JOSEPH F. BIANCO, District Judge:
On May 21, 2010, the government filed a Juvenile Information ("Information") against defendant Juvenile Male ("the defendant") charging him with one count of conspiracy to commit murder in aid of racketeering, 18 U.S.C. § 1959(a)(5); two counts of murder in aid of racketeering, 18 U.S.C. § 1959(a)(1); two counts of discharging a firearm during a crime of violence, 18 U.S.C. § 924(c)(1)(A)(iii); and two counts of causing the death of another through the use of a firearm, 18 U.S.C. § 924(j)(1). The government subsequently moved, pursuant to 18 U.S.C. § 5032, to transfer the case to district court in order to prosecute the defendant as an adult. On November 29, 2010, after written submissions had been filed with the Court, the Court conducted an evidentiary hearing on the government's transfer motion.
For the reasons set forth herein, the Court finds that transfer of this case to district court for prosecution of the defendant as an adult is warranted in the interest of justice. More specifically, as discussed in great detail below, after conducting a hearing and carefully analyzing the statutory factors, the Court concludes in its discretion that the government has met its burden of proving by a preponderance of the evidence that the defendant's transfer to adult status is warranted. In fact, when the statutory factors are applied to the instant case, it is hard to imagine a more compelling case for transfer to adult status. First, the nature of the alleged offense—namely, the defendant's alleged participation in the heinous, execution-style murder of a nineteen-year-old woman and her two-year-old son who had been lured to the woods of Central Islip—overwhelmingly favors, in the interest of justice, transferring the case to district court so that the defendant can be prosecuted as an adult. Moreover, this brutal and callous double-homicide of a woman and her child is alleged to have been committed as part of the defendant's participation in the racketeering activity of the violent MS-13 street gang. Thus,
The charges against the defendant stem from his alleged involvement in La Mara Salvatrucha ("MS-13"), a criminal enterprise based in El Salvador and operating
As set forth in the government's transfer motion, the defendant has been charged in connection with the murder of nineteen-year-old "V.A." and her two-year-old son, "D.T."
On February 4, 2010, CC-1 arranged to meet with V.A. and drove with CC-2 and the defendant to pick her up. (Id.) V.A. was accompanied by her two-year-old son, D.T. (Id.) After obtaining a handgun from another MS-13 member, CC-1, CC-2, and the defendant drove V.A. and D.T. to Central Islip, New York, where the defendant and his co-conspirators lured V.A. and her son into a wooded area. (Id.) Once they were in the woods, the defendant, CC-1, and CC-2 shot V.A. and D.T. (Id.) V.A. was shot once in the head and once in the chest, and her son was shot twice in the head. (Id. at 6-7.)
After the murders, in February 2010, the defendant, CC-1, and CC-2 fled from the United States to El Salvador. (Id. at 7.) On April 23, 2010, the government obtained an arrest warrant for the defendant and began preparing the paperwork necessary to have the defendant extradited from El Salvador. (Id.) Before that process was completed, however, on May 17, 2010, the defendant was arrested upon attempting to reenter the United States through Miami International Airport. (Id.)
"A juvenile fifteen years of age or older who is `alleged to have committed an act after his fifteenth birthday which if
Although the Court must evaluate each of the six factors outlined in § 5032, it need not afford each of these factors equal weight, and instead "may balance the factors in any way that seems appropriate to it." Nelson I, 68 F.3d at 588. In particular, the Second Circuit has explained that "when a crime is particularly serious, the district court is justified in weighing this factor more heavily than the other statutory factors." Id. at 590. This is particularly true when the case involves "[t]he heinous nature of the crime of intentional murder," which "certainly may be a factor entitled to special weight." Id. Furthermore, the defendant's potential for rehabilitation typically should also be given "special emphasis." United States v. Ramirez, 297 F.3d 185, 193 (2d Cir.2002). Indeed, the notion of rehabilitation "permeat[es] the transfer decision ... [and] clearly is one of the primary purposes of the juvenile delinquency provisions." United States v. Nelson, 90 F.3d 636, 640 (2d Cir.1996) ("Nelson II") (internal quotation marks and citation omitted). Nevertheless, even though a juvenile's potential for rehabilitation is a "crucial determinant in the transfer decision," this factor "must be balanced against the threat to society posed by juvenile crime." Id. (internal quotation marks and citations omitted). Accordingly, it is not sufficient for a court to find that there is merely a "glimmer of hope" for a juvenile's future treatment prospects. Nelson I, 68 F.3d at 590. Instead, a court must determine that the juvenile is "likely to respond to rehabilitative efforts," which is a standard that "strikes the appropriate balance [between] .... affording a defendant juvenile status when rehabilitation will work (and the rehabilitative goals of the juvenile system will be achieved), and allowing transfer to adult status when it will not (and the concerns
The Second Circuit has instructed that a district court should consider a juvenile defendant's age not only at the time of the offense, but also at the time of the transfer hearing. See Nelson I, 68 F.3d at 589 (finding that district court erred in refusing to consider juvenile's age at the time of the transfer hearing and noting that "unless the government intentionally delays the filing of juvenile charges, there is every reason to give weight also to the age at the time of the transfer motion. The statutory factor specifies only `age,' and certainly, current age is significant for a determination of whether juvenile-type rehabilitation programs would be appropriate for the individual subject of the transfer application."). The closer the juvenile is to the age of majority, the more this factor weighs in favor of transfer. See United States v. Juvenile Male, 554 F.3d 456, 468-69 (4th Cir.2009) ("A juvenile's age toward the higher end of the spectrum (eighteen), or the lower end (fifteen), is to be weighed either for or against transfer. Here, we agree that [the defendant's] chronological age (seventeen years and nine months) supports his transfer."); Nelson I, 68 F.3d at 589 ("[T]he more mature a juvenile becomes, the harder it becomes to reform the juvenile's values and behavior." (internal quotation marks and citation omitted)); United States v. A.R., 203 F.3d 955, 961 (6th Cir.2000) ("[T]he [district] court's noting A.R.'s advanced age was consistent with this Court's and other courts' conclusions that the closer a defendant is to eighteen, the greater the presumption that he be treated as an adult." (collecting cases)); United States v. Doe, 49 F.3d 859, 867 (2d Cir.1995) (finding that district court did not abuse its discretion in concluding that age favored transfer where juvenile committed robbery at age 16½ and extortion at age 17, and explaining that "because Doe had continued to engage in acts involving [his gang] up to just a year short of his eighteenth birthday, the conduct with which he was charged did not occur either when he was very young or as an isolated indiscretion"); United States v. H.V.T., No. 96-cr-244 (RSP)(GJD), 1997 WL 610767, at *3 (N.D.N.Y. Oct. 1, 1997) ("H.V.T. was almost 18 years old at the time of the conduct with which he is charged. Thus, the conduct did not occur when H.V.T. was very young, and age is a factor favoring transfer.").
In this case, the defendant, born on May 21, 1992 (Gov't Ex. 1), was 17 years, 8 months old at the time of the alleged murders and 18 years, 6 months old at the time of the hearing. The Court finds that the defendant's current age, which legally renders him an adult, and the fact that he was only four months shy of his eighteenth birthday at the time of
The Court also finds that the defendant's social background weighs in favor of transfer, albeit less so than his age. The defendant's family, despite being "exceedingly poor" and sometimes going without food, "presents a stable home" with a "loving and supportive" environment. (Def.'s Mem. of Law at 2). The defendant reports being "treated well" by his mother (Dr. Drob Report at 1), and, consistent with this account, the defendant's mother has attended all of the defendant's court appearances, including his transfer hearing.
As an initial matter, as noted supra, a district court should not undertake an examination of the strength of the government's evidence in evaluating a transfer motion, but instead should "assume that, for the purposes of the transfer hearing, the juvenile committed the offense charged in the Information." Nelson I, 68 F.3d at 589; see also United States v. Doe #1, 74 F.Supp.2d 310, 317 n. 6 (S.D.N.Y.1999) ("For the purpose of a transfer determination, the court must assume that the juvenile committed the offenses charged in the indictment."). There is no question that the offenses charged in the Information are serious and extraordinarily heinous crimes. The defendant and his co-conspirators are alleged to have lured their victims—a 19-year-old woman and her two-year-old son—into an isolated, wooded area and then to have killed them both execution-style. As the Second Circuit has noted, "[t]he heinous nature of the crime of intentional murder certainly may be a factor entitled to special weight." Nelson I, 68 F.3d at 590. Moreover, these murders were allegedly committed as part of the the defendant's participation in the violent racketeering activity of the MS-13 gang.
The Court finds not only that this factor weighs overwhelmingly in favor of transfer, but also that this factor should be afforded more weight than any of the other factors. See id. ("[W]hen a crime is particularly serious, the district court is justified in weighing this factor more heavily than the other statutory factors.") The Court has no doubt that the murder of a mother and her young son constitutes the type of "particularly serious" crime that warrants weighing the nature of the offense more heavily than any of the other factors in the transfer analysis. Indeed, many other courts have weighed this factor more heavily than the others where the crimes charged were as serious—or even, in some cases, less serious—than the crimes alleged here. See United States v. One Juvenile Male, 40 F.3d 841, 846 (6th Cir.1994) (district court did not abuse discretion in concluding that heinous nature of alleged offenses, which included several carjackings, during one of which an individual with the defendant shot and killed a car's passenger, "outweighed any factors that supported trying the defendant as a juvenile"); United States v. A.R., 38 F.3d 699, 705 (3d Cir.1994) ("The court made specific findings under each of the six statutory factors and explained how each weighed in the transfer decision. A.R. attacks this weighing, suggesting that the court overemphasized the `seriousness of the offense' factor. Carjacking is a violent felony, however, and A.R. threatened his victims with a .25 caliber semi-automatic pistol. The court was entitled to give more weight to this factor than to others, and generally to weigh the statutory factors as it deemed appropriate."); United States v. Hemmer, 729 F.2d 10, 18 (1st Cir.1984) ("In light of the gravity of the crime involved [armed bank robbery and conspiracy to rob a national bank], weighed against the other five section 5032 factors, we cannot say that the district court struck the balance improperly [in granting the government's transfer motion]."); Doe #1, 74 F.Supp.2d at 321 (although majority of factors weighed against transfer, transfer nonetheless was warranted where the "defendant [was] charged with a host of serious crimes, including murder and other acts of violence," and the defendant also had a "demonstrated tendency to revert to criminal behavior"); In re J. Anthony G., 690 F.Supp. 760, 766 (S.D.Ind.1988) ("While all of the factors weigh very heavily, I feel that the seriousness of this offense is perhaps the most critical factor in this case. While his family seems very supportive of him, Anthony has chosen to break away
The defendant's criminal history dates back to the young age of 13, when the defendant was convicted for attempted petit larceny after he broke into a car parked at a Long Island Rail Road station and stole the car's stereo. (See Gov't Ex. 8 at 204-11, 215.) The defendant was sentenced to two years of "intensive" probation (id. at 208) and was ordered to complete 100 hours of community service and comply with a curfew. (Id. at 203.) However, the defendant violated his probation just over four months after being sentenced when he was involved in the robbery of a 7-11 store, during the course of which the defendant and another individual attacked the store clerk. (Id. at 196-200, 219.) The defendant, who was adjudicated as a youthful offender, pled guilty to a charge of robbery in the second degree and was sentenced to one to three years' imprisonment. (Id. at 224.) After serving approximately two years of his sentence, the defendant was released on parole in November 2008 at the age of 16.
As this record indicates, since the age of 13, the defendant has been in and out of juvenile detention facilities and has been unable to avoid illegal activity for more than six months at a time. The defendant has also engaged in increasingly serious crimes, moving from attempted petit larceny to robbery and is now alleged to have participated in a double-homicide as part of MS-13 gang activity. Given his prior record of recidivism, the Court finds that this factor weighs strongly in favor of transfer. See United States v. Juvenile No. 1, 118 F.3d 298, 309 (5th Cir.1997) ("In addition to his numerous runaways, J.R.P. was charged in 1993 with theft of under $200 and in 1995 with theft of over $1500. On March 21, 1996, J.R.P. pled guilty to adult charges in state court of engaging in organized criminal activity. This evidence was sufficient to support the court's conclusion that this factor weighs in favor of transfer. The evidence indicates, as the court found, that J.R.P.'s delinquency record `demonstrates a pattern of continuous lack of respect for authority. Although most of his prior offenses are non-violent runway [sic] charges, it indicates that his criminal activity is not an isolated event, but has continued despite prior corrective and rehabilitative effort in state court.'"); Doe # 1, 74 F.Supp.2d at 321 ("[T]he court is particularly concerned with the seriousness of the crimes alleged, and the recidivist behavior exhibited by defendant.... Of paramount concern to the court is John Doe's demonstrated tendency to revert to criminal behavior.").
At the transfer hearing, the Court heard testimony from Dr. Sanford Drob ("Dr. Drob"), a clinical and forensic psychologist who prepared an evaluation of the defendant for the defense. Dr. Drob testified that he had one meeting with the defendant,
Regarding the defendant's psychological maturity, the MACI test indicated "a number of areas of concern." (Tr. at 21:12-15.) In particular, Dr. Drob testified:
(Id. at 21:15-21.)
Dr. Drob also noted that the defendant had a "very high elevation" on a scale of borderline tendencies, which led Dr. Drob to conclude that the defendant's level of maturity was well below what would be expected for others his age in terms of his ability to, inter alia, regulate his emotions, have consistent rewards in personal relationships, and have a coherent sense of life, purpose, or goals. (Id. at 21:22-23, 22:24-23:3.) As explained by Dr. Drob, individuals with borderline personality tendencies are troubled—they have "difficulty in regulating a number of issues in their life," they have instabilities "in mood, affect, [and] impulse regulation," and they often have "very tumultuous interpersonal relationships." (Id. at 22:3-17.) Notably, Dr. Drob distinguished these characteristics from typical adolescent development. In particular, Dr. Drob explained that although instabilities in mood, affect, and impulse regulation exhibit themselves as part of normal adolescence, it is only when these instabilities are "very much exaggerated" in either late adolescence or early adulthood that they constitute borderline tendencies that could "interfere with the individual's mature adaptation to the world." (Id. at 22:13-17.) In other words, this type of immaturity is not merely a sign of adolescent behavior that an individual will grow out of with age, but instead represents an early marker for a mental illness that will stay with the individual and impair his ability to function in the world as an adult. In fact, Dr. Drob acknowledged that, given the fact that the defendant was 18 years old at the time of his evaluation, he could be categorized as having an adult personality disorder. (Id. 42:15-43:5.) Similarly, Dr. Drob acknowledged that the maturity deficits indicated by the RIM—such as an impaired ability to see the world as others see it and a tendency to misconstrue the boundaries of appropriate behavior and exercise poor judgment—could also be present in adults. (Id. at 24:4-25:9, 43:17-22.) Significantly, Dr. Drob was careful to avoid stating that the defendant lacked the maturity of an adult; instead, he qualified his testimony to state that the defendant lacked the maturity of a "well functioning" adult. (Id. at 26:1-6.) Moreover, Dr. Drob noted that the defendant was capable of logical and coherent thinking (id. at 25:10-11), and that the defendant's results on the RIM could have been the result, at least in part, of emotional impairments, as opposed to solely the result of cognitive deficits. (Id. at 24:14-20.) In addition, Dr. Drob stated in his report that the defendant had a "quick temper" and an "odd and disturbing preoccupation with blood." (Dr. Drob Report at 4, 9.)
Based on this record, the Court finds that this factor weighs in favor of transfer. On the one hand, the defendant's WASI score, while not enough to categorize the defendant as mentally retarded, was below average. Additionally, Dr. Drob found that the defendant's level of maturity was
The defendant participated in both individual and group counseling during his incarceration at OCFS-Brookwood. (See, e.g., Gov't Ex. 8 at 266.) The record indicates that, although the defendant was initially an active participant in group sessions and was "always willing to assist or participate," he subsequently became a
Dr. Drob also testified that the defendant's ability to relate to Dr. Drob as a clinician and the defendant's own description of the therapy he received at Brookwood "suggested . . . that [the defendant] was capable of forming an appropriate attachment to a therapist and to receiving guidance from them." (Tr. at 26:14-20.) In reaching this conclusion, Dr. Drob pointed to the fact that the defendant "remembered specific things that were told to him by his therapist at Brookwood" and that the defendant "seemed quite engaged" in his discussion with Dr. Drob. (Id. at 26:21-24.)
Nevertheless, the Court finds that this factor weighs strongly in favor of transfer. First, it is clear from the defendant's criminal history that the treatment efforts made at OCFS-Brookwood had no impact on his recidivist tendencies. To the contrary, the defendant committed another offense in March 2009 after his release from Brookwood and is now alleged to have been involved in the double-homicide of V.A. and her son only four months after his final release from Brookwood.
The government asserted that, according to the Northeast Regional Office of the Bureau of Prisons, there are no federal facilities for individuals adjudicated as juvenile delinquents. (Gov't Mem. of Law at 29.) Instead, such individuals from this district would be sent to state contract facilities for juveniles in either Pennsylvania or Maine. (Id.) No such facilities would be available in New York State for individuals of the defendant's age. (Id.)
The Court finds that the government has failed to meet its burden on this factor. As noted by the Second Circuit, the government must "do more than merely assert the unavailability of an appropriate program." Nelson I, 68 F.3d at 591. Instead, "[i]t must make a showing that it has investigated various options but is still unable to find a suitable and available program." Id. In this case, there is at least some indication that state juvenile facilities in either Pennsylvania or Maine might be able to house the defendant. Thus, the Court finds that this factor weighs against transfer, but does not outweigh the other factors which, in combination, overwhelmingly favor transfer. See Doe #3, 113 F.Supp.2d at 609 (finding factor weighed against transfer where "the government did no more than merely assert the unavailability of an appropriate juvenile rehabilitative program for the defendant" and therefore "failed to carry its burden of persuading the court that no such programs exist" (internal quotation marks, alterations, and citation omitted)).
In sum, after carefully balancing all of the statutory factors based upon the record as set forth herein, the Court concludes that transfer of the defendant to adult status is warranted in this case in the interest of justice. As an initial matter, the defendant is charged with the heinous double homicide of a mother and her young son—the Court finds that this is precisely the type of serious and heinous crime that overwhelmingly weighs in favor of transfer. Moreover, a review of the factors demonstrates that the defendant is not likely to respond to rehabilitative efforts. For example, as described in detail supra, the defendant failed to respond to prior rehabilitative efforts. Indeed, as indicated by the defendant's criminal history, he repeatedly failed to take advantage of lenient sentences that he received and instead continued to reoffend. Furthermore, the fact that the defendant is already 18 years old, considered in conjunction with the other factors, also strongly suggests that he is not likely to respond to juvenile-type rehabilitation programs. See Nelson I, 68 F.3d at 589 ("[C]urrent age is significant for a determination of whether juvenile-type rehabilitation programs would be appropriate for the individual subject of the transfer application. Indeed, the more mature a juvenile becomes, the harder it becomes to reform the juvenile's values and behavior." (internal quotation marks and citations omitted)); J. Anthony G., 690 F.Supp. at 766 ("The sorts of benefits that the federal Juvenile Justice Act was intended to provide are less achievable if the juvenile is within three months of reaching his 18th birthday when he committed the federal violation. With just a short period of time remaining before he concludes his minority, [the defendant] does not present a profile which I believe could be rehabilitated before reaching the age of 21."). Finally, the Court concludes that, when considered in their totality and in light of the entire record, Dr. Drob's findings indicate that the defendant would not be receptive to treatment efforts. In particular, Dr. Drob's report reveals that the defendant endorsed items on the MACI showing that the defendant "has difficulty with rules[] and enjoys starting fights." (Dr. Drob Report at 6.) Moreover, the defendant reported having a "quick temper" (id. at 4) and—even more troubling—a "fascination with blood" (id.) that Dr. Drob described as "odd and disturbing." (Id. at 9.) The Court finds these traits, in combination with the other factors, make it highly unlikely that the defendant
The Second Circuit has made clear that "while rehabilitation is a priority, the courts are not required to apply the juvenile justice system to a juvenile's diagnosed intellectual or behavioral problems when it would likely prove to be anything more than a futile gesture." Nelson I, 68 F.3d at 590 (internal quotation marks and citation omitted). In addition, "the goal of rehabilitation must be balanced against the threat to society posed by juvenile crime." Nelson II, 90 F.3d at 640 (internal quotation marks and citation omitted). Accordingly, given that the crimes charged here involve the "heinous . . . crime of intentional murder," Nelson I, 68 F.3d at 590, and given that the record demonstrates that the defendant is unlikely to be rehabilitated, the Court concludes that the government has overwhelmingly met its burden of showing that transfer is warranted in this case. Thus, the government's motion to transfer the defendant to adult status is granted.
For the reasons set forth above, after thoroughly considering and balancing the statutory factors set forth in 18 U.S.C. § 5032, the Court finds that transfer of the defendant to adult status is in the interest of justice. Accordingly, the government's motion to transfer the defendant to district court for prosecution as an adult is granted.
SO ORDERED.