United States v. Piette ( 2022 )

Appellate Case: 20-7008 Document: 010110726427 Date Filed: 08/18/2022 Page: 1
FILED
United States Court of Appeals
PUBLISH Tenth Circuit
UNITED STATES COURT OF APPEALS August 18, 2022
Christopher M. Wolpert
FOR THE TENTH CIRCUIT Clerk of Court
_________________________________
UNITED STATES OF AMERICA,
Plaintiff - Appellee,
v. No. 20-7008
HENRI MICHELLE PIETTE, a/k/a Henri
Michel Piette, a/k/a Henri Billy, a/k/a Dan
Reed, a/k/a Billy Ira Sloop, Jr., a/k/a
Michael Wayne Mansfield, a/k/a
Christopher Allen McAnear,
Defendant - Appellant.
_________________________________
Appeal from the United States District Court
for the Eastern District of Oklahoma
(D.C. No. 6:17-CR-00079-RAW-1)
_________________________________
Alan S. Mouritsen, Parsons Behle & Latimer, Salt Lake City, Utah, for Defendant-
Appellant.
Linda A. Epperley, Assistant United States Attorney (Christopher J. Wilson, Acting
United States Attorney, and Sarah McAmis, Assistant United States Attorney, with her
on the brief), Office of the United States Attorney, Muskogee, Oklahoma, for Plaintiff-
Appellee.
_________________________________
Before McHUGH, EBEL, and EID, Circuit Judges.
_________________________________
EID, Circuit Judge.
_________________________________
Appellate Case: 20-7008 Document: 010110726427 Date Filed: 08/18/2022 Page: 2
A jury in the Eastern District of Oklahoma convicted Henri Piette of
kidnapping and traveling with intent to engage in sexual relations with a juvenile.
The district court sentenced Piette to life imprisonment on the former conviction and
360 months’ imprisonment on the latter. He seeks to have his convictions overturned
or his sentence reversed. We hold that the district court did not err by admitting
evidence of Piette’s uncharged acts of molestation, and that statutes extending the
unexpired charging period for the traveling-with-intent charge did not have an
impermissible retroactive effect. However, we conclude that the district court plainly
erred by misallocating the burden of proof once Piette disputed the timing of the
kidnapping by arguing that the victim, Rosalynn McGinnis, consented. If she had
consented, the kidnapping would have been over, and the statute of limitations would
have begun to run, potentially rendering the indictment untimely. We reverse
Piette’s kidnapping conviction because there is a difference between what happened
here—Piette failing to prove by a preponderance of the evidence that McGinnis ever
consented—and what the Constitution requires: the government proving beyond a
reasonable doubt that she never consented at a time that would cause a statute of
limitations problem. Finally, we reject Piette’s argument that he was denied his Sixth
Amendment right to self-representation at sentencing. Exercising jurisdiction under
28 U.S.C. § 1291, we affirm in part, reverse in part, and remand for further
proceedings.
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I.
a.
The following account is based on trial testimony. Rosalynn McGinnis was
born in 1984. In the early 1990s, McGinnis lived in Springfield, Missouri, with her
parents, Gayla and Michael, and several siblings. One day, while playing at the park,
the McGinnis children met Henri Piette’s children. The kids became close, bonding
over sleepovers, movies, meals, and time spent on Piette’s trampoline.
Piette first molested McGinnis at one of these sleepovers. She was nine. At
first, she thought it was a “bad dream,” but soon she realized that it was far too
detailed to have been a dream. R. Vol. II at 188. Gayla had not believed McGinnis
when she was previously molested by her half-brother, so McGinnis did not tell
anyone about what Piette did.
McGinnis was not Piette’s only victim in Springfield. One of Piette’s sons,
Tobias Piette, testified that he saw Piette molest several other children while they
lived there. One day, he walked in on Piette giving an eight-year-old girl a shower
and touching her vagina. Another time, he saw Piette giving a different young girl a
driving lesson; he groped her butt while she sat on his lap.
As the McGinnis and Piette children got to know each other better, so did
Gayla McGinnis and Henri Piette. They discussed Gayla’s interest in religion and
the Church of Jesus Christ of Latter-day Saints. Piette gradually drove Gayla away
from her husband Michael, who did not share her interest in these topics and was
often away from home. Soon, Michael left Gayla and the children entirely. “Almost
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immediately,” McGinnis’s brother testified, it was as if Piette “had stepped into
[Michael’s] shoes.” Id. at 489.
But Piette ran a very different kind of home. He read Bible passages to the
children constantly. He encouraged Gayla to physically discipline the children. He
started separating the children and imposed something “almost like a hierarchy
system.” Id. He beat Gayla “countless” times. Id. at 634. He also beat the children.
After one of Piette’s beatings drew the attention of authorities, Piette convinced
Gayla that she would be blamed for it, and they took the family on the road. They
moved on an almost daily basis, passing through Arizona, Oregon, Utah, California,
Montana, Missouri, Texas, Oklahoma, and Guatemala. Piette forced the others to
beg for money. They lived in a tent. Piette gave McGinnis beer and molested her
daily.
Piette, Gayla, and the children settled in Wagoner, Oklahoma. There, Piette
escalated his physical, sexual, and psychological abuse. He hit the children with two-
by-fours when they said “hanged” instead of “hung.” Id. at 212. He punched Gayla
in the face. He raped McGinnis. She was eleven. Finally, Gayla escaped to her
mother’s home in Independence, Missouri, and took her children with her. A few
weeks later, Piette went to Independence and took them back.
When they returned to Wagoner, Piette addressed his “sin” with McGinnis by
marrying her in a secret ceremony officiated by Piette’s son Tobias. Id. at 219.
Piette also married Gayla around this time. The sexual abuse of McGinnis continued
unabated. Piette performed oral sex on McGinnis and penetrated her vagina daily
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with his penis and fingers. She was twelve. After a run-in with Child Protective
Services, McGinnis and her family landed in a domestic violence shelter in Poteau,
Oklahoma, away from Piette. McGinnis briefly attended middle school in Poteau.
On January 31, 1997, McGinnis went to school in Poteau and did not come
home. Piette visited her on the playground that day. He told McGinnis that he loved
her and that he would reunite their family. He told her to look for “signs.” Id. at
234. Later that day, McGinnis noticed a sombrero and a poncho inside a school
building; she recognized them from a trip to Mexico with Piette. She ran outside the
school and saw Tobias Piette in a truck; he took her to Tulsa, where they met up with
Piette and Piette’s other children. When McGinnis asked about the rest of her family,
Piette told her there was not enough time to get her brothers and that Gayla “wasn’t
coming back.” Id. at 240. He introduced McGinnis to his children as “their new
mother.” Id. McGinnis was horrified.
McGinnis did not attend school after the sixth grade. Piette moved McGinnis
and his children around the country several times, taking advantage of benefits
provided by the Church of Jesus Christ of Latter-day Saints, and avoiding detection
by using false names and changing McGinnis’s appearance.1 Everyone was drilled
on what to say if people started asking questions. Piette forced McGinnis to write
letters to relatives, the media, and law enforcement, saying that she ran away from
1
Eventually, McGinnis legally changed her name to Stephanie Reed, one of
the aliases Piette forced her to adopt.
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her “crazy” mother and “no good” family. Id. at 263. If she misspelled a word she
was hit. In reality, Gayla diligently searched for McGinnis.
Piette continued subjecting McGinnis to constant physical and sexual violence.
He raped her “[t]hree times a day, maybe more.” Id. at 249. Shortly before
McGinnis turned thirteen, while living in Oklahoma City, she became pregnant for
the first time. She had a miscarriage and Piette told her to flush it down the toilet.
Piette started giving McGinnis crack cocaine and beat her more frequently. Then,
while living in Idaho, McGinnis became pregnant again. This time, she was fourteen.
Piette moved the family to Mexico to avoid questions about her pregnancy, but when
Piette brought McGinnis to the hospital the doctors said it was too soon to deliver the
baby. Piette disagreed. He used a pocketknife to deliver the baby on the floor of a
van. At the time, they were “living in an abandoned trailer that was on a piece of
land that had no electricity, no water, had holes in the floors and was infested with
bed bugs.” Id. at 276.
Over the next sixteen years, Piette moved the family around Mexico and
Guatemala, rarely spending more than a few months in any one location, though they
would take occasional trips back to the United States. McGinnis delivered eight
more of Piette’s children. These children did not go to school, socialize, or even
learn how to read. They were isolated from others. Piette tried to prevent them from
learning where they were living. The children were also neglected. One of the boys
had a single pair of shorts that he kept on his body with a rope. One of the girls
almost drowned in a bucket of water. Piette hung her upside down to shake the water
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out and she recovered. The family’s lifestyle consisted of “begging on the streets and
living from place to place.” Id. at 340. Sometimes, McGinnis sold ice cream and
other foods. Other times, Piette would make racist comments to provoke the locals
into fighting McGinnis for money. Whatever the source, all money went to Piette.
He spent it on drugs and alcohol, which he also abused.
Years passed, and Piette’s brutality continued. McGinnis testified that there
was never a time that Piette was not beating her. He would sometimes tie McGinnis
to a bed or chain her to a pole for days. She testified that she has scars all over her
face, has had both her arms broken, has been stabbed and shot, suffers chronic pain,
and needed throat surgery to be able to speak. Piette would also terrorize their
children, hitting them with two-by-fours, bats, rocks, pans, pickaxes, glass bottles,
fruit, and “[a]nything that was in reach.” Id. at 119. He would beat the children to
the point of unconsciousness and then tell them that he loved them. “[I]t just
surprised me how close I can get to dying without dying,” McGinnis’s firstborn
testified. Id. at 127.
Piette also started molesting the children McGinnis delivered. Ma.P., Piette’s
first daughter with McGinnis, testified at trial that when she was around five years
old, Piette asked her to stand against the wall, pull down her underwear, and show
him her vagina. Although McGinnis did not know exactly what was happening with
her daughter, she was suspicious. Piette complimented and touched Ma.P.’s vagina
more frequently as she got older. He made Ma.P. dance naked and gave her alcohol
and drugs while he molested her. He put his mouth on her chest and her vagina. He
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made her touch and put her mouth on his penis, and he ejaculated in her mouth.
When she was seven or eight years old, Piette started putting objects in Ma.P.’s
vagina, such as frozen hot dogs and drumsticks. He would punish her by cutting up
chilis and rubbing chili juice on his fingers, then placing them in her vagina. Piette
also started putting his penis in her vagina. When she resisted, Piette told her he
would either molest her or one of her sisters. One time, Ma.P. saw Piette molesting
her younger sister, A.P., who was crying; Ma.P. was forced to put her mouth on
Piette’s penis so he would leave A.P. alone.
A.P. also testified about Piette’s sexual abuse. According to A.P., Piette
started touching her vagina when she was around seven years old and continued to
molest her every few days. She often woke up to Piette touching her vagina. Piette
forced A.P. to masturbate his penis and ejaculated in her mouth. One time, A.P. and
her younger brother saw Piette performing oral sex on Ma.P. A.P. and Ma.P. never
talked about their shared experience of sexual trauma and abuse.
Sometimes, McGinnis would travel back into the United States by herself to
beg for money. Other times, Piette was incarcerated, and McGinnis helped him get
out of jail. McGinnis also purchased several guns and carried a gun at times,
although she testified it belonged to Piette. But Piette told McGinnis that he would
kill the children, and then her, if she ever left him. He also told her that, if she got
the police involved, nobody would ever believe her. That he would kill her. That her
family did not want her back. That “he was the only one that would ever care for”
her. Id. at 298. And that she “was to do exactly what he told [her] to do or else.” Id.8
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On direct examination, McGinnis defined “or else” as Piette killing her and her
children. Id. McGinnis further testified that she did not take advantage of any
potential opportunity to harm Piette because she “knew that if [she] didn’t kill him
with the first shot or knife stab, if there was any way that he would survive, he would
kill [her] and every one of [her] children.” Id. at 435–36. Even had she managed to
kill him, she testified that she believed she would be imprisoned for life and her
children all sold into slavery. On the other hand, Piette introduced testimony from
his father that he and McGinnis appeared to have a “very happy family.” Id. at 985.
Notwithstanding the fear that Piette’s threats instilled in her, McGinnis made
several attempts to escape. Once, alone with her children in an Arizona motel room,
she called a women’s crisis shelter, but Piette returned before the shelter could assist
her. Another time, McGinnis took her children to Piette’s son Mikey’s house. Piette
quickly arrived, dragged McGinnis out by her hair, and beat her. One of Piette’s
children with McGinnis managed to escape and, although a knife fight ensued, Piette
did not kill him.
In 2016, McGinnis saved up $150 over the course of several months—hiding it
by a hill to avoid Piette’s detection—and waited until Piette, who had been in and out
of rehab, was passed out drunk. Then she took her children, found a taxi, and hid in a
nearby town. McGinnis and eight of her children—one of her sons had already
escaped—made their way to an American Consulate. They returned to the United
States and settled in Kansas City, Missouri.
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b.
In 2017, Piette was indicted in the Eastern District of Oklahoma and charged
with kidnapping under 18 U.S.C. §§ 1201(a)(1) and 1201(g), and traveling with
intent to engage in sexual relations with a juvenile under 18 U.S.C. § 2423(b). A jury
found Piette guilty of both counts. Four legal issues relevant to this appeal emerged
in the proceedings before the district court.
First, the government sought to admit evidence that Piette molested his
daughters with McGinnis as well as an unrelated girl in Springfield some years
before meeting McGinnis (“the molestation evidence”). The government argued that
the molestation evidence could be admitted as res gestae—meaning inextricably
intertwined with the charged conduct—and, alternatively, under either Federal Rule
of Evidence 404(b), covering other acts evidence, or Rule 414, covering child
molestation evidence. Piette opposed. At a pretrial conference, the district court
ruled that the molestation evidence came in (1) as res gestae “because it goes to the
issue of consent, and it is inextricably intertwined with the charged crimes”;
(2) under Rule 404(b) because it went “to the issues of both motive and plan”; and
(3) under Rule 414 as permissible propensity evidence. Id. at 41–42. The district
court then turned to whether the evidence was more prejudicial than probative, saying
only: “I still have to do a balancing test under [Federal Rule of Evidence] 403. And I
believe that the probative value of the evidence is certainly not substantially
outweighed by the prejudicial effect.” Id. at 42. The district court memorialized
these evidentiary rulings in a brief order. In that order, the court reiterated that the
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molestation evidence could come in under Rule 404(b) “at least [to] show motive and
plan.” R. Vol. I at 321 (parentheses omitted).2 The order did not elaborate upon the
court’s Rule 403 analysis. Halfway through trial, facing repeated objections, the
district court restated its conclusory Rule 403 finding.
Second, Piette argued in pretrial briefing that the traveling-with-intent charge
was untimely because any enactments purporting to extend the statute of limitations
had an impermissible retroactive effect. The district court ruled that because the
original statute of limitations had not already expired when Congress acted, the
legislature validly extended a live charging period, rendering Piette’s 2017
indictment timely. The district court thus endorsed “the theory that such amendments
may be applied retroactively to extend a filing period for charges that were still
viable at the time of the amendment.” Id. at 151; cf. Hughes Aircraft Co. v. United
States ex rel. Schumer, 520 U.S. 939, 950 (1997) (“[E]xtending a statute of
limitations after the pre-existing period of limitations has expired impermissibly
revives a moribund cause of action.”). Piette renewed his retroactivity argument in
an oral motion for acquittal at the conclusion of the government’s case-in-chief,
which the district court denied.
2
At trial, the court gave a limiting instruction several times when it felt that
Rule 404(b) evidence was being presented. Usually, the court told the jurors that
they should consider the evidence not just for motive and plan, but also for intent and
knowledge. Subsequently, preparation replaced knowledge. Later, all five purposes
were in play. By the end of the trial, the court was communicating the limiting
instruction only by alluding to its existence, leaving it unclear which Rule 404(b)
purposes were being invoked.
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Third, the district court noted before trial that the government would likely try
to prove that McGinnis’s “kidnapping continued uninterrupted” from 1997 through
her 2016 escape. R. Vol. I at 147. That was because any “break” within that twenty-
year span would start the kidnapping count’s five-year statute of limitations. Id. If
the statute of limitations expired before Piette’s 2017 indictment, the charge would
not be timely. As a result, the court anticipated sending a special interrogatory to the
jury. At trial, the court did just that, denying a motion for acquittal on this basis and
providing the jury the following instructions.
DURATION OF KIDNAPPING
The government contends that the kidnapping alleged in Count 1
extended from January 1997 until July 28, 2016.
Under the law, if the victim of a kidnapping is no longer held against
her will, the kidnapping is over.
As one of the defenses, [Piette] contends Rosalyn McGinnis was (if
at all), at a date earlier than July 28, 2016, no longer held against her will.
[Piette] must prove this contention by a preponderance of the
evidence, which is defined as “more likely than not.”
On the verdict form, only if you have found the defendant guilty as to
Count 1, you will be asked to determine if Rosalyn McGinnis was no longer
held against her will at an earlier date, and what that date was. This will aid
the court in making a separate legal determination in regard to this case.
In determining if Rosalyn McGuinness [sic] was continually held
against her will (physically and/or psychologically), you should consider
all the testimony you have heard in the case.
Id. at 372. The verdict form reflected these instructions. It told the jury that, should
it find Piette guilty of kidnapping, it must answer an additional yes/no question: “Do
you find, by a preponderance of the evidence, that Rosalyn McGuinness [sic] was no
longer held against her will on a date earlier than July 28, 2016?” Id. at 388. If the
answer was yes, jurors were asked to specify the date and/or the year. The jury
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ultimately found Piette guilty of kidnapping and did not find, pursuant to the district
court’s instructions, that Piette demonstrated by a preponderance of the evidence that
McGinnis was no longer held against her will prior to July 28, 2016. Piette did not
argue below that these jury instructions created a statute of limitations problem.
Finally, Piette claims that he sought to represent himself in a letter to the
district court in November 2019, and then again at the start of sentencing in February
2020. In his letter, Piette asked the court to “terminate the services” of attorney
Warren Gotcher and investigator Eric Cullen because of “Absolute ‘In[e]ffective
Assist[a]nce of Counsel.’” Id. at 399 (emphasis omitted). On February 20, 2020,
before proceeding to sentencing, the district court addressed Piette’s pending motion
to withdraw his trial counsel. Gotcher stated that he had no objection to Piette’s
motion. Gotcher next double-checked with Piette that Piette still wanted Gotcher to
withdraw. Piette said “Yes.” R. Vol. II at 1107. Gotcher indicated that he had an
“obligation to stay through sentencing” and assist Piette in filing a notice of appeal;
he asked the district court to delay granting the motion until those tasks were
complete. Id. Agreeing, the district court granted the motion “to be in effect
subsequent to this sentencing hearing.” Id. at 1108. This exchange followed:
The Court: I think it is important that trial counsel, who has been with the
case since—well, not day one because this is Mr. Piette’s second
appointed attorney, . . . be here through the sentencing hearing itself. So
the Court directs that another attorney will be appointed by the Federal
Public Defender’s office to see Mr. Piette’s case through appeal and
that—and that is, unless, Mr. Piette wants to hire an attorney on his own.
The Defendant: Are you saying—
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The Court: No, no, you tell Mr. Gotcher.
(OFF THE RECORD DISCUSSION BETWEEN MR. GOTCHER AND
THE DEFENDANT)
Mr. Gotcher: We are ready to go on, Your Honor.
The Court: All right. Is that acceptable, Mr. Piette?
The Defendant: Yes, sir, yes.
Id. at 1108–09.
The district court entered hundreds of pages of Piette’s handwritten letters as
an exhibit, noting that they contextualized Piette’s request to withdraw Gotcher. As
the court put it: “At some points in time Mr. Piette expressed vast disagreement with
counsel and at other times Mr. Piette thought Mr. Gotcher was the best thing since
sliced bread.” Id. at 1109. The district court decided to “err on the side of giving
Mr. Piette new counsel for appeal purposes.” Id. Sentencing ensued.
The district court ruled on Gotcher’s objections to the Presentence Report and
Gotcher argued in support of his written motion for a downward variance, which the
court denied. After hearing from the government, the court invited Piette to speak.
He did so for “nearly thirty transcript pages.” Aple. Br. at 46; see also R. Vol. II at
1119–46. He maintained his innocence, touted a work ethic so strong that employers
have called him a “human backhoe,” explained that badgers are “meaner than hell,”
and bragged about how popular his family’s dairy products were in Mexico. R. Vol.
II at 1141, 1144. The court sentenced Piette to life imprisonment on the kidnapping
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conviction and 360 months’ imprisonment on the traveling-with-intent conviction.
Piette appealed.
II.
We begin with whether the molestation evidence was properly admitted under
any of the three theories accepted by the district court: res gestae, Rule 404(b), and
Rule 414. The term “molestation evidence,” as used in Piette’s appeal, encompasses
testimony that Piette sexually abused two of the daughters he had with McGinnis and
an unrelated girl in Springfield before he met McGinnis. See Aplt. Br. at 14. Piette’s
daughters, known as Ma.P. and A.P. at trial, testified at length about their own abuse,
while Piette’s son Tobias testified briefly about the Springfield girl. On appeal,
Piette argues that both his convictions should be reversed because the district court
improperly admitted this highly prejudicial evidence. We disagree. The intrinsic
molestation evidence about Piette’s daughters was admissible as res gestae, while the
extrinsic molestation evidence concerning the Springfield girl, even if admitted in
error, likely had no effect on the verdict. We do not reach Rule 404(b) or Rule 414.
Although the district court’s conclusory, one-sentence Rule 403 prejudice inquiry
was deficient, our review of the case suggests that it was not an abuse of discretion to
admit the molestation evidence under Rule 403. See United States v. Lazcano-
Villalobos, 175 F.3d 838, 846 (10th Cir. 1999) (“We have consistently upheld
implicit Rule 403 determinations when the determinations are supported by the
record.”). Piette’s convictions withstand his evidentiary arguments.
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a.
Piette appeals the molestation evidence’s admission on all three grounds relied
upon by the district court, contending that his “trial was infected by repulsive other-
act molestation evidence that created an unacceptable risk that the jury would convict
based on emotion instead of dispassionate decision-making.” Aplt. Br. at 25. Piette
stresses that he mounted a “targeted” and “technical but effective” defense to each
charge at trial, only disputing the consent element of the kidnapping charge and the
intent element of the traveling-with-intent charge. Reply Br. at 14. Because this
significantly reduced the number of disputed facts at trial, Piette suggests the
molestation evidence “added no probative value to the government’s case,” Aplt. Br.
at 4, and merely inflamed the jury.
On res gestae, Piette argues that the molestation evidence was irrelevant to
proving his intent or McGinnis’s lack of consent, thus falling short of the
“inextricably intertwined” standard. Id. at 31. The government responds that the
evidence was “part and parcel of his scheme to maintain control of his family and
enforce his rules of begging, service and secrecy.” Aple. Br. at 22. On Rule 404(b),
Piette argues that the molestation evidence fails to show “motive” because the notion
that Piette’s motive in kidnapping McGinnis was to molest their future children is
simply the “forbidden character-based propensity inference repackaged.” Aplt. Br. at
33. Likewise, Piette argues that the molestation evidence fails to show any “plan”
because it is unrelated to the charged offenses, leaving “no non-propensity purpose.”
Id. at 35. The government counters that Piette was “motivated to produce children
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who he could control to meet his sexual desires,” and that kidnapping McGinnis “was
preparation for his plan to create his own home where he could meet his perverse
sexual needs” without drawing attention. Aple. Br. at 23–24. Finally, turning to
Rule 414, Piette argues that the district court failed to conduct a non-conclusory
prejudicial balancing analysis and that the molestation evidence was barely probative
but highly prejudicial. The government replies that its admission was a reasonable
application of Rule 414.
We review a district court’s evidentiary rulings for abuse of discretion. United
States v. Sturm, 673 F.3d 1274, 1285 (10th Cir. 2012). We may uphold them “on any
ground supported by the record.” Id. at 1286. Reversal requires “a distinct showing
that [the ruling] was based on a clearly erroneous finding of fact, or an erroneous
conclusion of law or manifests a clear error in judgment.” United States v. Lozado,
776 F.3d 1119, 1124 (10th Cir. 2015) (quoting United States v. Smalls, 605 F.3d 765,
773 (10th Cir. 2010)). “When a district court has improperly admitted or excluded
evidence, we reverse ‘only if the error affects a substantial right of the party.’”
Burke v. Regalado, 935 F.3d 960, 1011 (10th Cir. 2019) (quoting Fed. R. Evid.
103(a)). The question is whether the error was harmless. See id. Harmless error
analysis looks at “the record as a whole.” Id. (quoting Hill v. J.B. Hunt Transp., Inc.,
815 F.3d 651, 659 (10th Cir. 2016)). It asks whether the “verdict more probably than
not was unaffected by the error.” Id. (quoting Abraham v. BP Am. Prod. Co., 685
F.3d 1196, 1202 (10th Cir. 2012)).
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b.
Evidence of other bad acts may be extrinsic or intrinsic depending on its
relationship to the charged offense. Intrinsic other acts evidence encompasses
conduct “inextricably intertwined with the charged crime such that a witness’s
testimony would have been confusing and incomplete without mention of the prior
act.” United States v. Ford, 613 F.3d 1263, 1267 (10th Cir. 2010) (quoting United
States v. Johnson, 42 F.3d 1312, 1316 (10th Cir. 1994)). This is known as res gestae,
which the district court invoked to admit much of the molestation evidence. We have
also described this kind of evidence as “part and parcel of the proof of the offense . . .
charged in the indictment.” United States v. Kimball, 73 F.3d 269, 272 (10th Cir.
1995) (quoting United States v. Gano, 560 F.2d 990, 994 (10th Cir. 1977)). Res
gestae evidence is not subject to Rule 404(b), but it remains subject to Rule 403
balancing and “will be inadmissible . . . if it has no proper probative value.” United
States v. Irving, 665 F.3d 1184, 1215 (10th Cir. 2011) (Hartz, J., concurring). In this
case, a res gestae theory can apply, at most, to the subset of the molestation evidence
concerning Piette’s daughters. The Springfield girl incident took place before
McGinnis entered the picture and cannot come in as “part and parcel” of her
kidnapping. See Kimball, 73 F.3d at 272.
In United States v. Ford, the incarcerated defendant and another inmate
escaped from a Kansas prison with the aid of the defendant’s romantic partner. 613
F.3d at 1266. The partner, a former corrections officer, stole several guns, cut
through several prison fences, and rented a getaway car. Id. The trio drove the car to
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New Mexico, where they sought a new vehicle to avoid detection. Id. They were
arrested while scoping out a local apartment complex for a car to steal, and the
defendant was charged as a felon in possession, a fugitive in possession, and for
possession of stolen firearms. Id. at 1265–66. On appeal, the defendant challenged
the trial judge’s admission of evidence concerning his prison escape as res gestae.
Id. at 1267. We rejected the defendant’s arguments, concluding that the “Kansas
escape could not be separated from the charged crimes.” Id. at 1268. We reasoned
that his “flight began with the escape, which explained his need for weapons and the
circumstances of his arrest just two and a half days later.” Id. The evidence was
“undoubtedly res gestae—intrinsic evidence inextricably connected to the charged
crimes.” Id.Here, the district court properly invoked res gestae to permit the government to
paint a complete picture of Piette’s other simultaneous domestic molestation conduct.
Like in Ford, it is difficult to separate Piette’s treatment of his daughters from his
treatment of McGinnis, especially when McGinnis’s consent was disputed at trial.
The government used the molestation evidence to reveal the nature of Piette’s
household and convince the jury that McGinnis never consented to Piette’s treatment.
See Johnson, 42 F.3d at 1316 (“An uncharged act may not be extrinsic if . . . it was
part of the scheme for which a defendant is being prosecuted.”). The evidence was
properly admitted as res gestae, and it is relevant to the finding of fact required to
rebut Piette’s statute of limitations argument on the kidnapping charge.
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In his briefing, Piette deletes the references to the abuse of his daughters from
the government’s account of his behavior, suggesting that such a redlined version
“would not have left analytical or temporal gaps in the government’s case or left the
jury confused,” so the res gestae finding was improper. Reply Br. at 5.
Notwithstanding the logical consistency of Piette’s redacted summary, res gestae was
still a valid ground for admission because the resulting testimony would have been
“incomplete” without the evidence of Piette’s abuse of his daughters. See Ford, 613
F.3d at 1267. It was crucial for the jury to hear from Piette’s daughters about the
extent of his molestation so it could fully understand their living situation, his
conduct, his intentions, and McGinnis’s perspective, which they were required to
evaluate.
Finding that the intrinsic molestation evidence could come in as res gestae still
leaves Rule 403 balancing. Under Rule 403, a court “may exclude relevant evidence
if its probative value is substantially outweighed by a danger of one or more of the
following: unfair prejudice, confusing the issues, misleading the jury, undue delay,
wasting time, or needlessly presenting cumulative evidence.” Fed. R. Evid. 403.
Piette focuses his challenge on the “unfair prejudice” aspect of Rule 403. Typically,
we review a district court’s Rule 403 analysis to assess whether it constituted an
abuse of discretion warranting reversal. See, e.g., United States v. Merritt, 961 F.3d
1105, 1115–16 (10th Cir. 2020). Here, however, the district court’s Rule 403
analysis was wholly conclusory. Ruling on the molestation evidence orally, the
district court stated just: “I believe that the probative value of the evidence is
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certainly not substantially outweighed by the prejudicial effect.” R. Vol. II at 42.
The district court’s written order had nothing more to say on the matter. That leaves
little to review. However, we may supplement the district court’s Rule 403
determination on appeal to assess whether its conclusion was an abuse of discretion.
See United States v. Magnan, 756 F. App’x 807, 821 (10th Cir. 2018) (unpublished);
see also Lazcano-Villalobos, 175 F.3d at 846–47.3 Considering Piette’s arguments
about minimal probative value due to limited areas of dispute at trial, and maximal
prejudice because of the depravity of the molestation evidence, we conclude that
Piette understates the evidence’s probative value and overstates its prejudicial effect.
First, jurors could reasonably find that the molestation evidence made a fact of
consequence—either McGinnis’s consent, for the kidnapping charge, or Piette’s
intent, for the traveling-with-intent charge—significantly more or less likely than it
was without that evidence. See Fed. R. Evid. 401 (relevant evidence has “any
tendency” to make a “fact . . . of consequence in determining the action” “more or
less probable”); see also United States v. Jordan, 485 F.3d 1214, 1218 (10th Cir.
2007) (the relevancy requirement sets a “very low” bar). For example, by raising
McGinnis’s consent as a defense, Piette was asking the jury to understand her
perspective. The molestation evidence helped the jury do so. Piette’s argument that
McGinnis was unaware of her daughters’ molestation is irrelevant to whether the
evidence, if believed, made the proposition that she consented less likely. It did, so it
3
Unpublished cases are not binding precedent, but we consider them for their
persuasive value. See Fed. R. App. P. 32.1; 10th Cir. R. 32.1.
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was relevant. The same is true with respect to Piette’s defense to the traveling-with-
intent charge. Jurors may have viewed Piette’s later abuse of McGinnis’s daughters
as making it more likely he had the requisite intent when he traveled with McGinnis.
Second, while graphic testimony that Piette molested the daughters he had
with McGinnis may have affected the jury, we do not think that any resulting
prejudice was particularly unfair or that it substantially outweighed the evidence’s
probative value with respect to Piette’s principal defenses—or, at least, not so much
as to render the district court’s decision an abuse of discretion. Piette’s argument
that jurors may be unfairly inflamed by child sexual predators is somewhat self-
defeating. Even before hearing from Ma.P. and A.P., the jurors were already dealing
with an individual charged with kidnapping his preteen stepdaughter-wife, raping her
three times a day for years, and forcing her to bear nine of his children. The district
court could have reasonably concluded that any prejudicial effect probably would
have already happened. Even defense counsel started his opening statement at trial
by saying: “Ladies and gentlemen of the jury, [the government’s] opening statement,
it sounds real bad, it sounds awful.” R. Vol. II at 98. In light of this, the district
court could have also recognized, as a countervailing consideration, that it was
important for the jury to hear the molestation evidence. As we have explained, the
evidence served a critical purpose: it helped the jury contextualize McGinnis’s
situation and assess whether Piette’s defenses were meritorious. Because the district
court could have reasonably concluded that the danger of unfair prejudice did not
outweigh the molestation evidence’s probative value, it was not an abuse of
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discretion to admit the subset of the molestation evidence concerning Piette’s
daughters, notwithstanding Rule 403.
c.
The government recognized at trial that Tobias’s testimony about Piette
molesting the Springfield girl was inadmissible as res gestae because it preceded
Piette’s time with McGinnis. In other words, it was extrinsic bad acts evidence.
However, the government argued that Rules 404(b) and 414 were alternative bases
for admission. We hold that even if the district court erred by admitting this subset
of the molestation evidence under either rule, any error was harmless.
Evidence law generally abhors the propensity inference—the notion that a
person did something just because he has a corresponding character or has done
similar things before. See Fed. R. Evid. 404(b)(1) (“Evidence of any other crime,
wrong, or act is not admissible to prove a person’s character in order to show that on
a particular occasion the person acted in accordance with the character.”); see also
Michelson v. United States, 335 U.S. 469, 475–76 (1948). However, Rule 404(b)
carves a purpose-based exception that allows evidence of other bad acts to be
admitted for non-propensity purposes, “such as proving motive, opportunity, intent,
preparation, plan, knowledge, identity, absence of mistake, or lack of accident.” Fed.
R. Evid. 404(b)(2). “We ‘consider four factors in weighing the admissibility of
evidence under Rule 404(b): (1) whether the evidence is offered for a proper purpose,
(2) its relevancy, (3) that the probative value of the evidence is not substantially
outweighed by its prejudicial effect, and (4) [that] a limiting instruction is given if
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the defendant so requests.’” United States v. Burgess, 576 F.3d 1078, 1098 (10th Cir.
2009) (quoting United States v. Mares, 441 F.3d 1152, 1157 (10th Cir. 2006)). This
inquiry incorporates the Rule 401 relevancy and Rule 403 balancing inquiries at steps
two and three, respectively. See United States v. Tan, 254 F.3d 1204, 1207 (10th Cir.
2001).
Another exception to the general inclination against propensity evidence is
Rule 414, which embraces the propensity inference in a limited class of cases. It
states that, “[i]n a criminal case in which a defendant is accused of child molestation,
the court may admit evidence that the defendant committed any other child
molestation . . . on any matter to which it is relevant.” Fed. R. Evid. 414(a). There
are three “threshold requirements” for admitting evidence pursuant to Rule 414:
“(1) the defendant is accused of a crime involving sexual assault or child molestation,
(2) the evidence proffered is evidence of the defendant’s commission of another
offense or offenses involving sexual assault or child molestation, and (3) the
evidence is relevant.” United States v. Benally, 500 F.3d 1085, 1090 (10th Cir.
2007). But that is not the end of the road. We subject Rule 414 evidence to a
particular breed of Rule 403 balancing and insist that “the district court has an
obligation ‘to fully evaluate the proffered . . . evidence and make a clear record of the
reasoning behind its findings.’” Id. at 1091 (omission in original) (quoting United
States v. Guardia, 135 F.3d 1326, 1331 (10th Cir. 1998)).4
4
This specialized Rule 403 inquiry has two stages. First, the district court
must consider the four Enjady factors: “(1) how clearly the prior act has been proved;
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Even if the district court erred by admitting the subset of the molestation
evidence concerning the Springfield girl under Rules 404(b) or 414, we think that any
such error was harmless. Reviewing the record in its entirety makes clear that
testimony about the Springfield incident occupied only a few moments in a weeklong
trial packed with graphic, disturbing evidence of Piette’s behavior, often in the form
of lengthy firsthand accounts from survivors like McGinnis, Ma.P., and A.P. Tobias
Piette’s testimony about encountering Piette and the Springfield girl in the shower
before meeting McGinnis pales in comparison to the breadth, depth, and detail of the
remaining sexual molestation evidence the jury heard in this case. It is also notable
that the jury received evidence of inappropriate conduct with minors unrelated to
McGinnis, her children, or the Springfield girl, which Piette does not challenge on
appeal, such as the driving lesson Tobias testified about. Based on our review of the
questions the jury was asked to decide, and the evidence the government presented to
help it decide them, we think it is more likely than not the case, see Burke, 935 F.3d
at 1011, that the subset of the molestation evidence involving the Springfield girl,
even if admitted in error, had no effect on the jury’s verdict on either count. Because
(2) how probative the evidence is of the material fact it is admitted to prove; (3) how
seriously disputed the material fact is; and (4) whether the government can avail
itself of any less prejudicial evidence.” United States v. Perrault, 995 F.3d 748, 765–
66 (10th Cir. 2021) (footnotes omitted); see also United States v. Enjady, 134 F.3d
1427, 1433 (10th Cir. 1998). The district court must next weigh the Enjady factors
against three additional factors: “(1) how likely [it is that] such evidence will
contribute to an improperly-based jury verdict; (2) the extent to which such evidence
will distract the jury from the central issues of the trial; and (3) how time consuming
it will be to prove the prior conduct.” Perrault, 995 F.3d at 766.
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Piette fails to demonstrate that the admission of this subset of the molestation
evidence affected the case, we need not consider whether the evidence was properly
admitted under Rules 404(b) or 414.
***
The molestation evidence concerning Piette’s daughters was properly admitted
as res gestae, and any error in admitting the remaining molestation evidence
involving the Springfield girl was harmless. The district court’s conclusory Rule 403
assessment does not require reversal because, on this record, it was not an abuse of
discretion to find that the evidence’s probative value was not outweighed by its
prejudicial effect. See Lazcano-Villalobos, 175 F.3d at 846–47.
III.
Next, we consider Piette’s argument that the traveling-with-intent charge was
brought outside the statute of limitations because the enactments purporting to extend
the then-unexpired charging period had an impermissible retroactive effect. We
review the district court’s “interpretation and application” of statutes of limitations
de novo. Barnes v. United States, 776 F.3d 1134, 1139 (10th Cir. 2015). We
likewise review the retroactivity of a statute de novo. See Valdez-Sanchez v.
Gonzales, 485 F.3d 1084, 1088 (10th Cir. 2007). For the following reasons, we
reject Piette’s argument and affirm his traveling-with-intent conviction.
The general federal statute of limitations for noncapital offenses is five years.
See 18 U.S.C. § 3282(a). But Congress has made several modifications to that
charging period for sexual offenses against minors. As a result, the statutes of
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limitations that apply to Piette’s traveling-with-intent charge have gone through a
series of changes in the past few decades, as summarized below.
Act Year Code Charging Period
Victims of Child Abuse Act 1990 § 3509(k) Until the child turned twenty-
five.
Violent Crime Control and Law 1994 § 3283 Until the child turned twenty-
Enforcement Act five (recodification).
Prosecutorial Remedies and Other 2003 § 3283 The life of the child.
Tools to end the Exploitation of
Children Today (PROTECT) Act
Violence Against Women and 2006 § 3283 The life of the child or ten
Department of Justice years after the offense
Reauthorization Act (whichever is longer).
Adam Walsh Child Protection and 2006 § 3299 Any time.
Safety Act
Today, both §§ 3283 and 3299 cover Piette’s traveling-with-intent charge.
Piette argues that the statute of limitations on that charge began to run, at the latest,
on May 14, 2000, when McGinnis turned sixteen. See id. § 2243(a) (criminalizing
sexual acts with minors between twelve and sixteen by persons at least four years
older). At that point, the statute of limitations in effect—§ 3283 (1994)—would
expire on McGinnis’s twenty-fifth birthday, which was May 14, 2009. Piette was
ultimately charged in December 2017. Before the limitations period expired,
however, Congress made the 2003 and 2006 changes outlined above, which would
render Piette’s indictment timely if applied to him.
The issue is whether the new statutes of limitations validly extended the
charging period for Piette’s pre-enactment conduct—that is, whether they apply
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retroactively. Piette argues that the test outlined by the Supreme Court in Landgraf
v. USI Film Products, 511 U.S. 244, 280 (1994), and Fernandez-Vargas v. Gonzales,
548 U.S. 30, 37 (2006), for assessing a statute’s retroactivity requires reversal and
renders his indictment untimely. Piette is not the first defendant to encounter this
problem or make this argument. Several courts have discussed this exact question
either on the merits or in the context of an ineffective assistance of counsel claim.
See Weingarten v. United States, 865 F.3d 48, 54–58 (2d Cir. 2017) (ineffective
assistance); United States v. Miller, 911 F.3d 638, 642–46 (1st Cir. 2018) (ineffective
assistance); United States v. Nader, 425 F. Supp. 3d 619, 624–32 (E.D. Va. 2019)
(merits); United States v. Maxwell, 534 F. Supp. 3d 299, 314–16 (S.D.N.Y. 2021)
(merits). These cases inform our determination whether the relevant statutes of
limitations apply retroactively, which appears to be a question of first impression in
this circuit.
At the outset, it is important to clarify the Landgraf framework that guides our
review. Different circuits divide on the proper number of steps and their contents,
but we tend to view Landgraf as a two-step process. See Dobbs v. Anthem Blue
Cross & Blue Shield, 600 F.3d 1275, 1282–83 (10th Cir. 2010). First, we ask
“whether Congress has expressly prescribed the proper reach” of the statute. Id. at
1282. If so, we follow Congress’s lead. If not, we proceed to the second step, asking
“whether applying the statute to the events at issue would have retroactive effects.”
Id. The Supreme Court instructs that “[s]tatutes are disfavored as retroactive when
their application ‘would impair rights a party possessed when he acted, increase a
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party’s liability for past conduct, or impose new duties with respect to transactions
already completed.’” Fernandez-Vargas, 548 U.S. at 37 (quoting Landgraf, 511 U.S.
at 280). If we find a retroactive effect, “our traditional presumption teaches that it
does not govern absent clear congressional intent favoring such a result.” Landgraf,
511 U.S. at 280.
Before proceeding, we note that Piette is not making an Ex Post Facto Clause
argument. See U.S. Const. art. I, § 3, cl. 9. Several circuits have analyzed this exact
issue under that rubric, as opposed to Landgraf retroactivity, and declined to find a
violation of the Ex Post Facto Clause where the amended statute of limitations
merely extended, as opposed to revived, a charging period. See United States v.
Chief, 438 F.3d 920, 924–25 (9th Cir. 2006); United States v. Jeffries, 405 F.3d 682,
685 (8th Cir. 2005).
At Landgraf’s first step, we look for an express indication of the statutes’
temporal reach. The argument on the government’s side is that the statutes’
introductory clauses—“[n]o statute of limitations that would otherwise preclude,” for
§ 3283, and “[n]otwithstanding any other law,” for § 3299—supply a “clear statement
as to . . . retroactive effect.” Weingarten, 865 F.3d at 55. A district court accepting
this argument with respect to § 3283 reasoned that “[t]he statute’s plain language
unambiguously requires that it apply to prosecutions for offenses committed before
the date of enactment . . . [because] it prevents the application of any statute of
limitations that would otherwise apply to past conduct.” Maxwell, 534 F. Supp. 3d at
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315. The same reasoning would apply to § 3299’s “[n]otwithstanding any other law”
language, which casts an even wider net.
The counterargument is that this introductory language refers not to
retrospective application, but only to 18 U.S.C. § 3282(a), the general federal statute
of limitations. On this reading, the statutes are merely supplanting the typical five-
year charging period. The First Circuit has observed that when this introductory
language was first deployed in § 3283 in 1990, “the only existing limitations period
to which the language could have referred was the default limit set forth in section
3282.” Miller, 911 F.3d at 644. Moreover, other statutes with the same kind of
introductory language contain explicit retroactivity provisions, so the government’s
interpretation would render them redundant.
Piette’s position points to the “express” requirement in Landgraf’s first step
and argues that it creates a high bar §§ 3283 and 3299 cannot meet. See Nader, 425
F. Supp. 3d at 626 (referencing “the demanding standard for express prescription” in
the Fourth Circuit, which requires “language unequivocally delineating the time
period to which [statutes] apply”). It is indisputable that these statutes say nothing
express about retroactive application, so Piette has the stronger argument on this
point. Although the introductory words of both statutes are not inconsistent with the
government’s reading, they hardly constitute Congress expressly announcing a
retroactive effect. A provision literally stating that a statute applies retroactively is
more so the kind of provision that Landgraf contemplates. Congress can enact, and
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has enacted, such provisions in the past. But it did not do so in either § 3283 or
§ 3299. We proceed to Landgraf’s second step.
At this step, we look for an impermissible retroactive effect, defined as an
effect that “would impair rights a party possessed when he acted, increase a party’s
liability for past conduct, or impose new duties with respect to transactions already
completed.” Landgraf, 511 U.S. at 280. If we find such an effect, we presume the
statute does not apply retroactively unless there is “clear congressional intent
favoring such a result.” Id.On Piette’s side, the Second Circuit has acknowledged “colorable arguments”
that extending a live charging period would increase a defendant’s liability for past
conduct under Landgraf. See Weingarten, 865 F.3d at 57. But the court also
acknowledged that the “vast weight of retroactivity decisions” support a distinction
“between revoking a vested statute of limitations defense and extending a filing
period for live claims.” Id. The former would be a problem. The latter would not.
The First Circuit notes that the question’s difficulty is compounded by the criminal
context. See Miller, 911 F.3d at 645. After all, the Supreme Court has held that
statutes of limitations should be “liberally interpreted in favor of repose.” Toussie v.
United States, 397 U.S. 112, 115 (1970). Accordingly, Piette relies heavily on
United States v. Gentile, which held that a different statute of limitations extension
was impermissibly retroactive under Landgraf because of that very principle. 235 F.
Supp. 3d 649, 654 (D.N.J. 2017). But other courts have distinguished Gentile,
concluding that “the case law strongly supports the proposition that the distinction
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between applying a statute that extends or eliminates a statute of limitations period to
claims that were expired at the time of its enactment, and applying it to claims that
were unexpired at the time of its enactment, is applicable to both civil and criminal
statutes of limitations.” Nader, 425 F. Supp. 3d at 630.
We agree. In 2003 and 2006, when these statutes of limitations were enacted,
the original statute of limitations had not yet expired and Piette remained subject to
prosecution for his past conduct insofar as he was susceptible to being charged for it.
By extending the unexpired statute of limitations, Congress did not increase Piette’s
exposure to prosecution retroactively. It did not raise the penalty for the charged
offense. It did not redefine the offense to make it easier to establish. It did not
expose Piette to criminal prosecution anew. It merely altered the ongoing charging
period for the conduct that had already exposed him to criminal prosecution. Piette
was subject to indictment in 2002, before the statutes of limitations were extended,
and he remained subject to indictment in 2007, once the changes were made. A dead
charge was not resurrected, and the underlying nature of Piette’s potential criminal
liability remained the same. Ex Post Facto Clause cases echo both this conclusion
and the import of this distinction in the broader retroactivity context. See, e.g.,
Jeffries, 405 F.3d at 685. Piette’s argument that he had the “statutory right,” Aplt.
Br. at 51 (quoting Gentile, 235 F. Supp. 3d at 654), to be free from prosecution after
the original statute of limitations would have expired is misguided. Rather, it is
Congress that had the right to modify a pending statute of limitations. Doing so does
not violate retroactivity principles with respect to unexpired charging periods. We
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conclude that neither statute of limitations had an impermissible retroactive effect
because the relevant charging period had not yet expired. Extending an unexpired
statute of limitations does not increase a defendant’s exposure to prosecution. As a
result, we need not consider Congressional intent. Landgraf is no basis for finding
Piette’s traveling-with-intent charge untimely, so we affirm the conviction.
IV.
Finally, we consider Piette’s argument that his kidnapping conviction should
be reversed. We agree and reverse Piette’s kidnapping conviction because the
district court plainly erred by misallocating the burden of proof in its jury
instructions and verdict form. We review the kidnapping jury instruction for plain
error because Piette failed to object to it below. See United States v. Antonio, 936
F.3d 1117, 1126 (10th Cir. 2019). To prevail on plain error review, Piette must show
that “(1) the district court erred, (2) the error was plain, (3) the error affected
substantial rights, and (4) the error seriously affected the fairness, integrity, or public
reputation of judicial proceedings.” United States v. Muñoz, 812 F.3d 809, 813 (10th
Cir. 2016).
Our precedent clarifies how plain error analysis should be approached when a
jury instruction is under review. First, an instruction amounts to error where,
“considering the instructions as a whole, the jury has been misled.” United States v.
Duran, 133 F.3d 1324, 1330 (10th Cir. 1998). Second, an error is plain where it is
“clear or obvious.” Muñoz, 812 F.3d at 813 (quoting Morales-Fernandez v. INS, 418
F.3d 1116, 1124 (10th Cir. 2005)). Third, an instruction affects substantial rights if it
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“concerns a principal element of the defense or an element of the crime.” Duran, 133
F.3d at 1330. Finally, “the fairness or integrity of a defendant’s trial is seriously
affected when the defendant has presented substantial evidence in support of an
affirmative defense which has been undermined by an erroneous instruction.” Id.(internal quotation marks omitted).
A criminal defendant generally bears the burden of proof on affirmative
defenses, but Piette relies upon Supreme Court authority suggesting a consensus
around the proposition that when a defendant contests whether the statute of
limitations has run, the burden of proof on that issue shifts to the government. Piette
argues that the district court plainly erred by instructing the jury that he bore the
burden to prove that McGinnis was no longer held against her will at a certain date,
an argument that would have started the statute of limitations on the kidnapping
charge. To surmount the “extremely high hurdle” set by plain error review, United
States v. Walser, 275 F.3d 981, 988 (10th Cir. 2001), Piette cites to United States v.
Duran, a case involving the entrapment defense, which is subject to a similar burden-
shifting treatment. In Duran, we found reversible plain error under nearly identical
procedural circumstances. 133 F.3d at 1329–34.
Starting with Supreme Court precedent, in Musacchio v. United States the
Court held that the general federal criminal statute of limitations, 18 U.S.C.
§ 3282(a), cannot be raised on appeal unless it was argued below. 577 U.S. 237, 248
(2016). The Court explained:
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[A] statute-of-limitations defense becomes part of a case only if the
defendant puts the defense in issue. When a defendant presses a
limitations defense, the Government then bears the burden of establishing
compliance with the statute of limitations by presenting evidence that the
crime was committed within the limitations period or by establishing an
exception to the limitations period.
Id. (emphasis added) (citing United States v. Cook, 17 Wall. 168, 179 (1872)). We
have previously relied upon this aspect of Musacchio. See United States v. DeLia,
906 F.3d 1212, 1217 (10th Cir. 2018) (when defendant “affirmatively and timely”
raises statute-of-limitations defense, burden shifts to government to establish
compliance). Other circuits agree. See United States v. Wilson, 118 F.3d 228, 236
(4th Cir. 1997); United States v. Ferris, 807 F.2d 269, 272 (1st Cir. 1986).
The government relies upon Smith v. United States, 568 U.S. 106 (2013),
which held that assigning the burden of proving withdrawal from a conspiracy to a
defendant does not violate the Due Process Clause, to argue that it does not need to
prove the nonexistence of affirmative defenses. The district court also cited Smith in
a pretrial order on this issue. See R. Vol. I at 152 (“Commission of a federal crime
within the statute-of-limitations period is not an element of the offense, and it is up to
the defendant to raise the limitations defense.”). But, as Piette points out, the Court
in Smith expressly stated “that the Government must prove the time of the conspiracy
offense if a statute-of-limitations defense is raised.” 568 U.S. at 113. Smith is
consistent with both Musacchio and Piette’s theory of plain error.
It is therefore settled that if a defendant invokes the statute of limitations as a
defense, the burden shifts to the government to establish the timing of the offense
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beyond a reasonable doubt. Here, by instructing the jury to the contrary, the district
court misled the jury and committed plain error. Significant daylight divides the
jury’s finding that Piette failed to show, by a preponderance of the evidence, that
McGinnis was no longer held against her will at any point between 1997 and 2016,
from the hypothetical finding Piette requests, and which we hold the Constitution
requires: that the government proved, beyond a reasonable doubt, that McGinnis was
continuously held against her will long enough to avoid any statute of limitations
problem.
Turning to the remaining elements of plain error review, we observed in Duran
that a jury instruction affects a defendant’s substantial rights where it involves a
“principal element[]” of a defense. 133 F.3d at 1333. Here, Piette predicated his
entire defense to the kidnapping charge upon McGinnis’s consent. Shifting the
burden of proof to the government was a crucial aspect of the defense’s efficacy.
Also, the district court seemed to understand that whether McGinnis consented
affected the viability of the kidnapping charge on the very statute of limitations
grounds urged by Piette on appeal. See R. Vol. I at 372 (“This will aid the court in
making a separate legal determination in regard to this case.”). The district court’s
plain error regarding the burden of proof affected Piette’s substantial rights because it
involved a principal element of Piette’s principal defense. See Duran, 133 F.3d at
1333.
Finally, we held in Duran that “[i]n light of the revered status of the beyond-a-
reasonable-doubt standard in our criminal jurisprudence, a jury instruction that
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allows a conviction where one important element may not have been found against
the defendant by such a standard cannot be overlooked.” Id. at 1334. That is exactly
what happened here. The timing issue created by Piette’s defense was not resolved
beyond a reasonable doubt, as the Constitution requires. The district court plainly
erred, so Piette’s kidnapping conviction must be reversed.5
V.
Last, because we affirm the traveling-with-intent conviction, we reach and
reject Piette’s constitutional challenge to his sentence for that conviction. Piette
argues that, even if any of his convictions are not overturned, his sentence should be
reversed because he was denied his Sixth Amendment right to represent himself at
sentencing. A defendant seeking to represent himself must (1) “clearly and
unequivocally” inform the court; (2) do so “timely and not for the purpose of delay”;
(3) assure the court that he is waiving the right to counsel “knowingly and
intelligently”; and (4) be “able and willing to abide by rules of procedure and
courtroom protocol.” United States v. Simpson, 845 F.3d 1039, 1046 (10th Cir.
2017) (quoting United States v. Tucker, 451 F.3d 1176, 1180 (10th Cir. 2006)). We
5
In the closing moments of his rebuttal at oral argument, Piette’s counsel
suggested that “the fundamental nature of the burden of proof” requires reversing
Piette’s traveling-with-intent conviction because of the error that requires overturning
his kidnapping conviction. Oral Arg. at 32:28–32:37. We do not consider issues that
are first presented at oral argument. See Denver Homeless Out Loud v. Denver, 32
F.4th 1259, 1269 n.9 (10th Cir. 2022).
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review the district court’s failure to allow Piette to represent himself at sentencing for
abuse of discretion.6
Piette argues that the district court should have conducted a Faretta hearing
and allowed him to represent himself at sentencing. See Faretta v. California, 422
U.S. 806, 834–36 (1975); see also United States v. Hansen, 929 F.3d 1238, 1249
(10th Cir. 2019) (district courts often assess whether waivers of counsel are made
knowingly and intelligently by conducting Faretta hearings). The government
responds that Piette failed to make a clear and unequivocal request to proceed pro se
because of his “prolific and varied correspondence with the district court,” which
alternated between praising and lambasting his attorney, Warren Gotcher. Aple. Br.
at 46. The government also observes that, at sentencing, Piette agreed to Gotcher
representing him through filing an appeal, and that Piette spoke extensively on his
own behalf. We agree with the government. Piette’s theory fails on the clear-and-
unequivocal prong for two principal reasons, and therefore the district court did not
abuse its discretion.
6
Both parties misstate the standard of review as de novo, which ignores the
distinction we draw between requests for self-representation made before trial,
reviewed de novo, and requests made after trial, reviewed for abuse of discretion.
See United States v. Beers, 189 F.3d 1297, 1303 (10th Cir. 1999); see also United
States v. Estrada, 25 F. App’x 814, 819–20 (10th Cir. 2002) (unpublished). Piette
focuses on demands for counsel’s withdrawal made in November 2019 and renewed
at sentencing in February 2020. The jury reached its verdict on June 6, 2019, ending
the trial months before Piette’s first supposed request to proceed pro se. Because any
invocation of the right to self-representation would have occurred post-trial, we
review for abuse of discretion.
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First, it is neither clear nor unequivocal that Piette ever sought to represent
himself—as opposed to merely requesting to withdraw Gotcher and receive new
appointed counsel. Only the former endeavor would implicate Piette’s constitutional
right to self-representation. On appeal, Piette argues that his November 2019 letter
did not request a replacement attorney, so we should view it as a request for self-
representation. But, by the same reasoning, the letter said nothing about self-
representation or proceeding pro se. Although it was preceded by a handwritten
pleading, Piette submitted numerous such documents while represented by counsel.
Similarly, Piette’s request for case materials could have been an attempt to recover
personal documents for his own records or for use by his next attorney, and not an
implicit request for self-representation. Moreover, Piette based his request on
Gotcher’s ineffective assistance and not on any constitutional right to self-
representation. In his response to Piette’s motion, Gotcher requested that Piette “be
appointed new counsel for appeal unless the defendant employs his own counsel,
which Counsel advised the defendant is his right.” R. Vol. I at 407. Gotcher, who
had contemporaneous personal access to Piette, did not even address the possibility
that Piette contemplated proceeding pro se at sentencing.
Second, even if Piette was attempting to invoke his right to self-representation
for purposes of sentencing, he verbally assented to the district court’s contrary
determination. Specifically, the district court asked Piette whether withdrawing
counsel post-sentencing was “acceptable.” R. Vol. II at 1108. Piette’s “[y]es, sir,
yes” response is as notable for what it says as what it does not say. Id. at 1109.
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Between hundreds of pages of letters to the district court and a lengthy statement at
sentencing, Piette did not hesitate to share his perspective with the court. The
absence of any statement by Piette about self-representation undercuts his claim to
clarity on appeal. If Piette wanted to represent himself, he probably would have said
something to that effect, especially when given the opportunity.
The district court granted Piette’s motion without a Faretta hearing not
because the court thought it was allowing Piette to proceed pro se, but because it did
not view the circumstances as implicating Faretta. It reasonably thought Piette
wanted new counsel, not self-representation, and Piette said nothing to suggest
otherwise. We do not know the contents of the off-the-record conversation between
Piette and Gotcher alluded to in the hearing transcript, but if Piette wanted to proceed
pro se—a different request from just withdrawing Gotcher—it likely would have
come before the court. Piette may be correct that no magic words are required to
invoke the right to self-representation, but courts cannot read minds. The clear-and-
unequivocal requirement exists in part to “protect . . . the trial court” from a reversal
“dilemma” where a defendant granted counsel can assert a violation of the right to
proceed pro se, while a defendant granted self-representation can assert a violation of
the right to counsel. Simpson, 845 F.3d at 1046–47. Here, Piette clearly and
unequivocally requested only that his counsel be withdrawn, and the district court
granted that request. Because there was no clear and unequivocal request that
Gotcher withdraw so that Piette could represent himself at sentencing, and because
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Piette assented to the district court’s contrary ruling, the court did not abuse its
discretion.
VI.
We AFFIRM Piette’s traveling-with-intent conviction, REVERSE Piette’s
kidnapping conviction, reject Piette’s constitutional attack on his sentencing, and
REMAND for further proceedings consistent with this opinion.
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