” example of the conspiracy‘s plans to transport drugs from Colombia on board “stateless” vessels. J.A. 94, 129. Munoz Miranda stipulated that, “[i]n particular,” he and others “planned to transport more than 500 grams of cocaine on board a go-fast boat leaving from the north coast of Colombia” in November 2006, and further stipulated that the “boat was not registered in Colombia and did not fly a Colombian flag.” J.A. 93-94. Valderrama Carvajal identified the same example, and also described an additional example that involved a “go-fast boat” that “did not fly a flag, was not registered in Colombia or any other nation, and contained no registration identification.” J.A. 128-29. “No one in the crew, including the captain, claimed that the go-fast boat was registered in Colombia.” J.A. 129. Those stipulations gave the district court an ample basis for its determination that appellants’ conspiratorial acts involved “vessels without nationality.”
Appellants contend that neither of the vessels highlighted as examples in their factual stipulations can count as “vessels without nationality” because both boats were in Colombian waters when captured. According to appellants, a vessel is “without nationality” only when on the high seas, and it ceases to qualify as stateless when within any nation‘s—here, Colombia‘s—territorial waters. The district court correctly rejected that argument. The statute describes “vessels without nationality” in a manner that makes no reference to the situs of a vessel when seized. See
For the foregoing reasons, we affirm the district court‘s denial of appellants’ motions to dismiss and for reconsideration. We also affirm the district court‘s acceptance of appellants’ guilty pleas.
So ordered.
