Opinion ID: 775225
Heading Depth: 3
Heading Rank: 2

Heading: Did the Fourth Superseding Indictment Materially Broaden the Second Superseding Indictment?

Text: 21 Although there are few cases in this circuit analyzing whether an indictment filed outside the applicable limitations period materially broadens an earlier charge, we have noted in Smith that [n]otice to the defendants of the charges, so that they can adequately prepare their defense, is the touchstone in making this determination. Smith, 197 F.3d at 229. Thus, in Smith, where the superseding indictment simply included as overt acts in a conspiracy charge in count one certain acts originally charged under counts two through five of the indictment, the defendants had notice at all times of the charges against which they would have to defend themselves, and the superseding indictment did not broaden the original indictment. Id. 22 In the current case, it is clear that, while the defendants were not informed in the original indictment of the drug quantity for which the government would seek to hold them responsible, they did receive clear notice of this amount on several occasions soon after the original indictment was issued. Less than two weeks after the defendants were indicted, the government gave them written notice that the evidence with respect to Count 1 of the Indictment [would] include drug quantities of 1,000 kilograms or more of marihuana and that such evidence could give rise to enhanced penalties pursuant to [21 U.S.C. 841(b)]. J.A. at 142 (Dec. 15, 1992 Notice of Enhanced Penalty). The defendants also each signed an acknowledgment of indictment form indicating that they were aware that they faced a sentence of between ten years and life imprisonment, and that this sentencing range could be increased if they had a prior felony drug conviction. J.A. at 141 (Dec. 15, 1992 Acknowledgment of Indictment). Under 841(b), it is clear that a sentencing range of ten years to life imprisonment, absent enhancement for a prior felony drug conviction, can only be arrived at for purposes of a marijuana conspiracy if the conspiracy involved 1000 kilograms or more of a mixture or substance containing a detectable amount of marijuana, or 1,000 or more marijuana plants regardless of weight[.] 21 U.S.C. 841(b)(1)(A)(vii). 23 Although normally we would focus on the language of the two indictments in determining whether the later indictment has materially broadened the earlier one, the unusual circumstances of this case dictate a more flexible approach. Upon looking at the language of the second and fourth superseding indictments, it is clear that the second superseding indictment does not contain any allegation of the specific drug quantity involved in the conspiracy, whereas the fourth superseding indictment does. The only reason for this distinction between the two indictments, however, is the change in the legal landscape created by the Apprendi decision. 24 The government, in accordance with pre-Apprendi practice, indicted the defendants without stating a specific drug quantity therein, but instead provided the defendants with written notice outside of the indictment that the amount of drugs allegedly involved in their conspiracy would subject them to sentencing enhancements under 841(b). Now, under the fourth superseding indictment and after 3288's six-month indictment period has expired, the government has attempted to comply strictly with the mandate of Apprendi by charging in the indictment and proving beyond a reasonable doubt at trial the specific drug quantity that would lead to sentencing enhancements. As we stated in United States v. Saussy, 802 F.2d 849, 852 (6th Cir. 1986), cert. denied, 480 U.S. 907 (1987), [t]he concerns generally underlying statutes of limitations have to do with placing a defendant on notice of the charges brought against him before those charges are presumptively stale. Notice to the defendants of the charges to be brought against them is the key factor in the material-broadening analysis, and in this case, in light of the specific, timely, and official notice provided to the defendants of the drug quantity for which the government would seek to hold them responsible, we simply cannot state that the fourth superseding indictment materially broadened the defendants' already pending charges. 25 The defendants argue that it is obvious that the fourth superseding indictment materially broadens the second superseding indictment because, under the later indictment, they are subjected to substantially greater sentences. Ordinarily, we would agree. In this case, however, the defendants knew all along about the amount of drugs that the government intended to show were involved in the conspiracy. Had such facts been alleged in a superseding indictment outside the applicable limitations period and the government not provided timely and specific notice of such facts to the defendants after the original indictment, we are confident that, because the superseding indictment exposes the defendants to significant sentencing enhancements, it would not relate back to the earlier indictment. This was not the case here, however. 26 The defendants further argue that, even if we consider the notice of drug quantity provided to the defendants outside the indictment, such notice was inadequate in this case because it did not inform them that they would have to prepare a defense against drug quantity at trial, as opposed to during a sentencing hearing. Although this certainly is true, we do not believe that this requires us to find that the fourth superseding indictment materially broadened the already pending charges. In fact, while under the fourth superseding indictment the defendants' opportunity to challenge the drug quantity will be at trial instead of at a sentencing hearing, the defendants will reap the benefits of Apprendi by only having to create for the jury a reasonable doubt that the drug conspiracy did not involve more than one thousand kilograms of marijuana. Under pre-Apprendi law, the government would have had the benefit of a preponderance of the evidence standard at the sentencing hearing, and the defendants' ability to mount a defense would have suffered greatly. 27 We recognize that the defendants' trial strategy may change somewhat in light of their duty to challenge at trial the amount of drugs involved in the conspiracy. Nevertheless, the defendants have been put on notice from the very beginning in 1992 of the large quantity of drugs that the government claims is involved in this conspiracy, and of the fact that they would have to prepare a defense against this drug amount if and when the proceedings reached the sentencing hearing. We do not believe, simply because the burden of presenting a defense concerning drug quantity has been moved to the trial, that the timely notice of drug amount provided by the government in 1992 is now inherently defective, particularly in light of the fact that the government, when the defendants are tried, will have a far higher standard of proof to meet with respect to drug quantity. 28 Ultimately, the crucial issue in this case is notice. Although the fourth superseding indictment was issued beyond 3288's statute of limitations, it is apparent that the defendants knew full well that the government would attempt to hold them responsible for a drug conspiracy involving one thousand pounds or more of marijuana. In light of the timely and specific written notice provided by the government, we hold that the fourth superseding indictment, though it alleges facts concerning drug quantity that could lead to sentencing enhancements, did not materially broaden the charges already pending against the defendants. Thus, for purposes of 3288's six-month statute of limitations, the fourth superseding indictment relates back to the timely filing of the second superseding indictment.