United States v. Jimmie White
Opinion of the Court
Following our circuit's binding precedent, we previously held in this case that preindictment plea negotiations are "period[s] of delay resulting from other proceedings concerning the defendant" that are automatically excludable under
On remand, we now hold that Bloate abrogated Dunbar and Bowers . Nevertheless, we deny defendant relief for two independent reasons. First, he cannot overcome plain-error review of his Bloate argument. Second, and alternatively, the time for preindictment plea negotiations was properly excluded as an ends-of-justice continuance under § 3161(h)(7) of the Speedy Trial Act. Therefore, we again affirm the judgment of the district court.
I.
Our prior opinion sets forth the facts pertinent to this remand:
On April 29, 2013, the government filed a complaint against White charging him with drug distribution and firearm crimes related to the May 14, 2010, search and seizure. White was arrested on those charges, and an order of temporary detention was entered, on May 2, 2013. He made his initial appearance the next day and was released on bond.
After his arrest, the parties engaged in preindictment plea negotiations. To that end, they filed a stipulation with the district court on May 17, 2013, agreeing to adjourn White's preliminary hearing and exclude the time between May 23, 2013, and June 7, 2013, from White's Speedy Trial Act clock. Plea negotiations were not successful, and a grand jury indicted White on June 4, 2013.
White ,
While he filed a bevy of motions before the district court, pertinent to our inquiry is only White's pretrial motion to dismiss the indictment because the government violated his speedy trial rights. Defendant's motion simply announced that the government failed to indict him within thirty days of his arrest in violation of the Speedy Trial Act,
II.
The Sixth Amendment provides that "[i]n all criminal prosecutions, the accused shall enjoy the right to a speedy ... trial." U.S. CONST . amend. VI. The Speedy Trial Act strengthens this constitutional mandate by establishing time limits for completing the various stages of a federal criminal prosecution.
The issue on remand is whether the fourteen days spent on preindictment plea negotiations are excludable under that Act. White argues that our precedent holding that preindictment plea negotiations are automatically excludable under § 3161(h)(1) no longer passes muster after the Supreme Court's Bloate decision. The government counters that this court should affirm the district court because (1) White forfeited the argument that Bloate precludes automatic exclusion of preindictment plea negotiations and cannot show plain error, and (2) even if preindictment plea negotiations are not automatically excludable under § 3161(h)(1), that time was excludable as an ends-of-justice continuance pursuant to § 3161(h)(7). We address these arguments in turn.
III.
A.
We first hold that Bloate abrogated our prior decisions concluding that preindictment plea negotiations are automatically excludable under the Act.
Section 3161(h)(1) provides for the automatic exclusion of "[a]ny period of delay resulting from other proceedings concerning the defendant, including but not limited to" eight enumerated subcategories. One of those categories expressly excludes the time "resulting from consideration by the court of a proposed plea agreement to be entered into by the defendant and the attorney for the Government." § 3161(h)(1)(G). Based primarily on that subparagraph and the "including but not limited to" language, we have long held that time spent on preindictment plea negotiations between the parties is automatically excludable. Dunbar ,
Given the above reasoning, the Solicitor General's concession of error in our precedent, and the Supreme Court's order vacating our prior decision and remanding for reconsideration in light of that concession of error, we take this opportunity to revisit our prior precedent. Although it is generally true that one panel cannot overrule the binding precedent of a prior panel, United States v. Ferguson ,
Just as the Supreme Court held that the time a court grants to a party to prepare pretrial motions is not automatically excludable, the same is true for preindictment plea negotiations. The parties now agree on this point. Subparagraph (h)(1)(G) expressly excludes the time attributable to "delay resulting from consideration by the court of a proposed plea agreement to be entered into by the defendant and the attorney for the Government." § 3161(h)(1)(G) (emphasis added). This specific provision caps the time to be excluded as beginning at the moment the proposed plea is given to the court for its consideration. Plea negotiations , which necessarily occur before a proposed plea agreement comes to fruition, are therefore outside the limited universe contemplated by this subparagraph and may not be automatically excluded. See United States v. Mathurin ,
B.
This conclusion, however, does not end our consideration § 3161(h)(1) 's automatic exclusion in this appeal. The government, though accepting that Bloate abrogated our precedent, now argues that White has at a minimum forfeited the issue by not raising it before the district court.
*1114Before the district court, White specifically challenged the excludability of the fifteen-day delay for plea negotiations, and the validity of the stipulation. However, he now presents a new reason why the district court erroneously concluded that the plea-negotiation time was excludable, arguing for the first time on appeal that Bloate 's reasoning applied to remove preindictment plea negotiations from the automatic excludability provisions of § 3161(h)(1). This is insufficient to preserve the issue for de novo review on appeal. See United States v. Huntington Nat. Bank ,
Although the Supreme Court's remand order requires this court to "further consider[ ]" the Speedy Trial Act issue, it does not similarly require us to engage in de novo review or to grant White relief. Cf. Bloate ,
Plain error is, as it should be, a difficult hurdle to clear. The burden is on White "to show (1) error that (2) was plain, (3) affected [his] substantial rights, and (4) seriously affected the fairness, integrity, or public reputation of the judicial proceedings." United States v. Ushery ,
We have noted that "[a] 'circuit split precludes a finding of plain error,' for the split is good evidence that the issue is 'subject to reasonable dispute.' " Id . (quoting United States v. Williams ,
Although we now overrule those decisions in light of their abrogation by Bloate , the analysis supporting that conclusion shows that we had to extend Bloate 's reasoning to an analogous, but different, section of the Speedy Trial Act. See, supra, Section III.A. Our decision today shows that it took no great inferential leap to apply Bloate in this instance, but it still required both an extension of Bloate 's reasoning and the overruling of two of our published decisions. We cannot fault a district court for following our binding caselaw, as it was required to do. Cf. Rodriguez de Quijas v. Shearson/Am. Express, Inc. ,
IV.
Finally, we turn to the government's alternate argument-that the district court's order granting the parties' stipulation to exclude the preindictment-plea-negotiation period from Speedy Trial Act calculations satisfied the requirements for an ends-of-justice continuance under the Act. We agree and hold this to be adequate alternative grounds for affirmance.
Regardless of whether a period of time is automatically excludable, the Speedy Trial Act allows for a continuance whenever the judge finds "that the ends of justice served by taking such action outweigh the best interest of the public and the defendant in a speedy trial."
To exclude time under this exception, the court must consider certain factors, such as whether the failure to grant the continuance would "result in a miscarriage of justice," § 3161(h)(7)(B)(i) ; whether due to the nature of the case (or other factors), the case is too complex to reasonably expect adequate preparation within the Act's time limits, § 3161(h)(7)(B)(ii) ; or whether a refusal to continue the case would deny the defendant "reasonable time to obtain counsel," or would unreasonably deny either party time for "effective preparation," § 3161(h)(7)(B)(iv). Notably, the list of enumerated factors is not exhaustive, § 3161(h)(7)(B) ("The factors, among others , which a judge shall consider...." (emphasis added)), but preindictment plea negotiations are not expressly included. See § 3161(h)(7)(B)(i)-(iv).
The Supreme Court has held that other types of delay that are not excludable under subsection (h)(1) are excludable under the more flexible framework of subsection (h)(7). See Bloate ,
*1116United States v. Fields ,
Therefore, because the time spent on pretrial plea negotiations may be excludable under subsection (h)(7), we must determine whether the magistrate judge's order provided sufficient explanation for the continuance, as required by the Act. Subsection 3161(h)(7) requires a district court to "show its work," before granting an ends-of-justice continuance:
No such period of delay resulting from a continuance granted by the court in accordance with this paragraph shall be excludable under this subsection unless the court sets forth, in the record of the case, either orally or in writing, its reasons for finding that the ends of justice served by the granting of such continuance outweigh the best interests of the public and the defendant in a speedy trial.
Id . "[T]he Act requires express findings" when granting an ends-of-justice continuance, and "without on-the-record findings, there can be no exclusion" pursuant to § 3161(h)(7). See Zedner ,
Given its unique structure and appearance, it is important to discuss exactly what the combined stipulation and order granting the continuance said in this case. The first two pages of the court's filed order was nothing more than the parties' stipulation. There, the parties provided that "the period from May 23, 2013, to June 7, 2013, should be excluded from *1117computing the time within which an information or indictment must be filed because the parties are engaged in plea negotiations,
This order sufficiently supports an ends-of-justice exclusion under § 3161(h)(7). First, the order clearly incorporates the parties' two-page stipulation, both by attachment and reference. In the past we've upheld a continuance when the reasons for it are clear from the context or record. United States v. Richardson ,
Second, the contents of the order are sufficient to support the continuance. We have previously affirmed a district court's ends-of-justice continuance when it simply held that "the ends of justice served outweigh the best interest of the public and the defendant in a speedy trial." Anderson ,
Finally, despite White's arguments to the contrary, this case is distinguishable from Zedner because it does not present the sort of wide-ranging and open-ended error that the Zedner Court sought to remedy. There, the Court was faced with an open-ended stipulation, which prevented the defendant from raising any Speedy Trial Act issues "for all time." Zedner ,
Sure, an order more fully explaining the magistrate's reasoning would have been well taken by this court, but we cannot forget that the Act does not require a novella of explanation. See Anderson ,
V.
We affirm the judgment of the district court.
CONCURRING IN PART AND IN THE JUDGMENT
RALPH B. GUY, JR., Circuit Judge.
I concur in the judgment and concur with Judge Griffin's opinion, except as to part III.B. In my view, White did not forfeit his argument about
Consider the order of events. Fourteen days after White was arrested, his court-appointed attorney signed the stipulation at issue in this case. The magistrate judge entered the order the next day. A few weeks later, White filed a pro se motion to dismiss the indictment due to a Speedy Trial Act violation and also moved for a new attorney. The court allowed White to hire a new attorney, denied the pro se motion without prejudice, and invited the new attorney to file a new motion. The new attorney did file a new motion under the Speedy Trial Act and the government filed a response. White declined to file a reply. The court held a hearing and ultimately denied the motion in a written order.
Then consider the content of the briefs. The pro se motion simply pointed out § 3161(b) 's 30-day deadline, while making no reference to the stipulation or the order finding excludable delay. The subsequent attorney-drafted motion was more specific, but it observed only that 33 calendar days elapsed and concluded that there was necessarily a violation of § 3161(b). It too failed to mention the stipulation and order. The government finally brought up the order in its response brief, but with little elaboration. The government merely observed that "the parties agreed, and the court ordered, that the period of delay from May 23, 2013, through June 4, 2013 (in fact June 7, 2013) was excludable delay under the [Speedy Trial Act]." It did not, however, identify how the Speedy Trial Act enabled this exclusion-whether through § 3161(h)(1), (h)(7), or some other means. In all, no brief mentioned automatic exclusion or § 3161(h)(1).
Automatic exclusion never came up at the hearing either. The government never mentioned it and argument about the Speedy Trial Act focused exclusively on the validity of the stipulation. White's new attorney recounted how the old attorney had signed the stipulation and explained:
If that extension is effective to the Defendant, then that would be credited against him; the issue would be moot, he would lose. His claim is that he did not agree to that, had no knowledge of it, that that extension was taking place.... Our argument is very simple: He didn't agree to it.
*1119Ultimately, the district court found that the stipulation was valid and that finding has never been at issue on appeal.
White did not raise the automatic-exclusion issue, but it was not his issue to raise. White did what the Speedy Trial Act requires: he provided proof of a violation (a list of the dates) and moved for dismissal. See
Ultimately, the waiver of the § 3161(h)(1) argument-whether by White or the government-is inconsequential. All now agree that under Bloate , § 3161(h)(1) does not apply here, which leaves us with the matter actually considered and relied upon by the district court: exclusion under § 3161(h)(7). I agree that under the circumstances the magistrate judge's order, which was explicitly premised on the parties' stipulation, satisfied the requirement of an on-the-record finding for an ends-of-justice continuance. I therefore concur in the judgment.
CONCURRING IN PART AND DISSENTING IN PART
The government also argues waiver, which we need not address given our conclusion that White forfeited this issue. But even if we were so inclined to address the argument, it is unlikely that we could hold this issue completely waived in this context, given the Supreme Court's explicit direction that we "further consider[ ]" this issue "in light of the confession of error by the Solicitor General." White ,
This conclusion does not suffer from the same defect that our prior caselaw on automatic exclusions did-there is no subpart of § 3161(h)(7) that speaks narrowly to plea agreements or plea negotiations, so we are not foreclosed from permitting plea negotiations as a reasonable basis for an ends-of-justice continuance. Cf. Bloate ,
The Zedner Court, interpreting an older version of the Act, refers to the pertinent section as § 3161(h)(8). In a 2008 amendment, this subsection was redesignated as (h)(7). Pub. L. No. 110-406 § 13(3) (2008). The text and substance of the statutory subsection did not change.
Concurring in Part
This case comes before us pursuant to a grant, vacate, and remand order ("GVR") from the Supreme Court. All that remains at issue is whether the district court properly excluded a period of two weeks when determining whether Defendant was indicted more than thirty days after his arrest, in violation of the Speedy Trial Act,
I. Background
The relevant facts are straightforward. On May 14, 2010, federal law enforcement agents executed a search warrant at Defendant's home and found drugs and a firearm. See United States v. White ,
After his arrest, Defendant engaged in plea negotiations with the government.
[T]he period from May 23, 2013 to June 7, 2013, should be excluded from computing the time within which an information or indictment must be filed because the parties are engaged in plea negotiations,18 U.S.C. § 3161 (h)(1), and because the ends of justice served by such continuance outweigh the interests of the public and the defendant in a speedy trial. See18 U.S.C. § 3161 (h)(7).
(RE 12, PageID # 30-31.) On May 17, 2013, a magistrate judge issued an order stating in part that:
This matter coming before the court on the stipulation of the parties, it is hereby ... ORDERED that the period from May 23, 2013, to the new date of the preliminary hearing, June 7, 2013 should be excluded in calculating the time within which the defendant shall be indicted under the Speedy Trial Act.18 U.S.C. § 3161 .
(Id. at PageID # 32.) And on June 4, 2013, Defendant was indicted for various drug and firearm offenses, of which he was later convicted. White ,
The relevant procedural history is less straightforward, but no less significant. As his case progressed, Defendant filed a motion to dismiss the indictment, alleging that the government had indicted him more than thirty days after his arrest, in violation of the Speedy Trial Act,
Defendant appealed, arguing that neither the magistrate judge nor the district court had made the statutorily mandated findings necessary to exclude the time Defendant spent in plea negotiations under § 3161(h)(7). In response, the government argued both that the magistrate judge and the district court had made the statutorily mandated findings, and , for the first time, that Defendant's time spent in plea negotiations was also automatically excludable under
Defendant filed a petition for certiorari with the Supreme Court. In his petition, Defendant maintained that time spent in plea negotiations is not automatically excludable under § 3161(h)(1), and cited the Supreme Court's decision in Bloate v. United States ,
II.
I concur in the majority's holding that time spent in plea negotiations is not automatically excludable under
III. Forfeiture
Judge Griffin, writing for himself, holds that Defendant is not entitled to relief because he forfeited his § 3161(h)(1) argument by failing to make it before the district court or in his initial opening brief to this Court, and that as a result, we are limited to plain error review. For several reasons, this holding is unpersuasive.
First, it is the government that forfeited its § 3161(h)(1) argument by failing to make it before the district court. This Court has held that once a defendant makes a "prima facie" showing of a violation-"a simple matter of producing a calendar" and showing that more than the allowed amount of time has passed, United States v. Sherer ,
Second, and relatedly, even if the government did not bear the burden of proving sufficient excludable time, because neither party argued that the time Defendant spent in plea negotiations was automatically excludable under § 3161(h)(1), the district court did not address or analyze § 3161(h)(1) in its denial of Defendant's motion. Rather, the district court addressed and analyzed only § 3161(h)(7).
Third, even if Defendant did forfeit his § 3161(h)(1) argument, that forfeiture was cured by subsequent proceedings in this Court and the Supreme Court. This Court's decision in Clark v. Chrysler Corp. ,
The same is true in this case. Defendant allegedly forfeited his § 3161(h)(1) argument by not making it before the district court. Yet despite that alleged forfeiture, this Court addressed the issue on appeal and held that that time spent in plea negotiations is "automatically excludable under § 3161(h)(1)" because "[a]lthough the plea bargaining process is not expressly specified in § 3161(h)(1) ['s] [subparagraphs], the listed proceedings are only examples ... and are not intended to be exclusive." White ,
IV.
The majority holds that the magistrate judge and the district court made the statutorily *1124mandated findings necessary to exclude Defendant's time spent in plea negotiations under
By its terms,
Thus, § 3161(h)(7)"is explicit." Zedner v. United States ,
The exclusion of delay resulting from an ends-of-justice continuance is the most open-ended type of exclusion recognized under the [Speedy Trial] Act and, in allowing district courts to grant such continuances, Congress clearly meant to give district judges a measure of flexibility in accommodating unusual, complex, and difficult cases. But it is equally clear that Congress, knowing that the many sound grounds for granting ends-of-justice continuances could not be rigidly structured, saw a danger that such continuances could get out of hand and subvert the Act's detailed scheme. The strategy of [ § 3161(h)(7) ], then, is to counteract substantive openendedness with procedural strictness. The provision demands on-the-record findings and specifies in some detail certain factors that a judge must consider in making those findings.
"[T]he Sixth Circuit has placed great emphasis on the need for a district court to comply with this statutory requirement." Greenup v. United States ,
In this case, the magistrate judge issued an order stating only that "[t]his matter coming before the court on the stipulation of the parties, it is hereby ... ORDERED that the period from May 23, 2013, to the new date of the preliminary hearing, June 7, 2013 should be excluded in calculating the time within which the defendant shall be indicted under the Speedy Trial Act.
*1125
However, the majority attempts to circumvent this conclusion by relying on the joint stipulation, which the magistrate judge attached to its order. According to the majority, the order "incorporates" the joint stipulation, and thereby complies with § 3161(h)(7). Maj. Op. at 1117. This holding is starkly inconsistent with the Supreme Court's and this Court's emphasis on the importance of complying with § 3161(h)(7) 's procedural strictness. Zedner ,
As an initial matter, it is doubtful that the order actually incorporated the joint stipulation, as the order lacks any "explicit language of incorporation." See Bender v. Newell Window Furnishings, Inc. ,
Regardless, even if the magistrate judge "adopted the parties' stipulation as part of its own reasoning," the joint stipulation stated only that the time Defendant spent in plea negotiations should be excluded "because the ends of justice served by such continuance outweigh the interests of the public and the defendant in a speedy trial." Maj. Op. at 1117. Such a conclusory statement does not comply with § 3161(h)(7). See United States v. Toombs ,
For all of the foregoing reasons, I concur in part and dissent in part.
Though the district court's written denial of Defendant's motion cited neither § 3161(h)(1) nor § 3161(h)(7), the district court's statements at the hearing on Defendant's motion demonstrate that it denied Defendant's motion pursuant to § 3161(h)(7). The district court reasoned that the joint stipulation stated that "the ends of justice served by the continuance outweigh the interest of the public and the Defendant in a speedy trial, which [are] the magic words ... that we're familiar with." (RE 88, PageID # 624.) The district court also reasoned that "[t]he [magistrate judge's] order was based in some measure on [the] stipulation, but [was] also based on the independent finding of a judicial officer, as it must be under the Speedy Trial Act.... The magistrate judge made a finding and I can rely on that.... So that's my ruling on that." (Id. at PageID # 631-33.) Such magic words and independent findings are relevant only to § 3161(h)(7). Compare United States v. Brown ,
Accord Maj. Op. at 1113 ("Subparagraph (h)(1)(G) expressly excludes the time attributable to 'delay resulting from consideration by the court of a proposed plea agreement to be entered into by the defendant and the attorney for the government.' ... Plea negotiations , which necessarily occur before a proposed plea agreement comes to fruition, are therefore outside the limited universe contemplated by this subparagraph and may not be automatically excluded.").
Judge Griffin, writing for himself, acknowledges the persuasiveness of Clark , but erroneously limits its discussion of Clark to its analysis of waiver. "The terms waiver and forfeiture-though often used interchangeably by jurists and litigants-are not synonymous." Hamer v. Neighborhood Hous. Servs. of Chicago , --- U.S. ----,
Judge Griffin's holding on this issue eliminated any need for him to address waiver. However, because I disagree with that holding, I address waiver as well. The government argues that Defendant waived his § 3161(h)(1) argument pursuant to
Accordingly, this case is distinguishable from those relied upon by the majority. In none of those cases did the district court rely solely on the mere agreement of, or findings made by, the parties.
Reference
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- UNITED STATES of America, Plaintiff-Appellee, v. Jimmie Eugene WHITE, II, Defendant-Appellant.
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