United States v. Keyes

675 F. Supp. 2d 988, 2009 U.S. Dist. LEXIS 119406, 2009 WL 4694080
CourtDistrict Court, D. Arizona
DecidedDecember 4, 2009
DocketNo. 09-04199MP-001-PCT-MEA
StatusPublished

This text of 675 F. Supp. 2d 988 (United States v. Keyes) is published on Counsel Stack Legal Research, covering District Court, D. Arizona primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Keyes, 675 F. Supp. 2d 988, 2009 U.S. Dist. LEXIS 119406, 2009 WL 4694080 (D. Ariz. 2009).

Opinion

ORDER

MARK E. ASPEY, United States Magistrate Judge.

Before the Court is the Government’s Motion for Determination of Counsel. The government asserts that while it is not privy to defendant’s sealed CJA Financial Affidavit, contact with defendant’s employer leads the government to question whether defendant is indigent for the purposes of court appointed counsel. Defendant counters that the government has delayed too long in bringing its request before the Court and speculates that to in essence rock the boat at this time would result in “a quagmire of constitutional concerns” under the Fifth and Sixth Amendments. Defendant also asserts that should the Court reopen the issue of defendant’s appointment of counsel it should do so in camera and ex parte. The government replies that it brought the information to the Court’s attention in a timely manner as soon as it obtained the information.

The tension presented by a defendant asserting his Fifth and Sixth Amendment rights in the appointment of counsel context and the public’s and the government’s right of access to a defendant’s CJA Financial Affidavit and related information has 'been the subject of considerable litigation amount the federal courts. A detailed discussion of the respective positions of the Circuit Courts of Appeal can be found in United States v. Hilsen, 2004 WL 2284388 (S.D.N.Y.2004). There is far from unanimity in the approach to be taken in resolving the tension.

Analysis

With the passage of the Criminal Justice Act of 1964, the District Court for the [989]*989District of Arizona enacted its own plan for the administration of that act. See Plan for the United States District Court for the District of Arizona, Pursuant to the Criminal Justice Act of 1964. The plan provided, in pertinent part:

All statements made by such person in such inquiry shall be either under oath in open court or by affidavit sworn to before the District Judge or the United States Magistrate in open court or in camera in the discretion of the United States District Judge or Magistrate. All testimony or other information submitted by the defendant in camera either orally or in writing shall be placed under seal until the final disposition of the case in the District Court, subject to further order of the court, and until unsealed on order of the court shall not be revealed without the consent of the defendant.

On May 7, 2007, the District of Arizona’s plan for appointment of counsel was extensively amended. See General Order 07-OS. The previous language was deleted and the following language was substituted:

The determination of eligibility for representation under the CJA is a judicial function to be performed by a judge after making appropriate inquires concerning the person’s financial condition. Such inquires can be held in camera, ex parte, or under seal, at the discretion of the judge.

(General Order 07-08, Att. at p. 3)

The amendment reflects the lack of unanimity among the courts as to the proper approach to be followed in resolving the issue. The matter of sealing or not sealing the defendant’s financial information and the nature of the inquiry (m camera or adversarial) is left to the discretion of the trial court.

In United States v. Peister, 631 F.2d 658, 662 (10th Cir.1980) the court indicated:

Peister’s claim of Fifth Amendment protection against self-incrimination is based on the assumption that the execution of the financial disclosure would incriminate him. On the record presented, we do not know whether or not it would or would not. We know neither the financial ability of the defendant nor what use, if any, might ever be made by the government of the defendant’s statements with regard to financial ability. The burden is on defendant to demonstrate financial inability in order to obtain counsel. United States v. Ellsworth, 547 F.2d 1096 (9th Cir.), cert. denied 431 U.S. 931, 97 S.Ct. 2636, 53 L.Ed.2d 247 (1977). We hold the defendant should not be relieved of this burden when any conflict for protection will come when, if ever, the government attempts to use the information against the defendant at trial. We are not willing to assume that the government will make such use or if it does, that a court will allow it to do so [Emphasis added]

Subsequent to Peister the 10th Circuit summarized the then current state of the law in United States v. Hardwell, 80 F.3d 1471, 1483-84 (10th Cir.1996) as follows:

In Simmons v. United States, 390 U.S. 377, 88 S.Ct. 967, 19 L.Ed.2d 1247 (1968), the Supreme Court held that a defendant’s testimony at a suppression hearing to establish standing to object to a search cannot be used against him at trial to establish guilt because otherwise, the defendant would be required to choose between the Fourth Amendment right to be free from unreasonable searches and the Fifth Amendment right against self incrimination. The Court has limited Simmons in some respects, see McGautha v. California, 402 U.S. 183, 211, 212, 91 S.Ct. 1454, 1469-70, 28 L.Ed.2d 711 (1971), but has not ruled on whether statements made by a defendant to establish eligibility for ap[990]*990pointed counsel are admissible at trial as proof of guilt. See United States v. Kahan, 415 U.S. 239, 242-43, 94 S.Ct. 1179, 1180-81, 39 L.Ed.2d 297 (1974). Several Circuits have followed the reasoning of Simmons and held that a defendant is entitled to some sort of protection against the use of financial disclosures made to establish eligibility for appointed counsel. In the absence of some protection, a defendant would be forced to choose between the Sixth Amendment right to counsel and the Fifth Amendment right against self incrimination. [Citations Omitted] Some courts have held that this protection may be offered before trial, either by granting the defendant use immunity or by conducting the indigence hearing in camera and sealing the record. See [United States u] Gravatt, 868 F.2d [585] at 590 [ (3d Cir.1989) ].
In United States v. Peister, 631 F.2d 658, 661-62 (10th Cir.1980), cert. denied, 449 U.S. 1126, 101 S.Ct. 945, 67 L.Ed.2d 113 (1981), this circuit rejected the pretrial protection approach without resolving whether use of a defendant’s financial affidavit and other statements made to obtain appointed counsel violates the Fifth Amendment.

In Seattle Times v. United States District Court, 845 F.2d 1513, 1518 (9th Cir. 1988) the court stated:

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Related

Simmons v. United States
390 U.S. 377 (Supreme Court, 1968)
McGautha v. California
402 U.S. 183 (Supreme Court, 1971)
United States v. Kahan
415 U.S. 239 (Supreme Court, 1974)
Fisher v. United States
425 U.S. 391 (Supreme Court, 1976)
United States v. Salvucci
448 U.S. 83 (Supreme Court, 1980)
United States v. W. Vaughn Ellsworth
547 F.2d 1096 (Ninth Circuit, 1977)
United States v. Robert Neff
615 F.2d 1235 (Ninth Circuit, 1980)
United States v. Stephen L. Peister
631 F.2d 658 (Tenth Circuit, 1980)
United States v. John L. Harris
707 F.2d 653 (Second Circuit, 1983)
United States v. Lawrence Sarsoun
834 F.2d 1358 (Seventh Circuit, 1988)
In Re Copley Press, Inc.
518 F.3d 1022 (Ninth Circuit, 2008)
United States v. Hardwell
80 F.3d 1471 (Tenth Circuit, 1996)
Peister v. United States
449 U.S. 1126 (Supreme Court, 1981)

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Bluebook (online)
675 F. Supp. 2d 988, 2009 U.S. Dist. LEXIS 119406, 2009 WL 4694080, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-keyes-azd-2009.