Opinion ID: 3033784
Heading Depth: 3
Heading Rank: 2

Heading: Exclusion of Evidence Challenging Alienage

Text: In light of its reversal of fortune with respect to its collateral estoppel objection, the government now argues instead that for a number of other reasons the exclusion of Smith’s defense that he was a derivative citizen does not justify reversal of his conviction. First, it argues that a person born abroad may not be afforded any rights as a citizen unless and until he obtains a certificate of citizenship. Because Smith does not possess such a certificate, the government contends that the district court properly excluded the evidence related to his derivative citizenship status. [5] The government’s argument is incorrect. Smith was entitled to U.S. citizenship, along with its rights and privileges, from the moment of birth, not upon the issuance of a certificate of citizenship or any other formal determination by the INS or any other government official. See 8 U.S.C. § 1401(g) (stating that derivative citizens are “nationals and citizens of the U.S. at birth” (emphasis added)); Miller v. Albright, 523 U.S. 420, 429-30 (1998) (plurality opinion) (holding that 8 U.S.C. § 1401(g) provides for citizenship at birth); Solis-Espinoza v. Gonzales, 401 F.3d 1090, 1092-94 (9th Cir. 2005) (same). In short, if Smith is entitled to U.S. citizenship as derived through his mother, his right to be treated as a citizen is not dependent upon the award of a certificate. He was a citizen from the moment of his birth. See 8 U.S.C. § 1401(g). UNITED STATES v. SMITH-BALTIHER 12885 The government next argues that whether a person born abroad derives U.S. citizenship from a parent is a question to be decided exclusively by the Attorney General, or his designated successor, the Secretary of the Department of Homeland Security, and may not be reviewed by a court, or, even more so, by a jury. The government’s contention that only the INS may decide the question of Smith’s derivative citizenship is simply incorrect. Regardless of how a citizen wrongly denied his lawful status may vindicate his rights in other circumstances, the question of derivative citizenship arises here in the course of a criminal proceeding and is, under our legal system, one to be decided by a jury. Smith is being prosecuted for violating 8 U.S.C. § 1326. Under the charged offense, a previously deported alien who “enters, attempts to enter, or is at any time found in” the United States without the express consent of the Attorney General is subject to a fine and imprisonment for up to two years. See 8 U.S.C. § 1326. As in all other criminal trials, the government must prove its case beyond a reasonable doubt. Sitting en banc, we held in United States v. GracidasUlibarry, 231 F.3d 1188 (9th Cir. 2000) (en banc), that the defendant’s alienage is an essential element of the § 1326 offense and that the government must carry its burden with respect to that element just as it does with all others. See id. at 1196-97 (“An appropriate instruction would have required the jury to find beyond a reasonable doubt that [the defendant] satisfied each of the five elements [including alienage].”).7 7 “[T]he elements of the crime of attempted illegal reentry into the United States under 8 U.S.C. § 1326 are: (1) the defendant had the purpose, i.e., conscious desire, to reenter the United States without the express consent of the Attorney General; (2) the defendant committed an overt act that was a substantial step towards reentering without that consent; (3) the defendant was not a citizen of the United States; (4) the defendant had previously been lawfully denied admission, excluded, deported or removed from the United States; and (5) the Attorney General had not consented to the defendant’s attempted reentry.” GracidasUlibarry, 231 F.3d at 1196 (citations omitted). 12886 UNITED STATES v. SMITH-BALTIHER Because alienage is an element of the offense, Smith is entitled to have the jury determine that question at trial. See Apprendi v. New Jersey, 530 U.S. 466, 476-77 (2000) (stating that the Sixth and Fourteenth Amendments, taken together, entitle a criminal defendant to “a jury determination that [he] is guilty of every element of the crime with which he is charged, beyond a reasonable doubt” (quotations omitted) (alternations in original)); United States v. Marin-Cuevas, 147 F.3d 889, 892 (9th Cir. 1998) (holding that due process and the Sixth Amendment require that the jury have an opportunity to consider evidence of defendant’s derivative citizenship); United States v. Meza-Soria, 935 F.2d 166, 170 (9th Cir. 1991) (defendant is “entitled to put the government to its proof on the issue of alienage”). Because derivative citizenship would negate that element of the offense, Smith must be allowed to present that defense to the jury. It is only after the jurors consider Smith’s evidence of derivative citizenship that they will be able to decide whether the government had successfully met its burden. See United States v. Gaudin, 515 U.S. 506, 509-10 (1995) (holding that the Due Process Clause and Sixth Amendment “require criminal convictions to rest upon a jury determination that the defendant is guilty of every element of the crime . . . beyond a reasonable doubt.”). The government’s fear that juries will dole out United States passports to sympathetic defendants is without basis. Had Smith been permitted to present evidence of his U.S. citizenship that the jury found credible, the determination in his favor would not have had the effect of awarding him citizenship. The jury’s finding would have determined only that the government had not proven beyond a reasonable doubt that Smith was an alien. [6] Finally, the government contends that even if the district court erred when it excluded Smith’s evidence challenging alienage, any such error was harmless. This argument is also without merit. We have previously held that barring a defendant from presenting all evidence in support of a cogniUNITED STATES v. SMITH-BALTIHER 12887 zable defense, or from challenging an element of the crime, is structural error. See United States v. Miguel, 338 F.3d 995, 1003 (9th Cir. 2003) (precluding counsel from arguing the defense theory of the case constitutes structural error); see also Conde v. Henry, 198 F.3d 734, 741 (9th Cir. 2000) (as amended) (“[W]e do not apply harmless error review in cases that contain a defect affecting the framework within which the trial proceeds, rather than simply an error in the trial process itself.” (quotations omitted)). Having notified the court of his intent to introduce evidence challenging an element of the crime, the defendant was entitled to present probative evidence to that effect. Denial of the opportunity to present his defense was, without more, sufficient to warrant reversal. As the district judge correctly observed regarding the effect of his order precluding Smith from contesting the element of alienage, “[T]here’s no doubt about it. I think that if I’m wrong on that issue, we should have the pleasure of each other’s company doing this again . . . [Smith’s] certainly been denied that defense in this proceeding.”8 8 We note that the availability of a harmless error standard in this case would be of no benefit to the government. 8 U.S.C. § 1401(g) provides that Smith is entitled to derivative citizenship if prior to his birth his mother was both a United States citizen and physically present in the U.S. for a period of not less than five years, at least two of which were after attaining the age of fourteen. Smith alleges that his mother was born and baptized in New Mexico, and lived there and in other parts of the U.S. throughout her life. He had documentary evidence to support these contentions, including her New Mexico birth certificate, her baptismal records from a New Mexico church, INS Reports which stated that the investigation into the status of his mother revealed that she was born in the U.S., and affidavits of people living in the U.S., all of which attest that the mother was born in this country. He also would have presented testimony of other family members to the effect that his mother is a U.S. citizen and that he was raised in San Diego with his family, attended school there, and worked in San Diego. These witnesses were in court and willing to testify on the morning of trial. Although we offer no opinion as to the credibility of Smith’s evidence, that evidence, if deemed credible, would demonstrate that his mother was born in this country and was physically present here for a period of not less than five years, at least two of which were after 12888 UNITED STATES v. SMITH-BALTIHER [7] Because the question of alienage is an issue that must be resolved by the jury, the district court erred when it collaterally estopped Smith from presenting a defense with respect to that element of the charged offense. The ruling served to relieve the government of its obligation to establish Smith’s guilt beyond a reasonable doubt. Smith, therefore, is entitled to a reversal of his conviction and, if the government elects to re-try him, a new trial at which the government will be required to meet its burden of establishing his alienage beyond a reasonable doubt. See Gaudin, 515 U.S. at 510; Arnett, 353 F.3d at 766. At any such trial Smith may present evidence of derivative citizenship. Accordingly, we reverse Smith’s conviction and remand the case for re-trial or such other disposition as may be appropriate. See Arnett, 353 F.3d at 766.