ON REHEARING EN BANC
After a divided panel vacated the defendant’s conviction for committing arson in Indian country, in violation of 18 U.S.C. §§81 and 1152,
see United States v. Prentiss,
A majority of this court agrees with the panel opinion’s conclusion that the Indian
*973
and non-Indian statuses of the victim and the defendant are elements of the crime of arson in Indian country under 18 U.S.C. §§ 81 and 1152. Judge Henry’s opinion (joined by Judges Seymour, Ebel, Briscoe, Lucero, and Murphy) sets forth the reasons for this view. However, in contrast to the original panel, a majority of this court further concludes that the indictment’s failure to allege the Indian/non-Indian statuses of the victim and the defendant did not deprive the district court of subject matter jurisdiction and is therefore subject to review for harmless error. In so holding, the majority overrules the contrary holdings in
United States v. Brown,
As a result, we REMAND this case to the decisional panel for further proceedings. On remand, the panel will be required to determine whether the failure of the indictment to allege the Indian/non-Indian statuses of the victim and the defendant was harmless beyond a reasonable doubt.
Judge Baldock (joined by Chief Judge Tacha and Judges Brorby and Kelly) dissents from the majority’s conclusion that the Indian/non-Indian statuses of the victim and the defendant constitute elements of the crime of arson in Indian country. Judge Henry (joined by Judges Seymour, Ebel, and Lucero) dissents from the majority’s conclusion that the indictment’s failure to allege the status of the victim and the defendant is subject to harmless error analysis.
HENRY, joined by SEYMOUR, EBEL, LUCERO, BRISCOE, and MURPHY, Circuit Judges.
I. BACKGROUND
The relevant facts are fully set forth in the panel opinion.
See Prentiss,
On or about the 22nd and 23rd day of November, 1996, within the confines of the Tesuque Pueblo, in Santa Fe County, in the State and District of New Mexico, the Defendant, RICCO DEVON PRENTISS, did willfully and maliciously set fire and attempt to set fire to a dwelling.
In violation of 18 U.S.C. § 1152 and 18 U.S.C. § 81.
Rec. vol. I, doc. 1.
Mr. Prentiss challenged his conviction on appeal by arguing that the indictment was insufficient because it failed to allege two essential elements of the offense: the Indian/non-Indian statuses of the victim and the defendant. A majority of the panel agreed, holding that “the Indian statuses of the defendant and victim are essential elements under 18 U.S.C. § 1152, which must be alleged in the indictment and established by the government at trial.”
Prentiss,
Judge Baldock filed a vigorous dissent. See id. at 977-80 (Baldock, J., dissenting). He assumed, without deciding, that the Indian/non-Indian statuses of the victim and the defendant are elements. Nevertheless, Judge Baldock reasoned, Mr. Prentiss had failed to establish that he was prejudiced by the indictment’s failure to allege them.
*974 II. INDIAN/NON-INDIAN STATUSES AS ELEMENTS
The exercise of criminal jurisdiction in Indian country affects three sovereigns: states, Indian tribes, and the federal government.
See Negonsott v. Samuels,
Because “Congress has ... constitutional power to prescribe a criminal code applicable in Indian country,”
United States v. Antelope,
The statutes at issue here belong to the latter type. Section 81 establishes the crime of arson “within the ... territorial jurisdiction of the United States.” See 18 U.S.C. § 81. The first paragraph of § 1152 provides that “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 ... shall extend to the Indian country.” 18 U.S.C. § 1152. It thus extends § 81’s prohibition of arson to Indian country. However, the second paragraph of § 1152 provides:
This section shall not extend [1] to offenses committed by one Indian against the person or property of another Indian, nor [2] to any Indian committing any offense in the Indian country who has been punished by the local law of the tribe, or [3] to any case where, by treaty stipulations, the exclusive jurisdiction over such offenses is or may be secured to the Indian tribes respectively- 1
Read in conjunction with the Supreme Court’s decision in McBratney, § 1152 establishes federal jurisdiction over interracial crimes only (i.e., when the defendant is an Indian and the victim is a non-Indian, or vice versa). See Cohen, supra, at 291 (stating that “the basic purpose of [§ 1152] is to punish interracial crimes”); Clinton, *975 supra, at 526 (stating that “[t]he combined impact of ... McBratney and the express intra-Indian crime exclusion indicates that section 1152 jurisdiction is limited to interracial crimes”).
Section 1152 does not expressly allocate the burden of alleging and proving the statuses of the victim and the defendant — facts necessary to establish federal jurisdiction. Accordingly, we must decide whether those facts constitute: (1) elements of arson in Indian country — “constituent parts of [the] crime,”
United States v. Gonzalez-Lopez,
We begin our analysis by considering the victim’s status. Then, we turn to the defendant’s status. Finally, we consider the rules of statutory interpretation applicable to § 1152.
A. Status of the Victim
Two Supreme Court decisions indicate that the status of the victim is an element.
3
In
Lucas v. United States,
In neither Lucas nor Smith was there any suggestion that the defendant had the burden of pleading the status of the victim, *976 offering evidence of that status, or persuading the factfinder. Thus, when the decisions refer to the prosecution’s obligation to prove the victim’s status, they cannot reasonably be read as describing the rebuttal of an affirmative defense. Instead, these decisions treat the 'victim’s status as an element — a constituent part of the crime that the government must raise in the indictment, submit to the jury, and prove at trial.
Two courts of appeals have reached the same conclusion. In
Hilderbrand v. United States,
In
United States v. Torres,
Hilderbrand and Torres thus impose the burden of alleging the victim’s status on the government — in the indictment and at trial. Just as the older Supreme Court decisions in Lucas and Smith, neither case suggests that the defendant bears the initial burden of raising this issue. Both cases indicate that the mere allegation that the defendant has committed a crime in Indian country is not sufficient to establish federal jurisdiction under § 1152.
In addition to these decisions, the policies of protecting state and tribal sovereignty support the view that the status of the victim is an element.
See McBratney,
Imposing the burden of alleging the status of the victim on the government rather than the defendant also comports with the usual practice in criminal prosecution. “[I]n ordinary criminal cases[,][the government] customarily is required to carry its burden of showing that specific events happened.”
United States v. Kaluna,
B. The Status of the Defendant
Allocating the burden of alleging the status of the defendant presents a closer question. In both
Lucas
and
Smith
there was no dispute as to each defendant’Indian status.
See Lucas,
Nevertheless, we are not persuaded that the status of the defendant should be treated differently from the status of the victim. Most importantly, the status of the defendant may be just as significant in determining whether a federal court has jurisdiction over the crime of arson in Indian country under §§ 81 and 1152 as the status of the victim. Thus, in a case in which the government contends that the victim is a non-Indian, the status of the defendant will determine whether a federal court or a state court has jurisdiction.
See McBratney,
C. Statutory Interpretation
In concluding that the status of the victim and the defendant are not elements, Judge Baldock relies exclusively on the plain language of the statute. Because § 1152’s jurisdictional scheme is set forth in two separate paragraphs, he maintains, the first'paragraph grants federal jurisdiction over Indian country while the second one establishes exceptions that “a defendant must raise in the first instance.” Op. at 989 (Baldock, J., dissenting).
Judge Baldock’s interpretation is based on the following principle:
[A]n indictment ... founded on a general provision defining the elements of an offense, or of a right conferred, need not *979 negative ... an exception made by a proviso or other distinct clause, whether in the same section or elsewhere, and that it is incumbent on one who relies on such an exception to set it up and establish it.
McKelvey v. United States,
In our view, this principle is insufficient to excuse the government from alleging the statuses of the victim and the defendant in the indictment. As the Eleventh Circuit observes,
McKelvey’s
general provision/proviso dichotomy is only one interpretative aid among several that should be applied in parsing statutes that define offenses.
See McArthur,
Where a statute defining an offence contains an exception, in the enacting clause of the statute, which is so incorporated with the language defining the offence that the ingredients of the of-fence cannot be accurately and clearly described if the exception is omitted, the rules of good pleading require that an indictment founded upon the statute must allege enough to show that the accused is not within the exception ... as it is universally true that no indictment is sufficient if it does not accurately and clearly allege all the ingredients of which the offense is composed.
Id.
at 173-74 (emphasis added). That principle may apply even when the exception is set forth in a subsequent clause or section of the statute.
Id.
at 174-75 (noting that an exception may be “clothed in such language ... to define the offence [ ] that it would be impossible to frame the actual statutory charge in the form of an indictment with accuracy, and the required certainty, without an allegation showing that the accused was not within the exception contained in the subsequent clause, section, or statute”);
see also McArthur,
The interpretive principle set forth in
Cook
applies to § 1152: “the ingredients of the offence cannot be accurately and clearly described if the exception is omitted.”
Cook,
Accordingly, Supreme Court authority, decisions of other circuits, policies underlying § 1152, practicalities of criminal prosecution, and established principles of statutory construction support the conclusion of the panel opinion. Thus, the Indian/non-Indian statuses of the victim and the defendant are essential elements of the crime of arson in Indian country under 18 U.S.C. §§ 81 and 1152. The government must allege them in the indictment. 8
*981 BALDOCK, Circuit Judge, joined by TACHA, Chief Judge, and BRORBY, KELLY, BRISCOE, and MURPHY, Circuit Judges.
III.
We next consider the issue of whether the indictment’s failure to allege the Indian/non-Indian statuses of Defendant and his victim deprived the district court of subject matter jurisdiction, or instead, is subject to harmless error review. Relying on
United States v. Brown,
Bound by prior precedent, a divided panel of this Court agreed, holding that “the complete omission of an essential element of the crime [from the indictment] ... is a fundamental jurisdictional defect that is not subject to harmless error analysis.”
Prentiss,
Upon en banc consideration, we now vacate that portion of our panel opinion which declined to review for harmless error the omission of an essential element from the indictment. Id. at 974-77. Contrary to our prior precedents, we hold that the failure of an indictment to allege an essential element of a crime does not deprive a district court of subject matter jurisdiction; rather, such failure is subject to harmless error review. To the extent that this Court’s prior decisions, including Brown and Smith, hold otherwise, we overrule them.
A.
In
Madsen v. United States,
That a court may not adjudicate a criminal prosecution without subject matter jurisdiction is beyond doubt. Courts’ recurring reference to the elements of a crime as “jurisdictional” to justify dismissal of an indictment which fails to allege an element, however, is misplaced.
E.g., United States v. Tran,
Elements of the crime of arson in Indian country under 18 U.S.C. §§ 81 & 1152, such as the Indian/non-Indian statuses of Defendant and his victim, are jurisdictional only in the sense that in the absence of those elements, no federal crime exists.
See Martin,
The indictment in this case sought to charge Defendant with the federal crime of arson in Indian country.
See
18 U.S.C. §§ 81 & 1152. Therein, the Government set forth what it believed to be the essential elements of the crime, specifically alleging that those elements violated §§81 and 1152. Defendant did not challenge the indictment’s sufficiency at any time in the district court.
Compare United States v. Du Bo,
B.
Because an indictment’s failure to allege an essential element of a crime is
*983
not jurisdictional, we must discern what standard of review applies when a defendant fails to timely challenge such an indictment. To be sure, a defendant cannot waive the right to challenge an indictment based upon its failure to charge an offense. Fed.R.Crim.P. 12(b)(2). We must, however, as a general rule liberally construe an indictment subject to a belated challenge in favor of validity.
See Bolton,
[Ajfter a verdict ... every intendment must be indulged in support of the indictment ... and such a verdict ... cures mere technical defects unless it is apparent they have resulted in prejudice to the defendant. Prejudice to the defendant is, of course, a controlling consideration in determining whether an indictment ... is sufficient.
Clay v. United States,
In both
Brown,
Nevertheless, most recently in
Neder,
the Supreme Court recognized that “most” constitutional errors can be harmless: “ ‘If the defendant had counsel and was tried by an impartial adjudicator, there is a
strong
presumption that any other constitutional errors that may have occurred are subject to harmless-error analysis.’ ”
Id.
at 8,
To date, the Supreme Court has classified only two types of grand jury related errors as structural, both involving discrimination in the selection of grand jurors.
Vasquez v. Hillery,
Furthermore, despite the Fifth Amendment’s requirement that the Government prove each and every element of a crime beyond a reasonable doubt,
In re Winship,
We conclude that the Government’s failure to allege in the indictment the Indian/non-Indian statuses of Defendant and his victim is not “so intrinsically harmful as to require automatic reversal ... without regard to ... [its] effect on the outcome” of the case.
Neder,
Accordingly, this cause is returned to the original appellate panel for application of harmless error review to the indictment’s failure to allege the Indian/non-Indian statuses of Defendant and his victim, and, if necessary, resolution of the remaining issues Defendant raises on appeal.
SO ORDERED.
BALDOCK, Circuit Judge, joined by TACHA, Chief Judge, and BRORBY, and PAUL KELLY, Jr., Circuit Judges, dissenting as to Part II.
The Court construes the “Indian versus Indian” exception contained in the second paragraph of the Indian Country Crimes Act, 18 U.S.C. § 1152, together with the “non-Indian versus non-Indian” exception to the Act spawned by
United States v. McBratney,
I.
The federal arson statute, 18 U.S.C. § 81, Ch. 645, 62 Stat. 688 (1948) (as amended), a federal enclave law, federalizes the crime of arson “within the territorial jurisdiction of the United States.” It provides in relevant part: “Whoever within the ... territorial jurisdiction of the United States, willfully and maliciously sets fire to or burns, or attempts to set fire to or burn any building ... shall be imprisoned. ...” The first paragraph of the Indian Country Crimes Act, 18 U.S.C. § 1152, Ch. 645, 62 Stat. 757 (1948), extends application of federal enclave laws, and thus § 81, to Indian country: “[T]he general laws of the United States as to punishment of offenses committed in any place within the sole and exclusive jurisdiction of the United States ... shall extend to Indian country.”
The second and only remaining paragraph of § 1152 sets forth three provisos which restrict application of § 1152’s first paragraph:
This section shall not extend [1] to offenses committed by one Indian against the person or property of another Indian, nor [2] to any Indian committing any offense in the Indian country who has been punished by the local law of the tribe, or [3] to any case where, by treaty stipulations, the exclusive jurisdiction over such offenses is or may be secured to the Indian tribes respectively-
Id.
A fourth, judicially-created proviso excepts from § 1152’s extension of federal enclave laws to Indian country crimes committed by a non-Indian against the person or property of another non-Indian.
See McBratney,
*986
In distinguishing between the requirement of § 1152’s first paragraph, as defined by Congress, and exceptions or defenses thereto contained in § 1152’s second paragraph, I am guided by established principles of statutory construction.
14
First, I look to the language and structure of the statute which is the principal means of ascertaining congressional intent.
See United States v. Ron Pair Enter., Inc.,
II.
The Court concludes that the first proviso of § 1152’s second paragraph, excepting from the statute’s reach crimes committed by one Indian against another Indian, together with the Supreme Court’s decisional rule that a state rather than federal court should exercise jurisdiction over a crime committed by a non-Indian against a non-Indian in Indian country,
see New York v. Martin,
To be sure, § 1152 extends the criminal jurisdiction of the federal courts provided for in 18 U.S.C. § 3231 to federal enclave crimes occurring within Indian country. No one disputes that under § 1152 an element of the crime of arson which the Government must allege is that it occurred in Indian country (which the indictment in this case plainly alleges). Yet nothing prohibits Congress from setting forth in the same statute fact-based exceptions to the statute’s criminal element based on notions of Indian sovereignty which, matters of ultimate proof aside, a defendant must initially raise as a bar to suit.
See United States v. Hester,
To reach a contrary result, the Court relies on two nineteenth century Supreme Court decisions,
Smith v. United States,
*988 If I were to construe § 1152, as does the Court, to require the Government to plead the first proviso of § 1152’s second paragraph in the indictment as well as the McBratney exception, namely that (1) either the defendant or victim was an Indian and the other was not, I would have no choice but to construe § 1152 to require the Government to plead the second and third provisos of the statute’s second paragraph as well, namely that (2) the defendant is not an Indian who has been punished by the local law of the tribe, and (3) exclusive jurisdiction over the charged offense has not been secured to the Indian tribe by treaty stipulation. The Court provides no sound reason to construe the first proviso of § 1152’s second paragraph in a manner different from the second and third provisos.
The Court’s frail attempt to explain within the confines of a remote footnote why it might construe these latter two provisos differently than the first stands the language and structure of § 1152 on their head. See Court’s Op. at 980-81 n. 8. The Court simply ignores the obvious— that all three provisos are conjoined in the same distinct clause apart from § 1152’s requirement that the crime occur in Indian country, and the language and structure of § 1152 draw no distinction between the three. The Court claims that “the ingredients of the offence cannot be accurately and clearly described if the [interracial] exception is omitted.” Id. at 979 (internal quotations omitted). But that simply begs the question of what “ingredients” constitute the offense. After today, this Court may rest assured that good criminal defense attorneys will demand allegations in a § 1152 indictment negating all three exceptions to § 1152’s “Indian country” requirement.
Since at least 1882, the Supreme Court has recognized that where provisos or exceptions appear in a distinct clause of a criminal statute, the Government need not allege in an indictment that a defendant does not come within the provisos or exceptions to the statute.
United States v. Britton,
By repeated decisions it has come to be a settled rule ... that an indictment or other pleading founded on a general provision defining the elements of an offense, or of a right conferred, need not negative the matter of an exception made by a proviso or other distinct clause, whether in the same section or elsewhere, and that it is incumbent on one who relies on such an exception to set it up and establish it.
Accord United States v. Santos-Riviera,
Furthermore, unlike the Court, I find no basis in § 1152’s language and structure to support a conclusion that the respect for state rights recognized in
McBratney, i.e.,
that a crime committed by a non-Indian against a non-Indian within Indian country is a matter better left to state courts, combined with § 1152’s exception for offenses committed by one Indian against another Indian, together establish that the Indian/non-Indian statuses of a defendant and victim are elements of the crime of
*989
arson under §§ 81 & 1152. The Court in
McBratney
did not even purport to construe the applicable statute and its ruling finds no basis whatsoever in the language of § 1152 or its predecessor acts. Rather, in
McBratney
(and subsequent cases, namely
Draper v. United States,
The clear language and structure of § 1152 compels me to conclude as a matter of statutory construction that the Indian/non-Indian statuses of a defendant and victim are not elements of the crime of arson within Indian country under 18 U.S.C. §§ 81 & 1152. Rather, in my opinion, the statuses of a defendant and victim constitute exceptions to § 1152’s extension of federal enclave laws to Indian country which a defendant must raise in the first instance.
HENRY, joined by SEYMOUR, EBEL, and LUCERO, Circuit Judges, dissenting, as to Part III.
Overruling our prior decisions in
United States v. Brown,
Brown
and
Smith
are controlled by
Stirone v. United States
If it lies within the province of a court to change the charging part of an indictment to suit its own notions of what it ought to have been, or what the grand jury would probably have made it if their attention had been called to suggested changes, the great importance which the common law attaches to an indictment by a grand jury, as a prerequisite to a prisoner’s trial for a crime, and without which the constitution says ‘no person shall be held to answer,’ may be frittered away until its value is almost destroyed.
[A]fter the indictment [is] changed it [i]s no longer the indictment of the grand jury who presented it. Any other doctrine would place the rights of the citizen, which were intended to be protected by the constitutional provision, at the mercy or control of the court or prosecuting attorney.”
*990
Id.
at 216-217,
Unlike the majority of this court, the Stirone Court did not authorize a reviewing court to examine the evidence presented at trial to determine whether the indictment’s omission of an essential element constituted harmless error. In my view Stirone establishes that, absent an indictment that sets forth each element, a reviewing court cannot be assured that the grand jury made the finding required by the Fifth Amendment: that there is probable cause that the defendant committed the charged offense. 17
Notably, when a defendant does not challenge its sufficiency in the district court proceedings, an indictment must be reviewed under a more deferential standard.
See Brown,
In the instant case, in concluding that the indictment’s failure to allege an essential element of an § 1152 violation is subject to harmless error analysis, the majority relies on
Neder v. United States,
In
Neder,
the Court distinguished cases that “defy harmless-error review” because they contain “a ‘defect affecting the framework within which the trial proceeds’” from cases that involve “ ‘simply an error in the trial process itself.’ ”
Id.
at 8,
In support of this harmless error approach, the Court invoked decisions concerning errors in jury instructions and noted that these decisions reviewed the evidence presented at trial in order to assess the prejudicial effect of the instructional error.
See id.
at 9,
In contrast to the error in
Neder,
the error at issue in this case — an indictment’s failure to allege an essential element of an offense — is better characterized as “a defect affecting the framework within which the trial proceeds”; it is not “simply an error in the trial process itself.” As a result, there is not an established body of case law that has undertaken the kind of harmless error review that the majority
*992
authorizes here. Indeed, rather than reviewing the evidence at trial, the overwhelming majority of courts confronted with the allegation that an indictment is deficient have limited their inquiry to the text of the indictment and the grand jury proceeding.
See United States v. Gama-Bastidas,
In my view, the majority reads too much into the Supreme Court’s statement that structural errors occur in only a “very limited class of cases,”
Johnson v. United States,
This circuit’s decisions prohibiting the constructive amendment of indictments provide additional support for this view. For example, in
United States v. Phillips,
Moreover, two other circuits have refused to follow the majority’s sweeping interpretation of
Heder. See United States v. Tran,
In my view,
Mechanik
is similarly inapplicable. In that case, the Supreme Court examined the government’s violation of Federal Rule of Criminal Procedure 6(d) by allowing two witnesses to testify in tandem before the grand jury. The Court held that the petit jury’s guilty verdict “rendered harmless any conceivable error in the charging decision that might have flowed from the violation.”
Mechanik,
In summary, neither
Neder,
nor
Me-chanik,
nor the weight of the evidence at trial deprives a defendant of the Fifth Amendment right to have a grand jury frame a charge by finding probable cause as to each essential element of the offense. Here, as the panel opinion held, the indictment against Mr. Prentiss contains no allegations of the status of either the victim or the defendant, facts that a majority of this court has found to constitute essential elements of the crime of arson within Indian country under 18 U.S.C. §§ 81 and 1152. Even under the liberal standard for assessing post-verdict challenges, the indictment’s citation of § 1152 does not establish that the grand jury made any findings whatsoever as to the status of either individual. Accordingly, I would affirm the panel’s conclusion that this is “a jurisdictional defect requiring dismissal, despite citation of the underlying statute in the indictment.”
Brown,
Notes
. Section 1152 is referred to as the Indian Country Crimes Act, the General Crimes Act,
see Felix S. Cohen’s Handbook of Federal Indian Law
at 287 n. 50 (Rennard Strickland et al. ed.,1982) [hereinafter Cohen], and the Federal Enclave Act.
See United States v. Brisk,
. An affirmative defense may impose various burdens on the defendant: (1) the burden of pleading ("the burden of introducing [a] defense for consideration”), Paul H. Robinson, 1 Criminal Law Defenses § 3(a), at 12 (1984); (2) the burden of production (the burden of "adducing] sufficient evidence to ... support ... the presence of [a] defense”), id. § 3(b), at 15; or (3) the burden of persuasion (the burden of "convincing] the tribunal of the existence of the facts” supporting the defense). Id. § 5(a), at 41.
. Both cases were decided under a prior version of § 1152. At that time, the provision excluding Indian Indian crimes, crimes punished by tribal law, and crimes assigned to the tribe by treaty was set forth in a separate section.
See Cowboy,
. The Ninth Circuit added, however, that "[o]nce the defendant properly raises the issue of his Indian status, then the ultimate
*978
burden of proof remains, of course, upon the Government.”
Hester,
. As noted in the panel opinion, the Indian Major Crimes Act, 18 U.S.C. § 1153, extends federal jurisdiction over fourteen specific offenses committed by Indians in Indian country, including arson.
See Prentiss,
. The indictment in
Hester
contained a crucial allegation that the indictment in this case omits: "that the victim was an Indian.”
Hester,
. Interestingly, the prosecutor in this case was also unable to describe the basis for federal jurisdiction without referring to Indian and non-Indian status. When asked before opening statements why the case was not prosecuted in tribal court, she responded, "Mr. Prentiss is not an Indian, nor does the state have jurisdiction because the harmed party is Domingo Vigil, a member of the pueblo who owns the house, so the federal government has the duty to prosecute the case.” Rec. vol. Ill, at 123. Thus, the government did not adopt Judge Baldock’s view that the federal court had jurisdiction merely because the crime occurred in Indian country.
. The government also argues that, in characterizing the statuses of the victim and the defendant, we should consider the other limitations on federal jurisdiction set forth in the second paragraph of § 1152 — that federal jurisdiction does not extend 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.” 18 U.S.C. § 1152. According to the government, the first of these limitations is a double jeopardy protection, and defendants are usually required to invoke a prior prosecution as a defense. Similarly, the government argues, defendants are usually required to raise the issue of immunity provided by treaty. The government maintains that, because it is the defendant's burden to raise these limitations, the defendant should also be required to raise the victim's status and his or her own status as defenses.
We are not persuaded by this argument. Although this case does not require us to construe these other jurisdictional limitations, we note that in determining whether a provision of a statute constitutes an element or an affirmative defense, courts have considered a variety of factors, including: (1) the breadth or narrowness of the provision; (2) whether "one can omit the exception from the statute without doing violence to the definition of the offense”; (3) the legislative history; and (4) "whether the defendant or the government is better situated to adduce evidence tending to prove or disprove the applicability of the exception.”
McArthur,
*981 Consideration of these factors may lead to different conclusions regarding each of the limitations set forth in the second paragraph of § 1152. Thus, the fact that double jeopardy is typically an issue that must be raised by the defendant does not establish that, under § 1152, the statuses of the victim and the defendant are defenses.
Additionally, the history of § 1152 reveals that Congress added, deleted, combined, and separated these jurisdictional limitations on many occasions.
See Cowboy,
. Section 3231 provides in relevant part: "The district courts of the United States shall have original jurisdiction, exclusive of the courts of the States, of all offenses against the laws of the United States.” 18 U.S.C. § 3231.
.
Mechanik
explained
Vasquez
and
Ballard
on the basis that "discrimination in the selection of grand jurors is so pernicious, and other remedies so impractical, that the remedy of automatic reversal was necessary as a prophylactic means of deterring grand jury discrimination in the future....”
. Unlike the dissent, we do not believe
Stirone v. United States,
. Because Fed.R.Crim.P. 12(b)(2) requires us to consider "at any time during the pen-dency of the proceedings” a challenge to an indictment for failure to state an offense, we believe the harmless error rather than plain error standard of review should apply to a belated challenge in all cases. See Fed. R.Crim.P. 52.
. Section 1152's earliest predecessors are late eighteenth and early nineteenth century statutes and treaties providing federal court jurisdiction over criminal offenses which non-Indians committed against Indians within tribal territory.
See
Felix S. Cohen,
Handbook of Federal Indian Law,
287-88 (1982 ed.). The primary purpose of these laws was
*986
to protect Indians from their hostile white neighbors.
See
Robert N. Clinton,
Criminal Jurisdiction Over Indian Lands: A Journey Through a Jurisdictional Maze,
18 Ariz. L.Rev. 503, 521 n. 88 (1977). An Act of March 3, 1817, Ch. 92, § 2, 3 Stat. 383, provided for federal enclave jurisdiction over crimes committed both by Indians and non-Indians except for crimes “by one Indian against another, within any Indian boundary.” Since that time, the law has undergone numerous revisions until its present codification as 18 U.S.C. § 1152 by an Act of June 25, 1948, ch. 645, 62 Stat. 653, 757.
See United States v. Cowboy,
. Federal crimes "are solely creatures of statute.”
Staples v. United States,
The judicial power of the United States is ... dependent for its distribution and organization, and for the modes of its exercise, entirely upon the action of Congress, who possess the sole power of investing [inferior federal courts] with jurisdiction either limited, concurrent, or exclusive, and of withholding from them in the exact degree and character which to Congress may seem proper for the public good.
Palmore v. United States,
. In Hester, defendant was charged with sexually-related crimes against Indian children on the Navajo Reservation. On appeal, defendant challenged the indictment’s failure to allege an essential jurisdictional element of the crime under § 1152, i.e., his non-Indian status. Construing § 1152, the Ninth Circuit rejected defendant’s challenge.
We accordingly hold that the Government need not allege the non-Indian status of the defendant in an indictment under § 1152, nor does it have the burden of going forward on that issue. Once the defendant properly raises the issue of his Indian status, then the ultimate burden of proof remains, of course, upon the Government.
Hester,
.
See also United States v. Torres,
.
Stirone's
reasoning has been applied by many circuits.
See, e.g., United States v. Tran,
. In
James,
the Ninth Circuit acknowledged that "[t]he indictment should have contained allegations that [the defendant] was an Indian and that the victim was an Indian.”
James’s conclusion that the provision of a grand jury transcript may substitute for allegations in an indictment is inconsistent with our holding in Brown, and I would decline to follow it. I also note that there is no indication in the record before us that the government provided Mr. Prentiss with "adequate knowledge of the missing elements,” as it did in James. Id.
. The Second Circuit has criticized the reasoning of
Mojica-Baez. See Tran,
I also note that, in finding the deficiency in the indictment to be harmless, the First Circuit relied on the fact that the indictment was proper at the time it was returned and became deficient only because Supreme Court and circuit precedent subsequently changed.
See Mojica-Baez,
. I also agree with Judge Richard Arnold's recent assessment of Neder:
The Supreme Court [in Neder\ has held that it is not always reversible error to fail to submit to a jury an essential element of a criminal charge. If, for example, no reasonable jury could have found against the prosecution with respect to this element, the error can be treated as harmless. The same thing, however, cannot be said of the other part of the ... principle ... that every element of a crime must be charged in an indictment (if the crime is federal). As far as I am aware, no case has ever held that the omission of an element of a crime from an indictment can be harmless error. In such cases, we do not ask whether a jury would have found that element on the evidence submitted to it, or, indeed, whether the grand jury would have returned an indictment including that element if it had been asked to do so. Rather, an indictment that omits an element of a crime is structurally deficient and provides no lawful basis for bringing anyone to trial. Failure to include an essential element in a federal indictment warrants relief even if the government later proves the omitted element at trial.
United States v. Moss,
. The Supreme Court’s decision in
Apprendi v. New Jersey,
. I acknowledge that, under the liberal standard for assessing post-verdict challenges, the same conclusion would not necessarily follow if the indictment had alleged the status of either the defendant or the victim. For example, if the indictment cited § 1152 and alleged that the victim was an Indian and that the defendant committed the crime in Indian country, federal jurisdiction would exist regardless of the status of the defendant (i.e., under § 1152 if the defendant was a non-Indian and under § 1153 if he was an Indian). In that instance, one could plausibly argue that the citation to the statute, combined with the allegation of the victim's status and the allegation that the crime occurred on Indian country rendered the indictment sufficient.
Cf. United States v. Heath,
