BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
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Section 1 - Criminal Pre-Trial
1.11 Delinquency Proceedings (18 USC 5031 et seq.)
1.11.1
Delinquency Proceedings: Proceeding As An Adult Or A Juvenile
1.11.2
Delinquency Proceedings: Arraignment Of A Juvenile:
1.11.3
Delinquency Proceedings: Disposition
1.11.4
Delinquency Proceedings: Calendar Of events
1.11.5
Delinquency Proceedings: Other Sources
BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
1.11.1 Delinquency Proceedings: Proceeding As An Adult Or A Juvenile
1. Jurisdiction
(a) The district court has jurisdiction over a juvenile who is alleged to have committed a violation of law in the court’s special maritime and territorial jurisdiction for which the maximum authorized term of imprisonment is six months or less.
(b) In other cases, the district court has jurisdiction only if the Attorney General, after investigation, certifies one of the following:
(i) that a juvenile court or other appropriate state court does not have jurisdiction or refuses to assume jurisdiction over a juvenile with respect to the alleged act of juvenile delinquency;
(ii) that the state does not have available programs and services adequate for the needs of juveniles; or
(iii) that the offense charged is a crime of violence that is a felony, or is an offense described in certain sections of title 21, and that there is a substantial federal interest in the case or the offense.
If jurisdiction is not established under paragraph (a) or (b) above, the juvenile must be surrendered to appropriate state authorities. If jurisdiction is established, the prosecution proceeds by information or by violation notice or complaint under 18 USC 3401(g). See 18 USC 5032. See also the Calendar of Events at the end of this section.
2. Preliminary procedures
(a) Clear the courtroom of all persons except those associated with the case. Close the outside and inside doors and instruct the marshal not to open them during the proceedings.
(b) Take the appearances of counsel.
(c) Explain to the parties that the hearing will be divided into two parts as follows:
(i) the court determines if the juvenile should proceed as an adult or a juvenile;
(ii) the juvenile admits or denies the charges against him or her (see subsection B of this section).
(d) Ensure that the juvenile can speak and understand English and that defense counsel has been able to communicate with the juvenile in English. If there is any doubt about the juvenile’s ability to understand English, use a certified interpreter. See 28 USC 1827.
3. Explain the rights of an adult:
(a) to an initial appearance before the magistrate judge;
(b) to counsel;
(c) to a bail hearing;
(d) to an indictment, if applicable;
(e) to a preliminary examination to determine probable cause if the defendant is not indicted; and
(f) to a trial by jury (explain composition of jury) in which the government will have to prove that the defendant is guilty beyond a reasonable doubt and in which the defendant has the right
(i) to confront and cross-examine witnesses; and
(ii) to remain silent, testify, or call witnesses.
4. Explain the rights of a juvenile:
(a) to an initial appearance before the magistrate judge;
(b) to counsel;
(c) to an information, violation notice, or complaint, as opposed to an indictment by grand jury; [FOOTNOTE 1]
(d) to a hearing before the court to determine delinquency, [FOOTNOTE 2] during which the defendant has the right
(i) to confront and cross-examine witnesses; [FOOTNOTE 3]
(ii) to remain silent, testify, or call witnesses; [FOOTNOTE 4] and
(iii) to have the government prove guilt beyond a reasonable doubt; [FOOTNOTE 5]
and
(e) to have his or her name and picture withheld from the media. [FOOTNOTE 6]
5. Election to proceed as an adult or a juvenile
(a) Explain the maximum penalties under the applicable statute if the juvenile elects to proceed as an adult.
(b) Explain the disposition under the Federal Juvenile Delinquency Act (FJDA), which gives the court the following options:
(i) to suspend the findings of delinquency;
(ii) to require that the juvenile make restitution to the victim(s) of the delinquent conduct;
(iii) to place the juvenile on probation; or
(iv) to commit the juvenile to official detention. 18 USC 5037(a)
(c) Explain that if the juvenile elects to proceed as an adult,
(i) the request must be in writing and upon the advice of counsel. [FOOTNOTE 7]
(ii) the juvenile may plead not guilty and force the government to trial by jury under an indictment, if applicable.
(iii) the juvenile may plead guilty and forgo trial.
(d) Explain that if the juvenile elects to proceed as a juvenile,
(i) the request may be oral.
(ii) the juvenile may deny the charges against him or her and force the government to try the case before the judge.
(iii) the juvenile may admit the charges filed in the information, violation notice, or complaint, forgoing trial.
(e) Ask counsel
(i) if proceeding as a juvenile is in the individual’s best interests; and
(ii) if family members present in the courtroom have discussed the individual’s election with counsel.
(f) Ask the juvenile:
Do you elect to proceed as an adult or as a juvenile?
(i) If the juvenile elects to proceed as an adult, proceed to arraignment as an adult (see infra section 2.01: Taking pleas of guilty or nolo contendere).
(ii) If the juvenile elects to proceed as a juvenile, proceed to arraignment of a juvenile (see subsection B of this section).
6. Motion by Attorney General to proceed against the juvenile as an adult
(a) The Attorney General may make a motion to transfer the juvenile to adult prosecution if the juvenile
(i) committed an act that if committed by an adult would be a felony that is a crime of violence or a specified drug offense from title 21; and
(ii) committed the act after his or her fifteenth birthday.
(b) The court may grant the motion if, after a hearing and after considering and making findings in the record on the factors listed in the statute, it finds that the transfer would be "in the interest of justice."
(c) The age limit for committing the act is lowered to after the thirteenth birthday for certain crimes of violence or if the juvenile possessed a firearm during the offense.
(d) Reasonable notice of a transfer hearing must be given to the juvenile; the juvenile’s parents, guardian, or custodian; and counsel. The juvenile shall be assisted by counsel, and any statements the juvenile makes before or during the transfer hearing are not admissible at subsequent criminal prosecutions.
See 18 USC 5032.
7. Mandatory proceeding as an adult
The juvenile shall be transferred to district court for prosecution as an adult if the juvenile
(a) committed an act after his or her sixteenth birthday that if committed by an adult would be a felony offense that is a crime of violence, or a drug offense or other serious crime as described in the statute; and
(b) has been previously found guilty of an act that if committed by an adult would have been one of the offenses described above or in paragraph 6 above, or found guilty of a violation of a state felony statute that would have been such an offense if committed under federal jurisdiction.
See 18 USC 5032.
FOOTNOTES:
Footnote 1: 18 USC 5032; United States v. Hill, 538 F.2d 1072 (4th Cir. 1976).
Footnote 2: McKeiver v. Pennsylvania, 403 U.S. 528 (1971); United States v. Hill, 538 F.2d 1072 (4th Cir. 1976).
Footnote 3:. In re Gault, 387 U.S. 1 (1967); United States v. Costanzo, 395 F.2d 441 (4th Cir.), cert. denied, 393 U.S. 883 (1968).
Footnote 4: In re Gault, 387 U.S. 1 (1967); United States v. Hill, 538 F.2d 1072 (4th Cir. 1976); West v. United States, 399 F.2d 467 (5th Cir. 1968) (factors in deciding if juvenile has waived privilege against self-incrimination), cert. denied, 393 U.S. 1102 (1969).
Footnote 5: In re Gault, 387 U.S. 1 (1967); United States v. Hill, 538 F.2d 1072 (4th Cir. 1976); United States v. Costanzo, 395 F.2d 441 (4th Cir.), cert. denied, 393 U.S. 883 (1968).
Footnote 6: 18 USC 5038(e).
Footnote 7: 18 USC 5032.
BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
1.11.2 Delinquency Proceedings: Arraignment Of A Juvenile:
1. Administer oath and make sure the juvenile understands that to lie under oath is to commit the crime of perjury.
2. Direct the U.S. attorney to read the charge(s) against the juvenile.
(a) The charge(s) must
(i) reflect that the individual committed an act of juvenile delinquency;
(ii) cite the statute allegedly violated; and
(iii) cite 18 USC 5032.
(b) The court should direct the following questions to the juvenile:
(1) Have you been given a copy of the charge(s)?
(2) Have you talked to counsel about the charge(s) filed against you?
[Explain the charge(s) and inquire:]
(3) Do you understand the charge(s) against you?
[Explain the penalty and inquire:]
(4) Do you understand the maximum penalty that could be assessed against you if you are found guilty of the charge(s)?
(5) Do you understand that you are entitled to have counsel present with you at all times during these proceedings?
(6) Are you satisfied with your representation (counsel)?
(7) Do you understand that you have a right to deny the charge(s) that has (have) just been read?
(8) Do you understand that if you deny the charge(s), the government will have to bring witnesses that your counsel can cross-examine, and the government will have to convince the court beyond a reasonable doubt
(a) that you committed the crime with which you have been charged; and
(b) that you committed this crime before you reached the age of eighteen?
3. Read the elements of the offense that the government will have to prove.
4. Determine the competence of the juvenile to understand the proceedings and to enter an admission or denial.
(a) The court should ask the following questions:
(1) Have you taken any drugs, medicines, or pills or drunk any alcoholic beverages in the past twenty-four hours?
(2) Do you understand what is happening today?
(b) The court should also ask the juvenile’s counsel and the prosecutor this question:
Do either of you have any doubt as to the juvenile’s competence to admit or deny the charge(s) against him [her] at this time?
(c) If, after further interrogation of the juvenile and counsel, there is any question of the juvenile’s understanding of the proceedings and of his or her competence to plead, continue the taking of the admission or denial to a later date.
5. Determine the juvenile’s awareness of the consequences of an admission. Ask:
(a) Are you aware that, if you admit the charge(s) against you, you are giving up your right:
(1) to trial by the court?
(2) to confront and cross-examine witnesses?
(3) to remain silent, testify, and call witnesses?
(4) to require the government to prove guilt beyond a reasonable doubt?
(b) Are you aware that if you admit the charge(s) against you, you will lose the right to elect to proceed as an adult with the following rights: [FOOTNOTE 8]
(1) to an indictment, if applicable?
(2) to a trial by jury?
[See subsection A.3(f) of this section.]
6. Explain to the juvenile that if he or she admits the act with which he or she has been charged, the government will then tell the court what it believes the facts to be and what it could prove if the case were to go to trial. Further, explain that the court would then ask the juvenile
(a) if what the government says is true as far as he or she knows;
(b) if any part of what the government says is not true, and if so, what is not true;
(c) if he or she believes that the government can prove what it says it can prove; and
(d) if he or she committed [here, go through the elements of the offense].
7. Determine the voluntariness of the admission:
The court must be satisfied that if the juvenile admits the charge(s) against him or her, this admission is voluntary and not the result of any force or threat or inducement. Suggested questions to ask the juvenile include the following:
(a) Has anyone threatened you or anyone else or forced you in any way to admit the charge(s)?
[If the answer is yes, ascertain the facts and recess if necessary to permit the juvenile and his or her counsel to confer, or postpone taking the admission.]
(b) Do you understand that no one can compel you to admit anything?
8. Take the admission or denial. Ask the juvenile:
Do you admit or deny that you are a juvenile delinquent as charged in the information?
(a) If the juvenile denies the charge(s), set the case for trial.
(b) If the juvenile admits the charge(s):
(1) Ask the U.S. attorney to state what he or she can prove at trial.
(2) Ask the juvenile the following questions:
(a) So far as you know, is what the government says true?
(b) Is any part of what the government says not true, and if so, what is not true?
(c) Do you believe that the government can prove what it says it can prove?
Note
Consider asking the juvenile to tell, in his or her own words, what he or she did.
(d) Did you [here, go through the elements of the offense]?
(3) Ask counsel for the juvenile if counsel is satisfied that the government can prove what it says it can prove.
9. Make findings for the record:
(a) Find that all laws (18 USC 5031 et seq.) have been complied with and that a basis for federal jurisdiction exists (see subsection A.1 of this section).
(b) Find that the juvenile is competent.
(c) Find that the juvenile understands his or her rights and has elected to give them up, except the right to counsel.
(d) Find that the juvenile has voluntarily admitted the charge(s) against him or her after fully knowing and understanding his or her constitutional rights as a juvenile.
(e) Find that the juvenile is aware of the maximum penalty that could be imposed against him or her.
(f) Find that the juvenile is aware that the government has sufficient facts to support an adjudication of juvenile delinquency.
(g) Ask the juvenile if he or she wants to change his or her mind and not proceed as a juvenile or not admit the charge(s) against him or her.
(h) Adjudge that the juvenile is a juvenile delinquent.
10. Inform the juvenile and his or her parents or guardian, in writing, of the juvenile’s rights relating to the confidentiality of juvenile records. [FOOTNOTE 9]
FOOTNOTES:
Footnote 8: Cf. United States v. Doe, 627 F.2d 181 (9th Cir. 1980) (discussing timing requirement for making request to proceed as an adult).
Footnote 9: 18 USC 5038(b). See 18 USC 5038(a), (c), (d), and (f) for authority to release juvenile records.
BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
1.11.3 Delinquency Proceedings: Disposition (18 USC 5037) [FOOTNOTE 10]
1. Detention prior to disposition (18 USC 5035)
(a) A juvenile alleged to be delinquent may be detained only in a juvenile facility or other suitable place designated by the Attorney General.
(b) Detention shall be in a foster home or community-based facility located in or near the juvenile’s home community whenever possible.
(c) The juvenile shall not be detained or confined in any institution in which he or she would have regular contact with adults convicted of crimes or awaiting trial on criminal charges. Also, insofar as possible, alleged delinquents shall be kept separate from adjudicated delinquents.
(d) Every juvenile in custody should be provided with adequate food, heat, light, sanitary facilities, bedding, clothing, recreation, education, and medical care, including necessary psychiatric, psychological, or other care and treatment.
2. Timing of hearing (18 USC 5037(a))
If the juvenile is adjudicated to be delinquent, the court must have a hearing disposing of the case within twenty court days after said adjudication unless the court has ordered further studies in accordance with 18 USC 5037(d). (See paragraph 5 of this section.)
3. Judgment following disposition hearing
After the disposition hearing, the court may
(a) suspend the findings of delinquency;
(b) require the juvenile to make restitution pursuant to 18 USC 3556;
(c) place the juvenile on probation; or
(d) commit the juvenile to official detention in the custody of the Attorney General.
4. Sentence
A juvenile may not be placed on probation or committed for a term longer than the maximum probation or prison term that would have been authorized had the juvenile been sentenced as an adult under the Sentencing Guidelines. United States v. R.L.C., 112 S. Ct. 1329, 1339 (1992). Subject to that limitation, the maximum terms applicable are as follows:
(a) For a juvenile under eighteen at the time of disposition, neither the probation term nor the detention term may extend beyond the juvenile’s twenty-first birthday. 18 USC 5037(b)(1), (c)(1).
(b) For a juvenile between eighteen and twenty-one at the time of disposition, the probation term may not exceed three years. 18 USC 5037(b)(2). The detention term may not exceed five years if the act of delinquency was a Class A, B, or C felony; it may not exceed three years in other cases. 18 USC 5037(c)(2).
5. Observation and study (§ 5037(d))
An alleged or adjudicated delinquent may be committed, after notice and a hearing at which the juvenile is represented by counsel, to the custody of the Attorney General for observation and study by an appropriate agency. This observation and study shall be conducted on an outpatient basis unless the court determines that inpatient observation and study are necessary to obtain the desired information. If the juvenile is only an alleged juvenile delinquent, inpatient study may be ordered only with the consent of the juvenile and his or her attorney. The agency shall make a complete study of the alleged or adjudicated delinquent to ascertain his or her personal traits, capabilities, and background; any previous delinquency or criminal experience; any mental or physical defects; and any other relevant factors.
The Attorney General must submit a report on the observation and study to the court and "to the attorneys for the juvenile and the government" within thirty days after commitment unless the court grants additional time.
FOOTNOTES:
Footnote 10: The following outline is not intended as a procedure for conducting a dispositional hearing, but as supplemental material to be used in setting the dispositional hearing.
BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
1.11.4 Delinquency Proceedings: Calendar Of Events
Juvenile In Custody
The juvenile must be brought to trial within thirty days from the date detention was begun. 18 USC 5036.
The dispositional hearing must occur within twenty court days after a juvenile is adjudicated delinquent. 18 USC 5037(a).
Juvenile Not In Custody
The juvenile must be tried within seventy days from the date of filing of the charging information or from the date the juvenile appeared before a judicial officer of the court in which such charge is pending, whichever date occurs last. 18 USC 3161 et seq. [FOOTNOTE 11]
The dispositional hearing must occur within twenty court days after a juvenile is adjudicated delinquent. 18 USC 5037(a).
FOOTNOTES:
Footnote 11: But see Model Statement of the Time Limits and Procedures for Achieving Prompt Disposition of Criminal Cases (Committee on the Administration of the Criminal Law of the Judicial Conference of the United States) (1979) (except as specifically provided, the time limits are not applicable to proceedings under the FJDA).
BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
1.11.5 Delinquency Proceedings: Other Sources [Reserved]