Source: https://law.justia.com/cases/federal/appellate-courts/F2/866/1092/205082/
Timestamp: 2019-09-18 16:09:29
Document Index: 138079174

Matched Legal Cases: ['§ 1291', '§ 3507', '§ 3504', '§ 3507', '§ 3507', '§ 3512', 'art, 476', '§ 3502', '§ 3502', '§ 3512', 'art 1320', '§ 3512']

United States of America, Plaintiff-appellee, v. Bruce Smith, Defendant-appellant.united States of America, Plaintiff-appellee, v. Roberta Blair, Defendant-appellant, 866 F.2d 1092 (9th Cir. 1989) :: Justia
Justia › US Law › Case Law › Federal Courts › Courts of Appeals › Ninth Circuit › 1989 › United States of America, Plaintiff-appellee, v. Bruce Smith, Defendant-appellant.united States of A...
United States of America, Plaintiff-appellee, v. Bruce Smith, Defendant-appellant.united States of America, Plaintiff-appellee, v. Roberta Blair, Defendant-appellant, 866 F.2d 1092 (9th Cir. 1989)
U.S. Court of Appeals for the Ninth Circuit - 866 F.2d 1092 (9th Cir. 1989)
Submitted Nov. 2, 1987. *Submission Vacated Dec. 1, 1987. Resubmitted Jan. 23, 1989. Decided Jan. 23, 1989
The appellants appealed their convictions to the district court, which affirmed by order dated March 9, 1987. The appellants now seek reversal of the district court order, asserting a number of grounds. We have jurisdiction pursuant to 28 U.S.C. §§ 1291 & 1631, and we reverse.
* Appellants argue that the Paperwork Reduction Act of 1980 ("PRA") prohibits their prosecutions because the Plan of Operations filing requirement lacks a current control number, and appear to raise an issue of first impression in this circuit. The PRA was enacted "to reduce and minimize the burden Government paperwork imposes on the public." S.Rep. No. 930, 96th Cong., 2d Sess. 2 (1980), reprinted in 1980 U.S.Code Cong. & Admin.News 6241, 6242. The PRA requires all agencies to submit all "information collection requests" to the Director (the "Director") of the Office of Management and Budget ("OMB") for review and approval. See 44 U.S.C. § 3507. If the Director approves the information collection request he must ensure that it contains a control number. See 44 U.S.C. § 3504. An agency "shall not conduct or sponsor the collection of information unless" the information collection request has been submitted to and approved by the Director, see 44 U.S.C. § 3507(a), and "shall not engage in a collection of information without obtaining from the Director a control number to be displayed upon the information collection request," see 44 U.S.C. § 3507(f). "Information collection requests which do not display a current control number or, if not, indicate why not are to be considered 'bootleg' requests and [under PRA section 3512] may be ignored by the public." S.Rep. No. 96-930 at 52, reprinted in 1980 U.S.Code Cong. & Admin.News 6292; see 44 U.S.C. § 3512 (penalties may not be imposed for noncompliance with information collection requests that do not display a current control number).
* The magistrate rejected appellants' PRA defense, holding that because the defendants "did not rely upon the Paperwork Reduction Act" in refusing to submit a Plan of Operations, they "should not be permitted to rely upon that defense." The district court "concur [red] in and adopt [ed] by reference the Magistrate's disposition of this issue." The magistrate cited no authority for this proposition, and the government does not argue that appellants' ignorance of the PRA frees the government from its requirements. We reverse the magistrate on this ground; just as ignorance of the law is not an excuse for violating it, knowledge and reliance is not a prerequisite for asserting an affirmative defense to a criminal prosecution. See, e.g., 1 C. Torcia, Wharton's Criminal Law Sec. 77 (14th ed. 1978); 1 W. LaFave & A. Scott, Substantive Criminal Law Sec. 5.1(d) (1986).
The district court also held, and the government argues, that the appellants "have not preserved this issue for appeal," citing Federal Rule of Criminal Procedure 12(b), (f). Rule 12(b) provides that "defenses, objections, and requests" based on "defects in the institution of the prosecution" or on "defects in the indictment or information" may be raised only by motion before trial. Fed. R. Crim. P. 12(b) (1), (2).1 Rule 12(f) then provides that a party's failure to raise such defenses, objections, or requests by the motion date "shall constitute waiver thereof, but the court for cause shown may grant relief from the waiver." Fed. R. Crim. P. 12(f).
Appellants' PRA contention is waived if subject to Rule 12(f). The magistrate had set November 5, 1984 as the motion date. Appellants first raised the PRA issue on January 28, 1986. Rule 12(f) does not, however, apply to appellants' PRA defense. The defenses for which pretrial assertion is mandatory relate to procedural defects in obtaining the charge and to defects in the information that go to matters of form rather than substance that usually are apparent on the face of the pleading. In contrast, the PRA bar of prosecution is in the nature of an affirmative defense, see Navel Orange Admin. Comm. v. Exeter Orange Co., 722 F.2d 449, 453-54 (9th Cir. 1983), that "is capable of determination without the trial of the general issue," Fed. R. Crim. P. 12(b). As such, it is a defense that "may be raised before trial by motion" but is not waived pursuant to Rule 12(f) if not brought before trial.2
Rule 12(b) (2) specifically provides that the jurisdictional defenses "shall be noticed by the court at any time during the pendency of the proceedings." These are the most durable defenses, and may be raised for the first time on appeal. Rule 12(f) provides that matters "which must be made prior to trial" are waived if not raised prior to the motion date. The matters that "must be made prior to trial" under Rule 12(f) are the mandatory pretrial matters described in the five paragraphs of Rule 12(b). Finally, Rule 12 says nothing about the time for asserting permissive pretrial matters, which are "capable of determination without the trial of the general issue." These matters are subject to the general rule that points not raised at trial are waived (with certain exceptions).3 See, e.g., United States v. Brimberry, 744 F.2d 580, 586-87 (7th Cir. 1984) (immunity, a matter that "may" be raised before trial, is properly raised by motion; time for making motion is unclear, but court adopts commentators' view that these defenses may be raised at trial); see also Davis v. United States, 411 U.S. 233, 239-42, 93 S. Ct. 1577, 1581-83, 36 L. Ed. 2d 216 (1973) (Rule 12 does not apply to bar defenses initially raised in habeas proceeding but not enumerated by Rule 12(b)) (discussing Kaufman v. United States, 394 U.S. 217, 89 S. Ct. 1068, 22 L. Ed. 2d 227 (1969) (defense based on fourth amendment exclusionary rule; applying older version of Rule 12 not requiring pretrial motion with respect to suppression of evidence)).
The appellants raised the PRA defense after the motion date but no later than at trial. Jurisdictional defenses and permissive pretrial matters are timely if asserted at or before trial. Therefore, appellants' PRA defense was waived pursuant to Rule 12(f) only if it is a mandatory pretrial matter described by Rule 12(b) (1) or (2).4
The cases provide little guidance in formulating a general definition of Rule 12(b) (1) "defects in the institution of the prosecution" or of Rule 12(b) (2) "defects in the indictment or information."5 We observe, however, that courts have addressed under Rule 12(b) (2) such defenses as misnomer, duplicity or multiplicity, misjoinder, indefiniteness, partial insufficiency, surplusage, and other defects in the indictment or information that go to matters of form rather than substance. These cases have established criteria for evaluating challenged indictments:
Russell v. United States, 369 U.S. 749, 763-64, 82 S. Ct. 1038, 1046-47, 8 L. Ed. 2d 240 (1962) (citations omitted), quoted in United States v. Pheaster, 544 F.2d 353, 360 (9th Cir. 1976), cert. denied, 429 U.S. 1099, 97 S. Ct. 1118, 51 L. Ed. 2d 546 (1977). These criteria indicate that indictments must provide the defendant with notice of the charge and of possible double jeopardy defenses. Other than the jurisdictional defenses, Rule 12(b) (2) encompasses technical defects in the indictment or information. Accordingly, Rule 12(b) (2) does not require pretrial assertion of affirmative defenses such as the PRA, and the government does not seriously argue to the contrary.
The government's principal argument is that the PRA defense amounts to a Rule 12(b) (1) assertion of "defects in the institution of the prosecution." This category includes such defenses as prosecutorial misconduct, improper grand jury procedures, and noncompliance with the Federal Rules of Criminal Procedure. Some cases have said, not very helpfully, that a defense raises a Rule 12(b) (1) matter when it "brings into question the institution of the prosecution." United States v. Jarrett, 705 F.2d 198, 205 (7th Cir. 1983), cert. denied, 465 U.S. 1004, 104 S. Ct. 995, 79 L. Ed. 2d 228 (1984), quoted in United States v. Dion, 762 F.2d 674, 680 (8th Cir. 1985), rev'd in part, 476 U.S. 734, 106 S. Ct. 2216, 90 L. Ed. 2d 767 (1986). As these cases indicate, Rule 12(b) (1) motions are designed principally as vehicles to challenge the decision to prosecute and prosecutorial irregularity in obtaining the indictment.
The word "institution" is the key to a proper understanding of Rule 12(b) (1). Any legal matter that prevents the prosecution from securing a conviction could be construed as a "defect" in the prosecution. "Institution" is the key word that prevents Rule 12(b) (1) from having an unlimited reach. The focus on the "institution" of the prosecution limits the Rule to cover the prosecutorial decision to commence the prosecution and the procedures followed in doing so.
The purposes undergirding Rule 12 waiver also lend support to this understanding of Rule 12(b) (1). One of those purposes, conservation of judicial resources by facilitating the disposition of cases without trial, see, e.g., United States v. Griffin, 765 F.2d 677, 681 (7th Cir. 1985), United States v. Jones, 542 F.2d 661, 664-65 (6th Cir. 1976), is served by many procedural rules.
The waiver provisions of Rule 12(b) (2) are operative only with respect to claims of defects in the institution of criminal proceedings. If its time limits are followed, inquiry into an alleged defect may be concluded and, if necessary, cured before the court, the witnesses, and the parties have gone to the burden and expense of a trial. If defendants were allowed to flout its time limitations, on the other hand, there would be little incentive to comply with its terms when a successful attack might simply result in a new indictment prior to trial. Strong tactical considerations would militate in favor of delaying the raising of the claim in hopes of acquittal, with the thought that if those hopes did not materialize, the claim could be used to upset an otherwise valid conviction at a time when reprosecution might well be difficult.
Davis, 411 U.S. at 241, 93 S. Ct. at 1582, quoted in Francis v. Henderson, 425 U.S. 536, 540, 96 S. Ct. 1708, 1710, 48 L. Ed. 2d 149 (1976). Along these lines, one commentator has analyzed the Rule 12(b) (1), (2) defenses, reasoning that:
[they] are understood to include defenses concerning selection and composition of the grand jury, the procedures of the grand jury, jurisdiction over the person of the defendant, selection of the petty jury, and the form of the indictment or information including claims that the charging paper is duplicitous or multiplicitous.... * It is also important to observe that the [ ] rule 12(b) defenses [enumerated in clauses (1)-(5) ] are all "curable" within the meaning of Blackledge [v. Perry, 417 U.S. 21, 94 S. Ct. 2098, 40 L. Ed. 2d 628 (1974) ]: if raised and corrected before trial, each would leave the way open to the state to obtain a valid conviction at trial.
Westen, Away From Waiver: A Rationale for the Forfeiture of Constitutional Rights in Criminal Procedure, 75 Mich. L. Rev. 1214, 1241 (1977) (footnotes omitted) (emphasis in original).
In other words, Rule 12(b) (1) defenses generally involve defects in the procedures leading up to the indictment, because this type of defect can be cured by the prosecutor prior to trial. "Rule 12 [merely] makes explicit the application of the 'harmless error' rule to indictments by providing that objections to technical defects in the institution of a prosecution, including those in the indictment, are waived unless raised, by a motion to dismiss before trial." Note, Indictment Sufficiency, 70 Colum. L. Rev. 876, 883 (1970); cf. 1 C. Wright, Federal Practice and Procedure Sec. 193 (2d ed. 1982) (venue is not jurisdictional and is waived if not raised before trial, but only if impropriety of venue is apparent on the face of the indictment).
Unlike defenses based on procedural or formal defects, affirmative defenses, such as appellants' PRA defense, may not be cured by prosecutorial action. They continue to operate as defenses regardless of the regularity of the prosecutor's conduct or of the indictment. Thus, the Advisory Committee Notes provide that "the defendant at his option may raise by motion before trial" "such matters as former jeopardy, former conviction, former acquittal, statute of limitations, [and] immunity." See note 3 supra (emphasis supplied). These matters are in the nature of affirmative defenses, as is appellants' PRA defense. We see no reason to distinguish the PRA defense, and conclude that the PRA defense is a permissive pretrial matter that the defendant may, but need not, raise by motion before trial. See United States v. Hahn, 381 F. Supp. 1311, 1313 (E.D. Mich. 1974). It follows that appellants did not waive the defense by failing to assert it prior to the motion date but before the conclusion of their trial.
The PRA includes within the definition of "information collection request" a "reporting ... requirement, collection of information requirement, or other similar method calling for the collection of information," see 44 U.S.C. § 3502(11). The PRA further defines " [c]ollection of information" as:
44 U.S.C. § 3502(4). This definition encompasses agency regulations that require disclosure of information to the government and that call for the disclosure or reporting of information through answers to standardized (identical) questions. The relevant Forest Service Regulations meet this description and are therefore information collection requests within the meaning of the PRA.
The Plan of Operations filing requirement is an information collection request that lacks a current control number. Consequently, PRA section 3512 by its terms prohibits the imposition of "any penalty" against the appellants, including criminal convictions, for their failure to comply with the Plan of Operations filing requirement.6 The statute explicitly and unambiguously provides that all information collection requests must display a current control number, or penalties for noncompliance may not be imposed.7 44 U.S.C. § 3512.
Fed. R. Crim. P. 12(b) (1), (2).
We also note that the Advisory Committee Notes on Rule 12(b) (1), (2) indicate that certain matters that "may" be raised by motion prior to trial need not be raised at that time. The Notes provide:
The matters enumerated in Rule 12(b) (3)-(5) are not relevant to this appeal. They define as mandatory pretrial matters motions to suppress evidence, Rule 16 discovery requests, and Rule 14 requests for severance of charges or defendants
Courts have neglected to provide general definitions for these terms for a variety of reasons. First, Rule 12 motions often arise in contexts that do not require close analysis of whether the matter raised falls within the rule. For example, courts cite Rule 12 in habeas corpus cases to support the conclusion that defenses presented for the first time on collateral attack are waived. Second, Rule 12 motions usually involve one of a relatively small group of recurring defenses, such as personal jurisdiction, with which courts are familiar. Third, in much of the litigation over defenses "capable of determination without the trial of the general issue," the government is opposing an indisputably timely motion on the ground that the asserted defense raises questions of fact that can only be determined at trial. Most defenses, such as self-defense, insanity, and entrapment, require factual determinations that the jury should make, rendering pretrial disposition inappropriate. See, e.g., United States v. Snyder, 428 F.2d 520, 521 (9th Cir.) ("A motion to dismiss is not the proper way to raise a [factual] defense."), cert. denied, 400 U.S. 903, 91 S. Ct. 139, 27 L. Ed. 2d 139 (1970). In these cases, the question is not whether the defense must be raised prior to trial, but whether it may be raised prior to trial
OMB has promulgated regulations relating to the PRA. See generally 5 C.F.R. part 1320. These regulations may to some extent be inconsistent with 44 U.S.C. § 3512. See 5 C.F.R. Sec. 1320.5. No party has referred to the OMB regulations at any point in the proceedings. Accordingly, we find that the parties have waived any and all arguments based on the regulations for purposes of these prosecutions
Such cases as United States v. Particle Data, Inc., 634 F. Supp. 272 (N.D. Ill. 1986), Snyder v. IRS, 596 F. Supp. 240 (N.D. Ind. 1984), and Cameron v. IRS, 593 F. Supp. 1540 (N.D. Ind. 1984), aff'd 773 F.2d 126 (7th Cir. 1985) (resting on the district court opinion), are inapposite. They rejected PRA defenses based on the lack of a current control number on certain IRS forms. The decisions in these cases were based on conclusory reasoning or provisions of the PRA not raised here. Whatever the merits of those cases, they are not relevant to our examination of the Forest Service regulations at issue here