United States v. Aaron Schock
United States v. Aaron Schock
Opinion
Aaron Schock resigned from Congress on March 31, 2015, after his constituents *336 responded adversely to disclosures about trips he took at public expense, the expense of his elaborate office furnishings, and how he had applied campaign funds. Twenty months later, Schock was charged in a federal indictment with mail and wire fraud, theft of government funds, making false statements to Congress and the Federal Elections Commission, and filing false tax returns. The grand jury charged Schock with filing false or otherwise improper claims for reimbursement for his travel and furnishings, and with failing to report correctly (and pay tax on) those receipts that count as personal income. Details do not matter to this appeal.
Schock moved to dismiss the indictment. He contended that the charges are inconsistent with the Constitution's Speech or Debate Clause and with the House of Representatives' constitutional authority to determine the rules of its proceedings. The district court denied the motion,
The Speech or Debate Clause (Art. I § 6 cl. 1) provides: "for any Speech or Debate in either House, [Members of Congress] shall not be questioned in any other Place." The Supreme Court understands this as an immunity from litigation, which permits an interlocutory appeal asserting a right not to be tried.
Helstoski v. Meanor
,
Although the immunity covers committee investigations and other matters within the legislative purview, see
Gravel v. United States
,
Schock's principal argument rests on the Rulemaking Clause (Art. I § 5 cl. 2): "Each House may determine the Rules of its Proceedings, punish its Members for disorderly Behaviour, and, with the Concurrence of two thirds, expel a Member." The rules about reimbursable expenses were adopted under this clause and, Schock insists, because only the House may adopt or amend its rules, only the House may interpret them. Ambiguity in any rule (or in how a rule applies to a given claim for reimbursement) makes a prosecution impossible, Schock concludes, because that would require a judge to interpret the rules.
The foundation for Schock's argument-the proposition that if Body A has sole power to make a rule, then Body A has sole power to interpret that rule-does not represent established doctrine. Microsoft Corporation has the sole power to establish rules about how much its employees will be reimbursed for travel expenses, but no one thinks that this prevents a criminal *337 prosecution of persons who submit fraudulent claims for reimbursement or fail to pay tax on the difference between their actual expenses and the amount they receive from Microsoft.
Or consider reimbursement rules promulgated by the President for federal employees. Again no one thinks that the Executive Branch's power over rulemaking makes it the rules' sole interpreter. Judges regularly interpret, apply, and occasionally nullify rules promulgated by the President or another part of the Executive Branch, as well as statutes enacted by the Legislative Branch; why would reimbursement rules be different? That each House has sole authority to set its own rules does not distinguish rules from legislation; the two Houses acting jointly have authority to determine the contents of statutes (overriding presidential vetoes if necessary), yet a big part of the judiciary's daily work is the interpretation and application of these enactments.
Yellin v. United States,
We need not come to closure on the question whether there is something special about legislative rules-as some courts have held, see
United States v. Durenberger
,
Our reason can be stated in one paragraph: Neither the separation of powers generally, nor the Rulemaking Clause in particular, establishes a personal immunity from prosecution or trial. The separation of powers is about the allocation of authority among the branches of the federal government. It is an institutional doctrine rather than a personal one. The Speech or Debate Clause, by contrast, sets up a personal immunity for each legislator. The Supreme Court limits interlocutory appeals to litigants who have a personal immunity-a "right not to be tried." No personal immunity, no interlocutory appeal.
The link between a personal immunity and an interlocutory appeal in a criminal prosecution was stressed in
Midland Asphalt Corp. v. United States
,
To show this, the Court relied on
United States v. MacDonald
,
Even when the vindication of the defendant's rights requires dismissal of charges altogether, the conditions justifying an interlocutory appeal are not necessarily satisfied. In MacDonald , for example, we declined to permit a defendant whose speedy trial motion had been denied before trial to obtain interlocutory appellate review, despite our recognition that "an accused who does successfully establish a speedy trial claim before trial will not be tried." ... This holding reflects the crucial distinction between a right not to be tried and a right whose remedy requires the dismissal of charges. ... The former necessarily falls into the category of rights that can be enjoyed only if vindicated prior to trial. The latter does not.
Of the four decisions permitting separation-of-powers arguments to support an interlocutory appeal, only Rose postdates Midland Asphalt . Yet Rose did not mention that decision. Rostenkowski and Durenberger , which follow the jurisdictional holding of Rose , do not discuss the difference between institutional and personal rights. Myers postdates MacDonald , which it does not mention.
Hastings speaks of the separation of powers but is best read as addressing a claim of personal immunity. The defendant, a federal judge, contended that he had a right not to be tried for any crime until he had first been impeached by the House and convicted by the Senate. The court of appeals held that there is no such right, but if there were one it would fit the mold of Helstoski , which allowed an appeal of a claim based on the Speech or Debate Clause. Claiborne , too, involved a claim by a federal judge to a personal immunity from prosecution while still in office. Only Rose and Myers present institutional separation-of-powers defenses, and neither of those decisions is compatible with MacDonald , Hollywood Motor Car , or Midland Asphalt .
Schock maintains that the collateral-order doctrine of
Cohen v. Beneficial Industrial Loan Corp.
,
*339
Midland Asphalt
observed that "[w]e have interpreted the collateral order exception with the utmost strictness in criminal cases."
This interlocutory appeal must be dismissed to the extent it involves the Rulemaking Clause. Because this opinion creates a conflict among the circuits about interlocutory appeals, in criminal cases, based on institutional arguments about the separation of powers, it was circulated before release to all judges in active service. See Circuit Rule 40(e). None favored a hearing en banc.
Schock's reliance on
United States v. Bolden
,
Schock contends that, because we do have jurisdiction over arguments based on the Speech or Debate Clause, we should address his other arguments under the rubric of "pendent appellate jurisdiction." Yet that possibility has been disparaged by the Supreme Court, see
Swint v. Chambers County Commission
,
If Schock is convicted, he may assert his Rulemaking Clause arguments on appeal from the final decision. Similarly, he may argue that the Rule of Lenity prevents conviction if the House rules about reimbursement are genuinely ambiguous as applied to his situation.
The district court's decision with respect to the Speech or Debate Clause is affirmed, and the appeal otherwise is dismissed.
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Aaron J. SCHOCK, Defendant-Appellant.
- Cited By
- 6 cases
- Status
- Published