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- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
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- SUPREME COURT OF THE UNITED STATES
- --------
- No. 94-514
- --------
- UNITED STATES, PETITIONER v.
- MICHAEL E. GAUDIN
- on writ of certiorari to the united states court
- of appeals for the ninth circuit
- [June 19, 1995]
-
- Justice Scalia delivered the opinion of the Court.
- In the trial at issue here, respondent was convicted of
- making material false statements in a matter within the
- jurisdiction of a federal agency, in violation of 18
- U. S. C. 1001. The question presented is whether it
- was constitutional for the trial judge to refuse to submit
- the question of -materiality- to the jury.
-
- I
- In the 1980s, respondent engaged in a number of real
- estate transactions financed by loans insured by the
- Federal Housing Administration (FHA), an agency within
- the Department of Housing and Urban Development
- (HUD). Respondent would purchase rental housing,
- renovate it, obtain an inflated appraisal, and sell it to
- a -strawbuyer- (a friend or relative), for whom respond-
- ent would arrange an FHA-insured mortgage loan.
- Then, as prearranged, respondent would repurchase the
- property (at a small profit to the strawbuyer) and
- assume the mortgage loan. Twenty-nine of these ven-
- tures went into default.
- Respondent was charged by federal indictment with,
- among other things, multiple counts of making false
- statements on federal loan documents in violation of 18
- U. S. C. 1001. Two of these counts charged that
- respondent had made false statements on HUD/FHA
- form 92800-5 by knowingly inflating the appraised value
- of the mortgaged property. The other false-statement
- counts charged that respondent had made misrepresenta-
- tions on HUD/FHA form HUD-1, the settlement form
- used in closing the sales of the properties. Line 303 of
- this form requires disclosure of the closing costs to be
- paid or received by the borrower/buyer and the seller.
- The forms executed by respondent showed that the
- buyer was to pay some of the closing costs, whereas in
- fact he, the seller, had arranged to pay all of them. To
- prove the materiality of these false statements, the
- Government offered the testimony of several persons
- charged with administering FHA/HUD programs, who
- explained why the requested information was important.
- At the close of the evidence, the United States District
- Court for the District of Montana instructed the jury
- that, to convict respondent, the Government was re-
- quired to prove, inter alia, that the alleged false state-
- ments were material to the activities and decisions of
- HUD. But, the court further instructed, -[t]he issue of
- materiality . . . is not submitted to you for your decision
- but rather is a matter for the decision of the court. You
- are instructed that the statements charged in the
- indictment are material statements.- App. 24, 29. The
- jury convicted respondent of the 1001 charges.
- A panel of the Court of Appeals for the Ninth Circuit
- reversed these convictions because Circuit precedent
- dictated that materiality in a 1001 prosecution be
- decided by the jury. 997 F. 2d 1267 (1993). On
- rehearing en banc, the Court of Appeals stood by this
- precedent. It held that taking the question of material-
- ity from the jury denied respondent a right guaranteed
- by the Fifth and Sixth Amendments to the United
- States Constitution. 28 F. 3d 943 (1994). We granted
- certiorari. 513 U. S. ___ (1995).
-
- II
- Section 1001 of Title 18 provides:
- -Whoever, in any matter within the jurisdiction of
- any department or agency of the United States
- knowingly and wilfully falsifies, conceals or covers
- up by any trick, scheme, or device a material fact,
- or makes any false, fictitious or fraudulent state-
- ments or representations, or makes or uses any false
- writing or document knowing the same to contain
- any false, fictitious or fraudulent statement or entry,
- shall be fined not more than $10,000 or imprisoned
- not more than five years, or both.-
- It is uncontested that conviction under this provision
- requires that the statements be -material- to the
- Government inquiry, and that -materiality- is an
- element of the offense that the Government must prove.
- The parties also agree on the definition of -materiality-:
- the statement must have -a natural tendency to influ-
- ence, or [be] capable of influencing, the decision of the
- decisionmaking body to which it was addressed.-
- Kungys v. United States, 485 U. S. 759, 770 (1988)
- (internal quotation marks omitted). The question for our
- resolution is whether respondent was entitled to have
- this element of the crime determined by the jury.
- The Fifth Amendment to the United States Constitu-
- tion guarantees that no one will be deprived of liberty
- without -due process of law-; and the Sixth, that -[i]n
- all criminal prosecutions, the accused shall enjoy the
- right to a speedy and public trial, by an impartial jury.-
- We have held that these provisions require criminal
- convictions to rest upon a jury determination that the
- defendant is guilty of every element of the crime with
- which he is charged, beyond a reasonable doubt.
- Sullivan v. Louisiana, 508 U. S. ___, ___ (1993) (slip op.,
- at 2-3). The right to have a jury make the ultimate
- determination of guilt has an impressive pedigree.
- Blackstone described -trial by jury- as requiring that
- -the truth of every accusation, whether preferred in the
- shape of indictment, information, or appeal, should
- afterwards be confirmed by the unanimous suffrage of
- twelve of [the defendant's] equals and neighbors . . . .-
- 4 W. Blackstone, Commentaries on the Laws of England
- 343 (1769) (emphasis added). Justice Story wrote that
- the -trial by jury- guaranteed by the Constitution was
- -generally understood to mean . . . a trial by a jury of
- twelve men, impartially selected, who must unanimously
- concur in the guilt of the accused before a legal convic-
- tion can be had.- 2 J. Story, Commentaries on the
- Constitution of the United States 541, n. 2 (4th ed.
- 1873) (emphasis added and deleted). This right was
- designed -to guard against a spirit of oppression and
- tyranny on the part of rulers,- and -was from very early
- times insisted on by our ancestors in the parent country,
- as the great bulwark of their civil and political liber-
- ties.- Id., at 540-541. See also Duncan v. Louisiana,
- 391 U. S. 145, 151-154 (1968) (tracing the history of
- trial by jury).
-
- III
- Thus far, the resolution of the question before us
- seems simple. The Constitution gives a criminal
- defendant the right to demand that a jury find him
- guilty of all the elements of the crime with which he is
- charged; one of the elements in the present case is
- materiality; respondent therefore had a right to have the
- jury decide materiality. To escape the force of this logic,
- the Government offers essentially three arguments.
- Having conceded the minor premise-that materiality is
- an element of the offense-the Government argues first,
- that the major premise is flawed; second, that (essen-
- tially) a page of history is worth a volume of logic, and
- uniform practice simply excludes the element of materi-
- ality from the syllogism; and third, that stare decisis
- requires the judgment here to be reversed.
-
- A
- As to the first, the Government's position is that
- -materiality,- whether as a matter of logic or history, is
- a -legal- question, and that although we have sometimes
- spoken of -requiring the jury to decide `all the elements
- of a criminal offense,' e.g., Estelle v. McGuire, [502 U. S.
- 62, 69] (1991); see Victor v. Nebraska, [511 U. S. ___,
- ___ (slip op., at 1)] (1994); Patterson v. New York, 432
- U. S. 197, 210 (1977), the principle actually applies to
- only the factual components of the essential elements.-
- Brief for United States 33 (emphasis added). The
- Government claims that this understanding of the jury's
- role dates back to Sparf & Hansen v. United States, 156
- U. S. 51 (1895), and is reaffirmed by recent decisions of
- this Court.
- By limiting the jury's constitutionally prescribed role
- to -the factual components of the essential elements- the
- Government surely does not mean to concede that the
- jury must pass upon all elements that contain some
- factual component, for that test is amply met here.
- Deciding whether a statement is -material- requires the
- determination of at least two subsidiary questions of
- purely historical fact: (a) -what statement was made?-;
- and (b) -what decision was the agency trying to make?-.
- The ultimate question: (c) -whether the statement was
- material to the decision,- requires applying the legal
- standard of materiality (quoted above) to these historical
- facts. What the Government apparently argues is that
- the Constitution requires only that (a) and (b) be
- determined by the jury, and that (c) may be determined
- by the judge. We see two difficulties with this. First,
- the application-of-legal-standard-to-fact sort of question
- posed by (c), commonly called a -mixed question of law
- and fact,- has typically been resolved by juries. See J.
- Thayer, A Preliminary Treatise on Evidence at Common
- Law 194, 249-250 (1898). Indeed, our cases have recog-
- nized in other contexts that the materiality inquiry,
- involving as it does -delicate assessments of the infer-
- ences a `reasonable [decisionmaker]' would draw from a
- given set of facts and the significance of those inferences
- to him . . . [is] peculiarly on[e] for the trier of fact.-
- TSC Industries, Inc. v. Northway, Inc., 426 U. S. 438,
- 450 (1976) (securities fraud); McLanahan v. Universal
- Ins. Co., 1 Pet. 170, 188-189, 191 (1828) (materiality of
- false statements in insurance applications).
- The second difficulty with the Government's position
- is that it has absolutely no historical support. If it were
- true, the law books would be full of cases, regarding
- materiality and innumerable other -mixed-law-and-fact-
- issues, in which the criminal jury was required to come
- forth with -findings of fact- pertaining to each of the
- essential elements, leaving it to the judge to apply the
- law to those facts and render the ultimate verdict of
- -guilty- or -not guilty.- We know of no such case.
- Juries at the time of the framing could not be forced to
- produce mere -factual findings,- but were entitled to
- deliver a general verdict pronouncing the defendant's
- guilt or innocence. Morgan, A Brief History of Special
- Verdicts and Special Interrogatories, 32 Yale L. J. 575,
- 591 (1922). See also G. Clementson, Special Verdicts
- and Special Findings by Juries 49 (1905); Alschuler &
- Deiss, A Brief History of the Criminal Jury in the
- United States, 61 U. Chi. L. Rev. 867, 912-913 (1994).
- Justice Chase's defense to one of the charges in his 1805
- impeachment trial was that -he well knows that it is
- the right of juries in criminal cases, to give a general
- verdict of acquittal, which cannot be set aside on
- account of its being contrary to law, and that hence
- results the power of juries, to decide on the law as well
- as on the facts, in all criminal cases. This power he
- holds to be a sacred part of our legal privileges . . . .-
- 1 S. Smith & T. Lloyd, Trial of Samuel Chase 34 (1805).
- Sparf & Hansen, supra, the case on which the Govern-
- ment relies, had nothing to do with the issue before us
- here. The question there was whether the jury could be
- deprived of the power to determine, not only historical
- facts, not only mixed questions of fact and law, but pure
- questions of law in a criminal case. As the foregoing
- quotation from Justice Chase suggests, many thought
- the jury had such power. See generally Alschuler &
- Deiss, supra, at 902-916. We decided that it did not.
- In criminal cases, as in civil, we held, the judge must be
- permitted to instruct the jury on the law and to insist
- that the jury follow his instructions. 156 U. S., at
- 105-106. But our decision in no way undermined the
- historical and constitutionally guaranteed right of
- criminal defendants to demand that the jury decide guilt
- or innocence on every issue, which includes application
- of the law to the facts. To the contrary, Justice Harlan,
- writing for the Court, explained the many judicial
- assertions of the jury's right to determine both law and
- fact as expressions of -the principle, that when the
- question is compounded of law and fact, a general
- verdict, ex necessitate, disposes of the case in hand, both
- as to law and fact.- Id., at 90 (emphasis in original).
- He gave as an example the 1807 treason trial of Aaron
- Burr in which Chief Justice Marshall charged the jury
- that -`levying war is an act compounded of law and fact;
- of which the jury, aided by the court must judge. . . .
- [And] hav[ing] now heard the opinion of the court on the
- law of the case[,] [t]hey will apply that law to the facts,
- and will find a verdict of guilty or not guilty as their
- own consciences may direct.'- Id., at 67 (quoting 2
- Burr's Trial 548, 550 (D. Robertson ed. 1875)) (emphasis
- in original). Other expressions of the same principle
- abound. See United States v. Battiste, 24 F. Cas. 1042,
- 1043 (No. 14,545) (CC Mass. 1835) (Story, J., sitting as
- Circuit Justice) (the jury's general verdict is -necessarily
- compounded of [both] law and fact-). As Thayer wrote
- at the end of the 19th century: -From the beginning . . .
- it was perceived that any general verdict, such as . . .
- not guilty, involved a conclusion of law, and that the
- jury did, in a sense, in such cases answer a question of
- law.- Thayer, supra, at 253.
- The more modern authorities the Government cites
- also do not support its concept of the criminal jury as
- mere factfinder. Although each contains language
- discussing the jury's role as factfinder, see Sullivan v.
- Louisiana, 508 U. S. ___ (1993); County Court of Ulster
- Cty. v. Allen, 442 U. S. 140, 156 (1979); Patterson v.
- New York, 432 U. S. 197, 206 (1977); In re Winship, 397
- U. S. 358, 364 (1970), each also confirms that the jury's
- constitutional responsibility is not merely to determine
- the facts, but to apply the law to those facts and draw
- the ultimate conclusion of guilt or innocence. The point
- is put with unmistakable clarity in Allen, which involved
- the constitutionality of statutory inferences and pre-
- sumptions. Such devices, Allen said, can help
- -the trier of fact to determine the existence of an
- element of the crime-that is, an `ultimate' or `ele-
- mental' fact-from the existence of one or more `evi-
- dentiary' or `basic' facts . . . . Nonetheless, in
- criminal cases, the ultimate test of any device's
- constitutional validity in a given case remains
- constant: the device must not undermine the fact-
- finder's responsibility at trial, based on evidence
- adduced by the State, to find the ultimate facts
- beyond a reasonable doubt.- Allen, supra, at 156.
- See also Sullivan, supra, at ___ (slip op., at 2) (-The
- right [to jury trial] includes, of course, as its most
- important element, the right to have the jury, rather
- than the judge, reach the requisite finding of `guilty'-);
- Patterson, supra, at 204; Winship, supra, at 361, 363.
-
- B
- The Government next argues that, even if the jury is
- generally entitled to pass on all elements of a crime,
- there is a historical exception for materiality determi-
- nations in perjury prosecutions. We do not doubt that
- historical practice is relevant to what the Constitution
- means by such concepts as trial by jury, see Murray's
- Lessee v. Hoboken Land & Improvement Co., 18 How.
- 272, 276-277 (1856); Holland v. Illinois, 493 U. S. 474,
- 481 (1990), and it is precisely historical practice that we
- have relied on in concluding that the jury must find all
- the elements. The existence of a unique historical ex-
- ception to this principle-and an exception that reduces
- the power of the jury precisely when it is most impor-
- tant, i.e., in a prosecution not for harming another
- individual, but for offending against the Government
- itself-would be so extraordinary that the evidence for
- it would have to be convincing indeed. It is not so.
- The practice of having courts determine the material-
- ity of false statements in perjury prosecutions is neither
- as old, nor as uniform, as the Government suggests. In
- England, no pre-Revolution cases appear to have
- addressed the question, and the judges reached differing
- results when the issue finally arose in the mid-19th
- century. Compare Queen v. Lavey, 3 Car. & K. 26, 30,
- 175 Eng. Rep. 448, 450 (Q. B. 1850) (materiality is a
- jury question); Queen v. Goddard, 2 F. & F. 361, 175
- Eng. Rep. 1096 (1861) (same), with Queen v. Courtney,
- 5 Ir. C. L. 434, 439 (Ct. Crim. App. 1856) (dictum)
- (materiality is a question for the judge); Queen v.
- Gibbon, Le. & Ca. 109, 113-114, 169 Eng. Rep. 1324,
- 1326 (1861) (same). It was not until 1911, 120 years
- after the adoption of our Bill of Rights, that the rule the
- Government argues for was finally adopted in Eng-
- land-not by judicial decision but by Act of Parliament.
- See Perjury Act of 1911, 1(6) 182 Geo. V, ch. 6).
- Much more importantly, there was also no clear
- practice of having the judge determine the materiality
- question in this country at or near the time the Bill of
- Rights was adopted. The Government cites Power v.
- Price, 16 Wend. 450 (N. Y. 1836), as -[t]he earliest
- reported case on the question- whether -materiality in
- perjury prosecutions is a question for the court rather
- than the jury,- claiming that there -New York's highest
- court held that a trial judge had correctly reserved the
- question of materiality to itself.- Brief for United States
- 18. Power held nothing even close to this. Power was
- not a perjury case; indeed, it was not even a criminal
- prosecution. It was a civil action in which Price sued
- Power for the slander of imputing to him the crime of
- perjury. The Court of Appeals held that Price did not
- need to prove the materiality of the alleged false
- statement in order to make out a prima facie case; but
- that Power could raise immateriality as an affirmative
- defense negating intent to impute perjury. 16 Wend., at
- 455-456. It then said that the trial court -was clearly
- right in instructing the jury that the testimony given on
- the former trial was proved to be material,- since -it
- merely decided a question of law, arising upon the proof
- of facts as to which there was no dispute or contrariety
- of testimony,- id., at 456. But the courts' power to
- resolve mixed-law-and-fact questions in civil cases is not
- at issue here; civil and criminal juries' required roles are
- obviously not identical, or else there could be no directed
- verdicts for civil plaintiffs. The other early case relied
- upon by the Government, Steinman v. McWilliams, 6 Pa.
- 170, 177-178 (1847), another slander case, is inapt for
- the same reason. The earliest American case involving
- the point that we have been able to find places the
- Government itself in opposition to its position here. In
- United States v. Cowing, 25 F. Cas. 680, 681 (No.
- 14,880) (CC D.C. 1835), the United States argued that
- materiality in a perjury prosecution was a matter for the
- jury's consideration, citing an unpublished decision of
- the General Court of Virginia. The federal court, how-
- ever, did not address the issue.
- State and federal cases appear not to have addressed
- the question until the latter part of the 19th century, at
- which time they do not display anything like the -virtual
- unanimity- claimed by the Government. Brief for
- United States 18. Some of the opinions cited by the
- Government, asserting that materiality was a question
- of -law- for the judge, appear to have involved either
- demurrers to the indictment or appeals from convictions
- in which the case for materiality was so weak that no
- reasonable juror could credit it-so that even on our
- view of the matter the case should not have gone to the
- jury. (The prosecution's failure to provide minimal evi-
- dence of materiality, like its failure to provide minimal
- evidence of any other element, of course raises a ques-
- tion of -law- that warrants dismissal.) See, e.g., United
- States v. Shinn, 14 F. 447, 452 (CC Ore. 1882); United
- States v. Singleton, 54 F. 488, 489 (SD Ala. 1892);
- United States v. Bedgood, 49 F. 54, 60 (SD Ala. 1891);
- Nelson v. State, 32 Ark. Rep. 192, 195 (1877). And
- some of the other cited cases involve the convicted
- defendant's claim that materiality should not have been
- decided by the jury, so that even if the issue was not
- one of the prosecution's failure to make a threshold case,
- it did not arise in a context in which the defendant's
- right to jury trial was at issue. See, e.g., Cothran v.
- State, 39 Miss. 541, 547 (1860); State v. Williams, 30
- Mo. 364, 367 (1860); State v. Lewis, 10 Kan. 157, 160
- (1872); People v. Lem You, 97 Cal. 224, 228-230, 32
- p. 11, 12 (1893); Thompson v. People, 26 Colo. 496, 504,
- 59 P. 51, 54-55 (1899); Barnes v. State, 15 Ohio C. C.
- 14, 25-26 (1897).
- Even assuming, however, that all the Government's
- last-half-of-the-19th-century cases fully stand for the
- proposition that the defendant has no right to jury
- determination of materiality, there are cases that
- support the other view. See Commonwealth v. Grant,
- 116 Mass. 17, 20 (1874); Lawrence v. State, 2 Tex. Crim.
- 479, 483-484 (1877); State v. Spencer, 45 La. Ann. 1,
- 11-12, 12 So. 135, 138 (1893); Young v. People, 134 Ill.
- 37, 42, 24 N. E. 1070, 1071 (1890) (approving the
- treatment of materiality as -a mixed question of law and
- fact, and thus one for the jury-). At most there had
- developed a division of authority on the point, as the
- treatise writers of the period amply demonstrate.
- Bishop in 1872 took the position that -[p]ractically, . . .
- the whole subject is to be passed upon by the jury,
- under instructions from the judge, as involving, like
- most other cases, mixed questions of law and of fact.-
- 2 J. Bishop, Commentaries on Law of Criminal Proce-
- dure 935, p. 508 (2d ed.). May's 1881 treatise reported
- that -[w]hether materiality is a question of law for the
- court or of fact for a jury, is a point upon which the
- authorities are about equally divided.- J. May, Law of
- Crimes 188, p. 205. Greenleaf, writing in 1883, sided
- with Bishop (-It seems that the materiality of the mat-
- ter assigned is a question for the jury-), 3 S. Greenleaf,
- Law of Evidence 195, p. 189, n. (b) (14th ed.)-but two
- editions later, in 1899, said that the question was one
- for the judge, 3 S. Greenleaf, Law of Evidence 195,
- p. 196, n. 2 (16th ed.).
- In sum, we find nothing like a consistent historical
- tradition supporting the proposition that the element of
- materiality in perjury prosecutions is to be decided by
- the judge. Since that proposition is contrary to the
- uniform general understanding (and we think the only
- understanding consistent with principle) that the Fifth
- and Sixth Amendments require conviction by a jury of
- all elements of the crime, we must reject those cases
- that have embraced it. Though uniform postratification
- practice can shed light upon the meaning of an ambigu-
- ous constitutional provision, the practice here is not
- uniform, and the core meaning of the constitutional
- guarantees is unambiguous.
-
- C
- The Government's final argument is that the principle
- of stare decisis requires that we deny petitioner's
- constitutional claim, citing our decision in Sinclair v.
- United States, 279 U. S. 263 (1929). That case is not
- controlling in the strictest sense, since it involved the
- assertion of a Sixth Amendment right to have the jury
- determine, not -materiality- under 1001, but rather
- -pertinency- under that provision of Title 2 making it
- criminal contempt of Congress to refuse to answer a
- -question pertinent to [a] question under [congressional]
- inquiry,- Rev. Stat. 102, 2 U. S. C. 192. The two
- questions are similar, however, and the essential
- argument made by respondent here was made by peti-
- tioner in that case, who sought reversal of his conviction
- because of the trial court's failure to submit the question
- of pertinency to the jury: -[I]t has been said over and
- over again, that every essential ingredient of the crime
- must be proven to the satisfaction of the jury beyond a
- reasonable doubt.- Brief for Appellant in Sinclair v.
- United States, O.T. 1928, No. 555, p. 109; 279 U. S., at
- 277 (argument for appellant). Though we did not ad-
- dress the constitutional argument explicitly, we held
- that the question of pertinency was -rightly decided by
- the court as one of law.- Id., at 298. And tying the
- case even closer to the present one was our dictum that
- pertinency -is not essentially different from . . . materi-
- ality of false testimony,- which -when an element in the
- crime of perjury, is one for the court.- Ibid. Thus,
- while Sinclair is not strictly controlling, it is fair to say
- that we cannot hold for respondent today while still
- adhering to the reasoning and the holding of that case.
- But the reasoning of Sinclair has already been
- repudiated in a number of respects. The opinion rested
- upon the assumption that -pertinency- is a pure ques-
- tion of law-that is, it does -not depend upon the
- probative value of evidence.- Ibid. We contradicted that
- assumption in Deutch v. United States, 367 U. S. 456
- (1961), reversing a conviction under 192 because -the
- Government at the trial failed to carry its burden of
- proving the pertinence of the questions.- Id., at 469.
- Though it had introduced documentary and testimonial
- evidence -to show the subject of the subcommittee's
- inquiry,- it had failed to provide evidence to support the
- conclusion that the petitioner's false statement was
- pertinent to that subject.
- Our holding in Sinclair rested also upon the assertion
- that -[i]t would be incongruous and contrary to well-
- established principles to leave the determination of
- [the] matter [of pertinency] to a jury,- 279 U. S., at 299,
- citing ICC v. Brimson, 154 U. S. 447, 489 (1894), and
- Horning v. District of Columbia, 254 U. S. 135 (1920).
- Both the cases cited to support that assertion have since
- been repudiated. Brimson's holding that no right to jury
- trial attaches to criminal contempt proceedings was
- overruled in Bloom v. Illinois, 391 U. S. 194, 198-200
- (1968). Horning's holding that it was harmless error, if
- error at all, for a trial judge effectively to order the jury
- to convict, see 254 U. S., at 138, has been proved an
- unfortunate anomaly in light of subsequent cases. See
- Quercia v. United States, 289 U. S. 466, 468, 472 (1933);
- Bihn v. United States, 328 U. S. 633, 637-639 (1946).
- Other reasoning in Sinclair, not yet repudiated, we
- repudiate now. It said that the question of pertinency
- -may be likened to those concerning relevancy at the
- trial of issues in court,- which -is uniformly held [to be]
- a question of law- for the court. 279 U. S., at 298. But
- how relevancy is treated for purposes of determining the
- admissibility of evidence says nothing about how rele-
- vancy should be treated when (like -pertinence- or -ma-
- teriality-) it is made an element of a criminal offense.
- It is commonplace for the same mixed question of law
- and fact to be assigned to the court for one purpose, and
- to the jury for another. The question of probable cause
- to conduct a search, for example, is resolved by the
- judge when it arises in the context of a motion to
- suppress evidence obtained in the search; but by the
- jury when it is one of the elements of the crime of
- depriving a person of constitutional rights under color
- of law, see 18 U. S. C. 241-242. Cf. United States v.
- McQueeney, 674 F. 2d 109, 114 (CA1 1982); United
- States v. Barker, 546 F. 2d 940, 947 (CADC 1976).
- That leaves as the sole prop for Sinclair its reliance
- upon the unexamined proposition, never before endorsed
- by this Court, that materiality in perjury cases (which
- is analogous to pertinence in contempt cases) is a
- question of law for the judge. But just as there is
- nothing to support Sinclair except that proposition, there
- is, as we have seen, nothing to support that proposition
- except Sinclair. While this perfect circularity has a
- certain aesthetic appeal, it has no logic. We do not
- minimize the role that stare decisis plays in our juris-
- prudence. See Patterson v. McLean Credit Union, 491
- U. S. 164, 172 (1989). That role is somewhat reduced,
- however, in the case of a procedural rule such as this,
- which does not serve as a guide to lawful behavior. See
- Payne v. Tennessee, 501 U. S. 808, 828 (1991). It is
- reduced all the more when the rule is not only proce-
- dural but rests upon an interpretation of the Constitu-
- tion. See ibid. And we think stare decisis cannot
- possibly be controlling when, in addition to those factors,
- the decision in question has been proved manifestly
- erroneous, and its underpinnings eroded, by subsequent
- decisions of this Court. Rodriguez de Quijas v.
- Shearson/American Express, Inc., 490 U. S. 477, 480-
- 481 (1989); Andrews v. Louisville & Nashville R. Co.,
- 406 U. S. 320 (1972).
- The Government also claims stare decisis benefit from
- our decision in Kungys v. United States, 485 U. S. 759
- (1988), which held that, in appellate review of a District
- Court (nonjury) denaturalization proceeding, the appel-
- late court's newly asserted standard of materiality could
- be applied to the facts by the appellate court itself,
- rather than requiring remand to the District Court for
- that application. Id., at 772. But as we have observed,
- the characterization of a mixed question of law and fact
- for one purpose does not govern its characterization for
- all purposes. It is hard to imagine questions more
- diverse than, on the one hand, whether an appellate
- court must remand to a district court for a determina-
- tion of materiality in a denaturalization proceeding
- (Kungys) and, on the other hand, whether the Constitu-
- tion requires the finding of the element of materiality in
- a criminal prosecution to be made by the jury (the
- present case). It can be argued that Kungys itself did
- not heed this advice, since it relied upon both our prior
- decision in Sinclair, see 485 U. S., at 772, and a
- decision of the United States Court of Appeals for the
- Sixth Circuit holding that materiality in a 1001
- prosecution is a question of -law- for the court, id.
- (quoting United States v. Abadi, 706 F. 2d 178, 180,
- cert. denied, 464 U. S. 821 (1983)). But the result in
- Kungys could be thought to follow a fortiori from the
- quite different cases of Sinclair and Abadi, whereas
- nonentitlement under the Sixth Amendment to a jury
- determination cannot possibly be thought to follow a
- fortiori from Kungys. In any event, Kungys assuredly
- did not involve an adjudication to which the Sixth
- Amendment right to jury trial attaches, see Luria v.
- United States, 231 U. S. 9 (1913), and hence had no
- reason to explore the constitutional ramifications of
- Sinclair and Abadi, as we do today. Whatever support
- it gave to the validity of those decisions was obiter dicta,
- and may properly be disregarded.
-
- * * *
- The Constitution gives a criminal defendant the right
- to have a jury determine, beyond a reasonable doubt, his
- guilt of every element of the crime with which he is
- charged. The trial judge's refusal to allow the jury to
- pass on the -materiality- of Gaudin's false statements
- infringed that right. The judgment of the Court of
- Appeals is affirmed.
- It is so ordered.
-