UNITED STATES OF AMERICA, — v. BILLIE JEROME ALLEN, —

357 F.3d 745, 2004 U.S. App. LEXIS 1474, 2004 WL 188080
CourtCourt of Appeals for the Eighth Circuit
DecidedFebruary 2, 2004
Docket98-2549
StatusPublished
Cited by19 cases

This text of 357 F.3d 745 (UNITED STATES OF AMERICA, — v. BILLIE JEROME ALLEN, —) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
UNITED STATES OF AMERICA, — v. BILLIE JEROME ALLEN, —, 357 F.3d 745, 2004 U.S. App. LEXIS 1474, 2004 WL 188080 (8th Cir. 2004).

Opinions

MELLOY, Circuit Judge.

In United States v. Allen, 247 F.3d 741 (8th Cir.2001), we affirmed Billie Jerome Allen’s death sentence, rejecting, inter alia, his argument that his sentence violated the Fifth Amendment Indictment Clause. Id. at 761-64. The Supreme Court, at 536 U.S. 953, 122 S.Ct. 2653, 153 L.Ed.2d 830 (2002), granted Allen’s petition for writ of certiorari, vacated our decision, and remanded the case for reconsideration in light of Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002). On reconsideration, we hold that the indictment in Allen’s case failed to charge a federal capital offense, and that given Allen’s timely objections this failure cannot be dismissed as harmless error. Accordingly, we vacate the death sentence and remand to the district court for imposition of a life sentence.

I.

In 1997, Billie Jerome Allen and Norris G. Holder killed security guard Richard Heflin during an armed robbery of the Lindell Bank & Trust in St. Louis. Both were charged with violating 18 U.S.C. §§ 2, 2113(a) and (e) (1994) (armed robbery by force or violence in which a killing occurs) (Count I) and 18 U.S.C. §§ 2, 924(c)(1) and (j)(l) (1994 and Supp. II 1996) (carrying or using a firearm during a crime of violence and committing murder) (Count II). In separate jury trials, Allen and Holder were convicted on both counts. The jury sentenced Allen to life in prison on Count I and death on Count II. Prior to trial, at sentencing, and on direct appeal, Allen argued that a death sentence in his case would violate the Fifth Amendment Indictment Clause. Specifically, Allen argued that the government’s failure to allege in his indictment the mens rea specified in 18 U.S.C. § 3591(a)(2) and at least one aggravating factor from 18 U.S.C. § 3592(c), elements essential to a death sentence, was constitutional error in light of Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000).

We rejected Allen’s argument. At the time, our review of Supreme Court precedent and the Federal Death Penalty Act (FDPA) persuaded us that the mental culpability and aggravating factors were sentencing factors rather than elements of the offense. Allen, 247 F.3d at 762-64. This decision was premised on Walton v. Arizona, 497 U.S. 639, 110 S.Ct. 3047, 111 L.Ed.2d 511 (1990), in which the Supreme Court, in upholding a state capital sentencing scheme, deemed aggravating circumstances not separate penalties or offenses but rather “ ‘standards to guide the making of [the] choice between the alternative verdicts of death and life imprisonment.’ ” Id. at 648, 110 S.Ct. 3047 (quoting Poland v. Arizona, 476 U.S. 147, 156, 106 S.Ct. 1749, 90 L.Ed.2d 123 (1986)). Applying this reasoning to Allen’s case, we explained that Apprendi was not implicated, and the Fifth Amendment Indictment Clause not violated, because the statutes at issue exposed Allen to either death or a life sentence, and thus the mental culpability and aggravating factors “d[id] not increase the sentencing range but rather provide[d] the particularized standards for choosing which of the alternative available sentences should be imposed.” Allen, 247 F.3d at 763.

[748]*748On June 24, 2002, the Supreme Court issued its decision in Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556. Overturning Walton in relevant part, the Court held that any fact essential to imposition of the death penalty must be submitted to a jury and found beyond a reasonable doubt, even where the statute at issue authorizes alternative sentences of life or death. Ring, 536 U.S. at 609, 122 S.Ct. 2428. Because Arizona’s death penalty could not be imposed without a finding of at least one aggravating factor, that factor operated as the functional equivalent of an essential element and could not be treated as merely a sentencing factor. Id.

The Supreme Court, at 536 U.S. 953, 122 S.Ct. 2653, 153 L.Ed.2d 830, subsequently granted Allen’s petition for writ of certio-rari, vacated our 2001 opinion, and remanded for reconsideration in light of Ring. On remand, we resolve the following question:

In light of Ring v. Arizona, was the indictment in this case sufficient to charge a capital offense, and, if not, must Allen’s death sentence be vacated because no aggravating factors were charged in the indictment?2

II.

The Fifth Amendment provides that “[n]o person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury[.]” U.S. Const, amend. V. The government concedes that in light of Ring, Apprendi, and Jones v. United States, 526 U.S. 227, 119 S.Ct. 1215, 143

L.Ed.2d 311 (1999), the Supreme Court would likely hold that at least one statutory aggravating factor specified in 18 U.S.C. § 3592(c) must be alleged in Allen’s indictment. See Griffith v. Kentucky, 479 U.S. 314, 328, 107 S.Ct. 708, 93 L.Ed.2d 649 (1987) (stating that a new rule for criminal prosecutions applies to all cases pending on direct review). We agree. Just as the aggravating factors essential to qualify a particular defendant as death eligible must be found by the jury under Apprendi and Ring, they too must be alleged in the indictment. See Ring, 536 U.S. at 609, 122 S.Ct. 2428 (concluding that where a state statute requires the finding of a statutory aggravating circumstance before imposition of the death penalty, such facts “operate as ‘the functional equivalent of an element of a greater offense’ ”) (quoting Apprendi, 530 U.S. at 494 n. 19, 120 S.Ct. 2348); United States v. Cotton, 535 U.S. 625, 627, 122 S.Ct. 1781, 152 L.Ed.2d 860 (2002) (“In federal prosecutions, such facts [that increase the penalty for a crime beyond the prescribed statutory maximum] must also be charged in the indictment”) (citing Apprendi, 530 U.S. at 476, 120 S.Ct. 2348, and Jones, 526 U.S. at 243 n. 6, 119 S.Ct. 1215); Apprendi, 530 U.S. at 476, 490, 120 S.Ct. 2348 (applying principles “foreshadowed” in Jones to a state prosecution, and holding, on Fourteenth Amendment due process grounds, that “[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt”);3 [749]*749Jones, 526 U.S. at 243 n. 6, 119 S.Ct.

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357 F.3d 745, 2004 U.S. App. LEXIS 1474, 2004 WL 188080, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-of-america-v-billie-jerome-allen-ca8-2004.