United States v. Maria Ann Dior, United States of America v. United States District Court for the Western District of Washington

671 F.2d 351, 1982 U.S. App. LEXIS 21031
Court of Appeals for the Ninth Circuit·Decided March 15, 1982·No. 80-1497·Published·Cited by 47 cases

Opinions

PREGERSON, Circuit Judge:

The principal question this criminal case requires us to decide is whether an order granting a new trial, after a jury’s verdict of guilty, is appealable before retrial.

On May 2, 1978, a federal grand jury returned a three count indictment against appellee, Maria Ann Dior. Count 1 charged her with knowingly smuggling four fur coats into the United States in violation of 18 U.S.C. § 545.1 Count 2 charged her with wilfully attempting to introduce imported merchandise by means of false statements in violation of 18 U.S.C. § 542.2 Count 3 charged her with knowingly transporting stolen merchandise with a value of $5,000 or more in interstate commerce in violation of 18 U.S.C. § 2314.3

The jury acquitted Dior on count 2, but found her guilty on counts 1 and 3. She filed a post-trial motion for judgment of acquittal under Fed.R.Crim.P. 29(c) or for a new trial under Fed.R.Crim.P. 33. The district court granted a new trial on count 1 and entered a judgment of acquittal on count 3. The Government appeals both rulings and alternatively challenges the new trial order by writ of mandamus.

Count 1: Appealability of the New Trial Order

The district court determined that an incorrect instruction, submitted by the Government, had been read to the jury, and that because much of the evidence against Dior was circumstantial, the error could not [354] be characterized as harmless. Accordingly, the court granted appellee’s motion for a new trial on count 1. Because we hold that a new trial order in a criminal case is not appealable before retrial, we need not determine whether the instruction in question was correct.

The right to appeal and appellate jurisdiction are both creatures of statute. To prosecute its appeal before this court, appellant must show that it has the right to appeal and that the order appealed from comes within the terms of a statutory grant of appellate jurisdiction. See generally Abney v. United States, 431 U.S. 651, 656, 97 S.Ct. 2034, 2038, 52 L.Ed.2d 651 (1977). 28 U.S.C. § 1291 grants the courts of appeals jurisdiction to review all “final decisions of the district courts.”4 It is settled in this circuit that new trial orders in civil cases are not appealable until after retrial because such orders are interlocutory rather than final. DePinto v. Provident Security Life Insurance Co., 323 F.2d 826 (9th Cir. 1963); Gilliland v. Lyons, 278 F.2d 56 (9th Cir. 1960); United States v. Hayes, 172 F.2d 677 (9th Cir. 1949); Long v. Davis, 169 F.2d 982 (9th Cir. 1948). We have yet to decide whether new trial orders in criminal cases are appealable before retrial.5 We conclude that they are not.

The consistent policy of the federal judiciary has been to avoid interlocutory or piecemeal appellate review. See, e.g., United States v. MacDonald, 435 U.S. 850, 98 S.Ct. 1547, 56 L.Ed.2d 18 (1978); DiBella v. United States, 369 U.S. 121, 82 S.Ct. 654, 7 L.Ed.2d 614 (1962). This policy has particular force in criminal cases, where delay often would impair the proper functioning of our criminal justice system. Thus, the Supreme Court has reiterated the traditional requirement of a final judgment as a predicate to federal appellate jurisdiction. See Abney v. United States, 431 U.S. 651, 97 S.Ct. 2034, 52 L.Ed.2d 651 (1977); see also United States v. Griffin, 617 F.2d 1342 (9th Cir. 1980). “In general, a ‘judgment’ or ‘decision’ is final for the purpose of appeal only ‘when it terminates the litigation between the parties on the merits of the case, and leaves nothing to be done but to enforce by execution what has been determined.’ ” Parr v. United States, 351 U.S. 513, 518, 76 S.Ct. 912, 916, 100 L.Ed. 1377 (1956), quoting St. Louis, Iron Mountain & Southern R. Co. v. Southern Express Co., 108 U.S. 24, 28, 2 S.Ct. 6, 8, 27 L.Ed. 638 (1883); United States v. Carnes, 618 F.2d 68 (9th Cir. 1980).6 This rule applies in criminal as well as civil cases. Parr v. United States, 351 U.S. at 518, 76 S.Ct. at 916. “Final judgment in a criminal case means sentence. The sentence is the judgment.” Berman v. United States, 302 U.S. 211, 212, 58 S.Ct. 164, 165, 82 L.Ed. 204 (1937), quoted in Parr v. United States, 351 U.S. at 518, 76 S.Ct. at 916.

A district court’s order granting a new trial in a criminal case is not a final decision; it does not resolve the ultimate question of the guilt or innocence of the accused of the crime charged in the indictment, much less determine a sentence. Thus authority to appeal under 28 U.S.C. § 1291 is lacking. The Government argues, however, that statutory authority to appeal can be found under the Criminal Appeals Act, 18 U.S.C. § 3731.7

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United States v. Maria Ann Dior, United States of America v. United States District Court for the Western District of Washington, 671 F.2d 351, 1982 U.S. App. LEXIS 21031 (9th Cir. 1982).

671 F.2d 351 (United States v. Maria Ann Dior, United States of America v. United States District Court for the Western District of Washington) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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