United States v. Mumma
CourtCourt of Appeals for the Ninth Circuit
Date FiledOctober 20, 2026
Docket24-6987
StatusPublished
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Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 24-6987
D.C. No.
Plaintiff - Appellee,
1:20-cr-00168-
JLT-SKO-1
v.
TODD ERIC MUMMA, AKA Todd OPINION
E. Mumma, AKA Todd Arecksen,
AKA Todd Ericksen,
Defendant - Appellant.
Appeal from the United States District Court
for the Eastern District of California
Jennifer L. Thurston, District Judge, Presiding
Argued and Submitted December 3, 2025
San Francisco, California
Filed October 20, 2026
Before: Ryan D. Nelson, Daniel P. Collins, and Lawrence
VanDyke, Circuit Judges.
Opinion by Judge Collins
2 USA V. MUMMA
SUMMARY *
Criminal Law
In a case in which Todd Mumma was convicted and
sentenced for sexual exploitation of a minor in violation of
18 U.S.C. § 2251(a), the panel (1) affirmed the district
court’s denial of Mumma’s motion to dismiss the
indictment; (2) affirmed the district court’s “personal
forfeiture money judgment” in the amount of $160,000,
which represented the proceeds from the sale of Mumma’s
house where he committed the offense; and (3) vacated the
district court’s restitution order and remanded to the district
court to recalculate the amount of restitution.
Mumma argued that the district court erred in denying
his motion to dismiss the indictment. According to Mumma,
the indictment provided insufficient notice, because its
language was too barebones and failed to allege any specific
facts that would establish the elements of the charged
offense. The panel rejected this contention because the
indictment included the requisite jurisdictional allegation,
alleged each of the elements set forth in the statutory text,
and contained only the particular statutory alternatives that
were relevant to the facts of Mumma’s offense. The identity
of the victim need not be included in the indictment so long
as the indictment delineates the elements of the crime,
including any elements specifying what was done to the
victim. And the indictment was not deficient by failing to
describe, with specificity, the manner in which Mumma
“employed” or “used” a minor to engage in sexually explicit
*
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
USA V. MUMMA 3
conduct for purposes of producing a visual
depiction. Accordingly, the district court properly denied
Mumma’s motion to dismiss the indictment.
Mumma also contended that the district court committed
reversible error by failing to inquire, as assertedly required
by Federal Rule of Criminal Procedure 32.2(b)(5)(A),
whether the parties wanted the jury to determine the
forfeitability of Mumma’s house. The panel disagreed and
affirmed the forfeiture order.
• The panel did not need to decide whether Mumma
was correct in contending (1) that he had a right to a
jury trial on the issue of the forfeitability of
Mumma’s house and (2) that the district court erred
in failing sua sponte to inquire whether the parties
wanted the jury to determine that issue. The panel
concluded that, even assuming arguendo that
Mumma was correct on these points, any error was
harmless.
• The panel explained that the rationale set forth in in
Neder v. United States, 527 U.S. 1 (1999), for
applying harmless error analysis in a missing-
element case applies equally in this case in which the
jury decided all of the elements on the first
component of the forfeitability determination (that
Mumma was convicted of violating § 2251) but was
never instructed to make a finding as to the last
element (whether Mumma’s home was “used to
commit” the offense). The panel therefore applied
Neder’s harmless error standard, but with the more
forgiving standard for nonconstitutional errors on
direct appeal from federal convictions. Under this
standard, any error here was harmless because it was
4 USA V. MUMMA
uncontested and indisputable that, if Mumma
committed the offense, he used his home to do so.
Mumma also challenged the district court’s
determination of the amount of restitution. Mumma
contended, and the Government conceded, that the district
court made an apparent mathematical error in totaling up the
components of the restitutionary requests made by the
victim. The Government argued that any issue concerning
the calculation of the amount of restitution is moot because
Mumma has already paid the entire restitution award and it
has been disbursed to the victim. The panel explained that
the possibility that a ruling from this court that the amount
of restitution was overpaid would give Mumma an offset
against any damages that the victim might recover in her
pending civil suit against Mumma is enough to save this
issue from mootness. Accordingly, the panel vacated the
restitution order and remanded to the district court with
instructions to correct this mathematical error. The panel
also directed the district court on remand to clarify and
resolve a discrete issue concerning the victim’s temporary
housing expenses.
USA V. MUMMA 5
COUNSEL
McKenzie Hightower (argued), Trial Attorney; Child
Exploitation and Obscenity Section; Criminal Division; Josh
A. Goldfoot, Deputy Assistant Attorney General; Matthew
R. Galeotti, Acting Assistant Attorney General; United
States Department of Justice, Washington, D.C.; David L.
Gappa, Assistant United States Attorney; Kimberly A.
Sanchez, Acting United States Attorney; Office of the
United States Attorney, United States Department of Justice,
Fresno, California; Kevin C. Khasigian, Assistant United
States Attorney; Office of the United States Attorney, United
States Department of Justice, Sacramento, California; for
Plaintiff-Appellee.
Kevin P. Rooney (argued), Hammerschmidt Law
Corporation, Fresno, California, for Defendant-Appellant.
6 USA V. MUMMA
OPINION
COLLINS, Circuit Judge:
Defendant Todd Mumma appeals his conviction and
sentence for sexual exploitation of a minor in violation of 18
U.S.C. § 2251(a). After a jury found Mumma guilty of this
offense, the district court imposed a 252-month prison term
and ordered Mumma to pay restitution to the victim, M.V.,
in the amount of $71,200. The district court also entered a
“personal forfeiture money judgment” against Mumma in
the amount of $160,000, which represented the proceeds
from the sale of Mumma’s house, where he had committed
the offense. On appeal, we reject Mumma’s challenge to the
adequacy of the indictment, and we further conclude that any
error by the district court in failing to ask the parties whether
the forfeitability of Mumma’s house should be submitted to
the jury was harmless. We conclude, however, that at least
one of Mumma’s challenges to the calculation of the
restitution award is meritorious, and we therefore vacate the
restitution order and remand to the district court to
recalculate the amount of restitution in accordance with our
instructions. We therefore affirm in part, vacate in part, and
remand.
I
We begin by summarizing the trial evidence concerning
the offense conduct before then setting forth the procedural
history of the case.
A
For several years, Defendant Todd Mumma resided with
his then-wife and his two stepdaughters in a home in Fresno,
California. After being contacted by a private investigator
USA V. MUMMA 7
who turned over a memory card showing Mumma’s older
stepdaughter, M.V., being surreptitiously recorded in her
bedroom as she undressed, law enforcement agents obtained
a warrant to search Mumma’s home. The search, which
occurred on May 9, 2020, revealed that an iPhone-style
charger containing a hidden camera was plugged into the
wall under a table in M.V.’s bedroom. Forensic examination
of the memory card supplied by the private investigator, of
the charger/camera found in M.V.’s bedroom, and of various
other items obtained during the investigation (including
Mumma’s electronic devices) disclosed numerous videos
recorded by the hidden camera between 2017 and 2019.
These included multiple videos of M.V. undressing or
naked. On several occasions, the camera also captured
Mumma entering M.V.’s room to remove the device.
The forensic examination also revealed that Mumma had
organized the videos by labeling them “good” or “great,”
followed by numbers. The “great” clips showed M.V. “fully
nude or nude from the waist down,” and in the majority of
them, she was bending over. Mumma had also used the
video footage to create still images of M.V. in the nude. He
did this by pausing the “good” and “great” videos on his
computer and taking screenshots or pictures of the screen
that focused on M.V.’s pubic area or anus. Dozens of those
screenshots were saved in an application on Mumma’s
phone called “Private Calculator Free,” which outwardly
appeared to be an ordinary calculator app but in fact
functioned as a hidden media vault. The trial evidence
indicated that Mumma had repeatedly opened and viewed
the media-vault application on his phone.
8 USA V. MUMMA
B
On September 24, 2020, Mumma was indicted on a
charge of sexual exploitation of a minor in violation of 18
U.S.C. § 2251(a). 1 The indictment also included a forfeiture
allegation under 18 U.S.C. § 2253, seeking forfeiture of “any
property, real or personal, used or intended to be used to
commit or to promote the commission of” the charged
offenses, or “any property traceable to such property.” The
forfeiture allegation specifically alleged that, if “any
property subject to forfeiture” had been sold to a third party
by Mumma, then the Government was “entitled to forfeiture
of any other property of the defendant, up to the value of the
property subject to forfeiture, including but not limited to a
personal forfeiture money judgment.”
In November 2022, Mumma moved to dismiss the
indictment on the ground that it failed to provide adequate
notice of the charged offenses. The district court denied that
motion in a written order on January 20, 2023, concluding
that the indictment adequately “inform[ed] [Mumma] of the
essential elements of the offenses,” including by apprising
him of the approximate time and place of the alleged
misconduct, the nature of the conduct and “how it occurred,”
and the basis for federal court jurisdiction.
The case proceeded to a jury trial in March 2024. At no
point before the end of that trial did the district court ask
whether either party wished for the jury to consider the
forfeitability of any specific item of property, including
Mumma’s house (which allegedly had been used to commit
1
The indictment also charged Mumma with a second count, for allegedly
receiving a visual depiction of a minor engaging in sexually explicit
conduct in violation of 18 U.S.C. § 2252(a)(2). That charge, however,
was voluntarily dismissed by the Government before trial.
USA V. MUMMA 9
the charged offense and which had been sold by Mumma in
April 2022). For their part, neither the Government nor
Mumma requested that that the jury be instructed concerning
the forfeitability of any specific property, and neither the
jury instructions nor the verdict form addressed forfeiture.
The jury found Mumma guilty on the § 2251 count.
On September 24, 2024, the Government filed an
application for a “criminal money judgment for $410,000,”
which the Government contended was “an amount that is a
portion of the proceeds from the sales of the defendant’s
residence . . . and business . . .[,] since they were properties
that facilitated the defendant’s sexual exploitation of a
minor.” The Government noted that the home and business
had both been sold before trial. The district court initially
signed the Government’s proposed order of forfeiture two
days later, without hearing from Mumma. But, on Mumma’s
motion, the court promptly vacated that order and set a
briefing schedule to address the subject of forfeiture. In his
subsequent opposition to the Government’s forfeiture
request, Mumma argued, inter alia, that he had not validly
waived his right, under Federal Rule of Criminal Procedure
32.2(b), to a jury trial on the forfeitability of his house and
business. In particular, Mumma argued that Rule
32.2(b)(5)(A) required the district court affirmatively to
inquire whether the issue of forfeitability should be
submitted to the jury, and that the court’s failure to do so
meant that Mumma’s rule-based right to a jury trial on that
issue had not been validly waived.
In November 2024, Mumma was sentenced to 252
months in prison, followed by 10 years of supervised release.
The district court also imposed a forfeiture money judgment
in the amount of $160,000, representing only the proceeds
from the sale of Mumma’s residence, where the offense had
10 USA V. MUMMA
taken place. Finally, as relevant here, the district court
ordered Mumma to pay $71,200 in restitution to M.V.
Mumma timely appealed. We have jurisdiction under 28
U.S.C. § 1291 and 18 U.S.C. § 3742(a).
II
Mumma argues that the district court erred in denying
his motion to dismiss the indictment. According to Mumma,
the indictment provided insufficient notice, because its
language was too barebones and failed to allege any specific
facts that would establish the elements of the charged
offense. 2 Reviewing the sufficiency of an indictment de
novo, see United States v. Kaplan, 836 F.3d 1199, 1216 (9th
Cir. 2016), we reject this contention.
An “indictment is sufficient if it, first, contains the
elements of the offense charged and fairly informs a
defendant of the charge against which he must defend, and,
second, enables him to plead an acquittal or conviction in bar
of future prosecutions for the same offense.” Hamling v.
United States, 418 U.S. 87, 117 (1974); see also FED. R.
CRIM. P. 7(c)(1) (“The indictment . . . must be a plain,
concise, and definite written statement of the essential facts
constituting the offense charged.”). We have stated that, for
both indictments and informations, “employing the statutory
language alone . . . is quite common and entirely permissible
so long as the statute sets forth fully, directly and clearly all
essential elements of the crime to be punished.” United
2
Mumma thus has not contended that his underlying conduct in placing
a hidden camera in his stepdaughter’s bedroom does not fall within the
scope of the offense defined in § 2251(a). Rather, his challenge to the
indictment rests solely on the contention that insufficient factual details
about the underlying conduct were included in the text of the indictment,
thereby providing inadequate notice.
USA V. MUMMA 11
States v. Woodruff, 50 F.3d 673, 676 (9th Cir. 1995) (citation
omitted). Accordingly, “[i]n cases where the indictment
tracks the words of the statute charging the offense, the
indictment will be held sufficient so long as the words
unambiguously set forth all elements necessary to constitute
the offense.” United States v. Davis, 336 F.3d 920, 922 (9th
Cir. 2003) (simplified).
Here, Mumma’s indictment closely tracked the relevant
statutory language, and it included all of the relevant
elements set forth in § 2251. Specifically, count one of the
indictment charged as follows:
[B]eginning on an unknown date no later than
in approximately May 2017, and continuing
through approximately April 19, 2020, in the
County of Fresno, State and Eastern District
of California, [Defendant Mumma] did
knowingly employ and use a minor to engage
in any sexually explicit conduct for the
purpose of producing any visual depiction of
such conduct, and the visual depiction was
produced or transmitted using materials that
had been mailed, shipped, or transported in or
affecting interstate or foreign commerce by
any means, including by computer, and
attempted to do so, all in violation of Title 18,
United States Code, Sections 2251(a) and (e).
As relevant here, § 2251(a) states that, if the federal
jurisdictional predicate is satisfied, it is an offense to
“employ[], use[], persuade[], induce[], entice[], or coerce[]
any minor to engage in . . . any sexually explicit conduct for
the purpose of producing any visual depiction of such
12 USA V. MUMMA
conduct.” 18 U.S.C. § 2251(a). 3 Mumma’s indictment
includes the requisite jurisdictional allegation, and it also
alleges each of the elements set forth in the statutory text.
Moreover, while the statute lists a number of alternative
ways in which the offense can be committed or the federal
jurisdictional predicate satisfied, the indictment’s language
here notably contains only those particular alternatives that
are relevant to the facts of Mumma’s offense. Thus,
consistent with the surreptitious nature of Mumma’s
underlying conduct, the indictment charges only that
Mumma “employ[ed]” and “use[d]” a minor to engage in
3
In full, § 2251(a) provides:
Any person who employs, uses, persuades, induces,
entices, or coerces any minor to engage in, or who has
a minor assist any other person to engage in, or who
transports any minor in or affecting interstate or
foreign commerce, or in any Territory or Possession of
the United States, with the intent that such minor
engage in, any sexually explicit conduct for the
purpose of producing any visual depiction of such
conduct or for the purpose of transmitting a live visual
depiction of such conduct, shall be punished as
provided under subsection (e), [1] if such person
knows or has reason to know that such visual depiction
will be transported or transmitted using any means or
facility of interstate or foreign commerce or in or
affecting interstate or foreign commerce or mailed,
[2] if that visual depiction was produced or transmitted
using materials that have been mailed, shipped, or
transported in or affecting interstate or foreign
commerce by any means, including by computer, or
[3] if such visual depiction has actually been
transported or transmitted using any means or facility
of interstate or foreign commerce or in or affecting
interstate or foreign commerce or mailed.
18 U.S.C. § 2251(a) (brackets added).
USA V. MUMMA 13
sexually explicit conduct for the purpose of producing a
visual depiction, and not that Mumma had sought, for
instance, to “entice[] or coerce[]” a minor into posing for
such a recording. 18 U.S.C. § 2251(a). As to the
jurisdictional element, the statute contains three alternatives
(set forth in three separate clauses, each beginning with “if,”
see supra note 3), and the indictment relies only on the
second of these three alternatives, namely the theory that any
“visual depiction” created during the offense “was produced
or transmitted using materials that have been mailed,
shipped, or transported in or affecting interstate or foreign
commerce.” In addition, the indictment also alleged that the
offense occurred in Fresno County, and it specified the
approximately 35-month period over which the offense
conduct occurred. These allegations were sufficient under
the standards set forth above. See Woodruff, 50 F.3d at 676–
77.
Mumma’s arguments to the contrary are unavailing. He
asserts that the indictment was deficient because it did not
identify the referenced “minor” victim, but we have held that
the identity of the victim of a crime need not be included in
the indictment so long as the indictment “delineate[s] the
elements of the crime,” including any elements specifying
what was done to the victim. United States v. Morlan, 756
F.2d 1442, 1444–45 (9th Cir. 1985) (holding that, where the
indictment stated that a bank robber assaulted bank
“employees” and a “bank teller,” an assault charge in
violation of 18 U.S.C. § 2113(a) and (d) was properly
alleged, even though no particular employees or tellers were
named in the indictment).
Nor was the indictment deficient by failing to describe,
with specificity, the manner in which Mumma “employed”
or “used” a minor to engage in sexually explicit conduct for
14 USA V. MUMMA
purposes of producing a visual depiction. 18 U.S.C.
§ 2251(a). In contrast to United States v. Hillie, 227 F. Supp.
3d 57 (D.D.C. 2017), on which Mumma heavily relies, the
sole remaining count in the indictment here alleged a single
charge focused on a single theory—namely, that Mumma
had “used” or “employed” a minor in the prohibited manner
during the relevant time period. See id. at 72 (noting that, in
Hillie, the overlapping allegations between the various
counts, each of which incorporated all of the statutes’
alternative forms of committing the offenses in generic
terms, made “it impossible to discern—and therefore to
distinguish between—the conduct underlying each separate
count”). And to the extent that Hillie suggests that reliance
on statutory terms such as “use” is insufficiently specific in
the context of a § 2251(a) charge, id. at 74–75, we disagree.
Given the nature of the charged conduct at issue—using a
minor to engage in sexually explicit conduct for the purpose
of producing a visual depiction of that conduct—this is not
the sort of offense for which distinguishing culpable conduct
from innocent conduct “depend[s] . . . crucially upon such a
specific identification of fact,” such that, for notice purposes,
there might be a “special need for particularity in charges
brought under” the statute. United States v. Resendiz-Ponce,
549 U.S. 102, 110 (2007) (simplified). This case instead
falls within the general rule that “an indictment parroting the
language of a federal criminal statute is often sufficient.” Id.
at 109.
Accordingly, we conclude that the district court properly
denied Mumma’s motion to dismiss the indictment.
III
Mumma also contends that the district court committed
reversible error by failing to inquire, as assertedly required
USA V. MUMMA 15
by Federal Rule of Criminal Procedure 32.2(b)(5)(A),
whether the parties wanted the jury to determine the
forfeitability of Mumma’s house. We disagree and affirm
the district court’s forfeiture order. 4
A
Under 18 U.S.C. § 2253, “[a] person who is convicted of
an offense under this chapter involving a visual depiction
described in section 2251 . . . of this chapter . . . shall forfeit
to the United States such person’s interest in,” inter alia,
“any property, real or personal, used or intended to be used
to commit or to promote the commission of such offense or
any property traceable to such property.” Id. § 2253(a)(3).
Forfeitures under this provision are subject to “Section 413
of the Controlled Substances Act (21 U.S.C. 853) with the
exception of subsections (a) and (d),” id. § 2253(b), which
means that, for any forfeitable property that has been sold by
the defendant to a third party, “the court shall order the
forfeiture of any other property of the defendant, up to the
value” of that forfeitable property, 21 U.S.C. § 853(p)(1),
(2). 5
4
Mumma also argues, for preservation purposes only, that he had a
constitutional right to have the jury make the forfeitability determination.
As Mumma acknowledges, controlling precedent dictates that “the right
to a jury verdict on forfeitability does not fall within the Sixth
Amendment’s constitutional protection.” Libretti v. United States, 516
U.S. 29, 49 (1995); see also United States v. Phillips, 704 F.3d 754, 769–
70 (9th Cir. 2012).
5
The actual wording of § 413(p) states that its substitute-property rule
applies to “any property described in subsection (a)” that is sold by the
defendant to a third party. 21 U.S.C. § 853(p)(1). The fact that
“subsection (a)” of § 413 does not apply to forfeitures under § 2253(a)
does not mean that § 413(p)’s substitute-property rule therefore does not
apply here. Congress specified that only subsections (a) and (d)—which
16 USA V. MUMMA
The procedures governing forfeiture in federal criminal
proceedings are set forth in Federal Rule of Criminal
Procedure 32.2. In any case in which the requisite forfeiture
notice has been included in the indictment, the district court
“must determine,” “[a]s soon as practical after a verdict or
finding of guilty,” “what property is subject to forfeiture
under the applicable statute.” FED. R. CRIM. P.
32.2(b)(1)(A). “If the government seeks forfeiture of
specific property, the court must determine whether the
government has established the requisite nexus between the
property and the offense.” Id. “If the government seeks a
personal money judgment, the court must determine the
amount of money that the defendant will be ordered to pay.”
Id.
As to the manner in which the court must make this
determination, Rule 32.2 draws a distinction between cases
involving “the forfeitability of specific property” and those
involving only a money judgment. Specifically, the rule
respectively (1) describe the scope of forfeiture under the drug laws and
(2) establish a rebuttable presumption applicable to certain alleged
proceeds of drug trafficking—would not apply to forfeitures under
§ 2253(a); it did not likewise carve out subsection (p). Section 2253(b)
should thus be understood as incorporating the substitute-property
authority in § 413(p) into the child pornography context, such that the
same rule that § 413(p) applies to forfeitures under § 413(a) also applies,
mutatis mutandis, to forfeitures under § 2253(a). We therefore reject the
Government’s suggestion that § 413(p)’s reference to subsection (a)
should instead be understood as effectively undoing Congress’s
exclusion of § 413(a), such that the drug laws’ differently-described
scope of forfeiture set forth in subsection (a) would be made applicable
to child pornography cases involving substitute property. Congress
pointedly did not incorporate the drug laws’ scope-of-forfeiture
provision into § 2253(b), and it would make no sense to read § 2253(b)’s
incorporation of the substitute-property authority in § 413(p) as undoing
that express exclusion.
USA V. MUMMA 17
provides that, “[i]n any case tried before a jury, if the
indictment . . . states that the government is seeking
forfeiture, the court must determine before the jury begins
deliberating whether either party requests that the jury be
retained to determine the forfeitability of specific property if
it returns a guilty verdict.” FED. R. CRIM. P. 32.2(b)(5)(A)
(emphasis added). If a party elects to have the jury
determine forfeitability, then a verdict form is to be prepared
“listing each property subject to forfeiture and asking the
jury to determine whether the government has established
the requisite nexus between the property and the offense
committed by the defendant.” FED. R. CRIM. P.
32.2(b)(5)(B). The rule contains no such comparable jury
trial right for the other type of forfeiture determination listed
in the rule, namely, the determination of the amount of
money to be paid when “the government seeks a personal
money judgment.” FED. R. CRIM. P. 32.2(b)(1)(A).
After the Government filed its post-trial request for a
forfeiture determination based on the moneys realized by
Mumma from the sale of his home and business, Mumma
objected on the ground that he had a right to a jury
determination of the forfeitability of his home and business
and that the court had failed to make the requisite inquiry,
before the close of the trial, whether any party wanted the
jury to determine the forfeitability of those specific items of
property. The district court ultimately rejected this
argument, concluding that Mumma had no jury trial right
and that, even if he did, the court’s failure to make any
inquiry of the parties on that score should be disregarded.
The court, however, decided to order forfeiture only of the
proceeds from the sale of Mumma’s home and not of his
business.
18 USA V. MUMMA
On appeal, Mumma renews his argument that, because
the sole forfeiture in this case was based on the premise that
his home had been “used to commit” the offense, 18 U.S.C.
§ 2253(a)(3), he was entitled under Rule 32.2 to a jury
determination of “the forfeitability of [that] specific
property,” FED. R. CRIM. P. 32.2(b)(5)(A), and that the jury
therefore should have determined “whether the government
ha[d] established the requisite nexus between th[at] property
and the offense committed by [Mumma],” FED. R. CRIM. P.
32.2(b)(5)(B). Mumma also argues that reversal is required,
because the district court conceded that, if Mumma had a
jury trial right, the court had “fail[ed] to inquire as to whether
Mr. Mumma intended to waive his right related to any jury
determination as to forfeiture,” as required by the rule. See
FED. R. CRIM. P. 32.2(b)(5)(A) (“[T]he court must determine
before the jury begins deliberating whether either party
requests that the jury be retained to determine the
forfeitability of specific property if it returns a guilty
verdict.” (emphasis added)); id., advis. comm. note (2009
amend.) (stating that this court-inquiry requirement was
added “to avoid an inadvertent waiver of the right to a jury
determination”).
In response, the Government contends that, because the
ultimate relief sought here was simply a “personal money
judgment” and not an order forfeiting “specific property,”
FED. R. CRIM. P. 32.2(b)(1)(A), the district court correctly
held that there was no right to a jury determination of
forfeitability under the rule, regardless of whether the
underlying basis of the requested money judgment was that
a “specific property” was forfeitable as an instrumentality.
And although the Government did not raise the issue in its
answering brief, it also contended at oral argument that no
jury trial right existed here for the alternative reason that the
USA V. MUMMA 19
forfeiture in this case fell within the district court’s authority
under Rule 32.2(e)(1)(B) to “enter” or “amend” an order of
forfeiture to “include” the home-sale proceeds as “substitute
property,” even though there was no prior forfeiture
determination as to which that substitute property could be
“include[d].” FED. R. CRIM. P. 32.2(e)(1)(B); see also FED.
R. CRIM. P. 32.2(e)(3) (“There is no right to a jury trial under
Rule 32.2(e).”). Finally, the Government argues that, even
if the district court violated Rule 32.2’s obligation to inquire
about a jury determination of forfeitability, any failure to
follow this “time-related directive” does not deprive the
district court of authority to order forfeiture and should
therefore be deemed to be harmless. See United States v.
Williams, 720 F.3d 674, 701 & n.21 (8th Cir. 2013).
We ultimately need not decide whether Mumma is
correct in contending (1) that he had a right to a jury trial on
the issue of the forfeitability of Mumma’s house and (2) that
the district court erred in failing sua sponte to inquire
whether the parties wanted the jury to determine that issue.
As we explain in the next section, even assuming arguendo
that Mumma is correct on these points, we conclude that any
error was harmless, although our reasoning differs from that
given by the district court and the Government.
B
We have expressly held that a district court’s “fail[ure]
to follow the procedure outlined in Rule 32.2(b)(5)(A)” is
subject to harmless error review. United States v. Mancuso,
718 F.3d 780, 799 (9th Cir. 2013); see also FED. R. CRIM. P.
52(a). As noted, we conclude that any error here was
harmless.
In Mancuso, we faced a nearly identical fact pattern in
which the Government sought forfeiture of the proceeds of
20 USA V. MUMMA
the sale of the defendant’s home, which the Government
contended was forfeitable because the home had been used
to commit the relevant offense. Mancuso, 718 F.3d at 798–
99. Without discussing the merits of any underlying issue
concerning whether the defendant had a right to a jury trial
on the forfeitability of his home under the rule, we
nonetheless stated that “the government properly concedes
that the district court failed to follow the procedure outlined
in Rule 32.2(b)(5)(A),” but we also concluded “that any
error was harmless.” Id. at 799. In explaining why the error
was harmless in that case, we noted that the record
affirmatively made clear that the defendant was not
requesting a jury trial on the forfeitability issue, inasmuch as
defense counsel at one point affirmatively stated on the
record that she “understood” that the issue of forfeitability
would be determined by the court rather than the jury. Id. at
788, 799. Mumma contends that such on-the-record
evidence of the defendant’s position is the only circumstance
in which a failure to inquire may be found to be harmless,
but nothing in Mancuso or in the law supports that view.
On the contrary, we conclude that, even assuming that
Mumma would have chosen a jury if asked and that the
asserted violation of the court’s rule-based obligation to
inquire therefore had the effect of denying Mumma his
asserted right to a jury trial under the rule, any error may still
be harmless. The resulting scenario, in our view, is directly
analogous to the situation in which the court fails to include
an element of an offense in the jury instructions, such that
the jury never makes a finding as to that element. The
Supreme Court has squarely held that such errors are
amenable to harmless error analysis, see Neder v. United
States, 527 U.S. 1 (1999), and its reasoning is fully
applicable here.
USA V. MUMMA 21
In Neder, the district court failed to submit the element
of materiality to the jury in its instructions describing the
elements of the offenses of mail, wire, and bank fraud and
the offense of filing false tax returns. 527 U.S. at 6. On
appeal, the parties agreed that materiality was an element of
the tax charges that should have been included in the
instructions, and the Supreme Court ultimately held that
materiality was also an element of the mail, wire, and bank
fraud charges and should likewise have been submitted to
the jury. Id. at 8, 20. But the Court nonetheless held that the
resulting failure to submit this element to the jury was
subject to harmless error analysis. Id. at 19–20, 25. As the
Court explained, instructional error concerning the
applicable substantive law “differs markedly from the
constitutional violations [the Court] ha[s] found to defy
harmless-error review.” Id. at 8. In contrast to the
“structural” errors that the Court has previously recognized,
such as the “complete denial of counsel,” a “biased trial
judge,” “denial of [a] public trial,” or a “defective
reasonable-doubt instruction,” “an instruction that omits an
element of the offense does not necessarily render a criminal
trial fundamentally unfair or an unreliable vehicle for
determining guilt or innocence.” Id. at 8–9. The Court
therefore held that harmless error analysis applies in a
missing-element case, just as it would in a case involving an
incorrectly described element. Id. at 9–10.
Having held that harmless error review applies in a
missing-element case, Neder, 527 U.S. at 15, the Neder
Court then proceeded to set forth the standard for
determining whether such an error was harmless. The Court
held that a failure to instruct the jury as to an element of the
offense is harmless if it is “clear beyond a reasonable doubt
that a rational jury would have found the defendant guilty
22 USA V. MUMMA
absent the error.” Id. at 18. For example, the Court
explained, if, after a “thorough examination of the record,”
“a reviewing court concludes beyond a reasonable doubt that
the omitted element was uncontested and supported by
overwhelming evidence, such that the jury verdict would
have been the same absent the error,” the error is harmless.
Id. at 17, 19. By contrast, “for example, where the defendant
contested the omitted element and raised evidence sufficient
to support a contrary finding—[a reviewing court] should
not find the error harmless.” Id. at 19.
The Court proceeded to apply that standard to the tax
charges in Neder, and it concluded that the failure to instruct
the jury as to materiality with respect to those charges was
indeed harmless. 6 The Court emphasized that Neder “did
not contest the element of materiality at trial” and did not
“suggest [on appeal] that he would introduce any evidence
bearing upon the issue of materiality if so allowed”; indeed,
he did not argue to the Court “that his false statements of
income could be found immaterial.” Neder, 527 U.S. at 15–
16. Moreover, the evidence at trial showed that Neder had
falsely failed to report over $5 million in income, and the
Court held this evidence “incontrovertibly establishes that
Neder’s false statements were material to a determination of
his income tax liability.” Id. at 16. Because the Court
“conclude[d] beyond a reasonable doubt that the omitted
element was uncontested and supported by overwhelming
evidence, such that the jury verdict would have been the
6
The court of appeals in Neder had only addressed the harmlessness
issue as to the tax charges, because it held that materiality was not an
element of the mail, wire, and bank fraud charges. 527 U.S. at 6–7. After
the Supreme Court reversed that latter ruling, it remanded those counts
to the court of appeals for it to apply Neder’s harmless error standards to
those charges in the first instance. Id. at 7, 25.
USA V. MUMMA 23
same absent the error,” the failure to submit the issue of
materiality to the jury was harmless. Id. at 17.
Neder’s rationale for applying harmless error analysis in
a missing-element case applies equally here. Under the
relevant forfeiture provisions, as applicable here, the
forfeitability of Mumma’s house—which is the issue that
Mumma states should have been submitted to the jury—
requires (1) that Mumma be convicted of violating § 2251;
and (2) that Mumma’s house was “used or intended to be
used to commit” that offense. 18 U.S.C. § 2253(a)(3). The
jury decided all of the elements on the first component of
this forfeitability determination, but it was never instructed
to make a finding as to the last element, namely, whether
Mumma’s home was “used to commit” the offense. This is
thus not a situation in