Opinion ID: 778523
Heading Depth: 2
Heading Rank: 2

Heading: jurisdiction

Text: 23 The threshold issue before us is whether we have jurisdiction to hear the Government's appeal — an appeal filed after the jury was sworn, after several Government witnesses testified, and after the District Court, on the Government's motion, reconsidered and clarified its initial ruling. 5 24 In its brief, the Government rests our jurisdiction over its interlocutory appeal on 18 U.S.C. § 3731. Br. of Appellant at 20. That statute, the Criminal Appeals Act, states, in relevant part: 25 In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment ... as to any one or more counts, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution. 26 An appeal by the United States shall lie to a court of appeals from a decision or order of a district court suppressing or excluding evidence ... in a criminal proceeding, not made after the defendant has been put in jeopardy and before the verdict or finding on an indictment or information, if the United States attorney certifies to the district court that the appeal is not taken for purpose of delay and that the evidence is a substantial proof of a fact material in the proceeding. 27 The provisions of this section shall be liberally construed to effectuate its purpose. 28 18 U.S.C. § 3731. 29 The Government argues that the District Court's order amounted to a dismissal of the indictment by preventing it from proving substantial, material allegations of the indictment. However, nothing in the District Court's order purports to dismiss the indictment, all six counts alleged in the indictment constituting the mail fraud charges remained in the indictment as returned by the grand jury, and Defendants' Motion to Redact, which the court granted, did not ask for dismissal of the indictment. Further, in its original objection to Defendants' Motion to Redact, the Government did not object that granting the motion would amount to a dismissal. That contention emerged only in connection with the Government's motion for reconsideration. 30 The Government's argument that the District Court's order amounted to a dismissal of the indictment focuses on the supposed effect of the order, namely that the order precluded the Government from proving the allegations of the mail fraud contained in the indictment. The Government argues that the District Court barred the government from proving the fraudulent scheme which the grand jury described. Br. of Appellant at 22. The Government amplified this contention at oral argument before us when it stated that the District Court's ruling gutted its case because the ruling prevented it from proving the scheme to defraud. Tr. at 12. In effect, the Government is claiming that a dismissal occurred simply because it lost an evidentiary ruling important to its case. Thus, the underlying basis for the Government's appeal appears to be the considerable effect the District Court's evidentiary ruling may have had on the Government's case. 31 Defendants concede that hypothetically... an order having the form of excluding evidence ... so sweeping that it precluded any and all proof of a count of an indictment ... might be characterized by an appellate court as a dismissal under § 3731 rather than as an evidentiary ruling, yet they contend that that hypothetical is far from this case. Br. of Appellees at 28-29. We agree. Even if the District Court's ruling were as preclusive as portrayed by the Government, it did not preclude the Government from attempting to prove a scheme to defraud using post-February 1994 evidence relating only to the computerized billing method. After all, the indictment alleged mail fraud, all six mailings that constituted the acts of mail fraud were made after February 1994 and arose out of the computer generated bills, and those counts remained intact following the order the Government seeks to appeal. 32 It is acknowledged by the parties that Defendants shifted to computerized billing as a result of the influx of bills that needed processing in the wake of the January 1994 Northridge Earthquake in Los Angeles. The Government contends that before computerization, Defendants or their employees would (a) draft a pre-bill that accurately reflected the hours worked as listed on a consultant's time sheet, (b) manually mark-up that pre-bill to indicate that the consultant had worked more hours than listed by the consultant, and then (c) send a final bill charging the client for the hours as increased. The Government explains that once Defendants devised a computerized billing system, with its automatic fraudulently inflated hours, there was no need for any communication among Defendants and their employees and hence no evidence comparable to that available regarding the manual overbilling. The Government candidly concedes that its concern is that the District Court's order would have prevented it from proving the fraudulent scheme beyond a reasonable doubt because the evidence of the earlier manual overbilling was necessary to rebut Defendants' defense that the computerized overbilling was merely an error. But that effect cannot be the basis for transforming an evidentiary ruling into a dismissal, any more than a midtrial order rejecting essential evidence proffered by the government in a drug trial can be considered a dismissal. 33 The second paragraph of § 3731 authorizes the government to take an interlocutory appeal from a decision or order excluding evidence but only under certain conditions. One such condition is that the order be one not made after the defendant has been put in jeopardy. 18 U.S.C. § 3731. The Government concedes that Defendants were put in jeopardy by September 26, 2000. It thus follows that the statutory provision fashioned to cover precisely this situation, the exclusion of evidence that the Government would have certified was a substantial proof of a fact material in the proceeding, id., was not available to the Government. 34 The Government could have protected itself from the situation in which it finds itself. Defendants' Motion to Redact, which, inter alia, moved to exclude all evidence pertaining to Hudson's billings before February 1994, was filed in the afternoon of Friday, September 22. The jury was not impaneled until Monday, September 25. Federal Rule of Criminal Procedure 12(e) requires that the District Court decide pre-trial motions before the trial begins unless the court has deferred decision for good cause; however, the rule precludes such deferral if a party's right to appeal is adversely affected. Fed.R.Crim.P. 12(e). 35 The Government concedes that it did not ask the District Court to withhold swearing the jury until the motion to exclude evidence was decided nor did the Government call Rule 12(e) to the attention of the District Court. Government's counsel has candidly conceded that in failing to ask the District Court not to swear the jury until after the pending motion was decided, the Government made a mistake. Tr. at 7. It was a mistake that is not without consequences. Because the Government failed to timely invoke the procedural rule and the statutory provision designed for the specific situation in which it found itself, the Government seeks to turn § 3731 upside down, inside out, and have this court become the first to call the exclusion of evidence a dismissal of the indictment, just so it can appeal. 36 We cannot allow the Government's concern about the impact of an order in a particular case to lead us to overlook the distinction between the first and second paragraphs of § 3731. The distinction between an evidentiary ruling and a dismissal exists and has meaning. The District Court's ruling was no more than a decision or order ... suppressing or excluding evidence ... in a criminal proceeding that occurred after the defendant[s] ha[d] been put in jeopardy, and thus cannot be appealed. 18 U.S.C. § 3731. 6 37 The Government conceded at oral argument that it knew of no other case in which a court has interpreted an evidentiary ruling as a dismissal of an indictment. Tr. at 29. Yet it has maintained before us that the present case is not unique but rather a repetition of United States v. Maker, 751 F.2d 614 (3d Cir.1984), which it asserts should dictate this court's analysis. Maker is of no help, and indeed is irrelevant on the principal issue before us because, unlike the present case, that case came to this court after the district court had dismissed the indictment. Id. at 615. Therefore, in Maker, we did not have occasion to address the circumstances in which an evidentiary ruling can amount to the functional equivalent of a dismissal of an indictment falling within the first paragraph of § 3731. 38 In Maker, two defendants were indicted on eighteen counts of mail fraud and charged with a single scheme to defraud three different insurance companies arising out of two car accidents. After jeopardy attached, the district court ordered separate trials with respect to each accident and also for each defendant. Id. at 615. Then, relying on United States v. Camiel, 689 F.2d 31 (3d Cir.1982), it dismissed the indictment because the allegations in the indictment did not support a single scheme to defraud but rather two separate schemes, one arising from each accident. Maker, 751 F.2d at 615. However, the court denied the defendants' motion for a judgment of acquittal. Id. at 620. The government appealed. 39 The Maker defendants challenged this court's jurisdiction under § 3731, not because there was no dismissal but on the ground the appeal was barred by the Double Jeopardy Clause. We concluded that the district court had made a legal determination, not a factual one, so that the Double Jeopardy Clause was not implicated. Id. at 624. On review of the merits of the government's appeal, we concluded that the indictment charged only one scheme to defraud, and that the district court erred in dismissing the indictment. Id. at 626. 40 The only questions at issue in Maker, whether the court implicitly made a factual determination in dismissing the indictment and whether the indictment charged one or two schemes to defraud, are not contested in this case. Maker's analysis of the parameters of the scheme to defraud might prove useful were we to reach that issue here, but because the Maker decision does not pertain to the question when a court should recharacterize an evidentiary ruling as a dismissal of an indictment, that case does not support the Government's position. 41 The Government further relies on this court's decision in Camiel, but that is of no help either. In Camiel, following a jury verdict of guilty, the district court found that the indictment improperly charged a single fraudulent scheme, and accordingly entered a directed verdict of acquittal. The government argued that the proper remedy for the defective indictment was retrial and severance of the three defendants' trials, rather than acquittal. We rejected that view because a court may not correct an indictment, even if flawed. Camiel, 689 F.2d at 39-40. Accordingly, we determined that a new trial with the possibility of severance [was] not the answer, and thus affirmed the judgment of acquittal. Id. at 40. 42 As with Maker, Camiel lends support to the conclusion that the District Court in this case erred in attempting to compartmentalize the evidence. See, e.g., Maker, 751 F.2d at 625 (Camiel ... teaches that in evaluating whether one scheme has been alleged or proved, a court should focus on the identity of the actors and the overall purpose of their conduct.). But the Camiel court never questioned whether it lacked jurisdiction to hear the government's appeal under § 3731. Thus, Camiel does not establish, or even intimate, that a district court order restricting the admission of evidence, even one that amounts to an amendment of an indictment, effectively constitutes a dismissal of that same indictment. The irrelevance of Maker and Camiel, the legal props on which the Government relies, demonstrates the weakness of the Government's argument. 43 More pertinent to the case before us is the Supreme Court's opinion in Sanabria v. United States, 437 U.S. 54, 98 S.Ct. 2170, 57 L.Ed.2d 43 (1978). The first sentence of the opinion characterizes the issue presented [as] whether the United States may appeal in a criminal case from a midtrial ruling resulting in the exclusion of certain evidence and from a subsequently entered judgment of acquittal. Id. at 56, 98 S.Ct. 2170. The indictment in Sanabria charged several defendants with one count of conducting an illegal gambling business in violation of federal law, a business that involved two different types of conduct — numbers betting and horse betting, both allegedly in violation of Massachusetts law. Under the federal statute defendants were charged with violating, 18 U.S.C. § 1955 (1976), the gambling business must have been in violation of the law of the state where the business was located. At the close of the defendants' case at trial, the court excluded evidence of numbers betting because the state statute referenced in the indictment addressed only horse betting and not numbers betting, but the court did not strike or amend any language in the indictment. The court then granted the motion for judgment of acquittal filed by Sanabria, one of the defendants, because there was no evidence linking him to the horse-betting activities. Id. at 59, 98 S.Ct. 2170. 44 Following the conviction of the other defendants, the government appealed from the district court's order excluding evidence of the numbers-betting activities and entering a judgment of acquittal. The government recognized it could not appeal the ruling regarding Sanabria's involvement with horse betting, as that aspect of the acquittal was based on the insufficiency of the evidence, but it sought a new trial on the aspect of the charge involving numbers betting. The court of appeals interpreted the district court's evidentiary ruling to be a dismissal of the numbers-betting charge, thus finding it had jurisdiction under § 3731 to consider the government's claim that the dismissal was in error. Id. at 61, 98 S.Ct. 2170. Reviewing the merits, the court of appeals concluded that the dismissal was in error and ordered a new trial. The Supreme Court granted certiorari and reversed. 45 The order granting certiorari was limited to the question whether the Government's appeal was authorized by statute and not barred by the Double Jeopardy Clause. Id. at 62 n. 13, 98 S.Ct. 2170. However, the Court did not thereafter discuss the statute on which the court of appeals had relied for its jurisdiction. It explained that it had previously observed that the jurisdictional statute authorizing Government appeals, 18 U.S.C. § 3731 (1976), was `intended to remove all statutory barriers' to appeals from orders terminating prosecutions. United States v. Martin Linen Supply Co., 430 U.S. 564, 568, 97 S.Ct. 1349, 51 L.Ed.2d 642 (1977), quoting United States v. Wilson, 420 U.S. 332, 337, 95 S.Ct. 1013, 43 L.Ed.2d 232 (1975). Id. at 63 n. 16, 98 S.Ct. 2170 (quotation omitted). It therefore turned immediately to the constitutional issue, which was whether the Double Jeopardy Clause barred the appeal. 46 However, in deciding the double jeopardy issue, i.e., whether the horse-betting and numbers-betting activities were part of the same offense so that the acquittal for insufficient evidence as to Sanabria's participation in horse betting barred the new trial ordered for Sanabria on the numbers-betting conduct, the Supreme Court first considered the nature of the district court's order with respect to the numbers-betting aspect of the charge. It did so to ascertain whether the numbers theory was dismissed from the count before the judgment of acquittal was entered, id. at 65, 98 S.Ct. 2170, and therefore whether Sanabria was acquitted of numbers betting, which would have entailed a resolution of factual issues precluding a second trial for the same offense. 7 The government argued that the district court's order was a dismissal of a discrete portion of the count in which the two types of gambling were included. The Supreme Court was not persuaded that it is correct to characterize the trial court's action as a `dismissal' of a discrete portion of the count. Id. at 66, 98 S.Ct. 2170. It continued, [w]hile form is not to be exalted over substance..., neither is it appropriate entirely to ignore the form of order entered by the trial court. Id. 47 The Court concluded that the district court's order simply constituted an evidentiary ruling based on its interpretation of the indictment, and not a dismissal. Id. at 68, S.Ct. 2170. As the Court noted, 48 [N]ot every erroneous interpretation of an indictment for purposes of deciding what evidence is admissible can be regarded as a `dismissal.' Here the District Court did not find that the count failed to charge a necessary element of the offense; rather, it found the indictment's description of the offense too narrow to warrant the admission of certain evidence. To this extent, we believe the ruling below is properly to be characterized as an erroneous evidentiary ruling. 49 Id. (citation omitted). 50 The Supreme Court concluded that the evidentiary ruling on the numbers charge, albeit erroneous, led to an acquittal for insufficient evidence, id., and held that the Double Jeopardy Clause would be offended by a new trial relating to the numbers charge, as that charge was part of the same offense as the horse-betting charge on which the defendant had been acquitted. Id. at 69, 98 S.Ct. 2170. 51 The Government tries to minimize the significance of Sanabria by limiting it to cases where the trial court entered a judgment of acquittal. However, Sanabria's analysis of an evidentiary ruling based on an interpretation of an indictment as distinguished from a dismissal of that indictment is applicable here. 52 The district court in Sanabria found the indictment's description of the offense too narrow to warrant the admission of certain evidence. Id. at 68, 98 S.Ct. 2170. The District Court in this case made a similar ruling. Accordingly, the District Court's exclusionary ruling in this case did not constitute a dismissal of one or more counts of the indictment within the scope of § 3731, even construing that statute liberally, as the statute requires. Moreover, the Government does not argue that the District Court's ruling dismissed a portion of a count, from which order an appeal to this court would lie under § 3731 when the dismissed portion of the count constitutes an independent ground of criminal liability. United States v. Serafini, 167 F.3d 812, 814 (3d Cir.1999). That argument would have been meritless, as it is plain that the excluded evidence included no alleged mailings and thus could provide no independent ground of liability. 53 Because the District Court's evidentiary ruling did not constitute a dismissal of the indictment, we reject the Government's argument that this court has jurisdiction to hear its appeal under § 3731. 8 54 We need not rest our disposition only on our interpretation of the meaning of dismissal in § 3731. Even if we were to limit our consideration to § 3731 and assume that the order of the District Court were a dismissal of the indictment (which we have held it was not), the first paragraph of § 3731 permits the Government to retry Defendants only if the Double Jeopardy Clause is not a bar to further prosecution. The Government's opening brief conceded this in its section headed There Is No Double Jeopardy Bar to a Retrial. Br. of Appellant at 30. 55 Moreover, there is a plausible argument that the Supreme Court's statement in Wilson cited in Sanabria, 437 U.S. at 63 n. 16, 98 S.Ct. 2170, that the jurisdictional statute was intended to remove all statutory barriers to Government appeals and to allow appeals whenever the Constitution would permit, Wilson, 420 U.S. at 337, 95 S.Ct. 1013, requires us to move directly to the Constitution in determining our jurisdiction over appeals from orders terminating prosecutions. 9 There is legislative history to support the intent described in Wilson. See, e.g., id. at 338-39, 95 S.Ct. 1013. Under that theory, our interpretation of § 3731 would not be dispositive, notwithstanding the Government's reliance upon it as a basis for our jurisdiction and we turn to the Double Jeopardy Clause for consideration of its effect on our jurisdiction. 10
56 The first relevant question is whether Defendants were placed in jeopardy. As discussed above, all parties agree that the jury had been sworn and the trial had been started. Defendants were, therefore, placed in jeopardy. This does not end our inquiry. As we observed in Maker, 57 [a]lthough the Supreme Court has explicitly held that [t]he federal rule that jeopardy attaches when the jury is empaneled and sworn is an integral part of the constitutional guarantee against double jeopardy, Crist v. Bretz, 437 U.S. 28, 38, 98 S.Ct. 2156, 57 L.Ed.2d 24 (1978), this proposition ... is the beginning rather than the end of our analysis. 58 751 F.2d at 620 n. 22. 59 In Sanabria, the Court summarized the limited circumstances when a second trial on the same offense is constitutionally permissible. 437 U.S. at 63, 98 S.Ct. 2170. It stated, 60 A new trial is permitted, e.g., where the defendant successfully appeals his conviction, United States v. Ball, 163 U.S. 662, 672, 16 S.Ct. 1192, 41 L.Ed. 300 (1896); where a mistrial is declared for a manifest necessity, Wade v. Hunter, 336 U.S. 684, 69 S.Ct. 834, 93 L.Ed. 974 (1949); where the defendant requests a mistrial in the absence of prosecutorial or judicial overreaching, United States v. Dinitz, 424 U.S. 600, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976); or where an indictment is dismissed at the defendant's request in circumstances functionally equivalent to a mistrial, Lee v. United States, 432 U.S. 23, 29-30, 97 S.Ct. 2141, 53 L.Ed.2d 80 (1977). See also Jeffers v. United States, 432 U.S. 137, 97 S.Ct. 2207, 53 L.Ed.2d 168 (1977). 61 Id. at 63 n. 15, 98 S.Ct. 2170. 62 The situations listed in the passage quoted above from Sanabria can be characterized as situations in which the defendant consented to or requested the termination. This is not such a situation, as illustrated by this court's precedents. 63 In Love v. Morton, 112 F.3d 131, 136-37 (3d Cir.1997), towards the close of the first day of Love's criminal trial, the trial judge learned that his mother-in-law had died unexpectedly. Without the explicit consent of the parties, the judge declared a mistrial and left the courthouse. Id. at 134-35. The next day, a new trial began with a new jury and a new judge. Love's request for dismissal on double jeopardy grounds was overruled by the new judge, and he was thereafter convicted. In considering Love's habeas petition, we held that [t]o demonstrate manifest necessity, the state must show that under the circumstances the trial judge `had no alternative to the declaration of a mistrial.' The trial judge must consider and exhaust all other possibilities. Id. at 137 (quoting United States v. McKoy, 591 F.2d 218, 222 (3d Cir.1979)). Applying this principle, we held that there was no manifest necessity for declaring a mistrial because there were other possibilities available. For example, the trial could have been continued with a replacement judge presiding after the new judge reviewed the trial transcript. Further, we held that under the circumstances, Love's consent to the termination could not be inferred from his failure to object to it. Id. at 138-39. We therefore concluded that the Double Jeopardy Clause prohibited Love's second trial. See also McKoy, 591 F.2d at 222-23 (finding no manifest necessity for declaring mistrial and, hence, holding further prosecution was prohibited by double jeopardy). 64 In the present case, there were also clear alternatives to termination. Before the District Court dismissed the jury, the Government suggested that the trial be stayed briefly without discharging the jury during the pendency of an expedited appeal. Defendants suggested that the trial could continue unless and until this court granted a stay. Alternatively, as we noted previously, had the Government raised and the District Court followed Federal Rule of Criminal Procedure 12(e) by ruling on the pending motions before the trial began, an appeal would have been feasible without any attachment of jeopardy. In the present case, as in Love, there was no manifest necessity to terminate the trial. 65 In light of the lack of manifest necessity, we next consider whether Defendants in effect consented to the termination of the trial. The Government argues that the termination was prompted by Defendants' motion, and thus, there is no double jeopardy bar to a remand for a new trial on the theory that Defendants consented to the termination. 66 We observed in Love that [m]istrials declared with the defendants' consent do not bar a later prosecution, and cited United States v. Dinitz, 424 U.S. 600, 607, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976). Love, 112 F.3d at 133. In Dinitz, the trial judge dismissed Dinitz's counsel during his opening statement for repeated misconduct. The trial judge asked co-counsel, who had not discussed the case with any of the witnesses, to proceed with trial. Dinitz expressed desire that his original counsel be permitted to defend him. The trial judge offered Dinitz the choice of (a) continuing the trial with co-counsel, (b) recessing the trial during an attempt at interlocutory review of the dismissal of original counsel, or (c) declaring a mistrial to allow Dinitz to obtain new counsel. Dinitz chose a mistrial. Before his subsequent trial, Dinitz argued that the Double Jeopardy Clause barred his further prosecution. The Supreme Court held that when a defendant requests a mistrial, even in response to prosecutorial or judicial error, double jeopardy does not bar retrial, Dinitz, 424 U.S. at 606-612, 96 S.Ct. 1075, unless the error that prompted it was `bad-faith conduct by judge or prosecutor.' Id. at 611, 96 S.Ct. 1075 (quoting United States v. Jorn, 400 U.S. 470, 485, 91 S.Ct. 547, 27 L.Ed.2d 543 (1971) (plurality opinion)). 67 In Love, we held that defendant's failure to object to the mistrial did not constitute express consent or implied consent because he did not have a meaningful opportunity to object to the mistrial. Because there was no consent to the termination, the Double Jeopardy Clause barred a new trial. Love, 112 F.3d at 138-39. 68 In Lee v. United States, 432 U.S. 23, 97 S.Ct. 2141, 53 L.Ed.2d 80 (1977), defense counsel, immediately before the start of a trial for theft, moved to dismiss the information for failure to include allegations of knowledge and intent. The trial court denied the motion but said that it would be reconsidered. At the end of the trial, the court granted the defendant's motion to dismiss for failure to charge knowledge and intent, even though the trial judge was convinced that the defendant was guilty. The prosecution filed a corrected information and, after the second trial, the defendant was convicted. The Supreme Court held that the Double Jeopardy Clause did not bar the second prosecution because the first prosecution was terminated at the defendant's request. See also United States v. Scott, 437 U.S. 82, 98-99, 98 S.Ct. 2187, 57 L.Ed.2d 65 (1978) (holding that defendant, by deliberately choosing to seek termination of the proceedings against him on a basis unrelated to factual guilt or innocence ... suffers no injury cognizable under the Double Jeopardy Clause if the Government is permitted to appeal from such a ruling of the trial court in favor of the defendant). 69 In United States v. Kennings, 861 F.2d 381 (3d Cir.1988), we held that the fact that the district court rather than the defendant first suggested dismissal does not bar appeal so long as the defendant agreed to dismissal. Id. at 383-86. We found that the defendant's consent and active support of dismissal undercut the argument that the defendant should only be tried by the first jury empanelled to hear his case. Id. at 385. 70 Unlike the situations in Lee, Scott, and Kennings, Defendants in the present case did not move for a mistrial, for a termination of the trial, for the discharge of jury, or for the dismissal of the indictment or any count of it. Moreover, they objected to the District Court's decision to terminate the trial and asked the court to continue with the trial. 11 Although Defendants, through their Motion to Redact, did set in motion the chain of events that led to termination of their trial, that alone is not enough to infer their consent to the resulting termination of the trial. 71 In Kennings, we contrasted the situation before us with that the court faced in United States v. Dahlstrum, 655 F.2d 971 (9th Cir.1981). In Kennings, the defendant encouraged the dismissal solely on the grounds that the statute was inapplicable and argued that the appropriate action by the court was immediate, midtrial dismissal. Kennings, 861 F.2d at 385 n. 6. We noted that in Dahlstrum, on the other hand, the [trial] court dismissed the case sua sponte  and the defendant passively acquiesced.... in response to the judge's statements that he `did not believe the government had proved its case,' [and t]hus, acquiescence could not have been read to mean that retrial would be acceptable to the defendant. Id. (quoting Dahlstrum, 655 F.2d at 975). We found that these differences explained why the Double Jeopardy Clause did not bar the appeal in Kennings but it did bar the appeal in Dahlstrum. Id. 72 Our analysis in Kennings demonstrates that a defendant who merely sets in motion a series of events that leads to the termination of his or her trial is protected from being retried by the Double Jeopardy Clause. Defendants in the present case did no more than set in motion events that led, over their objections, to the dismissal of their trial. The real cause of the trial being interrupted was the Government's desire to appeal the exclusion of some of its evidence. Because Defendants did not consent to the termination, even if the District Court's decision to terminate the trial did constitute a dismissal, the Double Jeopardy Clause bars this court from having jurisdiction to hear the Government's appeal.
73 The dissent's interesting discourse on the important principle of separation of powers overlooks that the holding of the majority in this case is that the court lacks jurisdiction to hear the Government's appeal. In each of the cases cited by the dissent on pages 246 through 248, the court's appellate jurisdiction stood on firm statutory ground. Thus, in United States v. Giannattasio, 979 F.2d 98, 100 (7th Cir.1992), the court reviewed the dismissal of an indictment; in United States v. Zabawa, 39 F.3d 279, 283 (10th Cir.1994), and United States v. Nakashian, 820 F.2d 549, 550 (2d Cir.1987), each court deemed the district court's requirement that the government select a limited number of counts on which it would proceed to be a dismissal of one or more counts, and thus expressly covered by 18 U.S.C. § 3731; in United States v. Abdelhaq, 246 F.3d 990 (7th Cir.2001), the defendant was appealing his conviction, and thus there was no question of jurisdiction under § 3731; in United States v. Marubeni America Corp., 611 F.2d 763, 764-65 (9th Cir.1980), the court (following a similar decision by the Second Circuit) held that dismissal of a substantial part of a count of an indictment fell within § 3731; and in United States v. Woolard, 981 F.2d 756, 757 (5th Cir.1993), the court held it had jurisdiction over the order of the district court striking the death penalty as a possible sentence because it effectively removed a discrete basis of criminal liability. The District Court's order in this case is not comparable to any of those cases. The court neither struck nor dismissed a count or a portion of a count. Because the references to the manual billing were included in the indictment only as part of the history of Defendants' scheme, the Government never included them in any count, so the court's order did not remove any discrete basis for criminal liability. 74 The dissent concludes its discussion of this portion of its opinion with the sentence that the law governing the separation of powers between the executive and judicial branches is sufficient to demonstrate that the District Court's actions in this case must have resulted in a dismissal. Dis. op. at 250 (emphasis added). The dissent's non sequitur is not an effective substitute for an order or action by the District Court that does indeed fall within 18 U.S.C. § 3731. Had its separation of powers argument been of any force, the Government, which has vigorously pursued this appeal, would be likely to have included it. But it didn't. 75 When the dissent turns to the issue of the order the District Court did enter, it appears to misread it, as it fails to acknowledge that, whatever the effect of the order, it did nothing more than exclude evidence of the manual scheme (which, as we previously acknowledged, was erroneous). Because no count in the indictment charged the manual billing as an offense, the District Court's exclusion of evidence of the manual billing cannot be viewed as a dismissal of any count or a part thereof. It follows that the points made by the dissent are not persuasive.