Under Seal v. United States

755 F.3d 213, 2014 WL 2699722
Court of Appeals for the Fourth Circuit·Decided June 16, 2014·No. 13-4933·Published

Opinion

Reversed and remanded by published opinion. Judge THACKER wrote the opinion, in which Judge WILKINSON and Senior Judge HAMILTON joined.

THACKER, Circuit Judge:

During the course of a grand jury investigation, the Government subpoenaed a 19-year-old man (“Doe Jr.” or “Appellee”) to testify with regard to potential federal charges against his father (“Mr. Doe”). 1 Doe Jr. moved to quash the sub- *215 poena pursuant to Federal Rule of Criminal Procedure 17(c)(2), claiming that his testimony was shielded by a purported parent-child privilege. The district court granted the motion.

No federal appellate court has recognized a parent-child privilege, and we decline to do so here. As explained more fully below, Doe Jr. has not made a strong showing of need for the parent-child privilege, and “reason and experience” do not warrant creation of the privilege in the face of substantial authority to the contrary. Fed.R.Evid. 501. Therefore, we reverse and remand for further proceedings.

I.

A.

On November 30, 2012, Harford County, Maryland sheriffs deputies responded to a 911 domestic assault complaint from Doe Jr.’s mother (“Mrs. Doe”). At this time, 18-year-old Doe Jr. lived in the house with his parents and two minor siblings. The deputies arrived and conducted a search. They seized approximately 40 firearms, including two assault-style rifles, a WWII-style pistol, a loaded semi-automatic handgun, and an AK-47 assault rifle; equipment used to alter and convert firearms (i.e., torches, welding equipment, and saws); and in the basement, marijuana plants growing in five-gallon buckets and drug paraphernalia.

Domestic abuse charges were filed against Mr. Doe, but Mrs. Doe later dropped them. Mr. and Mrs. Doe thereafter separated, and Doe Jr. moved in with his father because he claims he was “was kicked out of the house by [his] mother.” J.A. 34. 2 Doe Jr. now lives exclusively with Mr. Doe, who helps to pay for his college education and supports him financially. Doe Jr. also testified that he has an aunt who helps with his college bills, and if she did not, he “would not have been able to go to college this year.” Id. at 37.

B.

The Government began investigating the events of November 30, 2012, and referred the case to a grand jury for possible prosecution pursuant to 26 U.S.C. § 5861(d). 3 On October 10, 2013, the Government subpoenaed Doe Jr. “to determine the ownership of the illegal guns” found at the Doe home. Appellant’s Br. 4.

Doe Jr. filed a motion to quash with the district court on October 15, 2013, explaining that he believed he was called upon to testify “as part of an ongoing investigation of federal criminal charges pending against his father.” J.A. 6. He contends that enforcing the Government’s subpoena would violate the parent-child privilege:

In a case like this, where the Government seeks to solidify a criminal case against the father by compelling the child’s testimony, the necessary conclusion on the child’s part will be that he, [Doe Jr.], is responsible for his father’s prosecution. The damage to the father-son relationship is, under these circumstances, as certain as it is incalculable.

Id. at 10.

On October 16, 2013, the district court held a hearing on the motion to quash, at *216 which Doe Jr. — at that time 19 years old— testified. The following exchange occurred:

[THE GOVERNMENT]: [I]f you testify truthfully ... are you saying that your dad ... would not cut you off?
[DOE JR.]: Yeah.
Q: He would cut you off?
A: No.
Q: He would not cut you off. Would he hold it against you?
A: Would he hold it against me? No.

J.A. 38. Nonetheless, Doe Jr. said that he had significant anxiety about testifying against his father, and provided doctors’ notes to that effect.

At the district court hearing, the Government argued that there would be “no negative ramifications” resulting from Doe Jr. testifying. J.A. 50. Because Mrs. Doe had invoked her spousal privilege and the Government did not intend to call the two minor Doe children as witnesses, the Government asserted it needed Doe Jr.’s testimony to “fully explore all the evidence in this case to do a complete and thorough investigation.” Id. The Government noted, “there is a chance that there were other people in the house besides [Mr. Doe] that might be responsible for the[] automatic weapons.” Id. at 48. 4

The district court granted the motion to quash from the bench, explaining, in part,

The fact of the matter is, based upon the testimony as I have heard it, there is a continuing relationship between [Doe Jr.] and his dad. [Doe. Jr.]’s age is certainly not as old as some of the people in the other cases. I’m not sure quite how age cuts. If I had a very young person, I would be concerned about abuse. And there is a potential for abuse in this situation. With [Doe] Jr., if he were to testify, despite what he knew about his father’s perception, certainly there would be a[n] incentive for the father to cut him off now. And if the father is convicted, then a source of income is cut off, so [Doe] Jr., might not be able to continue in college as he is now doing, nor have his necessities provided for.
But ... in the final analysis it has to do with one’s perception of the proper role of government.
[0]ne must be concerned about the intersection of government and individual privacy rights. And ... the government has every reason to be concerned here. And I’m not suggesting in any way that they’re being motivated improperly by seeking this testimony. But I think the privilege does exist. It must be ... considered on a ease-by-case basis.
Hearing the evidence before me, I think that the relationship between [Doe Jr.] and his father does create the privilege. And [Doe Jr.] does not have to testify in the grand jury. I’m not — despite what I’ve said, I’m not being critical of the government. I’m very suspicious about the relationship, of the possession of the automatic weapons and the growing of marijuana in pots in the basement. But I don’t think that my suspicions about that provide an adequate reason for me to say that the government’s and soci *217 ety’s interests trump those constitutional — the privacy rights of [Doe] Jr.

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Under Seal v. United States, 755 F.3d 213, 2014 WL 2699722 (4th Cir. 2014).

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