F I L E D
United States Court of Appeals
Tenth Circuit
PUBLISH
FEB 5 2003
UNITED STATES COURT OF APPEALS
PATRICK FISHER
Clerk
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff - Appellee,
v. No. 02-3050
RICHARD K. HATHAWAY,
Defendant - Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF KANSAS
(D.C. No. 01-CR-20096-CM)
Michael Lewis Harris, Assistant Federal Public Defender, Kansas City, Kansas,
for Defendant-Appellant.
Nancy L. Caplinger, Assistant United States Attorney (Eric F. Melgren, United
States Attorney, with her on the brief), Topeka, Kansas, for Plaintiff-Appellee.
Before KELLY, Circuit Judge, BRORBY, Senior Circuit Judge and
OBERDORFER *, District Judge.
KELLY, Circuit Judge.
*
The Honorable Louis F. Oberdorfer, Senior United States District Judge
for the District of Columbia, sitting by designation.
Defendant-Appellant Richard K. Hathaway was convicted by a jury of a
single count of forcibly assaulting a federal officer in violation of 18 U.S.C. §
111(a). He was sentenced to two years of probation, including four months of
home confinement, and was ordered to pay a $1,000 fine.
On appeal, Mr. Hathaway asserts that the indictment only charged him with
a misdemeanor violation of § 111 involving simple assault. Relying on Jones v.
United States, 526 U.S. 227 (1999), he argues that since both the indictment and
the jury instructions failed to distinguish between simple and non-simple assault--
and thus charged only a misdemeanor violation--he could not in fact be convicted
of a felony. As noted at oral argument, Mr. Hathaway does not seek to have his
conviction set aside. Instead, he asks this court to order all records to reflect that
he was convicted only of a misdemeanor violation of § 111. We exercise
jurisdiction pursuant to 28 U.S.C. § 1291 and remand to the district court for
compliance with the order contained herein that all of Mr. Hathaway’s records be
corrected to reflect his conviction for a misdemeanor violation of § 111(a).
Background
On June 13, 2002, Special Agent Bruce McKimens of the Social Security
Administration Office of Inspector General (“SSA Agent”) and Postal Inspector
Jane Lutz of the United States Postal Inspection Service arrived at Mr.
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Hathaway’s residence seeking to interview him in connection with an ongoing
investigation involving his former wife. After parking in Mr. Hathaway’s
driveway, the agents rang the doorbell, and upon receiving no answer, the SSA
Agent looked into the window next to the front door to check for signs of
occupancy. Seeing none, the agents went next door to interview a neighbor.
After interviewing the neighbor, the agents noticed Mr. Hathaway’s vehicle
parked behind their vehicle and they spotted Mr. Hathaway between his home and
the neighbor’s home. The SSA Agent addressed Mr. Hathaway, who began
yelling at the agents, asking why they were looking in his window. The SSA
Agent identified himself as a federal agent with the Social Security
Administration. When the agents did not leave after he requested that they do so,
Mr. Hathaway admittedly pushed the SSA Agent in the chest and grabbed him by
his tie, thereby choking him, telling him “I don’t care who you are, you little
twirp.” III R. at 35, 199. The agents left after Mr. Hathaway complied with their
request to move his vehicle. The SSA Agent suffered bruising but did not require
medical attention.
Mr. Hathaway was subsequently charged in a one count indictment which
read as follows:
The Grand Jury charges:
Count 1
On or about June 13, 2001, in the District of Kansas, the defendant,
RICHARD K. HATHAWAY,
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did knowingly and intentionally forcibly assault, resist, oppose,
impeded [sic], intimidate, and interfere with Social Security
Administration Special Agent, Bruce McKimens, while he was
engaged in and on account of the performance of his official duties,
in violation of Title 18, United States Code, Section 111.
A TRUE BILL.
I R. Doc. 1 at 1. Immediately following this text, the indictment was signed and
dated by the foreman. Id. On a separate page appended to the indictment at some
unknown time, the following language appeared: “PENALTIES: Count 1:
Imprisonment [not more than] 3 years; $250,000.00 Fine; [not more than] 1 year
[supervised release]; Special Assessment $100.00.” Id. at 3. The indictment
included no factual details of Mr. Hathaway’s conduct.
During the jury trial, the court instructed the jurors that the indictment
charged Mr. Hathaway with a violation of § 111(a)(1), which it quoted as follows:
(a) Whoever – (1) forcibly assaults, resists, opposes, impedes,
intimidates, or interferes with any person designated in section 1114
of this title while engaged in or on account of the performance of
official duties . . . shall, where the acts in violation of this section
constitute only simple assault, be fined under this title or imprisoned
not more than one year, or both, and in all other cases, be fined under
this title or imprisoned not more than three years, or both.
I R. Doc. 24 at 17. The court further instructed the jurors that for the government
to sustain its burden of proof, it must prove the following essential elements
beyond a reasonable doubt:
FIRST: defendant intentionally used unlawful force in
assaulting, intimidating or interfering with Bruce
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McKimens
SECOND: defendant did so while Bruce McKimens was engaged
in, or on account of his official duties
THIRD: that this act occurred on or about the 13th day of June
2001 in the District of Kansas.
Id. at 18. Finally, the court instructed the jurors on the meaning of the phrase
“forcibly assaults:”
The term “forcibly assaults” means any deliberate and intentional
attempt or threat to inflict physical injury upon another with force or
strength when that attempt or threat is coupled with an apparent
ability to do so. Although a “forcible assault” may be committed by
a defendant without actually touching, striking, or doing bodily harm
to another, the government must prove that the actions of the
defendant, RICHARD K. HATHWAY, were of such a nature to put
the person against whom they are directed in fear of immediate
bodily harm. There is a use of force when one person intentionally
wounds another, or when one person intentionally makes a display of
force which reasonably causes a person to fear immediate bodily
harm.
Id. at 20. Mr. Hathaway did not object at trial to the jury instructions and did not
request a lesser included offense instruction. III R. at 225. The jury found Mr.
Hathaway guilty “as charged in the Indictment.” I R. Doc. 25.
The Presentence Report (“PSR”) characterized Mr. Hathaway’s conviction
as a Class E felony in violation of § 111, with a maximum term of imprisonment
of three years. IV R. at 1. Prior to sentencing, Mr. Hathaway objected to the
classification of his conviction as a felony since, in his view, the indictment and
the jury instructions charged only a misdemeanor violation of § 111 involving
simple assault. I R. Doc. 27 at 1. In light of the Supreme Court’s reasoning in
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Jones, Mr. Hathaway argued that §111(a) essentially prohibits two different
offenses with different required elements. Thus, conviction for non-simple
assault under § 111(a) would be valid only if every element of that offense is
properly charged in the indictment and then found to exist beyond a reasonable
doubt by the jury. Because that did not happen here, Mr. Hathaway argued that he
could only be validly sentenced for a misdemeanor violation of § 111.
Though the district court found Mr. Hathaway’s arguments to be
“intriguing” and “novel,” it was unpersuaded, noting that Mr. Hathaway was put
on notice by the indictment’s reference to the applicable penalties that he was
charged with a felony violation of § 111(a). II R. at 13. Accordingly, the court
sentenced Mr. Hathaway on the basis of a felony conviction, imposing a sentence
of two years of probation, including four months of home detention. Id. at 22, 26.
Mr. Hathaway’s actual sentence was below both the maximum statutory penalty of
three years imprisonment for a felony conviction and the maximum statutory
penalty of one year imprisonment for a misdemeanor conviction under § 111(a).
On appeal, Mr. Hathaway renews his argument.
Discussion
In its entirety, Section 111 provides as follows:
(a) In general.–Whoever–
(1) forcibly assaults, resists, opposes, impedes, intimidates, or
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interferes with any person designated in section 1114 of this
title while engaged in or on account of the performance of
official duties; or
(2) forcibly assaults or intimidates any person who formerly
served as a person designated in section 1114 on account of
the performance of official duties during such person's term of
service,
shall, where the acts in violation of this section constitute only
simple assault, be fined under this title or imprisoned not more than
one year, or both, and in all other cases, be fined under this title or
imprisoned not more than three years, or both.
(b) Enhanced penalty.–Whoever, in the commission of any acts
described in subsection (a), uses a deadly or dangerous weapon
(including a weapon intended to cause death or danger but that fails
to do so by reason of a defective component) or inflicts bodily injury,
shall be fined under this title or imprisoned not more than ten years,
or both.
18 U.S.C. § 111 (2000) (the maximum sentences permitted under § 111(a) were
increased by the Federal Judiciary Protection Act of 2002, P.L. 107-273, tit. I, §
11008(b)).
To address Mr. Hathaway’s argument, we must first determine the elements
of the offense or offenses proscribed by § 111(a). Specifically, we must decide if
a conviction for an “all other cases” felony under § 111(a) requires an additional
element, i.e., conduct constituting more than simple assault, beyond that required
for a misdemeanor conviction under § 111(a). Our inquiry turns on whether the
fact of the existence of non-simple assault for a felony charge is properly viewed
as an element or a sentencing factor under § 111(a). “Much turns on the
determination that a fact is an element of an offense rather than a sentencing
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consideration, given that elements must be charged in the indictment, submitted to
a jury, and proven by the Government beyond a reasonable doubt.” Jones, 526
U.S. at 232.
A. The Number of Offenses Proscribed by § 111(a)
In the Tenth Circuit, we have yet to consider this issue in the context of §
111(a). However, addressing § 111(b), we held in United States v. Segien, 114
F.3d 1014, 1020 (10th Cir. 1997) that “bodily injury” was not an additional
element but was instead just a sentencing factor. We relied primarily on the text
and structure of the statute to conclude that Congress intended § 111(b) to be a
sentencing enhancement provision. Id. at 1018. To ensure such a reading did not
offend the constitution, we also considered the factors identified by the Supreme
Court in McMillan v. Pennsylvania, 477 U.S. 79 (1986). Id. at 1019. Though we
recognized that a finding of “bodily injury” exposed the defendant to a threefold
increase in the possible period of imprisonment, we essentially relied on the
McMillan court’s failure to require that such a fact be treated as an element and
not a sentencing factor. Id. at 1019-20 (citing several cases holding that facts that
exposed defendant to increased punishment were not elements, including United
States v. Oliver, 60 F.3d 547, 551-54 (9th Cir. 1995), which held that “serious
bodily injury” and “death” were sentencing factors and not elements under the
federal carjacking statute, 21 U.S.C. § 2119).
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Though Segien’s holding was limited to § 111(b), its reasoning would
appear to be persuasive in the context of the § 111(a) issue we now face.
Although “[w]e are bound by the precedent of prior panels,” a “superseding
contrary decision by the Supreme Court” always controls our analysis. In re
Smith, 10 F.3d 723, 724 (10th Cir. 1993). Therefore, like each of our sister
circuits that have considered § 111 post-Jones, we now conclude that the Supreme
Court’s reasoning in Jones and subsequent cases altered the proper analysis of §
111 such that Segien does not control the § 111(a) issue before us. See United
States v. Arrington, 309 F.3d 40, 44-47 (D.C. Cir. 2002); United States v. Yates,
304 F.3d 818, 821-23 (8th Cir. 2002); United States v. Campbell, 259 F.3d 293,
296-98 (4th Cir. 2001); United States v. McCulligan, 256 F.3d 97, 102-03 (3d Cir.
2001); United States v. Chestaro, 197 F.3d 600, 607 (2d Cir. 1999); United States
v. Nunez, 180 F.3d 227, 233 (5th Cir. 1999).
In Jones, the Supreme Court interpreted 18 U.S.C. § 2119, which imposed
different punishments depending on the severity of the injuries suffered by
victims of a carjacking, as creating three separate offenses rather than a single
offense with three punishments. 526 U.S. at 229. In reaching that conclusion, the
Court relied on the text and structure of the statute, comparable federal and state
statutes, and the statute’s legislative history. Id. at 232-39. In United States v.
Carless Jones, 235 F.3d 1231, 1233 (10th Cir. 2000), we recognized that the
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Supreme Court in Jones also relied on a constitutional principle later expressly
adopted in Apprendi v. New Jersey, 530 U.S. 466 (2000) to resolve any doubt
about how to decide the “element versus sentencing factor” issue. Absent clear
congressional intent to the contrary, we agree with the Fifth Circuit that “Jones
teaches us to avoid encroaching on a defendant’s Fifth Amendment rights by
construing statutes setting out separate punishments as creating separate,
independent criminal offenses rather than a single criminal offense with different
punishments.” Nunez, 180 F.3d at 233.
Applying Jones, as we must, we hold that § 111 defines three separate
offenses, each element of which must be charged in the indictment and proven to
the jury beyond a reasonable doubt. 1 Though the language and structure of § 111
might suggest the opposite conclusion, Jones makes it clear that such
considerations are not dispositive. See 526 U.S. 232-34 (noting that the “look”
and structure of the statute is not a reliable guide to congressional intentions). As
in Jones, the sentencing provisions of § 111 “not only provide for steeply higher
penalties,” but also “condition them on further facts . . . that seem quite as
important as the elements in the principal paragraph.” Id. at 233. These facts,
including contact with the victim, bodily injury, and the use of a dangerous
1
Although § 111(b) is not directly implicated in this appeal, our analysis
of the impact of Jones on § 111 cannot be artificially limited to § 111(a) only.
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weapon, are of the type that the states and the federal government traditionally
have considered elements of an offense rather than sentencing factors. See id. at
235-37; Chestaro, 197 F.3d at 608; see also Harris v. United States, 122 S.Ct.
2406, 2412-13 (2002). This tradition increases the probability that Congress
intended § 111 to create separate offenses. Jones, 526 U.S. at 234 (noting that if
the statute is unclear, “it makes sense to look at what other statutes have done, on
the fair assumption that Congress is unlikely to intend any radical departures from
past practice without making a point of saying so.”). Finally, as in Jones, we find
that interpreting § 111 as defining three separate offenses is appropriate because
it obviates the need to address the serious constitutional question that arises when
a statute relegates to the sentencing judge factfinding that is traditionally reserved
for the jury and that goes to the elements of the crime. See id. at 239-40. Our
holding essentially aligns us with our sister circuits that have considered this
question post-Jones. See Arrington, 309 F.3d at 44-45; Yates, 304 F.3d at 823;
Campbell, 259 F.3d at 298; McCulligan, 256 F.3d at 102; Chestaro, 197 F.3d at
608; Nunez, 180 F.3d at 233.
B. The Definition of “Simple Assault” Under § 111(a)
The statute itself offers little guidance on the precise contours of the three
separate offenses created by § 111. In fact, because § 111 does not define
“simple assault,” ambiguity exists about what differentiates “simple assault” from
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“all other cases” assault. As this distinction is critical here, we now proceed to
differentiate the two types of assault under § 111(a).
Congress added the distinction of “simple assault” and “all other cases”
assault to § 111 in 1994. See Violent Crime Control and Law Enforcement Act of
1994, P. L. 103-322, tit. XXXII, § 320101(a)(1). Prior to this addition, Congress
used the phrase “simple assault” in only one other criminal statute, 18 U.S.C. §
113 (assaults within maritime and territorial jurisdiction). After observing that
neither § 111 nor § 113 define “assault,” we have noted that “where a federal
criminal statute uses a common-law term of established meaning without
otherwise defining it, the general practice is to give that term its common-law
meaning.” United States v. Gauvin, 173 F.3d 798, 802 (10th Cir. 1999) (quoting
United States v. Turley, 352 U.S. 407, 411 (1957)). Applying this practice, we
arrived at a definition of assault for use in § 111 and § 113 as either an attempted
battery or as placing another in reasonable apprehension of immediate bodily
harm. Id.; see also United States v. Calderon, 655 F.2d 1037, 1038 (10th Cir.
1981) (construing 18 U.S.C. § 351 and relying on the definition of “assault”
derived for § 113). Specifically addressing § 113, we have held that “simple
assault” “is committed by either a willful attempt to inflict injury upon the person
of another, or by a threat to inflict injury upon the person of another which, when
coupled with an apparent present ability, causes a reasonable apprehension of
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immediate bodily harm.” United States v. Joe, 831 F.2d 218, 220 (10th Cir.
1987). However, such a definition of “simple assault” is really nothing more than
a non-exclusive recitation of what constitutes assault. It does little to
differentiate it from “all other cases” assault in § 111 as that statute now exists.
Addressing this problem, the Second and Fifth Circuits have held that § 111
creates the following separate offenses: “(1) simple assault, which, in accord with
the common-law definition, does not involve touching; (2) ‘all other cases,’
meaning assault that does involve contact but does not result in bodily injury or
involve a weapon; and (3) assaults resulting in bodily injury or involving a
weapon.” Chestaro, 197 F.3d at 606; United States v. Ramirez, 233 F.3d 318,
321-22 (5th Cir. 2000). However, as noted by the Eighth Circuit, at least one
circuit has expressly limited “simple assault” under § 111(a) to those assaults
without physical contact. Yates, 304 F.3d at 822 (citing McCulligan, 256 F.3d at
102-04). The Eighth Circuit, relying on Congress’ use of the phrase in § 113,
declined to so limit its definition of “simple assault.” Id.
We now join the Eighth Circuit in holding that, in the context of § 111, the
definition of “simple assault” is assault which does not involve actual physical
contact, a deadly or dangerous weapon, bodily injury, or the intent to commit
murder or any felony other than those referred to in § 113(a)(2). We are
persuaded by the reasoning of the Eighth Circuit that “simple assault” in § 111
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should be defined by reference both to the common law meaning of assault and to
the meaning of “simple assault” as Congress uses that phrase in § 113. See Yates,
304 F.3d at 823. In the same act in which Congress added the distinction of
“simple assault” versus “all other cases” assault to § 111, it also amended § 113
to redesignate the various types of assault that are not, in its view, “simple
assault.” See Violent Crime Control and Law Enforcement Act of 1994, P. L.
103-322, tit. XVII, § 170201. Therefore, we hold that “all other cases” assault
under § 111(a) refers to any assault that is neither “simple assault” as we have
defined that phrase above nor assault as defined in § 111(b). Thus, “all other
cases” assault under § 111(a) includes any assault that involves actual physical
contact or the intent to commit murder or any felony other than those referred to
in § 113(a)(2) but does not involve a deadly or dangerous weapon or bodily
injury. In light of this definition, either actual physical contact or the intent to
commit murder or any felony other than those referred to in § 113(a)(2) is a
required and essential element of the felony offense of “all other cases” assault
under § 111(a). To sustain a felony conviction under § 111(a), Jones requires
that, in addition to the other required elements, one of these two elements also
“be charged in the indictment, submitted to a jury, and proven by the Government
beyond a reasonable doubt.” 526 U.S. at 232.
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C. Mr. Hathaway’s Arguments
Though we have determined that either actual physical contact or the intent
to commit murder or any felony other than those referred to in § 113(a)(2) is a
required element of a felony offense under § 111(a), here Mr. Hathaway’s actual
sentence was not in excess of the maximum statutory penalty of one year
imprisonment for a misdemeanor conviction. Nonetheless, Mr. Hathaway asserts
that Apprendi should apply here because he is prejudiced by the collateral
consequences that attach to a felony conviction as opposed to a misdemeanor
conviction, including, among others, the loss of the right to vote, the right to hold
public office, the right to sit on a jury and the right to possess any type of firearm.
We need not decide whether an Apprendi analysis is appropriate at this point,
because we must first address the issue of what crime was charged. Essentially,
Mr. Hathaway argues that although the indictment partially quoted the text of the
statute, it failed to include an essential element of a felony charge under § 111(a)
and thus charged only a misdemeanor offense. Mr. Hathaway does not argue
merely that the indictment failed to allege an essential element of the offense for
which he was convicted, but rather that the indictment charged an offense
different than the one for which he was sentenced.
Whether Mr. Hathaway’s argument is couched in terms of the sufficiency of
the indictment or in terms of constructive amendment based on the jury
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instructions, our review is de novo. United States v. Avery, 295 F.3d 1158, 1173-
74 (10th Cir. 2002); United States v. Van Tieu, 279 F.3d 917, 920 (10th Cir.
2002). “In federal prosecutions, ‘no person shall be held to answer for a capital,
or otherwise infamous crime, unless on a presentment or indictment of a Grand
Jury’ alleging all the elements of the crime.” Harris, 122 S.Ct. at 2410 (quoting
U.S. Const. amend. V and citing Hamling v. United States, 418 U.S. 87, 117
(1974)). “An indictment is sufficient if it sets forth the elements of the offense
charged, puts the defendant on fair notice of the charges against which he must
defend, and enables the defendant to assert a double jeopardy defense.” United
States v. Dashney, 117 F.3d 1197, 1205 (10th Cir. 1997). Furthermore, “[i]t is
generally sufficient that an indictment set forth an offense in the words of the
statute itself, as long as those words themselves fully, directly, and expressly,
without any uncertainty or ambiguity, set forth all the elements necessary to
constitute the offence intended to be punished.” Hamling, 418 U.S. at 117
(quotations omitted).
The indictment here failed to allege a required and essential element of the
felony crime for which Mr. Hathaway was convicted. As noted above, the only
difference between a felony offense and a misdemeanor offense under § 111(a) is
the nature of the assault. Although the indictment charged the offense by quoting
a portion of the statute, it failed to quote the portion differentiating “simple
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assault” and “all other cases” assault for which felony penalties attach. I R. Doc.
1 at 1. Furthermore, the indictment did not allege any factual details of Mr.
Hathaway’s conduct; it contained no allegation of physical contact between Mr.
Hathaway and Agent McKimens. Id. As a result, this indictment did not set forth
all the elements of the offense of conviction, and did not put Mr. Hathaway on
fair notice that he needed to defend against the felony charge. Although the
record reflects that penalty language indicating a felony charge was appended to
the indictment on a separate page, the record is also silent as to when the page
was appended and whether the grand jury even saw or considered this language.
On the basis of no more facts than these, we decline to even consider how this
language affects the sufficiency of the indictment. In light of the foregoing, we
hold that this indictment was insufficient to sustain Mr. Hathaway’s conviction
for a felony violation under § 111(a).
Mr. Hathaway first raised the indictment issue in the district court after the
jury rendered its verdict but prior to sentencing. I R. Doc. 27. A defendant
cannot waive his right to challenge an indictment based upon its failure to charge
an offense. Fed. R. Crim. P. 12(b)(2). However, in past cases, we have applied a
liberal construction rule when reviewing post-verdict challenges to an indictment
asserting the absence of an element of the offense. See, e.g., Dashney, 117 F.3d
at 1205-06; Avery, 295 F.3d at 1174. Here, Mr. Hathaway challenged the
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indictment immediately upon learning that he was about to be sentenced as though
he had been convicted of a felony as opposed to a misdemeanor violation of §
111(a). We need not decide whether Mr. Hathaway was in fact, or should have
been, aware prior to his receipt of the PSR that he faced a felony charge. Here,
even were we to apply the liberal construction rule, we would still have an
indictment suffering from much more than a technical deficiency, as it simply did
not contain any words to suggest that a felony was charged. See id. In short, this
indictment utterly failed to put Mr. Hathaway on notice that he faced the felony
charge for which he was convicted.
For the foregoing reasons, we are not long detained by the Government’s
assertion that the indictment deficiency here was harmless pursuant to United
States v. Prentiss, 256 F.3d 971, 984 (10th Cir. 2001) (en banc). As Prentiss
itself reminds us, prejudice to the defendant is a controlling consideration. Id. at
983. We have little doubt that a defendant convicted for a different offense than
that charged in the indictment undoubtedly suffers prejudice and harm thereby.
Although the indictment here was insufficient to allege a felony violation
of § 111(a), it was sufficient to allege a misdemeanor violation of § 111(a)
involving simple assault. Mr. Hathaway does not contend that he was not validly
convicted of violating § 111(a); instead, he argues that in light of the deficient
indictment, the district court could only have viewed his conviction as one for the
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misdemeanor. We agree. Accordingly, we hereby REMAND to the district court
for compliance with this OPINION that all of Mr. Hathaway’s records be
corrected to reflect his conviction for a misdemeanor violation of § 111(a).
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