United States v. Juvenile Male ( 2018 )

FOR PUBLICATION FILED
UNITED STATES COURT OF APPEALS AUG 14 2018
MOLLY C. DWYER, CLERK
U.S. COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 17-10257
Plaintiff-Appellee,
D.C. No.
v. 4:12-cr-01126-CJK-JR-1
JUVENILE MALE,
OPINION
Defendant-Appellant.
Appeal from the United States District Court
for the District of Arizona
Cindy K. Jorgenson, District Judge, Presiding
Argued and Submitted July 10, 2018
San Francisco, California
Before: Susan P. Graber and Richard C. Tallman, Circuit Judges, and Ivan L.R.
Lemelle,* Senior District Judge.
Opinion by Judge Ivan L.R. Lemelle, Senior District Judge
LEMELLE, Senior District Judge:
Juvenile Defendant-Appellant D.A.T. appeals the district court’s imposition
of a 34-month term of official detention following revocation of Appellant’s
juvenile delinquent supervision. Appellant argues that his term of official
*
The Honorable Ivan L.R. Lemelle, Senior United States District Judge
for the Eastern District of Louisiana, sitting by designation.
1
detention exceeded the statutory maximum established in 18 U.S.C. § 5037(d)(5).
Because we agree, we vacate the sentence and remand with instructions that the
district court order Appellant’s immediate release.
FACTUAL BACKGROUND AND PROCEDURAL HISTORY
In August 2009, when Appellant was 15 years old, he and two other
individuals killed R.O. on the Tohono O’odham Nation. Appellant was arrested by
tribal authorities and remained in tribal custody until he was transferred to federal
custody in June 2012, shortly after the government charged Appellant with first
degree murder in a one count information. In January 2013, Appellant reached a
plea agreement with the government and pled guilty to second-degree murder, as
charged in an amended information. The statutory maximum sentence was five
years of official detention. See 18 U.S.C. § 5037(c)(2)(A). On April 2, 2013, the
district court sentenced Appellant to 28 months of official detention, followed by
juvenile delinquent supervision until Appellant’s 21st birthday.
Appellant was released from detention on June 25, 2014, at the age of 20.
But in November 2014, a warrant was issued for Appellant’s arrest because he
violated the conditions of his juvenile delinquent supervision. As part of a
Juvenile Revocation Disposition Agreement with the government, Appellant
admitted to two violations of his juvenile delinquent supervision conditions—
commission of various crimes and use of controlled substances. In October 2015,
2
the district court revoked Appellant’s juvenile delinquent supervision and
sentenced him to nine months of official detention for each violation, to be served
consecutively, followed by 42 months of juvenile delinquent supervision.
Appellant was released from detention on July 29, 2016, at the age of 22. In
September 2016, a second warrant was issued for Appellant’s arrest, again because
Appellant violated the conditions of his juvenile delinquent supervision. In April
2017, Appellant admitted to two violations (failure to notify probation of contact
with law enforcement and consumption of alcoholic beverages) without a plea
agreement. In May 2017, the district court revoked Appellant’s juvenile
delinquent supervision and sentenced him to 34 months of official detention for
each violation, to be served concurrently, with no term of juvenile delinquent
supervision to follow. Appellant did not object at the hearing, but timely appealed
his sentence.
JURISDICTION AND STANDARD OF REVIEW
The district court had jurisdiction over Appellant’s revocation proceeding
pursuant to 18 U.S.C. §§ 3231 and 5031-5037. We have appellate jurisdiction
pursuant to 28 U.S.C. § 1291 and 18 U.S.C. § 3742.
3
The parties disagree about whether we should review de novo or for plain
error. Regardless of which standard applies, the sentence imposed exceeded the
maximum permitted by law.1
DISCUSSION
This appeal presents a question of statutory interpretation. The Federal
Juvenile Delinquency Act (FJDA) governs the adjudication of juvenile
delinquency in federal courts. See 18 U.S.C. §§ 5031-5042. When a district court
finds a juvenile to be a juvenile delinquent, the FJDA empowers the district court
to impose a term of official detention, followed by a term of juvenile delinquent
supervision. See id. § 5037(a), (c), (d). The FJDA also empowers the district court
to revoke juvenile delinquent supervision if a juvenile violates a condition of
supervision, and to impose a new term of official detention. See id. § 5037(d)(5).
In this appeal, the parties dispute the maximum term of official detention that can
be imposed upon revocation of juvenile delinquent supervision when the juvenile
1
See United States v. Goodbear, 676 F.3d 904, 912 (9th Cir. 2012) (holding that it
is plain error to impose a “sentence [that] exceeds the statutory maximum”);
United States v. Juvenile Male, 470 F.3d 939, 940-41 (9th Cir. 2006) (reversing
juvenile’s sentence under plain error review because district court used incorrect
statute to sentence juvenile, even though there was no controlling Ninth Circuit
precedent on the issue); United States v. Echavarria-Escobar, 270 F.3d 1265,
1267-68 (9th Cir. 2001) (applying de novo review to “a district court’s
construction and interpretation of the Sentencing Guidelines,” even though no
objection was raised in district court (internal quotation marks omitted)).
4
is more than 21 years old at the time of the revocation proceeding. To resolve this
dispute, we must examine § 5037(d)(5) of the FJDA.
Section 5037(d)(5) states:
If the juvenile violates a condition of juvenile delinquent
supervision at any time prior to the expiration or termination of
the term of supervision, the court may, after a dispositional
hearing and after considering any pertinent policy statements
promulgated by the Sentencing Commission pursuant to section
994 of title 18, revoke the term of supervision and order a term
of official detention. The term of official detention which is
authorized upon revocation of juvenile delinquent supervision
shall not exceed the term authorized in section 5037(c)(2)(A) and
(B), less any term of official detention previously ordered. The
application of sections 5037(c)(2)(A) and (B) shall be
determined based upon the age of the juvenile at the time of the
disposition of the revocation proceeding. If a juvenile is over the
age of 21 years old at the time of the revocation proceeding, the
mandatory revocation provisions of section 3565(b) are
applicable. A disposition of a juvenile who is over the age of 21
years old shall be in accordance with the provisions of section
5037(c)(2), except that in the case of a juvenile who if convicted
as an adult would be convicted of a Class A, B, or C felony, no
term of official detention may continue beyond the juvenile’s
26th birthday, and in any other case, no term of official detention
may continue beyond the juvenile’s 24th birthday.
Section 5037(d)(5) references § 5037(c)(2), which provides the maximum term of
official detention that may be imposed when “a juvenile [is] found to be a juvenile
5
delinquent.” Id. § 5037(c). As relevant here, § 5037(c)(2) initially authorized a
five-year term of official detention for Appellant.2
Section 5037(d)(5) is not a model of clarity with respect to calculating the
maximum term of official detention that can be imposed when supervision is
revoked. Relying on the unqualified wording of § 5037(d)(5)’s second sentence,
Appellant argues that the duration of previously ordered terms of official detention
is always subtracted from the maximum term prescribed by § 5037(c)(2). The
government argues that § 5037(d)(5) contains two independent methods for
calculating the maximum term of official detention following revocation. Pointing
to the last two sentences of the section, the government maintains that juveniles
older than 21 do not receive credit for previously ordered terms of official
detention. Both interpretations are plausible.3 Therefore, § 5037(d)(5) is
ambiguous. See United States v. Miranda-Lopez, 532 F.3d 1034, 1038 (9th Cir.
2008) (providing definition).
2
Appellant’s offense would have been a Class A felony if he had been charged as
an adult, and the sentencing guidelines range for a similarly situated adult
exceeded five years. See 18 U.S.C. § 5037(c)(2).
3
The United States Probation office relied on each interpretation at various times
during Appellant’s case. Also, the magistrate judge who conducted the admit/deny
hearing and the district judge who conducted the revocation proceeding described
the maximum term of official detention differently. Whereas the magistrate judge
stated that the maximum term of official detention would be reduced by previously
ordered terms of official detention, the district judge explained that the maximum
term of official detention could extend to Appellant’s 26th birthday, without any
mention of subtracting previously ordered detention.
6
“If [a] statute’s terms are ambiguous, we may use canons of construction,
legislative history, and the statute’s overall purpose to illuminate Congress’s
intent.” Jonah R. v. Carmona, 446 F.3d 1000, 1005 (9th Cir. 2006). We conclude
that Appellant’s construction of § 5037(d)(5) best reflects the structure of the
statute and congressional intent, while remaining faithful to the purpose of the
FJDA.
I. Text and Structure
The structure of § 5037(d)(5) suggests that all juveniles receive credit for
previously ordered terms of official detention when supervision is revoked.
Section 5037(d)(5) is a single paragraph with no subparts or other internal
divisions. The paragraph begins with the unqualified statement that a district court
“may . . . revoke [a juvenile’s] term of supervision and order a term of official
detention” when a “juvenile violates a condition of . . . supervision.” 18 U.S.C.
§ 5037(d)(5). The next sentence states, again without qualification, that the term
of official detention imposed “shall not exceed the term authorized in section
5037(c)(2)(A) and (B), less any term of official detention previously ordered.” Id.But, by its own terms, § 5037(c)(2) applies only “in the case of a juvenile
who is between eighteen and twenty-one years old.” And the third sentence of
§ 5037(d)(5) states that the district court must use “the age of the juvenile at the
time of the disposition of the revocation proceeding” when applying § 5037(c)(2).
7
Therefore, § 5037(c)(2) and the first two sentences of § 5037(d)(5) leave a crucial
question unanswered: how does a district court revoke supervision when a juvenile
is more than 21 years old at the time of the revocation proceeding? The last two
sentences of § 5037(d)(5) answer that question. Per the penultimate sentence,
revocation of supervision is mandatory when juveniles older than 21 commit
certain serious violations. Id. (referring to 18 U.S.C. § 3565(b)). The last sentence
instructs the district court to use § 5037(c)(2) to calculate the maximum term of
official detention after revocation, even when a juvenile is older than 21 at the
revocation proceeding. Id.
As previously discussed, the parties dispute the significance of the last
sentence of § 5037(d)(5). Whereas Appellant argues that the last sentence
supplements, but does not displace, the section’s first three sentences, the
government argues that the last sentence creates an independent method of
calculating the maximum term of official detention for juveniles who are over the
age of 21 at their revocation proceedings. The government’s argument primarily
relies on the definition of the term “juvenile.” The government points to the
definitional section of the FJDA, which states that, “for the purpose of proceedings
and disposition under th[e] [FJDA] for an alleged act of juvenile delinquency,” “a
‘juvenile’ . . . is a person who has not attained his twenty-first birthday.” Id.
§ 5031. Based on this definition, the government argues that Appellant was not a
8
“juvenile” at the time of the revocation proceeding and was, therefore, not entitled
credit for previously ordered terms of official detention.
But the government’s attempt to separate § 5037(d)(5) into its constituent
parts runs counter to the natural reading of the statute. Section 5037 repeatedly
uses the phrase, “a juvenile who is over the age of 21 years old.” Id. § 5037(b),
(d)(5), (d)(6). This phrase suggests that, at least for purposes of § 5037, a
defendant can be a “juvenile” and over the age of 21 at the same time. See Util.
Air Regulatory Grp. v. EPA, 134 S. Ct. 2427, 2441 (2014) (“[A] statutory term—
even one defined in the statute—may take on distinct characters from association
with distinct statutory objects calling for different implementation strategies.”
(internal quotation marks omitted)); cf. United States v. Olsen, 856 F.3d 1216,
1223 (9th Cir. 2017) (presumption that statutory definition controls use of term
“may yield to context” “[i]f interpreting a term consistently with its statutory
definition would, for instance, lead to ‘obvious incongruities’ or would ‘destroy
one of the major congressional purposes’” of the statute (alteration omitted))
(quoting Lawson v. Suwannee Fruit & S.S. Co., 336 U.S. 198, 201 (1949)).
Considering Appellant a juvenile for purposes of § 5037 is also consistent
with our analysis in United States v. LKAV, 712 F.3d 436, 444 (9th Cir. 2013),
where we concluded that juveniles over the age of 21 remain “subject to” the
FJDA as long as the district court had jurisdiction when the information was filed.
9
Moreover, the government’s proposed construction fails to account for the
fact that only the first sentence of § 5037(d)(5) authorizes revocation of
supervision and imposition of official detention. If, as the government suggests,
the first sentence of § 5037(d)(5) applies only to juveniles who are under the age of
21 at their revocation proceedings, then there would be no statutory authorization
to revoke Appellant’s supervision. That is certainly not the government’s position,
and the resulting inability to revoke Appellant’s supervision would be an “obvious
incongruit[y]” that “destroy[s] one of the major congressional purposes” of the
2002 amendments to the FJDA. See Lawson, 336 U.S. at 201; see also H.R. Rep.
No. 107-685, at 218 (2002) (Conf. Rep.) (explaining that the FJDA was amended
to “provide[] authority to sanction a violation of probation when a person
adjudicated a juvenile delinquent is over 21 at the time of the violation”). The
government offers no persuasive rationale for considering appellant a “juvenile”
for purposes of the first sentence of § 5037(d)(5), but not the second.
Appellant’s proposed construction is more faithful to the text and structure
of § 5037(d)(5) because it explains that the last two sentences of the section
supplement the general framework established by the first three sentences of the
section. The general framework is that: (1) supervision can be revoked for
violating conditions of supervision, and official detention can be imposed upon
revocation; (2) the maximum term of official detention is provided by
10
§ 5037(c)(2), subject to reduction for previously ordered terms of official
detention; and (3) application of § 5037(c)(2) depends on the juvenile’s age at the
time of the revocation proceeding. The modifications that apply when a juvenile is
older than 21 at the revocation proceeding are: (1) certain serious violations of
supervision conditions trigger mandatory revocation; and (2) the maximum term of
official detention is provided by § 5037(c)(2), subject to certain age limits.
But simply reading § 5037(d)(5) as a whole, instead of as two independent
pieces, does not fully resolve the parties’ dispute. The question remains whether
the last sentence of § 5037(d)(5) alters the operation of the section’s second
sentence by implicitly eliminating credit for previously ordered terms of official
detention when a juvenile is older than 21 at the revocation proceeding. The last
clause of § 5037(d)(5) reads:
except that in the case of a juvenile who if convicted as an adult
would be convicted of a Class A, B, or C felony, no term of official
detention may continue beyond the juvenile’s 26th birthday, and in
any other case, no term of official detention may continue beyond the
juvenile’s 24th birthday.
This clause appears two other times in § 5037.
In § 5037(b), which governs the revocation of probation, and in
§ 5037(d)(6), which governs the imposition of juvenile delinquent supervision after
revocation of a previous term of supervision, the clause serves to limit the district
court’s authority to detain or supervise a juvenile. See id. § 5037(b), (d)(6).
11
Moreover, in neither instance does the clause create an independent sentencing
framework for juveniles over the age of 21. For example, consider a juvenile who
was sentenced to three years of probation for a Class A felony at the age of 20. See
18 U.S.C. § 5037(b)(2)(A). If that juvenile’s probation is later revoked,
§ 5037(c)(2) allows a period of official detention of five years. See id. § 5037(b).
But if the revocation proceeding occurs after the juvenile’s 21st birthday, the last
clause of § 5037(b) limits the term of official detention to end on the juvenile’s
26th birthday. The result would be less than five years of official detention.
Because the clause limits a juvenile’s exposure to detention when used in other
parts of § 5037, it should similarly limit a juvenile’s exposure to official detention
upon revocation of supervision. See United States v. Maciel-Alcala, 612 F.3d
1092, 1098-99 (9th Cir. 2010) (“We interpret identical phrases used in the same
statute to bear the same meaning,” especially when the phrases are in “close
proximity.”).
Understanding the clause to limit a district court’s authority to detain a
juvenile is also consistent with the implicit age limits on detention that exist
throughout § 5037. Section 5037 consistently rejects control over juveniles after
their 24th or 26th birthday, depending on the severity of the underlying conviction.
See 18 U.S.C. § 5037(b), (c)(2), (d)(2)(B), (d)(6). For example, when a juvenile
who committed a class A felony is initially sentenced, he can neither be detained
12
nor supervised after his 26th birthday because the maximum sentence of five years
will start no later than his 21st birthday. See id. § 5037(c)(2)(A), (d)(2)(B). In
fact, under no circumstances does § 5037 allow detention or supervision of a
juvenile past his 24th or 26th birthday. See id. § 5037(b)-(d). Accordingly, it is
not remarkable that § 5037(d)(5) contains a similar limiting provision to ensure
that juveniles are not indefinitely detained or supervised under the FJDA.
II. Legislative History
The authority to order juvenile delinquent supervision, as well as the power
to impose a term of official detention upon revocation of that supervision, was
added to the FJDA in 2002. See Juvenile Justice and Delinquency Prevention Act
of 2002, Pub. L. No. 107-273, § 12301, 116 Stat. 1869, 1896-99. The legislative
history offers little insight into the specific question presented in this appeal:
whether juveniles over the age of 21 receive credit for previous terms of official
detention when their supervision is revoked. Admittedly, the legislative history
suggests that Congress was concerned about the level of violent juvenile crime
when it enacted § 5037(d)(5). See H.R. Rep. No. 107-685, at 113-14 (2002) (Conf.
Rep.). This concern could support the government’s construction of § 5037(d)(5),
because the government’s construction allows for the imposition of longer terms of
official detention for older juveniles. But the conference report only briefly
acknowledges § 5037(d)(5), stating that it “(1) provides authority to impose a term
13
of juvenile delinquency supervision to follow a term of official detention, [and] (2)
provides authority to sanction a violation of probation when a person adjudicated a
juvenile delinquent is over 21 at the time of the violation.” Id. at 218. Neither
provision of authority noted in the conference report suggests a strong intent in
favor of the government’s construction.
The interpretation of an analogous statute that was in effect when
§ 5037(d)(5) was enacted may shed more light on Congress’s intent. See Jonah R.,
446 F.3d at 1007 (“It is a rudimentary principle of construction that statutes
dealing with similar subjects should be interpreted harmoniously.” (internal
quotation marks and alterations omitted)). In the adult criminal justice system, the
closest analog to a term of juvenile delinquent supervision is a term of supervised
release. Compare 18 U.S.C. § 3583(a) with 18 U.S.C. § 5037(d)(1). When juvenile
delinquent supervision was introduced in 2002, “the circuit courts were in
agreement that, when calculating the maximum term of imprisonment to impose
upon revocation of a[n] [adult] defendant’s supervised release, the district court
was required to subtract the aggregate of length of any and all terms of revocation
imprisonment from the statutory maximum.” United States v. Knight, 580 F.3d
933, 937 (9th Cir. 2009).
The text of § 5037(d)(5) appears more generous than the consensus
described in Knight because § 5037(d)(5) reduces the potential term of official
14
detention upon revocation by “any term of official detention previously ordered,”
not just those ordered during previous revocation proceedings. See 18 U.S.C.
§ 5037(d)(5) (emphasis added). But the government’s proposed construction would
mean that juveniles older than 21 at their revocation proceedings would get no
credit at all, neither for official detention ordered during the initial disposition
hearing, nor for official detention ordered at previous revocations.
“[I]t [is] highly unlikely that Congress meant to treat juveniles more harshly
than adult offenders” when it enacted § 5037(d)(5). See Jonah R., 446 F.3d at
1010. Congress later amended § 3583 so that adult offenders no longer receive
credit for imprisonment related to a prior revocation. See Knight, 580 F.3d at 937-
38 (citing Prosecutorial Remedies and Other Tools to End the Exploitation of
Children Today Act of 2003, Pub. L. No. 108-21, § 101, 117 Stat. 650, 651). But
Congress made no such change to § 5037(d)(5). See 18 U.S.C. § 5037(d)(5).
III. Motivating Policies
Finally, the FJDA’s purpose cautions against adopting the government’s
construction. “The FJDA creates a separate system of criminal justice for juveniles
to shield them from the ordinary criminal justice system and to provide them with
protective treatment not available to adults accused of the same crimes.” Jonah R.,
446 F.3d at 1010 (internal quotation marks and alterations omitted). “The primary
goal of the FJDA is rehabilitative, not punitive; we have thus declared that a least
15
restrictive standard for confinement is implicit in the structure and purposes of the
FJDA sentencing provisions.” Id. (internal quotation marks omitted). “In keeping
with its rehabilitative goals, the FJDA disfavors institutionalization and in
particular the warehousing of young people away from their communities.” United
States v. Juvenile, 347 F.3d 778, 785 (9th Cir. 2003). Whereas the government’s
construction would expose juveniles to longer terms of detention, Appellant’s
construction would help prevent excessive detention of juveniles, furthering the
FJDA’s purpose.
Also weighing in favor of Appellant’s construction is the risk that the
government’s construction would create constitutional concerns. The
government’s construction could subject similarly situated juveniles to different
maximum terms of official detention based on how promptly each juvenile’s
revocation proceeding is held. Because the maximum term of official detention is
driven by a juvenile’s age at the time of his revocation proceeding, a juvenile who
violates a condition of supervision before he turns 21 would have a different
maximum sentence depending on whether his revocation proceeding occurred
before or after his 21st birthday. Disparate treatment of similarly situated
defendants triggers equal protection concerns when there is no rational basis for
the distinction. See Jonah R., 446 F.3d at 1008; see also cf. United States v. Stokes,
16
292 F.3d 964, 968-69 (9th Cir. 2002). “We must interpret statutes to avoid such
constitutional difficulties whenever possible.” Jonah R., 446 F.3d at 1008.
The FJDA does provide for different maximum terms of detention
depending on whether a juvenile was originally sentenced before or after his 18th
birthday. See United States v. Leon H., 365 F.3d 750, 753-54 (9th Cir. 2004). But
differentiating between juveniles based on when they were originally sentenced is
consistent with the language and structure of the FJDA. See id. at 752–53. It also
“makes sense from a policy perspective,” because it avoids a “nonsensical”
juvenile sentencing scheme “in which the potential penalty that can be applied
decreases as the defendant ages.” Id. at 753. Here, however, there is no apparent
rational basis for granting credit for previous terms of official detention to
juveniles who have revocation hearings before their 21st birthdays, but refusing
credit to juveniles whose revocation hearings happen after they turn 21. In this
context, the period of possible detention is already limited by the juvenile’s age
because § 5037(d)(5) prohibits extending detention beyond a juvenile’s 24th or
26th birthday. Therefore, our holding in Leon H. does not assuage our concerns
about the constitutional implications of the government’s construction of
§ 5037(d)(5).
17
CONCLUSION
The text and structure of § 5037(d)(5), its legislative history, and the FJDA’s
motivating purpose support Appellant’s construction of § 5037(d)(5). Because
Appellant was entitled to credit for “any term of official detention previously
ordered,” the maximum term of official detention that could have been imposed
upon revocation of his juvenile delinquent supervision was 14 months.4 See 18
U.S.C. § 5037(d)(5). Appellant was sentenced to 34 months of official detention.
Therefore, Appellant’s sentence exceeded the maximum permitted by law. At the
end of May 2018, Appellant had been detained for 14 months for the instant
supervision violations. We therefore vacate Appellant’s sentence and remand with
instructions that the district court order Appellant’s immediate release. We also
order that the mandate issue immediately upon filing of this disposition. See Fed.
R. App. P. 41.
VACATED and REMANDED. The mandate shall issue immediately
upon filing of this decision. The district court shall order Appellant’s
immediate release.
4
The maximum statutory term of official detention is 60 months. See 18 U.S.C.
§ 5037(c)(2). At the time of his second revocation hearing, Appellant had been
previously ordered to serve 46 months of official detention (28 months at the
original dispositional hearing and 18 months at the first revocation hearing). 60
months less 46 months is 14 months.
18