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UNITED STATES of America, Plaintiff-Appellee,
v.
ERIC B., Defendant-Appellant.
86 F.3d 869
No. 94-10588.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted Nov. 13, 1995.
Decided May 30, 1996.
Counsel
Celia Rumann, Assistant Federal Public Defender, Phoenix,
Arizona, for defendant-appellant.
Vincent Q. Kirby, Assistant United States Attorney, Phoenix,
Arizona, for plaintiff-appellee.
Appeal from the United States District Court for the District
of Arizona; Earl H. Carroll, District Judge, Presiding, No. CR-94-286-EHC.
Before: WIGGINS and LEAVY, Circuit Judges, and MANUEL L. REAL,
[FN*] District Judge.
FN* Hon. Manuel L. Real, United States District Judge for
the Central District of California, sitting by designation.
MANUEL L. REAL, District Judge:
On September 7, 1994, Eric B., who at the time was twelve-years-old,
killed a seven-year-old child on a Navajo Indian Reservation
in Arizona. The cause of death was a single bullet to the head.
Eric B. was tried and adjudicated a juvenile delinquent. The
court found that Eric B. had committed an act of involuntary
manslaughter under 18 U.S.C. § 1112.
Eric B. now appeals claiming a violation of the Speedy Trial
Act (Act), under 18 U.S.C. § 5036. In addition, Eric B.
asks us to find that the district court erred by (1) denying
his motion for judgment of acquittal; (2) failing to find the
United States Attorney impermissibly obtained a grand jury subpoena;
and (3) failing to find that Eric B.'s privacy right provided
for under, inter alia, 18 U.S.C. § 5038 was violated. [FN1]
FN1. Appellant also bases this privacy violation claim on
the First, Third, Fourth, Fifth and Ninth Amendments to the U.S.
Constitution.
We have jurisdiction pursuant to 28 U.S.C. § 1291, based
on the entry of final judgment by the district court on December
12, 1994. Having considered the pleadings and argument before
this Court, we affirm the district court's decision.
I. FACTS
On the afternoon of September 7, 1994, Eric B., then twelve-years-old,
received a gun from a friend at school. Eric B. was aware that
two bullets were in the weapon when he took possession of the
gun.
Beginning on his bus ride home from school to Chilchinbeto,
a small Navajo community in Arizona, and throughout the rest
of the afternoon, Eric B. showed the gun to several of his schoolmates.
After arriving in Chilchinbeto, Eric B. showed the gun to a ten-year-old
named Jimmy Sharkey. Aware that the gun was loaded, Eric B. pointed
the gun at Jimmy. Shortly thereafter, Eric B. and Jimmy went
to a field, where Eric B. shot one bullet at some rocks. Eric
B. then unscrewed the barrel, dropped the spent casing on the
ground, removed the one remaining bullet and put it in his pocket.
Eric B. went on to have several encounters with other juveniles
in which Eric B. would point the gun at the person and pull the
trigger. Samantha Charlie, a fifteen-year-old, was one such person.
After pointing the empty gun at Samantha, Eric B. pulled the
remaining bullet from his pocket and put it back in the gun.
Eric B. then offered the gun to Samantha and suggested she go
shoot Tamara Zonnie, one of Samantha's friends.
Next, Eric B. took the now loaded gun and came across eleven-year-old
Myron Redmoustache. Eric B. pointed the loaded gun at Myron and
pulled the trigger. The gun did not fire.
Finally, just minutes after leaving Myron, Eric B. came across
some juveniles playing in an area known as "the bridge."
One of these juveniles was seven- year-old Nathan Crank. Eric
B. pointed the gun at Nathan and shot him in the forehead. Eric
B. then gave the gun to a boy named Tyrell and instructed him
to hide the gun.
Within a few hours of the shooting, tribal police arrested
Eric B. and placed him in custody. That evening tribal authorities
notified the FBI of the shooting. On September 8, 1994, the FBI
contacted the United States Attorney and the tribal authorities
about the case. The grand jury issued a subpoena for Eric B.'s
school records on September 9, 1994, and FBI agents met with
tribal authorities on that same day. FBI agents stayed in Chilchinbeto
until the 10th of September, during which time the FBI requested
information regarding any prior juvenile adjudication Eric B.
may have had.
On September 12, 1994, an FBI agent interviewed the juvenile
who had given Eric B. the gun. On that same day, the agent interviewed
Eric B. and received documentation from tribal authorities that
Eric B. had no prior delinquency history. The FBI never undertook
jurisdiction of the case, leaving the matter to the tribal court.
On September 15, 1994, the United States Attorney filed an
Information charging the juvenile with committing an act of delinquency--second
degree murder. Federal authorities arrested and placed Eric B.
into federal custody on September 16, 1994, Eric B. making his
initial appearance that same day. Trial was later set for October
14, 1994.
At trial the district court found Eric B. did not commit second
degree murder. The court held that the government had proven
the lesser included offense of involuntary manslaughter, under
18 U.S.C. § 1112.
The district court held a disposition hearing on December
12, 1994, at which time it permitted the victim's family to be
present. The district court also received several letters from
the public expressing concern about the facts of the case and
beseeching the court to ensure justice was done.
II. DISCUSSION
A. APPELLANT'S RIGHT TO A SPEEDY TRIAL UNDER 18 U.S.C. §
5036
[1] We first address whether Eric B.'s speedy trial rights
under the Act were violated. This is a mixed question of law
and fact, and therefore the appropriate standard of review is
de novo. United States v. McConney, 728 F.2d 1195 (9th Cir.)
(en banc), cert. denied, 469 U.S. 824, 105 S.Ct. 101, 83 L.Ed.2d
46 (1984).
The Act provides for the number of days that may elapse before
a juvenile must be brought to trial, if the juvenile is being
detained pending trial. The applicable section, 18 U.S.C. §
5036, specifies: If an alleged delinquent who is in detention
pending trial is not brought to trial within thirty days from
the date upon which such detention was begun, the information
shall be dismissed on motion of the alleged delinquent or at
the direction of the court, unless the Attorney General shows
that additional delay was caused by the juvenile or his counsel,
or consented to by the juvenile and his counsel, or would be
in the interest of justice in the particular case. Delays attributable
solely to court calendar congestion may not be considered in
the interest of justice. Except in extraordinary circumstances,
an information dismissed under this section may not be reinstituted.
[2] According to Eric B., the government failed to bring this
case to trial within this thirty day requirement. Tribal authorities
arrested Eric B. on September 7, 1994. Five days later, on September
12, the FBI possessed all documentation necessary for certification,
which is a statutory prerequisite for proceeding against a juvenile
in federal court. See 18 U.S.C. § 5032. Eric B. was placed
into federal custody four days later, on September 16, 1994.
Eric B. contends in this case that the clock started to run
either on September 9 or, at the very latest, September 12. As
such, because trial commenced on October 14, 1994, a minimum
of thirty-two days elapsed before the juvenile was brought to
trial. Consequently, even calculating the time in a manner most
favorable to the government, this two day delay violated Eric
B.'s right to a speedy trial under the Act.
To escape the clock from starting on September 16, which would
result in a finding that no violation of the Act occurred, Eric
B. relies heavily on United States v. Andy, 549 F.2d 1281 (9th
Cir.1977). In Andy state authorities first detained the juvenile
for seventeen days before surrendering jurisdiction to federal
authorities. There, despite trial having commenced within thirty
days of the juvenile being taken into federal custody, the court
remanded the case to the district court to determine whether
a violation of § 5036 may have occurred.
Believing it necessary to harmonize §§ 5032 and
5036, Andy articulated a new test to calculate the thirty day
period. Andy held that the clock may begin from either:
(1) the date that the Attorney General certifies, or in the
exercise of reasonable diligence, could have certified, to the
conditions stated in Section 5032, or (2) the date upon which
the Government formally assumes jurisdiction over the juvenile,
whichever event earlier occurs. Id., at 1283. The case was then
remanded to district court in order to apply this new standard.
Here, Eric B. contends that the Attorney General had all documentation
necessary on September 12 and could have certified the matter
that day. Eric B. concludes, therefore, September 12 is the date
we should use when calculating the thirty day period. Not satisfied
with September 12 date, however, Eric B. urges us to designate
an even earlier date, September 9, two days after tribal authorities
arrested the juvenile, as the date on which the clock started
to run.
[3] At the outset we note that the September 9 date argued
for by Eric B. ignores the express language in § 5032, which
prohibited proceedings from commencing on that date because the
government did not yet possess the necessary documentation. [FN2]
This statutory condition precedent to the commencement of proceedings
against Eric B. did not occur until September 12, 1994, when
the government received documentation that Eric B. had not been
previously adjudicated delinquent. Therefore Eric B.'s position
with respect to the September 9 date must be rejected.
FN2. § 5032 states, in part, that "[a]ny proceedings
against a juvenile under this chapter or as an adult shall not
be commenced until any prior juvenile court records of such juvenile
have been received by the court, or the clerk of the juvenile
court has certified in writing that the juvenile has no prior
record, or that the juvenile's record is unavailable and why
it is unavailable."
In looking at the September 12 date, several reasons cause
us to conclude there was no violation of the Act in this case.
Most simply, federal authorities took Eric B. into federal custody
on September 16, 1994, twenty- eight days before trial commenced.
This is the most obvious basis for finding no violation of the
Act. But to solely rely on this ground would necessarily bypass
the test articulated in Andy. Based on the facts of this case,
it is unnecessary for us to opine whether the plain language
of §§ 5032 and 5036 is consistent with the test established
in Andy. [FN3] We reject Eric B.'s argument regarding the Act
on several grounds that we believe are consistent both with the
Act and the holding in Andy.
FN3. See Andy, at 1282--1283 (Trask, J., dissenting). We do
note, though, as did the court in United States v. Baker, 10
F.3d 1374, 1397 fn. 7 (9th Cir.), cert. denied, 513 U.S. 934,
115 S.Ct. 330, 130 L.Ed.2d 289 (1994), that the test under Andy
has been criticized as being inconsistent with the plain language
of § 5036.
First, distinguishable from Andy where more than 30 days had
passed from the date the state formally relinquished jurisdiction
but kept the juvenile in state custody--and the date Eric B.
was brought to trial, the trial in this case occurred within
thirty days of the assertion of federal jurisdiction. A five
day "gray" period existed in Andy due to the state
court's method of ceding jurisdiction, because its order was
to be effective five days after it was issued. Thus, the facts
present in Andy raise the question of interpreting who has jurisdiction
when an order is entered but is "effective" at a later
date. The question stated differently is: Under the Act, what
is the jurisdictional status of a juvenile being detained by
state authorities after a state court has officially surrendered
jurisdiction but imposes a legal "fiction" as to the
effective date? In that factual circumstance, policy may mandate
a finding that those days be tacked on when calculating the thirty
day period. But we need not address this question presently.
In this case the juvenile experienced no such black hole.
Federal authorities asserted and had jurisdiction over Eric B.
once they placed him in federal custody on September 16, 1994;
trial commenced twenty-eight days thereafter.
In calculating the thirty day period, we do not read Andy
to require an automatic tacking on of days that the juvenile
spends in state custody. Andy did not instruct the district court
on remand to add the days spent in state custody to those days
spent in federal custody. The task of the district court simply
was to assess whether, under the new test, federal authorities
using reasonable diligence could have certified at a point outside
the thirty day period. [FN4]
FN4. We point out the obvious that the district court in Andy
of course did not apply this test when it made its initial ruling
on the issue of a violation of the Act. However, this is not
the case here, because the district court has already applied
the test previously established in Andy, but in the end rejected
appellant's contentions.
Looking to whether federal authorities in the exercise of
reasonable diligence could have certified the case on September
12, we take instruction from and give weight to the language
contained in § 5032, which expressly provides for the Attorney
General to investigate whether the case is appropriate for federal
court, prior to certification. [FN5] The statute explicitly recognizes
the Attorney General's (and implicitly other law enforcement's)
responsibility to make a well-informed decision whether to proceed
against a juvenile in federal court.
FN5. A juvenile shall not be proceeded against "unless
the Attorney General, after investigation, certifies to the appropriate
district court of the United States that (1) the juvenile court
or other appropriate court of a State does not have jurisdiction
or refuses to assume jurisdiction over said juvenile with respect
to such alleged act of juvenile delinquency, (2) the State does
not have available programs and services adequate for the needs
of juveniles, or (3) the offense charged is a crime of violence
that is a felony or an offense described in section ... and that
there is a substantial Federal interest in the case or the offense
to warrant the exercise of federal jurisdiction." (Emphasis
added.)
Proceedings could not have commenced until September 12 because
of the statutory pre-conditions referred to above. In this case,
Eric B. presents no evidence demonstrating that the government
failed to investigate in an expeditious manner. It is beyond
cavil that a prosecutor should be given a reasonable amount of
time to investigate and reflect on potential charging decisions
in a case, especially involving a twelve-year-old child. To hold
otherwise would place the prosecutor in a position of erring
on the side of filing charges out of fear of becoming susceptible
to a claim that the government failed to use reasonable diligence
in filing. Interpreting the Act to promote inadequate investigation
and sanction prosecutors to race to bring a federal action against
a juvenile is contrary to the history and purpose of separate
classification for juvenile offenders. [FN6]
FN6. Counsel asks us to draw an arbitrary line for prescribing
the appropriate duration of the government's investigation of
this and other cases. This we will not do, especially on the
facts of this case.
Thus, while framed differently, really Eric B. is urging us
to hold that the United States Attorney in this case acted unreasonably
by not certifying to the district court on September 12 the factors
mandated by § 5032--thirty- two days before trial started.
We cannot on this record assume the Act was violated by two days.
Eric B. argues in a conclusory fashion that the government
acted unreasonably in not assuming jurisdiction and certifying
this case on September 12--the very day federal authorities were
permitted to proceed. This would have been only five days after
the shooting; and it appears from the record that no federal
agent was even at the scene until September 9.
Here, the government filed an Information three days after
it was permitted to do so. Eric B. was charged eight days after
the shooting. This period of time is consistent with § 5032's
language providing for investigation prior to proceeding against
a juvenile, and this section in conjunction with § 5036
should not be read to require otherwise. We do not believe Andy
stands for the proposition that the government forfeits its right
to thoroughly investigate a case and have a reasonable amount
of time to make a fully- informed decision whether to proceed
against a juvenile.
[4] The government offers two other grounds to support a finding
that the Act was not violated. First, the Act provides for excludable
time. Time is excluded for delay "caused by the juvenile
or his counsel." 18 U.S.C. § 5036. [FN7] Excludable
time may exist if the delay is caused by motions that are filed
on the juvenile's behalf. U.S. v. Juvenile Male, 939 F.2d 321
(6th Cir.1991) (instructing that even if the Speedy Trial Act
applied, appellant's motion to dismiss in the district court
"tolled" the running of that time for several days
under the Act).
FN7. The Act also permits additional delay past the thirty-days
"in the interests of justice." Id.
Eric B. in this case filed a Notice of Appeal of Detention
Order on September 22, 1994. [FN8] The district court affirmed
the order of detention on September 27. And on both September
30 and October 6, Eric B. filed a Motion for Release. Both motions
were denied. Thus, the government contends that eight days should
be excluded due to delay caused by Eric B.'s motions. We agree.
At the very least, two days should be excluded from the calculation
based on the motions filed by Eric B.'s counsel.
FN8. Additionally, on September 26, the Court, with defense
counsel's consent, ordered a psychological examination of the
juvenile for September 27.
Finally, the government argues that defense counsel implicitly
consented to days exceeding the thirty day limit, by agreeing
to the October 14, 1994 trial date. Originally, the district
court set trial for October 16, 1994, thirty days after Eric
B. was taken into federal custody. However, at the September
22 pre-trial conference, the court moved the trial to Friday,
October 14, because October 16 fell on a Sunday. Defense counsel
did not object to this date. [FN9] Moreover, Eric B. has never
indicated prejudice from the claimed delay of two days. Thus,
the interest of justice is well met here by allowing for any
claimed delay to pass statutory speedy trial muster.
FN9. See United States v. Gonzalez-Gonzalez, 522 F.2d 1040
(1975) (raising the question, but not answering, whether defense
counsel's statement that trial date was "convenient"
creates a duty to inform the court that counsel would nevertheless
move to dismiss for violating speedy trial statute).
On all subsequent appearances before the district court, defense
counsel never objected to the October 14 trial date. It was not
until the day of trial that defense counsel filed a Motion to
Dismiss for violation of the Act. This conduct, according to
the government, amounted to defense counsel's waiver of any thirty
day violation in this case and a finding that any delay was the
product of Eric B.'s counsel. It would seem at best to be sand-bagging.
In response, Eric B.'s counsel denies that she affirmatively
agreed to the trial date, and notes the government fails to direct
this Court to any part of the record establishing this claim.
Additionally, it did not become clear that the government did
not act with due diligence in proceeding with this case until
testimony was received at trial. Consequently, Eric B.'s counsel
asserts that she acted in good faith based on the information
available at the time. [FN10] Eric B.'s counsel also notes that
there could be no affirmative obligation to alert the court had
counsel known of the problem earlier. This would have violated
counsel's ethical obligation to her client and Eric B.'s Sixth
Amendment right to effective assistance of counsel. [FN11]
FN10. It strains credulity to think the facts Eric B. alleges
as to the government's failure to act with due diligence became
known only at trial.
FN11. As an officer of the court, counsel would be compelled
to advise the court of such information. This information does
not impact effective assistance of counsel or disclose confidential
communications.
Because we have determined that there was no violation under
the Act based on the above analysis, we need not address this
basis for affirming the district court's decision. However, we
do note that the conduct by Eric B.'s counsel is questionable
and continued to be suspect in the appeal process. Eric B.'s
counsel's recitation of the facts in her brief are misleading,
at best, pushing the limits of advocacy in trying to underscore
advantageous facts and downplay--or leave out--damaging ones.
When confronted by this during argument on appeal, counsel seemed
unfazed by the Court's admonition.
B. THE DISTRICT COURT'S FINDING OF JUVENILE DELINQUENCY
[5] A district court's denial of a motion for judgment of
acquittal is reviewed in the same manner as a challenge to the
sufficiency of the evidence. United States v. Shirley, 884 F.2d
1130, 1134 (9th Cir.1989). Thus, "[t]his court must review
the evidence presented against the defendant in a light most
favorable to the government to determine whether any rational
trier of fact could have found the essential elements of the
crime beyond a
reasonable doubt." United States v. Lim, 984 F.2d 331,
337 (9th Cir.), cert. denied, 508 U.S. 965, 113 S.Ct. 2944, 124
L.Ed.2d 692 (1993) (quoting Jackson v. Virginia, 443 U.S. 307,
319, 99 S.Ct. 2781, 2789, 61 L.Ed.2d 560 (1979)) (emphasis in
the original).
After a one day trial, the district court found Eric B. not
guilty of second degree murder under 18 U.S.C. § 1111. However,
the district court did find the government had proven beyond
a reasonable doubt defendant was guilty of the lesser included
offense of involuntary manslaughter. See 18 U.S.C. § 1112.
[6][7] Eric B. claims the government presented insufficient
evidence to prove the requisite elements of involuntary manslaughter.
Specifically, the evidence failed to support the court's finding
that Eric B.'s actions demonstrated "a wanton and reckless
disregard for human life." [FN12]
FN12. Involuntary manslaughter is defined as "an unintentional
killing that evinces a wanton or reckless disregard for human
life, but not of the extreme nature that will support a finding
of malice." United States v. Paul, 37 F.3d 496, 499 (9th
Cir.1994) (citing United States v. Lesina, 833 F.2d 156 (9th
Cir.1987)) (internal quotations omitted).
To that end, counsel for Eric B. claims the juvenile had neither
"actual knowledge that his conduct was a threat to the lives
of others" nor did he have "knowledge of such circumstances
as could reasonably be said to have made foreseeable to him the
peril to which his acts might subject others." United States
v. Keith, 605 F.2d 462 (9th Cir.1979) (citing United States v.
Pardee, 368 F.2d 368 (4th Cir.1966)). Eric B. claims that due
to his age and intelligence level he did not fully understand
the consequences of his actions. Further, according to Eric B.,
the government did not present evidence that he, in fact, realized
the bullet was in the gun at the time of the shooting. Plainly
stated, Eric B. would have us find on this record that as a matter
of law the shooting was an accident, and he did not understand
the danger present in playing with the gun in this manner.
Contrary to argument that Eric B. did not foresee his acts
creating peril for others, the government points to Eric B.'s
conduct and testimony concerning such conduct. Eric B. knew the
gun contained two bullets after he received it. He pointed the
loaded gun at Jimmy Sharkey and shortly thereafter fired it at
some rocks. After the gun went off, Eric B. unscrewed the cylinder,
dropped the spent casing on the ground and put the remaining
bullet in his pocket.
These acts alone demonstrate that the juvenile had a sufficient
degree of sophistication and understanding of the gun's operation,
and the corresponding cause and effect of firing a loaded weapon,
to foresee the consequences of his actions and the peril created
by aiming a loaded gun at another human being. Later, Eric B.
again pointed the gun at another child, Samantha Charley, and
she heard the trigger being pulled. Eric B. showed her the gun,
put in the remaining bullet and told her to go shoot Tamara Zonnie.
Eric B. repeated this exact conduct with Myron Redmoustache,
but this time the gun was loaded. It did not go off. [FN13]
FN13. Eric B. completely leaves this out of his statement
of facts.
Eric B.'s final act simply repeated the same conduct which
he had engaged in throughout that day. But this time, Eric B.
pointed the gun at a seven-year- old boy and shot him in the
head. He intended to point the gun at the victim and he pulled
the trigger just like he had several times before.
The circumstances leading up to the fatal shot and the final
act itself demonstrate more than sufficient evidence to conclude
that Eric B. reasonably foresaw his acts created peril to the
victim. Therefore, the district court correctly denied Eric B.'s
motion for judgment of acquittal.
C. THE GOVERNMENT'S USE OF THE GRAND JURY TO "INVESTIGATE"
THIS CASE
[8][9] Eric B. next contends that the government improperly
used the grand jury by having it issue a subpoena for Eric B.'s
school records, constituting an illegal investigation. After
the grand jury received said records, the government moved pursuant
to Fed.R.Crim.P. 6(e) to release the records to Pretrial Services.
Questions of prosecutorial misconduct involving mixed questions
of both fact and law are reviewed de novo. United States v. De
Rosa, 783 F.2d 1401 (9th Cir.), cert. denied, 477 U.S. 908, 106
S.Ct. 3282, 91 L.Ed.2d 571 (1986).
At the outset, we recognize that nowhere in the record does
it appear that these records were offered as evidence at trial.
To the contrary, the government asserts, and Eric B. does not
contest, that these school records were never used to adjudicate
delinquency. Apparently, these school records were only used
to prepare a psychological report concerning Eric B. and were
incorporated into the disposition report. Eric B.'s counsel never
objected to the use of the records for these purposes and thus
waived this issue as grounds for setting aside the finding of
delinquency. Counsel's failure to object to this alleged defect
in the proceedings constitutes waiver of the right to raise this
issue on appeal. U.S. v. Visman, 919 F.2d 1390 (9th Cir.1990)
(recognizing that failure to object to information in the presentence
report prohibits raising the issue anew on appeal).
[10] Moreover, even if we were to find that this issue is
properly before us, and employ the appropriate "plain error"
standard applicable in cases where a timely objection is not
made, U.S. v. Hernandez-Rodriguez, 975 F.2d 622 (9th Cir.1992),
Eric B.'s claim must be rejected. When analyzing if a defect
rises to the level of plain error, a court must assess whether
the claimed error is highly prejudicial, affecting substantial
rights. Id., at 628. No plain error exists in this case.
Eric B. fails to demonstrate any prejudice whatsoever impacting
substantial rights due to the acquisition of school records via
the grand jury subpoena. Counsel's argument is an exercise in
rhetoric, and is noticeably silent as to any specific harm. Eric
B.'s argument is as follows: Since this case involved a twelve-year-old
who could not be criminally prosecuted under any circumstances,
it was improper for the grand jury to subpoena the juvenile's
school records. Powers of the grand jury are limited to returning
or not returning indictments in federal criminal matters. And,
because this case was not a criminal matter due to the juvenile
status of Eric B., the grand jury could not choose to indict
or not indict. As such, counsel's argument contends that the
government was merely using the grand jury as a tool for investigation,
which is clearly improper. United States v. Woods, 544 F.2d 242
(6th Cir.1976); United States v. Star, 470 F.2d 1214 (9th Cir.1972).
Notwithstanding this argument, Eric B. has failed to demonstrate
any prejudice resulting from the acquisition of the school records.
He concludes that this claimed impropriety warrants dismissal.
[FN14] It is not necessary for us to decide to what extent, if
at all, a grand jury may participate in investigating a juvenile
who is suspected to have committed a crime. [FN15] Here, the
juvenile makes no showing of prejudice. United States v. Mechanik,
475 U.S. 66, 72, 106 S.Ct. 938, 942-43, 89 L.Ed.2d 50 (1986);
United States v. Lim, 984 F.2d at 335. See Fed.R.Crim.P. 52 ("any
error, defect, irregularity or variance which does not affect
substantial rights shall be disregarded"). Therefore, if
an error exists, it does not rise to the level of plain error
and should be regarded as harmless beyond a reasonable doubt.
FN14. Interestingly, appellant notes that some constitutional
protections, "most notably the right to indictment by a
grand jury," are not afforded to juveniles. See Appellant's
Opening Brief (App.Op.Br.), p. 14. Thus, while recognizing the
grand jury is a body acting as a constitutional safeguard, appellant
tries to make hay of the fact that it was utilized where it was
not constitutionally mandated.
FN15. See App. Op. Br., p. 14.
D. APPELLANT'S CONSTITUTIONAL AND STATUTORY RIGHT TO PRIVACY
[11] Last, we turn to Eric B.'s claim that his right to privacy
was violated. This claim, as framed on appeal, also was not raised
before the district court. [FN16] A plain error standard should
be utilized for issues not presented to the court below. United
States v. Holland, 880 F.2d 1091 (9th Cir.1989). Thus, Eric B.
must demonstrate a clear error affecting substantial rights.
United States v. Dorri, 15 F.3d 888 (9th Cir.1994).
FN16. Apparently, counsel for Eric B. made a limited objection
to these letters, seeking only for Eric B. to be allowed to see
the content of the letters. The court permitted this, and counsel
did not object to the use of the letters at the disposition hearing.
This final argument presented by Eric B. asks us to find that
the juvenile's statutory and constitutional privacy rights were
violated, warranting dismissal of all charges against the juvenile.
[12] Eric B. contends first that the government violated 18
U.S.C. § 5038(a), [FN17] by releasing confidential information
concerning the proceedings. To support this claim, Eric B. points
to six letters that were sent to the district court judge, as
evidence that confidential information was released to the public.
FN17. § 5038(a), in pertinent part, reads:
throughout and upon the completion of the juvenile delinquency
proceeding, the records shall be safeguarded from disclosure
to unauthorized persons.
The records shall be released to the extent necessary to meet
the following circumstances:
. . . . .
3) inquires from law enforcement agencies where the request
for information is related to the investigation of a crime or
a position within that agency;
. . . . .
6) such inquiries from any victim of such juvenile delinquency,
or if the victim is deceased from the immediate family of such
victim, related to the final disposition of such juvenile by
the Court in accordance of Section 5037.
Notably, of these six letters, two were sent by the victim's
family, one was sent by the chief prosecutor in charge of the
case against Eric B. in Navajo Family Court, and one was sent
by the emergency medical technician who responded to the scene
of the shooting. All letters sent by these individuals demonstrate
very limited, non-specific knowledge about the precise proceedings.
The two remaining letters do not exhibit any intimate knowledge
of the particulars in the case whatsoever. [FN18]
FN18. While it certainly does not carry the day, the government
notes that appellant himself submitted several letters from extended
family members and others, in which the same inference of improper
disclosure on the part of appellant's counsel may be made.
Eric B. states that the authors of these letters refer to
the juvenile by his full name and allude to facts in the case,
and concludes, therefore, that the government released confidential
information. This cannot be deemed evidence definitively establishing
improper disclosure by the government. The only reasonable inference
leads to a benign conclusion. Chilchinbeto is a very small Navajo
community. [FN19] In large part, the content of the letters sent
by non-family members describes Eric B.'s conduct prior to the
day of the shooting. Thus, the familiarity with the identity
of Eric B. which he necessarily attributes to government misconduct
is at least as likely to be-- and more logically and reasonably--credited
to the size of the community. This is understandable, particularly
in light of the shocking nature of this offense, and the fact
that it appears several community members had experience with
Eric B.'s troubling behavior before the day of the shooting.
FN19. This point is convincingly demonstrated by the letter
sent by Geoffrey Keahey, the paramedic who responded to the scene
of the shooting. Mr. Keahey's son was one of the children at
whom appellant pointed the gun prior to shooting the fatal shot.
It is no wonder that Mr. Keahey knows the appellant's last name
and some of the circumstances surrounding the shooting. His son
was intimately involved in this tragic event.
In sum, select excerpts of six letters are being offered by
Eric B. to argue that the government flagrantly violated Eric
B.'s right to privacy, calling for the only appropriate redress:
dismissal of this case. Woven into this argument is the unsupported
assertion that these letters somehow improperly affected the
district court's sentencing decision. Yet, as the government
correctly points out, the district court still decided against
incarceration and placed the juvenile on probation.
[13] In addition to receiving letters from the public and
from the relatives of both Eric B. and the victim, at the disposition
hearing the district court allowed the victim's family and the
juvenile's family to address the court. Eric B. asserts the court
only erred by allowing the former, but does not mention the propriety
of the latter.
The district court relied, in part, on United States v. A.D.,
28 F.3d 1353 (3rd Cir.1994), in permitting the presence of the
victim's family at the disposition hearing. In A.D., a newspaper
sought access to juvenile proceedings. Avoiding a clash between
the First Amendment and the juvenile's right to privacy under
the Act, the court held that a district court may, on a case-by-case
basis, balance the interests of the juvenile against the interests
of the party seeking access to the proceeding. Id. at 1359.
The A.D. court opined that if Congress desired juvenile proceedings
to be closed to everyone except for the litigants, witnesses
and court personnel, it could have explicitly said so. But Congress
did not. Thus, because the act did not expressly mandate closed
hearings and sealed records in all circumstances, it is left
to the district court to balance the respective interests when
the need arises. This is because "[d]istrict judges are
experienced at striking this kind of delicate balance...."
Here, the district court allowed only the victim's parents
and Eric B.'s family to attend the proceedings. [FN20] The district
court permitted family members to attend the proceedings in order
for the victim's parents to better understand and accept the
outcome. While the victim's father did speak at the disposition
hearing, it was only after the court stated it intended to place
the juvenile on probation, which it ultimately did.
FN20. The government adds that counsel for appellant, in making
an objection to the presence of the victim's parents, stated,
"I don't, however, object to the victim's family being present
for the purposes of coming and addressing the Court, as long
as they are asked to leave and the government can apprise them
of what happens after that portion of the hearing, Your Honor."
The Act does not expressly preclude the district court from
using its discretion regarding the presence of family members
at the disposition hearing. Close inspection of the Act does
not lead to the conclusion that Congress intended closed proceedings,
without exception. For example, § 5032 states that "court
may be convened at any time and place within the district, in
chambers or otherwise." This language implicitly confers
discretion on the court to control public access to the proceedings.
To interpret § 5032 differently would render superfluous
the distinction between the words "in chambers" and
"or otherwise."
Finally, Eric B. argues that his constitutional right to privacy
was violated. More specifically, he claims his constitutional
right of nondisclosure of personal matters was violated when
information was released, as evidenced by the above letters,
and by the presence of the victim's parents at the disposition
hearing. [FN21]
FN21. It may be inferred that counsel for appellant concedes
that this right of privacy argument is suspect, since appellant's
reply brief dropped all reference to this issue.
Eric B. cites no case that recognizes a constitutional right
to have free from disclosure all facts elicited in a juvenile
proceeding. Trying to support this position, Eric B. asserts
that "[t]he right of non-disclosure conferred on juveniles
through § 5038 also gives rise to the constitutional right
to the non disclosure [sic] of confidential, personal information."
App. Op. Br., p. 24. This unique argument loses steam on even
a cursory review of the Act, which provides for numerous exceptions
to nondisclosure and permits a victim's family to have access
to information regarding the final disposition of the case. See
§ 5038(a)(6).
Even if we were to give credence to Eric B.'s argument--which
we do not--Eric B. again fails to demonstrate, or even mention,
any prejudice suffered from the acts of which he complains. Accordingly,
we affirm the ruling by the district court. [FN22]
FN22. Eric B.'s counsel's attempt to have this Court punish
the government without any showing of prejudice is unseemly conduct
not addressed to the true issues to be presented on an appeal
of this nature.
CONCURRING OPINION: LEAVY, Circuit Judge, concurring:
I concur in the result reached by the majority on all substantive
issues, and agree that the judgment of the district court should
be affirmed. I write separately, however, because I see no need
to discuss "excludable time" or the defendant's implicit
consent to exceeding the thirty-day statutory limit. As we are
agreed that the trial was within the time allowed by the statute,
discussion of excludable time and consent have nothing to do
with the outcome and are, therefore, mere dicta.
Even if the issue of speedy trial depended on our consideration
of implied consent, I see no basis for criticism of defense counsel.
No one suggests that she made any false statements to the court
or anyone else. When October 14 was set as the trial date, she
had a pending appeal of the magistrate judge's denial of her
motion for release from custody. If she had been successful on
the appeal, the speedy trial issue would have gone away. The
court asked, "Do you expect to go to trial within the thirty
days' time?" She answered, "If he's in custody, yes,
I would."
On the morning of trial counsel moved to dismiss for violation
of the Speedy Trial Act. She argued that under United States
v. Andy, 549 F.2d 1281 (9th Cir.1977), the act had been violated.
The trial court questioned defense counsel's timing of the motion,
with the admonition that "there is an expense in getting
all these people here." In denying the motion, the trial
court did not find a waiver of the time limits.
Congress passed the speedy trial provision, the President
signed it, the United States Attorney decided what charge to
make, whom to charge, and when to take the accused into custody.
An assistant United States attorney contended that a trial on
October 14 was within the time limit. The district court set
that date, and we have affirmed. We do not expect a twelve year
old child to tell us how to obey the statute, nor should we expect
an assistant federal defender to volunteer advice to the government
or to the court on how to avoid a dismissal of the charge.
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