Dolan v. United StatesDolan v. United States
Lead Opinion
delivered the opinion of the Court.
This case concerns the remedy for missing a statutory deadline. The statute in question focuses upon mandatory restitution for victims of crimes. It provides that “the court
I
On February 8,2007, petitioner Brian Dolan pleaded guilty to a federal charge of assault resulting in serious bodily injury.
On July 30, the District Court held Dolan’s sentencing hearing. The judge sentenced Dolan to 21 months’ imprisonment along with 3 years of supervised release. Id., at 38. The judge, aware that restitution was “mandatory,” said that there was “insufficient information on the record at this time regarding possible restitution payments that may be owed,” that he would “leave that matter open, pending the receipt of additional information,” and that Dolan could “anticipate that such an award will be made in the future.” Id., at 39-40. A few days later (August 8) the court entered a judgment, which, among other things, stated:
“Pursuant to the Mandatory Restitution Act, restitution is applicable; however, no information has been received regarding possible restitution payments that may be owed. Therefore, the Court will not order restitution at this time.” Id., at 49 (boldface deleted).
The sentencing court nonetheless set a restitution hearing for February 4, 2008 — about three months after the 90-day deadline expired. As far as the record shows, no one asked the court for an earlier hearing. At the hearing, Dolan pointed out that the 90-day deadline had passed. Id., at 54-55. And he argued that the law no longer authorized the court to order restitution. Id., at 60-64.
The court disagreed and ordered restitution. See Memorandum Opinion and Restitution Order in No. CR 06-02173-RB (D NM, Apr. 24, 2008), App. to Pet. for Cert. 47a. The Court of Appeals affirmed.
II
A
There is no doubt in this case that the court missed the 90-day statutory deadline “for the final determination of the victim’s losses.”
In answering this kind of question, this Court has looked to statutory language, to the relevant context, and to what they reveal about the purposes that a time limit is designed to serve. The Court’s answers have varied depending upon the particular statute and time limit at issue. Sometimes we have found that the statute in question imposes a “jurisdictional” condition upon, for example, a court’s authority to hear a case, to consider pleadings, or to act upon motions that a party seeks to file. See, e. g., Bowles v. Russell,
In other instances, we have found that certain deadlines are more ordinary “claims-processing rules,” rules that do not limit a court’s jurisdiction, but rather regulate the timing of motions or claims brought before the court. Unless a party points out to the court that another litigant has missed such a deadline, the party forfeits the deadline’s protection. See, e. g., Kontrick v. Ryan, supra, at 454-456 (60-day bankruptcy rule deadline for creditor’s objection to debtor discharge); Eberhart v. United States,
After examining the language, the context, and the purposes of the statute, we conclude that the provision before us sets forth this third kind of limitation. The fact that a sentencing court misses the statute’s 90-day deadline, even through its own fault or that of the Government, does not deprive the court of the power to order restitution.
B
Several considerations lead us to this conclusion. First, where, as here, a statute “does not specify a consequence for noncompliance with” its “timing provisions,” “federal courts will not in the ordinary course impose their own coercive sanction.” United States v. James Daniel Good Real Property,
We concede that the statute here uses the word “shall,”
Second, the statute’s text places primary weight upon, and emphasizes the importance of, imposing restitution upon those convicted of certain federal crimes. Amending an older provision that left restitution to the sentencing judge’s discretion, the statute before us (entitled “The Mandatory Victims Restitution Act of 1996”) says “[njotwithstanding any other provision of law, when sentencing a defendant convicted of [a specified] offense ... , the court shall order . . . that the defendant make restitution to the victim of the offense.” §3663A(a)(l) (emphasis added); cf. § 3663(a)(1) (stating that a court “may” order restitution when sentencing defendants convicted of other specified crimes). The Act goes on to provide that restitution shall be ordered in the “full amount of each victim’s losses” and “without consideration of the economic circumstances of the defendant.”
Third, the Act’s procedural provisions reinforce this substantive purpose, namely, that the statute seeks primarily to ensure that victims of a crime receive full restitution. To be sure speed is important. The statute requires a sentencing judge to order the probation office to prepare a report providing “a complete accounting of the losses to each victim, any restitution owed pursuant to a plea agreement, and information relating to the economic circumstances of each defendant.”
“If the victim’s losses are not ascertainable by the date that is 10 days prior to sentencing, the attorney for the Government or the probation officer shall so inform the court, and the court shall set a date for the final determination of the victim’s losses, not to exceed 90 days after sentencing.”§ 3664(d)(5) .
But the statute seeks speed primarily to help the victims of crime and only secondarily to help the defendant. Thus, in the sentence following the language we have just quoted, the statute continues:
“If the victim subsequently discovers further losses, the victim shall have 60 days after discovery of those losses in which to petition the court for an amended restitution order.” Ibid.
The sentence imposes no time limit on the victim’s subsequent discovery of losses. Consequently, a court might award restitution for those losses long after the original sentence was imposed and the 90-day time limit has expired. That fact, along with the Act’s main substantive objectives, is why we say that the Act’s efforts to secure speedy determination of restitution is primarily designed to help victims of crime secure prompt restitution rather than to provide defendants with certainty as to the amount of their liability. Cf. S. Rep. No. 104-179, p. 20 (1995) (recognizing “the need for finality and certainty in the sentencing process,” but also stating that the “sole due process interest of the defendant being protected ... is the right not to be sentenced on the basis of invalid premises or inaccurate information”); see also ibid. (“[Jjustiee cannot be considered served until full restitution is made”).
Fourth, to read the statute as depriving the sentencing court of the power to order restitution would harm those— the victims of crime — who likely bear no responsibility for
Fifth, we have previously interpreted similar statutes similarly. In Montalvo-Murillo,
The Court reasoned that “a failure to comply” with the hearing deadline “does not so subvert the procedural scheme ... as to invalidate the hearing.” Id., at 717. Missing the deadline did not diminish the strength of the Government’s
Here, as in Montalvo-Murillo, neither the language nor the structure of the statute requires denying the victim restitution in order to remedy a missed hearing deadline. As in Montalvo-Murillo, doing so would defeat the basic purpose of the Mandatory Victims Restitution Act. And, here, as in Montalvo-Murillo, that remedy does not “proportionately]” repair the harm caused the defendant through delay, particularly where, as here, the defendant “knew about restitution,” including the likely amount, well before expiration of the 90-day time limit. App. 62. Indeed, our result here follows from Montalvo-Murillo a fortiori, for here delay at worst postpones the day of financial reckoning. In Montalvo-Murillo, delay postponed a constitutionally guaranteed bail hearing with the attached risk that the defendant would remain improperly confined in jail. See
Nor does Montalvo-Murillo stand alone. The Court there found support in similar cases involving executive officials charged with carrying out mandatory public duties in a timely manner. See id., at 717-718 (citing French v. Edwards,
Sixth, the defendant normally can mitigate any harm that a missed deadline might cause — at least if, as here, he ob
C
Petitioner Dolan, however, believes we have understated the harm to a defendant that a missed deadline can cause. To show this he makes a three-part argument: (1) A defendant cannot appeal a sentence unless it is part of a “final judgment”; (2) a judgment setting forth a sentence is not “final” until it contains a definitive determination of the amount of restitution; and (3) to delay the determination of the amount of restitution beyond the 90-day deadline is to delay the defendant’s ability to appeal for more than 90 days — perhaps to the point where his due process rights are threatened. Brief for Petitioner 28-33.
The critical problem with this argument lies in its third step. As we have said, a defendant who, like petitioner here, knows that restitution will be ordered and is aware of the restitution amount prior to the expiration of the 90-day deadline can usually avoid additional delay simply by pointing to the statute and asking the court to grant a timely hearing. That did not happen here. And that minimal burden on the defendant is a small cost relative to the prospect of depriving innocent crime victims of their due restitution.
Even in the unlikely instances where that delay does cause the defendant prejudice — perhaps by depriving him of evidence to rebut the claimed restitution amount — the defendant remains free to ask the court to take that fact into account upon review. That inquiry might also consider the reason for the delay and the party responsible for its cause, i. e., whether the Government or the victim. Cf., e. g., United States v. Stevens,
In focusing upon the argument’s third step, we do not mean to imply that we accept the second premise, i. e., that a sentencing judgment is not “final” until it contains a definitive determination of the amount of restitution. To the contrary, strong arguments favor the appealability of the initial judgment irrespective of the delay in determining the restitution amount. The initial judgment here imposed a sentence of imprisonment and supervised release, and stated that restitution would be awarded. This Court has previously said that a judgment that imposes “discipline” may still be “freighted with sufficiently substantial indicia of finality to support an appeal.” Corey v. United States,
Moreover,
That the defendant can appeal from the earlier sentencing judgment makes sense, for otherwise the statutory 90-day restitution deadline, even when complied with, could delay appeals for up to 90 days. Defendants, that is, would be forced to wait three months before seeking review of their conviction when they could ordinarily do so within 14 days. See
The dissent, however, creates a rule that could adversely affect not just restitution, but other sentencing practices beyond the narrow circumstances presented here. Consider, for example, a judge who (currently lacking sufficient information) wishes to leave open, say, the amount of a fine, or a special condition of supervised release. In the dissent’s view, the entry of any such judgment would immediately de
As we have pointed out, our precedents do not currently place the sentencing judge in any such dilemma. See supra, at 611-612, 614-615. And we need not now depart from those precedents when this case does not require us to do so; when the issue has not been adequately briefed; when the lower court had no opportunity to consider the argument (which the petitioner may well have forfeited); and when the rule would foreclose the current practices of some district courts and unnecessarily cabin the discretion they properly exercise over scheduling and sentencing matters. Cf., e. g., Stevens, supra, at 3; Cheat, supra, at 47 (illustrating district court practices).
Certainly there is no need to create this rule in the context of restitution, for provisions to which the dissent refers are silent about whether restitution can or cannot be ordered after an initial sentencing. See, e. g., §§ 3551(b), (c) (“A sanction authorized by [criminal forfeiture and restitution statutes] may be imposed in addition to the [rest of the] sentence”); § 3663A(c)(l) (mandatory orders of restitution “shall apply in all sentencing proceedings [for specified offenses]”). And even on the dissent’s theory, the statute elsewhere provides the necessary substantive authorization: “Notwithstanding any other provision of law, when sentencing a defendant convicted of [a specified] offense ..., the court shall order . . . that the defendant make restitution to the victim
In any event, unless one reads the relevant statute’s 90-day deadline as an ironclad limit upon the judge's authority to make a final determination of the victim’s losses, the statute before us itself provides adequate authority to do what the sentencing judge did here — essentially fill in an amount-related blank in a judgment that made clear that restitution was “applicable.” App. 49 (boldface deleted). Since the sentencing judge’s later order did not “correct” an “error” in the sentence, Rule 35 does not apply. Compare Fed. Rule Crim. Proe. 35(a) with post, at 622-623. Hence the dissent’s claim that there is no other statute that creates authority (even were we to assume all else in its favor, which we do not) is merely to restate the question posed in this case, not to answer it.
Moreover, the dissent’s reading creates a serious statutory anomaly. It reads the statute as permitting a sentencing judge to order restitution for a “victim” who “subsequently discovers further losses” a month, a year, or 10 years after entry of the original judgment, while at the same time depriving that judge of the power to award restitution to a victim whose “losses are not ascertainable” within 90 days.
Finally, petitioner asks ús to apply the “rule of lenity” in favor of his reading of the statute. Dolan has not provided us with an example of an instance in which the “rule of lenity” has been applied to a statutory time provision in the criminal context. See United States v. Wiltberger,
For these reasons, the judgment of the Court of Appeals for the Tenth Circuit is
Affirmed.
Dissenting Opinion
with whom Justice Stevens, Justice Scalia, and Justice Kennedy join, dissenting.
The statute at issue in this case provides that “[i]f the victim’s losses are not ascertainable [at least] 10 days prior to sentencing, . . . the court shall set a date for the final determination of the victim’s losses, not to exceed 90 days after sentencing.”
In the absence of
These provisions authorize restitution orders at sentencing. They confer no authority to order restitution after sentencing has concluded. When Congress permits courts to impose criminal penalties at some time other than sentencing, it does so explicitly. See, e.g., § 3552(b) (provisional sentence during a study period);
Once a sentence has been imposed, moreover, it is final, and the trial judge’s authority to modify it is narrowly circumscribed. We have stated that “the trial courts had no such authority” prior to the adoption of Rule 35, United States v. Addonizio,
Thus, if the trial court fails to impose a mandatory term of imprisonment, see, e. g., § 924(c)(1)(A), or a mandatory fine, see, e. g.,
Here, however, the District Court failed to make use of its limited authority under
I cannot see where that court obtained authority to add additional terms to Dolan’s sentence. That is the step the Court misses when it searches for the “remedy” for a violation of
The Court appears to reason that
A
To avoid this conclusion, the Court runs through a series of irrelevancies that cannot trump the clear statutory text. It notes, for example, that
The Court puts greater emphasis on its reading of the statute’s purpose, namely to provide restitution to victims of crime. Certainly that was a purpose Congress sought to promote. But “no legislation pursues its purposes at all costs,” and “it frustrates rather than effectuates legislative intent simplistically to assume that whatever furthers the statute’s primary objective must be the law.” Rodriguez v. United States,
Congress had to balance against the interest in restitution the contrary interest in promptly determining the defendant’s sentence. The balance struck was clearly set forth in the statute: determine the victim’s losses by a date “not to exceed 90 days after sentencing.”
Nor can the Court find any support in the second sentence of
The Court also analogizes the 90-day limit to other provisions discussed in our precedents, most of which have nothing to do with the rights of criminal defendants (for whom procedural protections are of heightened importance), let alone the finality of criminal sentencing. The cited cases are said to establish that an official’s “failure to meet [a] deadline” does not always deprive that official of “power to act beyond it.” Regions Hospital v. Shalala,
Even more perplexing is the Court’s suggestion that references to the authority of trial courts necessarily implicate questions of jurisdiction. Ante, at 620. To say that a court lacks authority to order belated restitution does not use “authority” in a jurisdictional sense, see Arbaugh v. Y & H Corp.,
B
In the end, the Court does not appear to need
The Court cites no authority in support of such “fill in th[e] blank” sentencing, other than two cases implicated in the Circuit split below. Ante, at 619. Prior to the enactment of
The Court finds Rule 35(a) inapplicable because the District Court was not “ ‘correcting]’ ” a clear error in the sentence. Ante, at 620. True enough; but that is why the
The same is true of § 3552(b), which empowers a court that does not wish to delay sentencing but “desires more information than is otherwise available to it” to impose a provisional sentence during a 120-day study period. That statute would be largely unnecessary if a trial court could do the same by order.
In Addonizio,
To counter the effects of its opinion and to restore some semblance of finality to sentencing, the Court advises defendants to seek mandamus — a remedy we have described as “drastic and extraordinary,” “reserved for really extraordinary causes,” and one of “the most potent weapons in the judicial arsenal.” Cheney v. United States Dist. Court for D. C.,
Moreover, the Court’s mandamus remedy only helps defendants who know they are in danger of an increased sentence. So the Court imposes another rule, namely that the trial court must explicitly “leave open” the precise sentence at the time of sentencing, ante, at 618, or must make clear, “prior to the deadline’s expiration[,] that it would order restitution” at some indeterminate time, ante, at 608 (emphasis added). But what if the court does not make the crucial announcement at sentencing, or “prior to the deadline’s expiration”? Are these judicially created deadlines to be taken more seriously than those imposed by Congress? Or are we just back at the beginning, asking what the “remedy” should be for failing to meet the relevant deadline?
The Court’s suggestion to require notice of intent to augment the sentence at some future date may be a good idea. But an even better one might be to set a particular date— say, 90 days after sentencing — on which the parties could base their expectations. That was Congress’s choice, and it should be good enough for us.
* * *
The District Court in this case failed to order mandatory restitution in sentencing Dolan. That was wrong. But two wrongs do not make a right, and that mistake gave the court no authority to amend Dolan’s sentence later, beyond the 90 days allowed to add a sentencing term requiring restitution.
I am mindful of the fact that when a trial court blunders, the victims may suffer. Consequences like that are the unavoidable result of having a system of rules. If no one appeals a mistaken ruling on the amount of restitution (or whether restitution applies at all), finality will necessarily obstruct the victims’ full recovery.
Notes
Whether that date must itself be set at sentencing is not before us. The order setting the date plainly cannot be entered 182 days after sentencing, as happened here. See App. 3-4.
United States v. Montalvo-Murillo,