United States v. Ricco Devon PrentissUnited States v. Ricco Devon Prentiss
ON REHEARING EN BANC
After a divided panel vacated the defendant’s conviction for committing arson in Indian country, in violation of
A majority of this court agrees with the panel opinion’s conclusion that the Indian
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 of18 U.S.C. § 1152 and18 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
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.
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
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,
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
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,
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
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
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 notnegative ... 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
Accordingly, Supreme Court authority, decisions of other circuits, policies underlying
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
The indictment in this case sought to charge Defendant with the federal crime of arson in Indian country.
See
B.
Because an indictment’s failure to allege an essential element of a crime is
[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,
I.
The federal arson statute,
The second and only remaining paragraph of
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
II.
The Court concludes that the first proviso of
To be sure,
To reach a contrary result, the Court relies on two nineteenth century Supreme Court decisions,
Smith v. United States,
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
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
The clear language and structure of
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.”
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
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
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
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
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
. As noted in the panel opinion, the Indian Major Crimes Act,
. 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.”
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,
Additionally, the history of
. 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.”
.
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
.
. 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
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