Federal Circuits, 1st Cir. (May 19, 1989)
Docket number: 88-2058
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U.S. Supreme Court - Young v. United States ex rel. Vuitton et Fils S. A., 481 U.S. 787 (1987)
U.S. Supreme Court - Maness v. Meyers, 419 U.S. 449 (1975)
U.S. Supreme Court - Taylor v. Hayes, 418 U.S. 488 (1974)
U.S. Supreme Court - United States v. Grinnell Corp., 384 U.S. 563 (1966)
U.S. Supreme Court - Ungar v. Sarafite, 376 U.S. 575 (1964)
Jose R. Gaztambide, Asst. U.S. Atty., Crim. Div., Rio Piedras, P.R. with whom Charles E. Fitzwilliam, Acting U.S. Atty., San Juan, P.R., was on brief, for the U.S.
Roberto Buso Aboy with whom Jose A. Fuentes Agostini, San Juan, P.R., was on brief, for Francisco Pujol.Before CAMPBELL, Chief Judge, BOWNES and BREYER, Circuit Judges.LEVIN H. CAMPBELL, Chief Judge.This is an appeal from the conviction of an Assistant United States Attorney ("AUSA") for contempt of court. We affirm.The contempt grew out of the grand jury investigation of one Francisco Pujol, conducted by the office of the United States Attorney for the District of Puerto Rico. After the investigation began, Pujol filed a claim of unethical conduct before the Superior Court of Puerto Rico against an attorney, Francisco Lopez Romo. Francisco Lopez Romo is the brother of the United States Attorney for Puerto Rico, Daniel Lopez Romo. The latter recused himself from the Pujol investigation on October 3, 1988. Pujol was scheduled to testify before the grand jury on October 5, 1988. On that morning, Pujol filed a motion to disqualify the entire United States Attorney's office from investigating him and to have a special prosecutor appointed. Pujol refused to testify about anything but his personal background until the court ruled on his motion.AUSA Ricardo Pesquera, who was conducting the investigation, AUSA Jose Gaztambide, and three attorneys representing Pujol, went together to the chambers of a district judge for the District of Puerto Rico and requested an immediate hearing. The court granted the hearing, which lasted for about ten minutes. The Clerk of the District Court also was present. The court reviewed the motion to disqualify the United States Attorney's office, heard argument from both sides, verbally ruled that the grand jury proceedings were stayed until further order, requested memoranda of law from the parties, and scheduled the motion for oral argument on October 11, 1988. Before leaving, AUSA Pesquera made inquiry of the judge and received an answer; this exchange created the principal disputed issue in the later hearing for contempt of the order.There was no court reporter present during the in-chambers hearing. The clerk related the events to a courtroom deputy, who prepared minutes of the proceeding. The minutes, dated October 5, 1988, provide:Case called for hearing on Mr. Francisco Pujol's motion requesting to disqualify U.S. Atty's Office from the prosecution of this case and requesting an independent special prosecutor. Statements of parties heard. Ct. stays the proceedings before the grand jury until further order of the ct. and sets petitioner's motion for hearing....The district court's docket sheet indicates that the minutes were docketed on the same day, October 5, with the notation "Ct stays the proceedings before the GJ [grand jury] until further order of the ct...." Consistent with the district court clerk's usual procedure in such matters, the clerk did not send a copy of the minutes to either party. However, the minutes were available in the clerk's office to the parties. Neither Pesquera nor anyone from the United States Attorney's Office examined the minutes or made further inquiry of the judge or clerk as to the order's terms.Notwithstanding the court's order, on the following day, October 6, 1988, AUSA Pesquera continued to conduct the grand jury hearing, questioning four more witnesses who provided testimony relevant to the investigation of Pujol. On October 7, 1988, Pujol filed a motion seeking sanctions against the government for violating the court's order staying the grand jury proceedings. The district court thereupon issued and had served a show cause order, which provided:Upon consideration of the motion filed today by petitioner Francisco Pujol, United States Attorney Daniel Lopez Romo and the Assistant U.S. Attorney Ricardo Pesquera are hereby ordered to appear before the undersigned on October 11, 1988 at 10:00 a.m. so that this court may determine what proceedings, if any, took place before the grand jury in violation of our Order of October 5, 1988, staying those proceedings.If proceedings took place after the issuance of our order, then Mr. Lopez Romo and Mr. Pesquera shall show cause, if any there be, why they should not be held in contempt of court for violation of the court's order....On the morning of October 11, 1988, the court conducted a hearing on both the matter of the violation of its earlier order and Pujol's motion to disqualify the United States Attorney's office. Present at the hearing were United States Attorney Lopez Romo, AUSA Pesquera, AUSA Gaztambide, Acting United States Attorney Charles Fitzwilliam (because Lopez Romo had recused himself), and two attorneys representing Pujol. The clerk of the District Court was also present.The court turned first to the order to show cause, announcing that the proceedings were criminal in nature. The court asked whether either AUSA Pesquera or United States Attorney Lopez Romo wished to be represented by counsel. Lopez Romo responded that he would proceed pro se. Pesquera did not reply. The court then noted that there appeared to be no dispute over the fact that AUSA Pesquera had continued with the grand jury hearing on the day following the stay order and asked AUSA Pesquera to explain why he should not be held in contempt for violating the stay. Pesquera explained that he had misunderstood the order. According to Pesquera, Pujol's reason for seeking a court order had been to prevent the government from forcing Pujol himself to testify before the grand jury. Pesquera had believed, therefore, that the court's order was intended to stay only Pujol's examination, not the entire proceeding before the grand jury. Pujol's attorneys volunteered that they had understood the order to stay the entire grand jury investigation of Pujol, because that was the only way to safeguard Pujol's rights until obtaining a ruling on his motion seeking an independent prosecutor.The court then asked Pesquera about the clarification he had sought at the earlier meeting. The court recalled Pesquera asking, "Then does that mean that the proceedings before the Grand Jury are stayed?", and that the court responded "Yes. That means that the proceedings before the Grand Jury are stayed." Pesquera stated that he remembered events differently--that he had asked, "This means we can not continue with the interrogation of Mr. Pujol before the Grand Jury?", and that the court had answered, yes. Mr. Masini, the clerk of the district court, then testified under oath that Pesquera's question was, "Should I understand, Judge, that the proceedings before the grand jury are stayed?", and that the court responded affirmatively. The court gave Mr. Lopez Romo an opportunity to cross-examine Mr. Masini, but limited cross-examination to the topic of Mr. Masini's recollection of the nature of AUSA Pesquera's request for clarification. AUSA Pesquera made an offer of proof as to his own, different, recollection of his question. The other AUSA present, Mr. Gaztambide, also told the court that he had misunderstood the court's verbal order.The court found Mr. Pesquera to be in contempt of court, and fined him $300.1I.An initial question concerns our appellate jurisdiction. The notice of appeal in this case was filed on behalf of "the United States of America." This is incorrect. Even though Pesquera committed the alleged contempt in the course of his duties as an Assistant United States Attorney, the court held Pesquera himself in contempt.2 It did not hold the United States or any agency of the United States in contempt. The court dismissed the charge against the United States Attorney himself.Since the United States was not the contemnor, it does not have standing to bring this appeal in its own name. An appellant has standing to appeal only if privy to the record and aggrieved by the order appealed from. 9 J. Moore, B. Ward & J. Lucas, Moore's Federal Practice p 203.06 (2d ed. 1988) (describing requirements embodied in Fed.R.App.P. 3). Ordinarily, this principle would allow an appeal only by the parties of record at the time the challenged judgment was entered. Id. Since the judgment here ran against Pesquera individually, the United States Attorney's office was aggrieved by the judgment only in the sense that one of its own was cited for contempt; it was not a party defendant below.While the United States is not the proper appellant, there remains the question whether the notice of appeal was sufficient to give fair notice that Pesquera himself intended to appeal. We believe it was. Federal Rule of Appellate Procedure 3(c) details the required elements for a notice of appeal. The rule provides that the notice of appeal "shall specify the party or parties taking the appeal" but that an appeal "shall not be dismissed for informality of form or title of the notice of appeal." Fed.R.App.P. 3(c). The purpose of the rule's specificity requirement "is to provide notice both to the opposition and to the court of the [appellant's] identity," so that the "appellee and the court [can] determine with certitude whether a ... party ... should be bound by an adverse judgment or held liable for costs or sanctions." Torres v. Oakland Scavenger Co., --- U.S. ----, 108 S.Ct. 2405, 2409, 101 L.Ed.2d 285 (1988). While the Supreme Court recently has emphasized that parties must comply with the specificity requirement of Rule 3(c) by naming or otherwise designating the party or parties taking the appeal, it also has said that the requirement "should be liberally construed and ... 'mere technicalities' should not stand in the way of consideration of a case on its merits." Torres, 108 S.Ct. at 2408-09.The notice of appeal in this case clearly manifests Pesquera's intent to appeal. The notice is captioned "In the matter of Assistant United States Attorney Ricardo R. Pesquera," and the judgment appealed from is specified as "the judgment of contempt entered ... against Assistant United States Attorney Ricardo R. Pesquera on October 11, 1988...." The signature block on the notice of appeal contains the typed name of the Acting United States Attorney, Charles Fitzwilliam, followed by Pesquera's signature, and Pesquera's typed official signature block in his capacity as an Assistant United States Attorney. This is not a multi-party case where the notice of appeal fails to make clear which party or parties intend to appeal, thereby providing notice so vague as to deprive the court of jurisdiction over the unnamed parties' appeals. Cf. Torres, 108 S.Ct. at 2409. The problem with Pesquera's notice of appeal is an "informality of form or title" which should not lead to dismissal. See Fed.R.App.P. 3(c). The purposes of Rule 3(c) will not be compromised if we exercise jurisdiction over this appeal. As Pesquera signed the notice of appeal, we need have no qualms about holding Pesquera to any judgment rendered by this court, including liability for costs or sanctions. Cf. Covington v. Allsbrook, 636 F.2d 63 (4th Cir.1980) (in appeal of three pro se prisoners, appeal of two unnamed parties dismissed where notice of appeal signed by only one; since lone pro se signatory could not represent interests of the other parties, there was no assurance that unnamed parties who did not sign the notice of appeal intended to appeal), cert. denied,Try vLex for FREE for 3 days
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