United States v. Doby
Opinion
In this appeal, Defendant-Appellant Jerry Doby challenges the district court's denial of his motion under
Exercising jurisdiction under
I
In June 2018, Mr. Doby was charged with one count of failing to register as a sex offender in violation of
In September 2018, the Probation Office petitioned to modify other pretrial release conditions, and, after a hearing, a magistrate judge modified Mr. Doby's release conditions upon the parties' stipulation. The magistrate judge's order did not identify the legal authority under which he modified the conditions. At that time, Mr. Doby still did not challenge the conditions now at issue.
In November 2018, Mr. Doby moved to vacate the curfew, location monitoring, and computer monitoring conditions as unconstitutional. He did not address the motion to a specific judge or invoke a specific tier of decisionmaking-that is, he did not direct his motion to the district court or a magistrate judge. Instead, he simply addressed it, generically, to "the [c]ourt" or "this [c]ourt." See, e.g. , Aplt.'s App. at 9, 42 (Mot. to Modify Conditions, dated Nov. 7, 2018).
Mr. Doby's motion was made under two statutes. One was § 3145(a)(2), which provides that a person ordered released by a magistrate judge may file, "with the court having original jurisdiction over the offense, a motion for amendment of the conditions of release," and that such a motion "shall be determined promptly."
The government responded, conceding that the computer monitoring condition was unnecessary but opposing on the merits the vacatur of the curfew and location monitoring conditions. In a single sentence at the very end of the "Conclusion" section of its response, with no accompanying citations to legal authority, the government also stated that Mr. Doby "did not object to the condition at the time it was imposed,
did not timely challenge the magistrate judge's order
, and failed to raise any new basis to revisit his release order." Aplt.'s App. at 57 (Resp. in Opp'n, dated Nov. 28, 2018) (emphasis added). Mr. Doby's reply addressed this timeliness argument by contending that § 3145(a)(2) imposes no time limit on a motion to amend and that § 3142(c)(3) specifically states that the judicial officer may amend his order "at any time."
A hearing on the motion was set before the district court. 1 Before the hearing was held, a magistrate judge issued a form order vacating the computer monitoring condition but not mentioning the other two conditions. The form order cited no legal authority for the magistrate judge's action.
The district court later denied Mr. Doby's motion as "not properly before" the court.
The district court then addressed the purported unavailability of relief under § 3142(f), which Mr. Doby's motion did not cite and which is not directly at issue in this appeal. Finally, the district court dispensed with Mr. Doby's argument regarding § 3142(c)(3) in a footnote, stating that this provision (1) refers to "proceedings before" the judicial officer that imposed release, i.e., the magistrate judge rather than a district judge; (2) specifies only when that judicial officer may
act
, not when the defendant may
move
; and (3) should likely be read "in conjunction with" certain limitations on relief in § 3142(f).
II
In general, "[w]e apply de novo review to mixed questions of law and fact concerning [a district court's] detention or release decision, but we accept the district court's findings of historical fact which support that decision unless they are clearly erroneous."
United States v. Cisneros
,
Mr. Doby's arguments concern the interplay between § 3145(a)(2), Rule 59(a), and
Initially, the government unreservedly acknowledged that the issues in this appeal are reviewed de novo. See Aplee.'s Bail Mem. Br. at 4. However, in its supplemental briefing, the government now suggests, at the outset, that "no review under any standard is warranted" because Mr. Doby's claim is moot; that, alternatively, Mr. Doby's arguments were initially forfeited because he failed to make them in district court; and that, because he has made no appellate argument for plain-error review, his arguments are effectively waived and should not receive any review-under the plain-error rubric or otherwise. See Aplee.'s Suppl. Bail Mem. Br. at 5-6.
We reject the government's arguments. As to "mootness," the government specifically contends that the Rules of Practice and Procedure for the United
*1203
States District Court for the District of Kansas ("Local Rules") would have permitted Mr. Doby's motion to be rejected as untimely, such that a ruling concerning the provisions he cites would be "merely advisory."
Id.
at 8-11. As we discuss
infra
note 4, the specific rule that the government cites-Local Rule 72.1.4(e)-was not raised or relied on by the government in district court, and it is unclear whether this rule applies here. More fundamentally, though, we agree with Mr. Doby that the government argues-not for mootness forestalling appellate review-but rather for affirmance
on the merits
on an alternative basis that turns on the operation and effect of the Local Rules. Aplt.'s Reply Bail Mem. Br. at 9;
see also
DTC Energy Grp., Inc. v. Hirschfeld
,
In other words, the government contends that because the district court would have been justified in rejecting Mr. Doby's motion as untimely under Local Rule 72.1.4(e), we need not opine on the (merits) question of whether the court was justified in rejecting the motion (as relevant here) as untimely under Rule 59(a). This sort of argument relates to decisional paths on the merits to dispose of this case; it does not implicate our jurisdiction-i.e., our power to provide relief to Mr. Doby that has "some effect in the real world."
Abdulhaseeb v. Calbone
,
As for the applicability of plain-error review, we conclude that, on this record, Mr. Doby had no meaningful opportunity to make before the district court the arguments he now makes on appeal.
See
United States v. Middagh
,
Notably, the government did not invoke Rule 59(a), a fourteen-day time limit, or any law at all in the single clause of its response concerning the timeliness of Mr. Doby's challenge. Instead, Mr. Doby first got notice that Rule 59(a) and its fourteen-day time limit were to be used against him when the district court entered its order denying his motion. Mr. Doby was not required to object to this component of the district court's ruling to preserve this issue for appeal.
Cf.
FED. R. CRIM. P. 51(a) ("Exceptions to rulings or orders of the court are unnecessary.");
United States v. Madrid
,
Thus, we reject the government's mootness and plain-error arguments, and we review the legal questions central to this appeal de novo. See Aplee.'s Suppl. Bail Mem. Br. at 6 (acknowledging that de novo review applies if Mr. Doby's arguments are not moot and preserved).
III
On the merits, Mr. Doby argues that a magistrate judge's role in issuing pretrial release or detention orders is prescribed by § 636(a) and that role is not controlled by Rule 59(a)'s provisions. Instead, only those powers and duties eligible for referral under § 636(b) are subject to Rule 59(a). We agree.
At the heart of this appeal is the proper interpretation of § 636, which governs the powers and duties of magistrate judges. As relevant here, § 636(a) lists several "powers" and "duties" that magistrate judges "shall have" within their districts; these include "the power to ... issue orders pursuant to [
On the other hand, § 636(b) sets forth procedures by which magistrate judges "may" be "designate[d]" to consider certain matters, with their rulings or recommendations subject to district-court review:
(b)(1) Notwithstanding any provision of law to the contrary-
(A) a judge may designate a magistrate judge to hear and determine any pretrial matter pending before the court [with exceptions, omitted here]. A judge of the court may reconsider any pretrial matter under this subparagraph (A) where it has been shown that the magistrate judge's order is clearly erroneous or contrary to law.
(B) a judge may also designate a magistrate judge to conduct hearings, including evidentiary hearings, and to submit to a judge of the court proposed findings of fact and recommendations for the disposition, by a judge of the court, of any motion excepted in subparagraph (A), of applications for posttrial relief made by individuals convicted of criminal offenses and of prisoner petitions challenging conditions of confinement.
(C) the magistrate judge shall file his proposed findings and recommendations under subparagraph (B) with the court and a copy shall forthwith be mailed to all parties.
Within fourteen days after being served with a copy, any party may serve and file written objections to such proposed findings and recommendations as provided by rules of court. A judge of the court shall make a de novo determination of those portions of the report or specified proposed findings or recommendations to which objection is made. A judge of the court may accept, reject, or modify, in whole or in part, the findings or recommendations made by the magistrate judge. The judge may also receive further evidence or recommit the matter to the magistrate judge with instructions.
Thus, exercising "power" under § 636(a), a magistrate judge may-without need of any district-court designation-impose certain
*1205
pretrial release conditions on defendants pursuant to § 3142 if release on personal recognizance or an unsecured appearance bond creates a flight risk or threatens safety.
See
The district court found, however, that the fourteen-day time limit of Rule 59(a) was applicable here. This provision, entitled "Nondispositive Matters," states:
A district judge may refer to a magistrate judge for determination any matter that does not dispose of a charge or defense. The magistrate judge must promptly conduct the required proceedings and, when appropriate, enter on the record an oral or written order stating the determination. A party may serve and file objections to the order within 14 days after being served with a copy of a written order or after the oral order is stated on the record, or at some other time the court sets. The district judge must consider timely objections and modify or set aside any part of the order that is contrary to law or clearly erroneous. Failure to object in accordance with this rule waives a party's right to review.
FED. R. CRIM. P . 59(a) (emphasis added). Notably, the portion of Rule 59(a) italicized supra makes "refer[ral]" by a district judge an essential antecedent to the operation of its framework. Indeed, although Rule 59 is broadly entitled "Matters Before a Magistrate Judge," such referral is contemplated throughout the rule. In this regard, Rule 59(b), entitled "Dispositive Matters," similarly states that a district judge may "refer to a magistrate judge for recommendation" a dispositive matter, with parties having the opportunity to object and receive district-court review. FED. R. CRIM. P . 59(b).
An advisory committee's note accompanying the 2005 adoption of Rule 59 provides additional insight into the rule's scope.
See
United States v. Jones
,
Rule 59(a) sets out procedures to be used in reviewing nondispositive matters, that is, those matters that do not dispose of the case. The rule requires that if the district judge has referred a matter to a magistrate judge , the magistrate judge must issue an oral or written order on the record. To preserve the issue for further review, a party must object to that order within 10 days 2 after being served with a copy of the order or after the oral order is stated on the record or at some other time set by *1206 the court. If an objection is made, the district court is required to consider the objection. If the court determines that the magistrate judge's order, or a portion of the order, is contrary to law or is clearly erroneous, the court must set aside the order, or the affected part of the order. See also28 U.S.C. § 636 (b)(1)(A).
FED. R. CRIM. P . 59, advisory committee's note to 2005 amendment (emphasis added).
The same advisory committee's note states that Rule 59 is "derived in part from Federal Rule of Civil Procedure 72."
In light of the foregoing, Mr. Doby argues that the district court improperly applied Rule 59(a) to his motion. This rule applies only to matters "refer[red] to" a magistrate judge. And, particularly in light of the text of the rule's 2005 advisory committee's note and Federal Rule of Civil Procedure 72 (and its notes), Mr. Doby concludes that this "refer to" phrase means matters "designated" under § 636(b), not powers falling under § 636(a). Aplt.'s Bail Mem. Br. at 10-11. And there was no such referral or designation here; instead, the magistrate judge acted pursuant to powers granted by § 636(a). Moreover, as Mr. Doby points out, § 3145(a)(2) contains no express time limit for filing a motion under its ambit, even though Congress showed elsewhere in the Bail Reform Act that it
can
set time limits for certain actions and
did
provide that a motion under § 3145 shall be
determined
"promptly."
We are persuaded by the foregoing reasoning of Mr. Doby. The text of Rule 59(a) -indeed, the text of both provisions of Rule 59-states that the rule applies to matters that "may" be "refer[red] to" a magistrate judge by a district judge. FED. R. CRIM. P. 59(a) & (b). This implicates the "may designate" language of § 636(b), but it bears no resemblance to § 636(a)'s description of the "powers" and "duties" that a magistrate judge "shall have." It is true that Rule 59(a) says that referral can encompass "any matter that does not dispose of a charge or defense," while § 636(b)(1) states that, "[n]otwithstanding any provision of law to the contrary," a district judge may "designate" a magistrate judge to hear "any pretrial matter" (with exceptions not relevant here). However, it would not be reasonable to include among those "matters" that "may" be referred to a magistrate judge, or designated for such a judge, the "powers" and "duties" that a magistrate judge already "shall have" under § 636(a).
Rule 59's advisory committee's notes, as well as Federal Rule of Civil Procedure 72 and its advisory committee's notes, lend additional support to our reading. In particular, they suggest that Rule 59 is meant to be read in harmony with-and not to supersede or modify-the distinctions drawn in § 636. Even the government acknowledges that Mr. Doby has offered a "plausible interpretation of the scope of Rule 59(a)." Aplee.'s Suppl. Bail Mem. Br. at 12. And, although it suggests that the reading is not "clear[ ]" or "obvious[ ]" and that "other courts have rejected it," it does not say which ones or cite any cases grappling specifically with Mr. Doby's argument under § 636.
3
*1207
The government contends that the "better interpretation" of Rule 59(a) applies this provision to
all
nondispositive matters ruled on by a magistrate judge.
We reject this argument. As we observed
supra
, both the text of the provision and the advisory committee's notes make clear that the operation of Rule 59(a) is premised upon the referral of a matter to a magistrate judge by a district judge, consistent with § 636(b) -but not with § 636(a).
Compare
FED. R. CRIM. P . 59(a) ("A district judge may
refer to
a magistrate judge for determination any matter that does not dispose of a charge or defense. The magistrate judge must promptly conduct the required proceedings and, when appropriate, enter on the record an oral or written order stating the determination. ..." (emphasis added)),
with
FED. R. CRIM. P. 59, advisory committee's note to 2005 amendment (" Rule 59(a) sets out procedures to be used in reviewing nondispositive matters, that is, those matters that do not dispose of the case. The rule requires that if the district judge has
referred a matter to a magistrate judge
, the magistrate judge must issue an oral or written order on the record. ... " (emphasis added)). The title of Rule 59(a) does not much inform our analysis in light of the clear thrust of the text.
See
Bhd. of R.R. Trainmen v. Baltimore & O.R. Co.
,
Furthermore, as Mr. Doby points out, it will often be a "misnomer" to characterize a "motion for amendment of the conditions of release" under § 3145(a) as lodging "objections" to a magistrate judge's order, which Rule 59 contemplates. Aplt.'s Reply
*1208
Bail Mem. Br. at 13. In this regard, we have ruled that § 3145(a), which has no express time limit for filing motions, allows an amendment of conditions of release (or revocation of release) by the district court based on facts and considerations that were not, and often could not have been, before the magistrate judge when the original order was entered.
See, e.g.
,
Cisneros
,
We also reject the government's invitation to deem any error here harmless in light of the district court's decision not to "exercise its discretion" to consider Mr. Doby's motion. Aplee.'s Suppl. Bail Mem. Br. at 16-17. The district court declined to exercise its discretion to consider Mr. Doby's motion, "[d]espite Rule 59's waiver provision." Aplt.'s App. at 73. Significantly, the district court's express reference to Rule 59 immediately preceding its decision not to exercise its discretion demonstrates that the court situated its analysis regarding discretion within Rule 59's framework. But, as we have demonstrated, applying this framework was error. The government gives no compelling reason to believe that the court's discretionary analysis would have been identical or similar had § 3145(a)(2) been properly applied, without reference to Rule 59, nor has the government shown that Mr. Doby's prior opportunities to make his arguments could properly be held against him.
The district court therefore erred in applying Rule 59(a)'s fourteen-day time limit to a motion under § 3145(a)(2). We remand on this basis alone, and we do not consider Mr. Doby's arguments under § 3142(c)(3). We also decline Mr. Doby's invitation to opine, "as a matter of judicial economy," on whether his motion required "proof of the same material change in circumstances" required for a motion under § 3142(f). Aplt.'s Bail Mem. Br. at 17-18. Although the district court's § 3145(a)(2) ruling cited delay in filing, it did not analogize such a motion to one under § 3142(f) or state that a § 3145(a)(2) motion required "the same material change in circumstances" as one under § 3142(f). Compare Aplt.'s App. at 76 n.5 (suggesting that § 3142(c) "should be read in conjunction with" § 3142(f)'s limitations), with id. at 72-74 (not mentioning § 3142(f) in analyzing § 3145(a)(2) issues). On remand, in resolving Mr. Doby's request for relief, to the extent necessary or appropriate, the district court is free to consider these other statutory arguments, as well as any other arguments predicated on the federal procedural rules or Local Rules, that are not inconsistent with this opinion.
IV
For the foregoing reasons, we REVERSE the district court's order and REMAND for further proceedings.
We have not been provided with a transcript of this hearing or with any argument concerning the events of the hearing. In particular, neither party suggests that the events of the hearing altered the facts underlying the forfeiture-and-plain-error analysis performed infra. We thus analyze the issues in this appeal as though Mr. Doby's motion was decided solely on the papers.
This rule was amended in 2009 to provide for a fourteen-day time limit. See Fed. R. Crim. P. 59, advisory committee's note to 2009 amendment.
We note that cases like
United States v. Tooze
,
The government also makes arguments based on the Local Rules, which, in its view,
do
designate the determination of
all
nondispositive matters in criminal cases (including § 636(a) matters) to magistrate judges.
See
Aplee.'s Suppl. Bail Mem. Br. at 13-14. As Mr. Doby observes, however, the Local Rules were not advanced by the government in district court or cited in the district court's ruling, nor were they much discussed in the government's initial appellate brief.
See
Aplt.'s Reply Bail Mem. Br. at 5-6;
see also
Aplee.'s Bail Mem. Br. at 5-6 (mentioning one Local Rule). Although we can affirm on alternative grounds if the record is adequately developed,
United States v. Gaines
,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Jerry DOBY, Defendant-Appellant.
- Cited By
- 3 cases
- Status
- Published