United States Court of Appeals: Published
United States Court of Appeals: Published
No. 05-4956
COUNSEL
ARGUED: Wayne D. Inge, Roanoke, Virginia, for Appellant.
Michael Ray Fisher, ENVIRONMENTAL PROTECTION
AGENCY, Washington, D.C., for Appellee. ON BRIEF: John L.
Brownlee, United States Attorney, Jennie L. M. Waering, Assistant
United States Attorney, OFFICE OF THE UNITED STATES
ATTORNEY, Roanoke, Virginia, for Appellee.
OPINION
WILKINSON, Circuit Judge:
D. J. Cooper was convicted by a jury on nine counts of knowingly
discharging a pollutant from a point source into waters of the United
States, in violation of the Federal Water Pollution Control Act
Amendments of 1972, as amended 33 U.S.C. 1251 et seq. (2000),
commonly known as the Clean Water Act ("CWA" or "the Act"). He
claims that the district court should have granted an acquittal for lack
of sufficient evidence, in part because the government failed to prove
Cooper knew that he was discharging pollutants into waters of the
United States. Because the district court did not err, and because the
CWA does not require the government to establish Coopers knowledge as to the jurisdictional status of the waters he affected, we affirm
the judgment of the district court.
I.
The CWA prohibits the knowing discharge of a pollutant from a
point source to waters of the United States without a permit. See 33
U.S.C. 1311(a), 1319(c)(2)(A), 1362(7), 1362(12). The Act
defines "discharge of a pollutant" as the "addition of any pollutant to
navigable waters from any point source." Id. 1362(12). The term
"pollutant" includes "sewage . . . sewage sludge . . . [and] biological
materials . . . discharged into water." Id. 1362(6). The term "point
source" denotes a "confined and discrete conveyance," including any
pipe "from which pollutants are or may be discharged." Id.
1362(14). "Navigable waters" are defined as "waters of the United
States," id. 1362(7), which are defined by regulation to include,
among other things, "[a]ll interstate waters" and the "[t]ributaries of
[such] waters," 40 C.F.R 122.2 (2006).
Defendant Cooper has been operating a sewage lagoon at his trailer
park in Bedford County, Virginia, since 1967. In recent times the
lagoon has served as the only method of human waste disposal for
twenty-two of the trailers in the park. The lagoon treats sewage
according to the following process: Solid materials settle to the bottom of the lagoon, while the fluid level rises until it reaches an overflow structure in the middle of the lagoon, from which it flows
stating that he was discharging illegally. After an administrative hearing, DEQ in July 2003 issued an order imposing a $10,000 fine and
ordering Cooper to cease discharging. Even after the order, the discharges continued, and DEQ continued to send Cooper inspection
reports and Notices of Violation.
In late 2003, the U.S. Environmental Protection Agencys Criminal
Investigation Division ("CID") began to investigate discharges from
the lagoon. On various dates between August 2003 and October 2004,
DEQ inspectors observed the lagoon, estimated the volume of the discharge, sampled the discharges pH and total residual chlorine, collected samples for fecal coliform analysis, and completed inspection
reports that were mailed to Cooper. A number of the samples were
found to have the maximum quantifiable concentration of fecal coliform, a type of bacteria present in human feces.
On October 29, 2003, in an interview with CID Special Agent Matthew Goers, Cooper admitted that he was discharging from the lagoon
into the creek without a permit and that DEQ had notified him that
these discharges were in violation of the VPDES program. Cooper
acknowledged that he might go to jail. He told Goers that he had hired
an attorney to fight on his behalf and stated, "Im going to fight as
long as God gives me the power to fight."
On October 21, 2004, Cooper was indicted on thirteen felony
counts of knowingly discharging a pollutant into waters of the United
States without a permit, in violation of 33 U.S.C. 1311(a) and
1319(c)(2)(A). After his indictment, Cooper finally ceased discharging from the lagoon. He hired a septic hauling company to collect
sewage and ultimately disconnected most of the trailers from the
lagoon.
Before trial, the government sought a ruling on the admissibility of
evidence of Coopers dealings with DEQ from 1998 until the start of
the charging period in 2003. The district court allowed the evidence,
finding that it was relevant to the charged offenses and that it was
admissible under Federal Rule of Evidence 404(b) as evidence of
intent and the absence of mistake or accident.
During jury deliberations, the jury sent a question to the judge, asking for clarification on how to weigh certain evidence relating to labo-
Mullen v. Princess Anne Volunteer Fire Co., Inc., 853 F.2d 1130,
1135 (4th Cir. 1998). The DEQ evidence, while it may provoke disgust, is undoubtedly probative in a CWA prosecution for the discharge of insufficiently treated human sewage. Evidence of criminal
acts is of course by nature prejudicial, but the standard for exclusion
under Rule 403 is "unfair" prejudice. See United States v. Williams,
445 F.3d 724, 730 (4th Cir. 2006). It was not unfair for the government to present this evidence. If unsavory evidence were excludable
on that account, the prosecution could hardly prove its case.
Cooper also argues that the district court erred in its answer to a
query put to it by the jury during deliberations. The jury asked
whether it was "reasonable to consider numerous quality control
issues of lab data/forms sufficient to render all results of the lab questionable." The court declined to give further instruction on the ground
that it would constitute an inappropriate invasion of the jurys province as fact-finder. Here, too, the district court did not abuse its discretion. See United States v. Smith, 62 F.3d 641, 646 (4th Cir. 1995)
(responses to jury questions on points of law "left to the sound discretion of the district court"). In fact, the trial court must take care, in
responding to a jury question, not to encroach upon its fact-finding
power. See United States v. Ellis, 121 F.3d 908, 925 (4th Cir. 1997).
It can hardly be error for the district court to have accorded the jury
this respect.
III.
Cooper also contends that the district court erred in denying his
motion for a judgment of acquittal for lack of sufficient evidence
under Federal Rule of Criminal Procedure 29. Cooper argues that the
government failed to prove that Cooper knew the waters into which
he discharged pollutants "were a tributary of a navigable water, or
adjacent to a navigable water, or had a significant nexus to a navigable water." The premise of this claim is that, under 33 U.S.C.
1311(a) and 1319(c)(2)(A), the government had to prove that Cooper was aware of the facts that establish the federal governments
jurisdiction over the water for purposes of the CWA. For the reasons
explained below, we reject this contention.
A.
Cooper was convicted of knowingly discharging a pollutant without a permit from a point source to navigable waters, which are
defined as waters of the United States. See 33 U.S.C. 1311(a),
1319(c)(2)(A), 1362(7). "Waters of the United States" in this statutory
scheme operates as a jurisdictional element. A jurisdictional element
of a federal offense states the basis of Congress power to regulate the
conduct at issue: its "primary purpose is to identify the factor that
makes the [conduct] an appropriate subject for federal concern."
United States v. Yermian, 468 U.S. 63, 68 (1984). Without a jurisdictional basis for its exercise of its authority, Congress would be acting
beyond its enumerated powers under Article I, Section 8 of the Constitution. "Waters of the United States" in the CWA is a classic jurisdictional element, which situates Congress authority to enact the
statute in "its traditional jurisdiction over waters that were or had been
navigable in fact or which could reasonably be so made." Solid Waste
Agency of N. Cook County v. U.S. Army Corps of Engrs, 531 U.S.
159, 172 (2001).
It is well settled that mens rea requirements typically do not extend
to the jurisdictional elements of a crime that "the existence of the
fact that confers federal jurisdiction need not be one in the mind of
the actor at the time he perpetrates the act made criminal by the federal statute." United States v. Feola, 420 U.S. 671, 677 n.9 (1975);
Yermian, 468 U.S. at 68-69. This court has long recognized this principle in construing jurisdictional elements of federal criminal statutes.
See, e.g., United States v. Langley, 62 F.3d 602, 605-06 (4th Cir.
1995) (conviction under felon-in-possession statute does not require
knowledge of firearms interstate nexus); United States v. Darby, 37
F.3d 1059, 1067 (4th Cir. 1994) (conviction for transmitting threatening interstate communications does not require proof of knowledge
that threatening telephone call was interstate); United States v.
Squires, 581 F.2d 408, 410 (4th Cir. 1978) (conviction under National
Stolen Property Act does not require proof of knowledge of interstate
nature of transportation of counterfeit securities); United States v.
Green, 544 F.2d 746, 747-48 (4th Cir. 1976) (per curiam) (conviction
under firearms statute does not require knowledge that dealer was federally licensed); United States v. LeFaivre, 507 F.2d 1288, 1297-98
(4th Cir. 1974) (conviction under Travel Act does not require proof
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The CWA offers every reason to conclude that the term "waters of
the United States" as it operates in this case is "nothing more than the
jurisdictional peg on which Congress based federal jurisdiction."
LeFaivre, 507 F.2d at 1297 n.14. We begin as always with an examination of the statute itself. See N.Y. State Conference of Blue Cross
& Blue Shield Plans v. Travelers Ins. Co., 514 U.S. 645, 655 (1995).
33 U.S.C. 1319(c)(2)(A) makes it a felony for any person to "knowingly violate[ ] section 1311 . . . ." Section 1311(a) provides that "the
discharge of any pollutant by any person shall be unlawful." Id.
1311(a). Section 1362(12) defines the "discharge of a pollutant" as
the "addition of any pollutant to navigable waters," and section
1362(7) defines "navigable waters" as "waters of the United States."
Id. 1362(7), 1362(12). "Waters of the United States" is further
defined by regulation. See 40 C.F.R 122.2.
The question, then, is whether Congress intended for the term
"knowingly" in 1319(c)(2)(A) to extend, via 1311(a), to "navigable waters" in 1362(12), and thus to "waters of the United States"
in 1362(7), with the result that the government must prove that Cooper was aware of the facts connecting the small creek to the regulatory definition of "waters of the United States." To say the least, the
statutes string of provisions hardly compels such a reading. If Congress meant to overcome the customary understanding that mens rea
requirements do not attach to jurisdictional elements, it would have
spoken much more clearly to that effect.
The stated purposes of the Act provide further support for this
view. As articulated by Congress, the principal goal of the Act is "to
restore and maintain the chemical, physical, and biological integrity
of the Nations waters." 33 U.S.C. 1251(a). This purpose would be
severely undermined if polluters could only be prosecuted for knowingly polluting the nations waters when the government could prove
they were aware of the facts conferring federal jurisdiction. Such a
blanket rule would be absurd in many cases, including the present
one. Coopers deliberate discharge of human sewage into running
waters is exhaustively recorded. He knew he was discharging sewage
into them, he knew his treatment facilities were inadequate, and he
knew he was acting without a permit. It seems unlikely that Congress
intended for culpability in such an instance to turn upon whether the
defendant was aware of the jurisdictional nexus of these acts, any
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more than, for example, Congress intended conviction of a felon-inpossession offense to turn upon the defendants knowledge of the
interstate travels of a firearm. See Langley, 62 F.3d at 606.
This conclusion squares with the Supreme Courts analysis of congressional intent as to jurisdictional elements in Feola. In that case,
the Court considered 18 U.S.C. 111, proscribing assault of a federal
officer. 420 U.S. at 672-73. The Court recognized the "federal officer" requirement as a jurisdiction-conferring element and went on to
consider whether it also functioned as a substantive element of the
offense that is, whether Congress intended for the statute to punish
only those defendants who were aware that their victims were federal
officers. See id. at 676 & n.9. The Court concluded that Congress
intended for the statute both to deter conduct intended to obstruct federal law enforcement activities and to protect federal law enforcement
officers to the fullest extent possible. See id. at 678-79. Given the statutes clear aims, the Court said, it "cannot be construed as embodying
an unexpressed requirement that an assailant be aware that his victim
is a federal officer. All the statute requires is an intent to assault, not
an intent to assault a federal officer." Id. at 684.
Just as Congress in 18 U.S.C. 111 intended to "accord[ ] maximum protection to federal officers," id., so Congress in the CWA
clearly intended to provide strong protection to the nations waterways. To attach a mens rea to the jurisdictional element would as
surely undermine Congress intent here as it would have in Feola. We
cannot broadly exempt environmental crimes from the longstanding
rule that mens rea requirements do not pertain to jurisdictional facts.
Such a blanket exception would not only be astonishingly broad, but
it would also suggest without objective basis that separate and less
stringent rules apply to environmental harms. Finding in the CWA a
broad exception to the general rule would be tantamount to assuming
that Congress, in creating criminal penalties for environmental degradation, did not really mean what it said.
The fact that Congress in the CWA expressed the additional goal
of "protect[ing] the primary responsibilities and rights of States to
prevent, reduce, and eliminate pollution" does not change the conclusion that Congress did not intend for the government to prove the
defendants jurisdictional knowledge. 33 U.S.C. 1251(b). Congress
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desire not to encroach upon the states is already captured by the governments uncontroverted burden of proving the existence of the jurisdictional facts. It would hardly further advance Congress concern for
states to impose the additional burden of proving an individuals
knowledge of those jurisdictional facts. In cases like this one, such a
requirement would in fact impede state interests. In the CWA, Congress expressed its respect for states role through a scheme of cooperative federalism that enables states to "implement . . . permit
programs" like the Virginia VPDES program. Id. In this case, Virginia DEQ officers worked with the EPA to achieve a shared goal: an
end to years of deleterious pollution. It would be odd if Congress
chose to further this shared goal by making it substantially more difficult to prosecute environmental crimes in even the most flagrant of
cases.
Our conclusion today is further supported by the fact that it hardly
encourages exceptionable or unfair prosecution. The Supreme Court
in Feola justified its interpretation of 111 by noting that it posed "no
snare for the unsuspecting:"
The situation is not one where legitimate conduct becomes
unlawful solely because of the identity of the individual or
agency affected. . . . The concept of criminal intent does not
extend so far as to require that the actor understand not only
the nature of his act but also its consequence for the choice
of a judicial forum.
420 U.S. at 685. "Criminal intent serves to separate those who understand the wrongful nature of their act from those who do not, but does
not require knowledge of the precise consequences that may flow
from that act once aware that the act is wrongful." United States v.
X-Citement Video, Inc., 513 U.S. 64, 73 n.3 (1994).
This case differs from United States v. Wilson, where the defendants were prosecuted under the CWA for knowingly discharging fill
material into a wetland without a permit. 133 F.3d at 253. In Wilson,
the defendants contended that they did not know that the parcels of
land into which they discharged material were, in fact, wetlands falling within the purview of the CWA; further, the defendants contended
that the Army Corps of Engineers, the body charged with issuing per-
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mits governing discharge of fill material into CWA-regulated wetlands, had doubts on the same issue. Id. at 255. Moreover, Maryland
law did "not appear" to outlaw the activity in question. Id. at 264 n.*.
Only in that limited context, did this court hold that the case was not
"governed by Feola" and so the government bore the burden of proving, among other things, "that the defendant was aware of the facts
establishing the required link between the wetland [into which he discharged the fill material] and waters of the United States." Id. at 264
& n.*.
In this case, there is no record of any confusion on the part of the
relevant federal agency as to whether the CWA applies. Moreover,
Coopers conduct discharging improperly treated human sewage
into a creek is most certainly a crime under Virginia law. Virginias State Water Control Law prohibits unpermitted discharge of sewage into "state waters," which are defined as "all water on the surface
and under the ground" that is wholly or partially within the Commonwealth. See Va. Code Ann. 62.1-44.3, -44.5. Knowing violation of
this prohibition constitutes a felony punishable by one to three years
imprisonment or a sentence of not more than twelve months and a
fine of $5,000 to $50,000 for each violation. See id. 62.1-44.32.
Thus, on the rationale of Wilson, this case is "governed by Feola."
133 F.3d at 264 n.*.
In sum, the creeks status as a "water of the United States" is simply a jurisdictional fact, the objective truth of which the government
must establish but the defendants knowledge of which it need not
prove. The language of the relevant statutes 33 U.S.C. 1311(a),
1319(c)(2)(A), 1362(7) the congressional intent that text plainly
reflects, as well as relevant precedent, all require this conclusion.
IV.
The government did, however, have to prove that Cooper knowingly discharged the sewage into the creek. See 33 U.S.C.
1319(c)(2)(A); Wilson, 133 F.3d at 264; Sinskey, 119 F.3d at 715;
Ahmad, 101 F.3d at 391; Hopkins, 53 F.3d at 541; Weitzenhoff, 35
F.3d at 1283-84. Cooper makes two contentions: that the government
failed to establish that Coopers lagoon discharge reached the creek
and that it failed to prove that Cooper knew that it did so. We review
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