Case o' The Week: Expert Case A Bitter Pill to Swallow - Diaz and Expert Testimony on Ultimate Legal Issue

  A doc prescribes 5 million opiate pills in four years.

  (Yet the government still needs an expert to opine on the ultimate legal issue: that this was “outside the usual course of professional practice?”)

United States v. Julio Diaz, 2017 WL 6030724 (9th Cir. Dec. 6, 2017), decision available here.

Players: Decision by Judge Christen, joined by Judges Kleinfeld and Graber. 

  Hard-fought appeal by former CD Cal AFPD Davina Chen.  

Facts: Dr. Diaz operated a clinic that served geriatric patients. Id. at *1. Over four years, he wrote 50,000 prescriptions and distributed over 5 million opiate pills – some patients were prescribed over 60 tablets a day. Id.

  He went to trial on 79 counts of unlawfully distributing controlled prescription drugs, in violation of 21 USC § 841(a)(1). Id. Among other things, that statute requires proof that the distribution of the drugs was “outside the usual course of professional practice and without a legitimate medical purpose.” Id. (citation omitted).

  At trial, a government expert testified without defense objection that Dr. Diaz’s prescriptions were written “outside the usual course of medical practice” and “without a legitimate purpose.” Id.

  Diaz was convicted on all counts, and sentenced to the maximum Guideline range: 327 months. Id.

Issue(s): “Diaz timely appeals, arguing that Dr. Chavez impermissibly offered opinion testimony as to a legal conclusion.” Id.  

Held: “We hold that if the terms used by an expert witness do not have a specialized meaning in law and do not represent an attempt to instruct the jury on the law, or how to apply the law to the facts of the case, the testimony is not an impermissible legal conclusion.” Id. at *3.

  “[The government’s expert’s] testimony passed muster under Rules 702 and 704, and the district court did not plainly err by admitting it into evidence.” Id. at *4.  

Of Note: Julio Diaz joins a long list of disappointing expert testimony cases. AUSAs will try to stretch the opinion to argue that “professional” experts can opine at will as to all legal conclusions. Judge Christen, however, strictly limits this “ultimate issue” testimony to a doc’s testimony on “legitimate medical purpose” – a term (we’re told) that does not have a “separate, distinct, and specialized meaning in law.” Id. at *3. The Ninth quotes favorably from a Fourth Circuit case, which distinguished this permitted physician testimony from – for example – testimony about “extortion, deadly force, fiduciary, and unreasonably dangerous.” Id. (quoting United States v. McIver, 470 F.3d 550,561-62 (4th Cir. 2006)). Invoke Diaz’s internal limitations to help prevent further erosion of the vulnerable bulwarks of FRE 702 and 704.

How to Use: While this is a plan error case, there is no plain error analysis in the opinion – just a cursory acknowledgement at the outset, id. at *2, and the “no plain error” holding at the end, id. at *4. Absent is any explanation of how the Court’s decision jives with the Olano plain error prongs. From ambiguity, opportunity. If the government offers similar doctor testimony in your trial, object and (try) to distinguish Julio Diaz as an extraordinarily deferential, plain error review decision.

                                               

For Further Reading: What a difference perspective makes. For those in the trenches of indigent criminal defense, the American Bar Association can sometimes seem like a conservative organization – filled with former AUSAs who sit on the ABA’s white collar and criminal justice committees. Senate Republicans, however, have a decidedly opposite view – they “have declared war on the American Bar Association.” See Republicans step up defense of ‘not qualified’ judicial nominees, available here at Politico.

   Four of President Trump’s judicial candidates have earned a “not qualified” rating from the ABA. The ABA’s role (or lack thereof) in judicial vetting will faces an upcoming test with a Senate procedural vote on Mr. Leonard Steven Grasz. Mr. Grasz is nominated for the Eighth Circuit Court of Appeals, and received a unanimous “not qualified” stamp from the ABAs evaluators. Id.

  Will be interesting to see what role (if any) the ABA plays in the Trump candidates for the vacant Ninth Circuit seats.

Image of opium pills from https://photo-viewbug.s3.amazonaws.com/media/mediafiles/2014/10/06/34361791_large.jpg

Steven Kalar, Federal Public Defender Northern District of California. Website at www.ndcalfpd.org

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Case o' The Week: Ninth Cries Fowl(er) on Nexus-less Obstruction - Federal Nexus for witness tampering and obstruction

 How light is the government's burden? The Feds had to prove a nexus that is "more than remote, outlandish, or simply hypothetical." 

  (And they still managed to come up short!)

 United States v. Christopher Johnson, 2017 WL 4974579 (9th Cir. Nov. 2, 2017), decision available here.

Players: Decision by Judge Paez, joined by Judges Berzon and Christen.

Facts: Johnson was a (county) jail deputy. Id. When an inmate used an emergency intercom inappropriately, Johnson and another deputy, Kirsch, responded. The confrontation ended with a violent attack on the inmate. Id.  Johnson wrote several reports about the incident that day. Id.

  Johnson and Kirsch were federally indicted for assault, and Johnson also charged with obstruction under 18 USC § 1512(b)(3). Id. at *2. That statute criminalizes hindering the investigation of a judge or officer of the United States. Id. (quoting Section 1512(b)(3)) (emphasis in opinion).

  The first trial ended in a mistrial: the deputies were acquitted of assault in the second trial. Id. Johnson, however, was convicted of obstruction. Id. In his Rule 29 and new trial motions Johnson argued that Fowler v. United States, 563 U.S. 668 (2011) required proof of a reasonable likelihood that his actions hindered communications to an officer of the United States. Those motions were denied.

Issue(s): “On appeal, Johnson argues that the Government failed to present sufficient evidence of a federal nexus for the alleged offense.” Id. at *1.

Held: “Reviewing de novo and applying the federal nexus standard established in Fowler v. United States, we agree. More precisely, we hold that there was insufficient evidence for any rational juror to find that it was reasonably likely that Johnson’s reports would have reached federal officers. We therefore reverse the district court’s denial of Johnson’s motion for a judgement of acquittal under Federal Rule of Criminal Procedure 29.” Id. at *1.

Of Note: In a decision of first impression, Judge Paez holds that the holding of Fowler, decided in the context of § 1512(a)(1)(c), applies with equal force to a different subsection of the statute: § 1512(b)(3). In so doing, the Court gives a bit of a smack down to the government’s protests, characterizing the government’s argument as “a distinction without a difference,” and an argument that would “make Fowler a nullity.” The Court accordingly declined the government’s invitation “to read Fowler in this nonsensical way.” Id. at *3.

  The punchline? Both of these subsections of the federal obstruction statute now require “a reasonable likelihood that [the obstructive] communication would reach a federal officer.” Id.

How to Use: What exactly is “reasonable likelihood” proof of nexus that is required in a criminal trial? Judge Paez mulls this conundrum in Johnson. It ain’t beyond a reasonable doubt – indeed, the government doesn’t have to even prove “more likely than not.” Id. at *4. The government, however, must “demonstrate that the likelihood was ‘more than remote, outlandish, or simply hypothetical.’” Id. (citing Fowler, 563 U.S. at 678).

  The Second and Fourth Circuits have built on a Third Circuit test, and require “additional appropriate evidence” (whatever that is) to satisfy Fowler’s “reasonable probability” test. Id. at *4.

  In Johnson, Judge Paez dodges the final question of whether (or what) “additional appropriate evidence” is a proof requirement – under any analysis, there was insufficient proof of a nexus here for conviction. Id. at *4-*5. The precise jury instructions required for the federal nexus component of this offense remain a fight for another day in the Ninth. If facing these charges, push the boundaries for the highest standard of proof you can muster. Johnson has a very thoughtful discussion of three circuits’ treatment of this issue at *4: start the battle with this Johnson’s helpful review of the current state of the law.

                                               

For Further Reading: The author of Johnson, the Honorable Judge Richard

The Hon. Judge Richard Paez

Paez, waited 1,506 days from his nomination by President Clinton until his confirmation in the senate: over four years. See article here. At the time, Judge Paez held the record for the longest Senate wait for federal robes.

 Things have changed.

  Last week, four Circuit judges were confirmed in just one week (with a DJ thrown in for good measure). See article here . The speed and volume of Senate confirmations last week came close to setting new records.

  Early suspicions are being, well, confirmed: the venerable Senatorial blue slip (or lack thereof) is becoming less of a factor in the pace of a judicial confirmation. See generally here; see also Memorandum of the Honorable Senator Feinstein of September 25, 2017, available here.

  As for the Ninth?  There is one nominee thus far, in Oregon, to replace Judge O’Scannlain. See judicial nomination report here; and press release here . 

   Three additional spots remain open in the Circuit: the seats of the Honorable Judges Harry Pregerson, Barry Silverman, and Richard Clifton. See United States Courts, Current Judicial Vacancies, available here.  

Image of “Obstruction of Justice” from https://www.criminal-lawyer-colorado.com/wp-content/uploads/Colorado-Crimes-Obstruction-of-Justice-18-8-102.jpg.

Image of a blue slip by US Congress - http://prologue.blogs.archives.gov/2014/08/03/the-origins-of-senatorial-courtesy/, Public Domain, https://commons.wikimedia.org/w/index.php?curid=47599642

Image of the Honorable Judge Richard Pez from https://votesmart.org/candidate/biography/119794/richard-paez#.Wf-cXGhSy70

Steven Kalar, Federal Public Defender, Northern District of California. Website available at www.ndcalfpd.org

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