United States v. Billie Jerome Allen

CourtCourt of Appeals for the Eighth Circuit
DecidedMay 2, 2005
Docket98-2549
StatusPublished

This text of United States v. Billie Jerome Allen (United States 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 v. Billie Jerome Allen, (8th Cir. 2005).

Opinion

United States Court of Appeals FOR THE EIGHTH CIRCUIT ________________

No. 98-2549 ________________

United States of America, * * Appellee, * * Appeal from the United States v. * District Court for the * Eastern District of Missouri. Billie Jerome Allen, * * [PUBLISHED] Appellant. *

________________

Submitted: September 15, 2004 Filed: May 2, 2005 ________________

Before LOKEN, Chief Judge, RICHARD S. ARNOLD,1 WOLLMAN, HANSEN, MORRIS SHEPPARD ARNOLD, MURPHY, BYE, RILEY, MELLOY, SMITH, COLLOTON, and BENTON, Circuit Judges. ________________

HANSEN, Circuit Judge.

Billie Jerome Allen and Norris G. Holder were convicted of the violent St. Patrick’s Day, 1997, armed robbery of the Lindell Bank & Trust in St. Louis, Missouri, during which security guard Richard Heflin was killed. In accordance with the Federal Death Penalty Act (FDPA), the grand jury returned an indictment that

1 The Honorable Richard S. Arnold died on September 23, 2004. This opinion is filed by the remaining judges of the en banc court. See 8th Cir. R. 47E. charged the elements of the offenses. After the indictment was returned and before a trial was conducted, the government filed a notice of intent to seek the death penalty pursuant to 18 U.S.C. § 3593(a) that set forth both the statutory aggravating factors contained in 18 U.S.C. § 3592(c) and the mens rea requirement from 18 U.S.C. § 3591(a)(2) which, if proved to the petit jury beyond a reasonable doubt, made the offenses eligible for the death penalty. After a trial, the petit jury found Allen guilty of killing a person during the course of a bank robbery, in violation of 18 U.S.C. § 2113(a) and (e), and of murdering a person with a firearm used during and in relation to a crime of violence, in violation of 18 U.S.C. § 924(c)(1) and (j)(1). After the penalty phase, the petit jury determined that a sentence of life imprisonment was justified on Count I and that a sentence of death was justified on Count II. The district court2 sentenced Allen accordingly.

On appeal, a divided panel of this court affirmed Allen’s convictions and sentence in all respects. United States v. Allen, 247 F.3d 741 (8th Cir. 2001). In particular, we rejected his argument that the Fifth Amendment required the statutory aggravating factors to have been charged by the grand jury and included in the indictment. We applied the holding of Walton v. Arizona, 497 U.S. 639, 647-49 (1990), that aggravating factors are not elements of a capital offense for Sixth Amendment purposes. Allen, 247 F.3d at 761-64. Allen petitioned the United States Supreme Court for a writ of certiorari.

While Allen’s petition was pending, the Supreme Court decided Ring v. Arizona, 536 U.S. 584 (2002). Ring held that aggravating factors are the functional equivalent of elements of a capital offense for Sixth Amendment purposes, and consequently overruled Walton in relevant part. Id. at 609. The Supreme Court granted Allen’s petition for a writ of certiorari, vacated our judgment, and remanded

2 The Honorable E. Richard Webber, United States District Judge for the Eastern District of Missouri. -2- the case to us for further consideration in light of Ring. Allen v. United States, 536 U.S. 953 (2002). On remand, a divided panel of this court concluded that it was error not to charge at least one statutory aggravating factor in Allen’s indictment, and that although the error was not structural, the indictment defect was not harmless beyond a reasonable doubt. United States v. Allen, 357 F.3d 745, 748-58 (8th Cir. 2004). We subsequently granted rehearing en banc and vacated the panel’s judgment.

We now confront the following questions: (1) Does the Fifth Amendment require that at least one statutory aggravating factor and the mens rea requirement be found by the grand jury and charged in the indictment? (2) If Allen’s indictment was defective, was the error structural or subject to review for harmless error? (3) If our review is for harmless error, was the error harmless beyond a reasonable doubt? (4) Is the FDPA unconstitutional because it directs the government to charge aggravating factors in a notice of intent to seek the death penalty rather than in an indictment?

We address these issues seriatim and, ultimately, we again affirm Allen’s convictions and sentence.

I. Ring was a case about a defendant’s Sixth Amendment right to have capital aggravating factors proven to the petit jury beyond a reasonable doubt because they are facts that increase the penalty for his crime beyond the otherwise applicable statutory maximum. In Allen’s case, the petit jury made the findings that Ring expressly requires. Ring did not address whether the Fifth Amendment also requires capital aggravating factors to be found by the grand jury and included in the indictment. Nonetheless, we think that Ring necessarily implies such a Fifth Amendment requirement.

Ring did not address the indictment issue because it involved a state prosecution, and the Fifth Amendment’s grand jury requirement has not been

-3- construed to apply to the states. The same is true of the predecessor to Ring, Apprendi v. New Jersey, 530 U.S. 466, 477 n.3 (2000). We therefore look to the predecessor to Apprendi, Jones v. United States, 526 U.S. 227 (1999), which did involve a federal prosecution. There, we find the rule that “under the Due Process Clause of the Fifth Amendment and the notice and jury trial guarantees of the Sixth Amendment, any fact (other than prior conviction) that increases the maximum penalty for a crime must be charged in an indictment, submitted to a jury, and proven beyond a reasonable doubt.” Id. at 243 n.6; see also Apprendi, 530 U.S. at 476 (same (quoting Jones)).

In other words, the same facts that the Sixth Amendment requires to be proven to the petit jury beyond a reasonable doubt in state and federal prosecutions must also be found by the grand jury and charged in the indictment in federal prosecutions. We therefore conclude that the Fifth Amendment requires at least one statutory aggravating factor and the mens rea requirement to be found by the grand jury and charged in the indictment. See United States v. Robinson, 367 F.3d 278, 284 (5th Cir.), cert. denied, 125 S. Ct. 623 (2004); United States v. Higgs, 353 F.3d 281, 299 (4th Cir. 2003), cert. denied, 125 S. Ct. 627 (2004); United States v. Quinones, 313 F.3d 49, 53 n.1 (2d Cir. 2002), cert. denied, 540 U.S. 1051 (2003). The indictment must include at least one statutory aggravating factor to satisfy the Fifth Amendment because that is what is required to elevate the available statutory maximum sentence from life imprisonment to death. In turn, at least one of the statutory aggravating factors found by the petit jury in imposing the death sentence must have been one of the statutory aggravating factors charged by the grand jury in the indictment.

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United States v. Billie Jerome Allen, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-billie-jerome-allen-ca8-2005.