United States v. Le
CourtCourt of Appeals for the Ninth Circuit
Date FiledOctober 15, 2026
Docket23-1814
StatusPublished
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Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 23-1814
Plaintiff - Appellee, D.C. No.
8:20-cr-00002-
v. DOC-1
HOANG XUAN LE, AKA Wayne, OPINION
AKA Wangsta,
Defendant - Appellant.
Appeal from the United States District Court
for the Central District of California
David O. Carter, District Judge, Presiding
Argued and Submitted June 24, 2026
Pasadena, California
Filed October 15, 2026
Before: Michelle T. Friedland, Danielle J. Forrest, and
Roopali H. Desai, Circuit Judges.
Opinion by Judge Friedland
2 USA V. LE
SUMMARY *
Criminal Law
The panel vacated Hoang Xuan “Wayne” Le’s
convictions for first-degree murder, conspiracy to commit
murder, and possession of a firearm in furtherance of
murder, and remanded for further proceedings.
Le, co-Defendant Sheila Marie Ritze, and James Dao set
out from Dana Point Harbor in Southern California on what
Dao believed would be a lobster-fishing trip. When the boat
returned, Dao was not with Le and Ritze. The Oceanside
Police Department Harbor Unit recovered Dao’s body
floating in the ocean. Dao had drowned and had sustained
two gunshot wounds and blunt force trauma. An analysis of
cell phone location data revealed that the trip likely went no
further than three nautical miles from the shore.
Le argued that the federal government lacked
jurisdiction to prosecute him because Dao’s death occurred
within three nautical miles off the coast of California, an area
that he contended is within the state’s exclusive
jurisdiction. The panel disagreed and held that, under
section 901(a) of the Antiterrorism and Effective Death
Penalty Act of 1996, the special maritime and territorial
jurisdiction of the United States includes the first three
nautical miles from the shoreline.
Le further argued that a new trial is warranted because
the district court violated the Sixth Amendment when it
*
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. LE 3
replaced a juror during deliberations for reasons stemming
from the juror’s views on the merits of the case. The district
court concluded that the juror’s mental health concerns
constituted distinct, independent grounds for dismissal.
The panel assumed without deciding that the plain error
standard applies because, even under that demanding
standard, Le’s challenge succeeds. Under the plain error
standard, Le must show (1) an error, (2) that is clear or
obvious, (3) that affected his substantial rights, and (4) that
seriously affects the fairness, integrity, or public reputation
of judicial proceedings.
The panel first addressed whether Le had demonstrated
error. Under United States v. Symington, 195 F.3d 1080
(9th Cir. 1999), dismissal of a juror is appropriate only if the
available evidence is “sufficient to leave one firmly
convinced that the impetus for a juror’s dismissal is
unrelated to [his or her] position on the merits.” The panel
was left far from “firmly convinced,” given that the juror in
this case directly confirmed, in response to the district
court’s questioning, that her mental health crisis was based
on pressure from other jurors to reach a specific verdict, and
the rest of the record bolsters the conclusion that the juror’s
removal stemmed from her view of the merits. Faced with a
juror whose distress both stemmed from her view of the
prosecution’s case and was severe enough to preclude her
from continuing to deliberate, caselaw instructs that the only
constitutionally permissible path forward was to declare a
mistrial; replacement of the juror was not among the
permissible options.
Having determined that the removal of the juror without
declaring a mistrial constituted error, the panel held that the
remaining prongs of plain error review were also satisfied.
4 USA V. LE
Rejecting the government’s contention that Le waived
his ability to raise the juror-removal issue on appeal, the
panel concluded that a defendant cannot waive a challenge
to a juror’s removal when the removal violates Symington
and runs afoul of the Sixth Amendment’s unanimity
guarantee. In light of the panel’s holding that the record
reflects a reasonable possibility that the juror’s removal
stemmed from her views on the merits and thus violated
Symington, the panel held that Le’s consent to the juror’s
removal did not foreclose the panel’s review of the Sixth
Amendment error.
COUNSEL
Davina T. Chen (argued), Law Office of Davina T. Chen,
Los Angeles, California; Craig Wilke, Law Office of Craig
Wilke, Fullerton, California; for Defendant-Appellant.
Rajesh R. Srinivasan (argued) and Daniel G. Boyle,
Assistant United States Attorneys; Christina T. Shay,
Assistant United States Attorney, Chief, Criminal Division;
Bilal A. Essayli, Acting United States Attorney; Office of
the United States Attorney, Los Angeles, California;
Gregory S. Scally, Assistant United States Attorney, Deputy
Chief, Orange County Office; Office of the United States
Attorney, Santa Ana, California; for Plaintiff-Appellee.
USA V. LE 5
OPINION
FRIEDLAND, Circuit Judge:
After local fishermen alerted law enforcement that they
had encountered a corpse floating in the Pacific Ocean, the
Oceanside Police Department recovered the body of Tri
Minh “James” Dao. Dao had drowned after suffering two
gunshot wounds and blunt force trauma to the head. A jury
convicted Defendant Hoang Xuan “Wayne” Le of first-
degree murder, conspiracy to commit murder, and
possession of a firearm in furtherance of murder, for his role
in Dao’s death, under 18 U.S.C. § 1111, § 1117, and
§ 924(c) respectively. Le now appeals his convictions. He
first argues that the federal government lacked jurisdiction
to prosecute him because Dao’s death occurred within three
nautical miles off the coast of California, an area that he
contends is within the state’s exclusive jurisdiction. He
further argues that, even if the federal government did have
jurisdiction to prosecute him, a new trial is warranted
because the district court violated the Sixth Amendment
when it replaced a juror during deliberations for reasons
stemming from the juror’s views on the merits of the case.
We hold that, under section 901(a) of the Antiterrorism
and Effective Death Penalty Act of 1996, the special
maritime and territorial jurisdiction of the United States
includes the first three nautical miles from the shoreline.
Nonetheless, we vacate Le’s convictions because the
replacement of the juror occurred for reasons stemming from
the juror’s views on the merits and therefore violated
unwaivable Sixth Amendment protections.
6 USA V. LE
I.
A.
Late one night in October 2019, Wayne Le, co-
Defendant Sheila Marie Ritze, and James Dao set out from
Dana Point Harbor in Southern California on what Dao
believed would be a lobster-fishing trip. When the boat
returned, Dao was not with Le and Ritze. The Oceanside
Police Department Harbor Unit soon recovered Dao’s body
floating in the ocean. Dao had drowned and had sustained
two gunshot wounds and blunt force trauma. Neither Le nor
Ritze reported Dao’s death to law enforcement.
An analysis of cell phone location data revealed that the
trip likely went no further than three nautical miles from the
shore.
B.
After an investigation, the federal government charged
Le with murder, 18 U.S.C. § 1111; conspiracy to commit
murder, 18 U.S.C. § 1117; and possession, use, and
discharge of a firearm in relation to a crime of violence, 18
U.S.C. § 924(c). 1 The operative indictment alleged that the
crime occurred “in the Pacific Ocean off the coast of Orange
County, California, a place within the special maritime and
territorial jurisdiction of the United States, that is, the high
seas and the territorial sea of the United States.”
The parties asked the district court to rule on whether
California’s territorial waters—that is, the first three nautical
miles off the shoreline—fall within the special maritime and
1
Ritze was convicted of second-degree murder for her role in Dao’s
death. We resolve Ritze’s appeal in a concurrently filed memorandum
disposition.
USA V. LE 7
territorial jurisdiction of the United States. Given the
cellphone location data from the boating trip, the
Government conceded that “it cannot prove beyond a
reasonable doubt that the alleged murder was committed
more than three nautical miles from the California shore.”
For that reason, the parties stipulated that, if the first three
nautical miles from the shoreline are outside the special
maritime and territorial jurisdiction of the United States, the
murder, conspiracy to commit murder, and firearm charges
“should be dismissed for lack of jurisdiction.”
The district court concluded that the Antiterrorism and
Effective Death Penalty Act of 1996, Pub. L. No. 104-132,
§ 901(a), 110 Stat. 1214, 1317, brought the entire first twelve
miles from the coastline within the special maritime and
territorial jurisdiction of the United States for purposes of
Title 18 crimes, so the court declined to dismiss.
C.
Le proceeded to trial on the three counts against him.
The central factual dispute at trial was whether Le acted with
premeditation, or whether he shot Dao in self-defense. The
Government advanced a theory that Le had lured Dao onto
the boat to kill Dao with a motive of recovering the proceeds
of Dao’s life insurance policy from his widow to cover debts
he owed Le. But Le testified that, while on the boat, Dao
asked to borrow money and, when Le refused, Dao became
agitated and the two engaged in a struggle during which Dao
was shot twice by his own gun. On Le’s telling, Dao fell
overboard during the struggle, and Le and Ritze departed
from the scene, declining to alert the authorities because they
were afraid. At the end of a 12-day trial, the district court
instructed the jury on first- and second-degree murder,
voluntary and involuntary manslaughter, and self-defense.
8 USA V. LE
The district court further instructed the jury that, to
convict Le, it had to find beyond a reasonable doubt that the
crime occurred “within the special maritime and territorial
jurisdiction of the United States of America.” The district
court stated that such jurisdiction “includes the territorial sea
of the United States, from the mean low tide point on the
shore extending seaward to twelve miles offshore.”
After more than three full days of deliberations, the
foreperson notified the court that one juror, BJR, was unable
to continue. The foreperson sent the court a jury note that
stated: “One of the jurors is unable to continue. She cannot
make a decision. To quote ‘I can’t do this.’ She would like
to be excused, but the rest of the jury would like to continue
to deliberate with an alternate if necessary.” BJR then
submitted a personal note stating that the deliberations had
put her mental health in a dangerous position. Her note
stated:
I am asking to be excused from further
deliberation. My experience in the jury
deliberations has put my mental health into a
position that has become dangerous to me.
At this point, I am unable to continue to
subject myself to this and I need to protect my
mental health.
After soliciting input from both the defense and the
Government, the court decided to question BJR about her
position. The parties and the court worked together to draft
questions that could identify the source of BJR’s distress
without revealing the status of jury deliberations. In
response, BJR confirmed that the “worsening of [her] mental
health” was “based on pressure from other jurors to reach a
USA V. LE 9
specific verdict.” She was unable to answer whether she was
physically or mentally incapable of reaching any decision
without revealing privileged information about the jury’s
internal deliberations or discussions.
The court initially declined to excuse BJR and re-
instructed the jury on its duty to deliberate. Shortly after
deliberations began again, the foreperson sent another note
reporting that BJR had expressed thoughts of self-harm in
order to be removed from the process. That note stated:
[BJR] is extremely stressed and has informed
us she will not be capable of any further
deliberation. She’s indicated that she has had
thoughts of hurting herself in order to be
removed from this process. She presents
clearly as distressed and in crisis. The rest of
the jurors would like to continue with the
deliberation process, but are unable to due to
her inability to go on with the processes.
There’s a concern that her vote does not
represent the result of a complete and
comprehensive deliberation, but rather a way
to remove herself from a process that is
causing her extreme stress and potentially
causing harm to her mental health.
After further discussion with the parties, the court had
the following exchange with BJR:
THE COURT: We received a note informing
us that you will not be capable of any further
deliberation; is that true? Yes or no?
[BJR]: Yes.
10 USA V. LE
THE COURT: All right. We’ve received a
note informing us that you’ve had thoughts of
hurting yourself to be removed from this
process; is that true?
[BJR]: Yes.
The parties jointly agreed to excuse her. The court dismissed
BJR, offering access to confidential counseling services.
The court then seated an alternate juror. After less than a full
day of deliberations, the newly constituted jury returned a
verdict of guilty on all three counts. The district court
sentenced Le to life in prison. Le timely appealed,
challenging both the federal government’s jurisdiction and
BJR’s removal.
II.
We review statutory interpretation questions, including
those affecting jurisdiction, de novo. United States v. Corey,
232 F.3d 1166, 1170 (9th Cir. 2000); Gonzalez v. Herrera,
151 F.4th 1076, 1080 (9th Cir. 2025). We review forfeited
claims for plain error. United States v. Depue, 912 F.3d
1227, 1232-33 (9th Cir. 2019) (en banc). If a defendant
waives a claim, that precludes our review of the claim
altogether. Id.
III.
A.
We begin our analysis with some background on the
development of the federal government’s jurisdiction over
crimes at sea. In 1793, President George Washington first
claimed a three-nautical-mile territorial sea—that is, the sea
over which the United States claims sovereignty. See
Argentine Republic v. Amerada Hess Shipping Corp., 488
USA V. LE 11
U.S. 428, 441 n.8 (1989); Legal Issues Raised by Proposed
Presidential Proclamation to Extend the Territorial Sea, 12
Op. O.L.C. 238, 239 n.2, 241 (1988).
States have traditionally exercised criminal jurisdiction
over that three-nautical-mile territorial sea. See, e.g.,
Manchester v. Massachusetts, 139 U.S. 240, 263–65 (1891)
(holding that the State of Massachusetts could exercise
criminal jurisdiction over a fishing offense that occurred
within three nautical miles of its shoreline). Accordingly, it
has long been understood that the State of California may
prosecute crimes committed on the oceanwaters that lie
within three nautical miles of its shoreline. See, e.g., People
v. Weeren, 26 Cal. 3d 654, 660–66 (1980) (explaining that
California’s criminal jurisdiction includes the three nautical
miles from its shoreline, and uses English nautical miles not
standard nautical miles); People v. Stralla, 14 Cal. 2d 617,
631–32 (1939) (recognizing that California has “policing
jurisdiction over its territorial waters”); Cal. Gov’t Code
§ 170.
The federal government’s authority to prosecute crimes
committed at sea has been defined by statute since the
founding. See United States v. Flores, 289 U.S. 137, 151–
52 (1933) (explaining that “[f]rom the very organization of
the government, and without intermission, Congress has also
asserted the power, analogous to that exercised by English
courts of admiralty, to punish crimes committed on vessels
of the United States while on the high seas or on navigable
waters not within the territorial jurisdiction of a state”). In
1948, Congress passed the modern Special Maritime and
Territorial Jurisdiction of the United States (“SMTJUS”)
statute, 18 U.S.C. § 7. Act of June 25, 1948, Pub. L. No. 80-
772 § 7, ch. 645, 62 Stat. 683, 685. The areas described by
18 U.S.C. § 7 “are often referred to as ‘federal enclaves.’”
12 USA V. LE
United States v. Smith, 925 F.3d 410, 415 (9th Cir. 2019)
(quoting United States v. Markiewicz, 978 F.2d 786, 797
(2d Cir. 1992)).
In relevant part, 18 U.S.C. § 7 defines the “special
maritime and territorial jurisdiction of the United States” to
include “[t]he high seas” and “any other waters within the
admiralty and maritime jurisdiction of the United States and
out of the jurisdiction of any particular State.” 18 U.S.C.
§ 7(1). Several crimes enumerated in Title 18 of the U.S.
Code reference the “special maritime and territorial
jurisdiction of the United States.” See, e.g., 18 U.S.C.
§ 1111(b) (murder) (“Within the special maritime and
territorial jurisdiction of the United States, Whoever is guilty
of murder in the first degree shall be punished by death or by
imprisonment for life”); 18 U.S.C. § 113 (assault)
(“Whoever, within the special maritime and territorial
jurisdiction of the United States, is guilty of an assault shall
be punished . . . .”); 18 U.S.C. § 1201 (kidnapping); 18
U.S.C. § 2111 (theft).
In 1988, President Ronald Reagan expanded the
territorial sea of the United States beyond three nautical
miles from the shoreline. He signed a proclamation that
stated: “The territorial sea of the United States henceforth
extends to 12 nautical miles from the baselines of the United
States determined in accordance with international law.”
Proclamation No. 5928, 54 Fed. Reg. 777 (Dec. 27, 1988)
(“Proclamation 5928”); Argentine Republic, 488 U.S. at 441
n.8. Proclamation 5928 also provided that “[n]othing in this
Proclamation . . . extends or otherwise alters existing
Federal or State law or any jurisdiction, rights, legal
interests, or obligations derived therefrom.” Proclamation
No. 5928, 54 Fed. Reg. at 777.
USA V. LE 13
Less than a decade later, Congress enacted the
Antiterrorism and Effective Death Penalty Act of 1996, Pub.
L. No. 104-132, 110 Stat. 1214, 1317 (“AEDPA”). Section
901 of AEDPA is titled “Expansion of Territorial Sea” and
subsection (a) states:
TERRITORIAL SEA EXTENDING TO
TWELVE MILES INCLUDED IN
SPECIAL MARITIME AND
TERRITORIAL JURISDICTION.—The
Congress declares that all the territorial sea
of the United States, as defined by
Presidential Proclamation 5928 of December
27, 1988, for purposes of Federal criminal
jurisdiction is part of the United States,
subject to its sovereignty, and is within the
special maritime and territorial jurisdiction of
the United States for the purposes of title 18,
United States Code.
AEDPA § 901(a) (emphasis added).
B.
The parties disagree about whether section 901(a) of
AEDPA made the first three nautical miles from the shore
part of the “special maritime and territorial jurisdiction of the
United States” for purposes of the federal murder statute at
issue here. 2
2
When interpreting a criminal statute that refers to the “special maritime
and territorial jurisdiction of the United States,” courts often describe
that language as establishing a “jurisdictional element” of a crime. See,
e.g., United States v. Read, 918 F.3d 712, 718 (9th Cir. 2019) (referring
to that phrase in 18 U.S.C. § 113(a) as the “jurisdictional element”). We
14 USA V. LE
The Government argues that, for purposes of Title 18,
section 901(a) includes, within the special maritime and
territorial jurisdiction of the United States, the full territorial
sea, which, under Proclamation 5928, stretches twelve
nautical miles from the shoreline. 3 Le argues, on the other
hand, that section 901(a) extended the special maritime and
territorial jurisdiction to include only the area between the
recognize that “[j]urisdiction” is “a word of many, too many, meanings”
and that this type of label has been used to refer both to substantive
elements of crimes and to the court’s power to hear a case. Steel Co. v.
Citizens for a Better Env’t, 523 U.S. 83, 90 (1998) (citation modified).
We need not determine which category the concept of “the special
maritime and territorial jurisdiction of the United States” falls into to
answer the question here: whether the first three nautical miles from
shore are “within the special maritime and territorial jurisdiction of the
United States” for purposes of the murder statute under which Le was
convicted. See United States v. Gabrion, 517 F.3d 839, 870–72 (6th Cir.
2008) (Moore, J., concurring in the judgment) (recognizing that “the
question of jurisdiction [may be] intermeshed with the merits of the case”
when “the location of the murder is an element of the offense under 18
U.S.C. § 1111(b)” and explaining that it was not necessary to determine
whether the location of the murder was a substantive element of the
crime or an issue determining the court’s subject matter jurisdiction
because, either way, “we would need to affirm”). Moreover, for ease of
discussion, we focus our analysis on the murder statute, 18 U.S.C.
§ 1111, because it contains the phrase “within the special maritime and
territorial jurisdiction of the United States,” rather than incorporating
that phrase by reference (through reference to a crime that contains the
phrase), as the conspiracy statute, id. § 1117, and the firearm statute, id.
§ 924(c), do. The parties have not suggested that there is any difference
between the three statutes that would affect the federal government’s
authority to prosecute Le.
3
The Government also asserted, in the alternative, that the “high seas”
clause of 18 U.S.C. § 7(1) provides federal criminal jurisdiction here.
Because we hold that section 901(a) of AEDPA provides the authority
the Government needed to prosecute Le, we do not reach the “high seas”
question.
USA V. LE 15
three-nautical-mile mark and the twelve-nautical-mile mark,
but it left the first three nautical miles from the shoreline
exclusively within state criminal jurisdiction. Le’s theory is
that section 901(a) was intended solely to provide statutory
criminal jurisdiction over the portion of the sea newly
designated as federal territory by Proclamation 5928, that is,
the waters between three and twelve nautical miles offshore.
We agree with the Government. “When interpreting the
meaning of a statute, we look first to its plain language.”
Salas v. United States, 116 F.4th 830, 839 (9th Cir. 2024)
(citation modified). Section 901(a) proclaims that, “for
purposes of Federal criminal jurisdiction,” “all the territorial
sea of the United States” is “within the special maritime and
territorial jurisdiction of the United States for the purposes
of title 18, United States Code.” AEDPA § 901(a) (emphasis
added). By using the word “all,” the plain text of the statute
brings the entire territorial sea designated by Proclamation
5928 within the special maritime and territorial jurisdiction,
at least for purposes of Title 18 crimes. 4
Le acknowledges that, when AEDPA is read in isolation,
it supports the Government’s reading. But he asks us to
reach a different conclusion based on the interaction between
Proclamation 5928 and 18 U.S.C. § 7(1). Specifically, he
points to the Proclamation’s instruction that “[n]othing in
this Proclamation . . . extends or otherwise alters existing
Federal or State law or any jurisdiction, rights, legal
interests, or obligations derived therefrom.” Proclamation
No. 5928, 54 Fed. Reg. at 777. Le argues that the
4
We do not decide whether section 901(a) of AEDPA also confers
federal criminal jurisdiction to prosecute Title 18 crimes that do not
reference—either directly or indirectly—the “special maritime and
territorial jurisdiction of the United States.”
16 USA V. LE
combination of the “nothing . . . alters” language and 18
U.S.C. § 7(1)’s definition that includes the “high seas” or
other waters “out of the jurisdiction of any particular State”
resulted in a jurisdictional gap such that no sovereign could
prosecute crimes committed between three and twelve
nautical miles from the shoreline. Only this gap, he argues,
was brought within the special maritime and territorial
jurisdiction under AEDPA § 901(a).
Based on his assumption that the “high seas” begin
beyond the territorial sea, 5 Le contends that the three-to-
twelve nautical mile area that was previously considered the
“high seas” is now within the territorial waters of the United
States. He argues that, before section 901(a) of AEDPA was
enacted, the three-to-twelve nautical mile stretch did not fall
within the special maritime and territorial jurisdiction nor the
high seas, which created a jurisdictional gap. In Le’s view,
Proclamation 5928 did not transform those waters into “any
other waters within the admiralty and maritime jurisdiction
of the United States and out of the jurisdiction of any
5
Le points to several sources in arguing that the “high seas” begin where
the United States’s territorial sea ends. See, e.g., The Scotland, 105 U.S.
24, 29 (1881); Am. Banana Co. v. United Fruit Co., 213 U.S. 347, 355–
56 (1909); Cunard S.S. Co. v. Mellon, 262 U.S. 100, 123 (1923); Kiobel
v. Royal Dutch Petroleum Co., 569 U.S. 108, 121 (2013); U.N.
Convention on the High Seas, art. 1, opened for signature Apr. 29, 1958,
450 U.N.T.S. 82 (entered into force Sep. 30, 1962); U.N. Convention on
the Territorial Sea and the Contiguous Zone, art. 1, opened for signature
Apr. 29, 1958, 516 U.N.T.S. 205 (entered into force Sep. 10, 1964); The
Government counters that the “high seas” begin at the shoreline, citing
other authority. See, e.g., 33 C.F.R. § 2.32(a), United States v.
Wiltberger, 18 U.S. 76, 94 (1820), Ross v. McIntyre, 140 U.S. 453, 471
(1891), United States v. Rodgers, 150 U.S. 249, 253 (1893). We do not
need to resolve which understanding of “high seas” is correct because,
even assuming Le is correct, his jurisdictional argument still fails.
USA V. LE 17
particular State,” described by 18 U.S.C. § 7(1), because
Proclamation 5928 expressly stated that it did not alter
federal law or any jurisdiction derived therefrom. Le
contends that section 901(a) of AEDPA filled that gap by
extending the special maritime and territorial jurisdiction to
include the area between three and twelve nautical miles
from shore. But in his view, because the first three nautical
miles from the shoreline are not “out of the jurisdiction of
any particular State,” 18 U.S.C. § 7(1), there can be no
federal criminal jurisdiction in that area and thus no federal
jurisdiction over his crime. According to Le, AEDPA does
not provide a standalone category of special maritime and
territorial jurisdiction; rather, such jurisdiction is defined
only by 18 U.S.C. § 7(1), and AEDPA merely amended that
provision. He argues that the Government’s broader
understanding of AEDPA’s impact must be wrong because
it gives no effect to the “out of the jurisdiction of any
particular State” language in 18 U.S.C. § 7(1).
We are unpersuaded. Le’s argument requires us to
ignore the plain language of section 901(a) of AEDPA. We
“must presume that a legislature says in a statute what it
means and means in a statute what it says there.” In re
Roman Cath. Archbishop of Portland in Or., 661 F.3d 417,
432 (9th Cir. 2011) (quoting Conn. Nat’l Bank v. Germain,
503 U.S. 249, 253–54 (1992)). Proclamation 5928 defined
the territorial sea: “[t]he territorial sea of the United States
henceforth extends to 12 nautical miles from the baselines of
the United States determined in accordance with
international law.” Proclamation No. 5928, 54 Fed. Reg. at
777. That definition encompasses the first three nautical
miles from the shoreline because international law
establishes that the “baseline for measuring the breadth of
the territorial sea is the low-water line along the coast”—that
18 USA V. LE
is, the shoreline. U.N. Convention on the Law of the Sea,
art. 5, sec. 2, opened for signature Dec. 10, 1982, 1833
U.N.T.S. 397 (entered into force Nov. 16, 1994). The
territorial sea of the United States is therefore defined as the
first twelve nautical miles off the shoreline. That definition
was, in turn, incorporated by the language of section 901(a)
of AEDPA: “The Congress declares that all the territorial sea
of the United States, as defined by Presidential
Proclamation 5928 of December 27, 1988, for purposes of
Federal criminal jurisdiction is part of the United States,
subject to its sovereignty, and is within the special maritime
and territorial jurisdiction of the United States for the
purposes of title 18, United States Code.” AEDPA § 901(a)
(emphasis added).
Putting those pieces together, the special maritime and
territorial jurisdiction of the United States necessarily
encompasses the first three nautical miles from the shoreline,
at least for purposes of the Title 18 crimes. That is, section
901(a) of AEDPA is properly understood as providing an
additional category of special maritime and territorial
jurisdiction rather than as merely amending 18 U.S.C.
§ 7(1).
Contrary to Le’s assertions, our interpretation does not
fail to give effect to the words “out of the jurisdiction of any
particular State” in 18 U.S.C. § 7(1). Those words mean that
18 U.S.C. § 7(1) does not grant authority to the federal
government to prosecute crimes within the first three
nautical miles from shore—because that area is within the
states’ jurisdictions. But AEDPA provides federal authority
over some crimes committed in that area—at least those
enumerated in Title 18 that require that the crime have
occurred within the special maritime and territorial
jurisdiction of the United States. AEDPA § 901(a) (“all the
USA V. LE 19
territorial sea of the United States . . . is within the special
maritime and territorial jurisdiction of the United States for
the purposes of title 18, United States Code.” (emphasis
added)). By its express language, AEDPA applies only to
crimes defined in Title 18, but there are also crimes defined
elsewhere in the U.S. Code that are not affected by AEDPA
given their placement outside Title 18. See, e.g., 15 U.S.C.
§ 1243 (criminalizing the manufacture, sale, or possession of
switchblade knives within the SMTJUS “as defined in
section 7 of title 18”); 16 U.S.C. § 3372 (criminalizing
possession of certain fish, wildlife, and plants within the
SMTJUS “as defined in section 7 of Title 18”); 15 U.S.C.
§ 1175 (criminalizing gambling devices within the SMTJUS
“as defined in section 7 of title 18”). Those crimes
incorporate the definition of special maritime and territorial
jurisdiction of the United States from 18 U.S.C. § 7(1). And
the words “out of the jurisdiction of any particular State” in
18 U.S.C. § 7(1) mean that those crimes can be prosecuted
by the federal government only beyond the three nautical
mile line. That is enough effect to avoid superfluity. 6
Le further resists the text, arguing that reading section
901(a) of AEDPA to extend federal special maritime and
territorial jurisdiction for Title 18 crimes to include the
three-nautical-mile area that begins at the shoreline would
6
For these same reasons, section 901(a) of AEDPA does not constitute
an implied repeal of 18 U.S.C. § 7(1). 18 U.S.C.§ 7(1)’s exclusion of
areas over which states have jurisdiction from the areas included in
federal criminal jurisdiction continues to apply to those non-Title 18
crimes. See Nat’l Ass’n of Home Builders v. Defs. of Wildlife, 551 U.S.
644, 662 (2007) (“We will not infer a statutory repeal unless the later
statute expressly contradicts the original act or unless such a construction
is absolutely necessary in order that the words of the later statute shall
have any meaning at all.” (citation modified)).
20 USA V. LE
require an express amendment to 18 U.S.C. § 7. That
argument does not carry weight.
Congress need not have expressly amended 18 U.S.C.
§ 7 for section 901(a) of AEDPA to have extended the
federal government’s criminal jurisdiction to California’s
three-nautical-mile territorial sea. Le correctly points out
that Congress has expanded the special maritime and
territorial jurisdiction in the past by expressly amending 18
U.S.C. § 7. See, e.g., National Aeronautics and Space
Administration Authorization Act of 1982, Pub. L. No. 97-
96, § 6, 95 Stat. 1207, 1210 (1981) (adding subsection 6 to
18 U.S.C. § 7, which expanded the SMTJUS to cover “[a]ny
vehicle used or designed for flight or navigation in
space . . . while that vehicle is in flight”). But nothing
requires Congress to always use the same statutory
approach. As we explained above, Congress chose to
provide an additional category of the special maritime and
territorial jurisdiction of the United States in section 901(a)
of AEDPA. That choice was entirely permissible. See
Andreiu v. Ashcroft, 253 F.3d 477, 487–88 (9th Cir. 2001)
(Beezer, J., concurring) (en banc) (“It is not the court’s
business to tell Congress how to structure a statute.”). 7
7
Le makes three other arguments, all of which are unconvincing. He
argues that the rule of lenity counsels against our interpretation. But the
rule of lenity applies when interpreting ambiguous criminal prohibitions,
and, here, there is no ambiguity. See, e.g., Shular v. United States, 589
U.S. 154, 165 (2020). Le also argues that the doctrine of constitutional
avoidance favors his argument. But Le does not offer any argument that
the Government’s interpretation of section 901(a) of AEDPA exceeds
what the Constitution allows, and longstanding caselaw suggests it does
not. See United States v. Flores, 289 U.S. 137, 151 (1933) (explaining
that “[t]he criminal jurisdiction of the United States is wholly statutory,
but it has never been doubted that the [Constitution’s] grant of admiralty
USA V. LE 21
IV.
Having determined that the Government had jurisdiction
to bring this prosecution, we turn to the juror removal issue.
The Government argues that Le either waived this issue
in the district court, preventing him from asserting it as an
error on appeal, or at least forfeited it, requiring us to apply
plain error review. This is a rare instance in which the merits
of the claim dictate whether the claim can be waived, so we
address the merits first and then explain why our conclusion
on the merits means that the issue could not have been
waived. In considering the merits, we assume without
deciding that the Government is right that plain error review
applies because, even under that demanding standard, Le’s
challenge succeeds. United States v. Kyle, 734 F.3d 956,
and maritime jurisdiction to the federal government includes the
legislative power to define and punish crimes committed upon vessels
lying in navigable waters of the United States” (citation omitted)); Miller
v. United States, 88 F.2d 102, 104 (9th Cir. 1937) (explaining that the
“[Admiralty and Maritime Jurisdiction] [C]lause does give Congress
power to provide for the punishment of offenses committed upon any
navigable waters other than those of the high seas, although within the
jurisdiction of a state”); see also U.S. Const. art. III, § 2, cl. 1 (extending
the judicial power “to all Cases of admiralty and maritime Jurisdiction”).
Le further argues that our interpretation would intrude on states’ power
to punish crimes. But that argument also fails because nothing in our
interpretation of AEDPA precludes states from exercising criminal
jurisdiction over their territorial waters. States and the federal
government already share concurrent jurisdiction to prosecute the crimes
enumerated in Title 18 of the United States Code on much of the land in
the United States, see, e.g., United States v. Crawford, 657 F.2d 1041,
1046 n.6 (9th Cir. 1981) (recognizing that counterfeiting offenses
enumerated in 18 U.S.C. § 472 are crimes over which “states have
concurrent jurisdiction to prosecute”), so there is no reason that states
and the federal government cannot concurrently exercise jurisdiction
over crimes committed within three nautical miles of the shoreline.
22 USA V. LE
962–63 (9th Cir. 2013) (“Because we find that [the
defendant] can satisfy the plain-error standard of review, we
assume without deciding that plain error is the proper
standard in this case, and proceed accordingly.”).
Under the plain error standard, Le must show (1) an
error, (2) that is clear or obvious, (3) that affected his
substantial rights, and (4) that seriously affects the fairness,
integrity, or public reputation of judicial proceedings.
United States v. Depue, 912 F.3d 1227, 1232 (9th Cir. 2019)
(en banc).
A.
We begin with whether Le has demonstrated error. “In
all criminal prosecutions,” the Sixth Amendment guarantees
the right to trial “by an impartial jury.” U.S. Const. amend.
VI. The Supreme Court has interpreted that clause to endow
a federal criminal defendant with the right to a unanimous
verdict, see Ramos v. Louisiana, 590 U.S. 83, 93 (2020), and
the Federal Rules of Criminal Procedure echo that
constitutional requirement, Fed. R. Crim. P. 31(a) (“The
verdict must be unanimous.”).
In United States v. Symington, 195 F.3d 1080 (9th Cir.
1999), we held that the right to a unanimous verdict was
violated when a holdout juror—a juror who was unable to
reach agreement with the remainder of the jury on what the
verdict should have been—was removed during
deliberations. Id. at 1085. In that case, on the sixth day of
jury deliberations, the jury sent the district court a note
reporting that a juror named Cotey appeared unable to
meaningfully participate in the group’s discussions because
she had “stated [her] final opinion prior to review of all
counts.” Id. at 1083. When the district court individually
questioned each juror, eleven jurors described Cotey as
USA