UNITED STATES OF AMERICA, Plaintiff - Appellee, v. JERRY DOBY, Defendant - Appellant.
No. 19-3031
United States Court of Appeals, Tenth Circuit
July 8, 2019
928 F.3d 1199
PUBLISH. Elisabeth A. Shumaker, Clerk of Court.
Appeal from the United States District Court for the District of Kansas (D.C. No. 5:18-CR-40057-HLT-1)
Daniel T. Hansmeier, Appellate Chief (Melody Brannon, Federal Public Defender, and Carl Folsom, III, with him on the briefs), Office of the Kansas Federal Public Defender, Kansas City, Kansas, for Defendant-Appellant.
James A. Brown, Assistant United States Attorney (Stephen R. McAllister, United States Attorney, and Christine E. Kenney, Assistant United States Attorney, with him on the briefs), Office of the United States Attorney, Topeka, Kansas, for Plaintiff-Appellee.
Before HARTZ, HOLMES, and PHILLIPS, Circuit Judges.
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
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
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. Id. at 71–76 (Mem. & Order, dated Jan. 28, 2019). First, the district court ruled that a request for relief under
The district court then addressed the purported unavailability of relief under
(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
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, 328 F.3d 610, 613 (10th Cir. 2003); accord United States v. Deppish, 554 F. App‘x 753, 754–55 (10th Cir. 2014) (unpublished) (per curiam) (applying this standard in a case involving pretrial release conditions).
Mr. Doby‘s arguments concern the interplay between
(“Interpretation of the Federal Rules of Criminal Procedure is a legal issue subject to de novo review.” (quoting United States v. Roman-Zarate, 115 F.3d 778, 781 (10th Cir. 1997))).
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
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, 912 F.3d 1263, 1269 (10th Cir. 2018) (“The doctrine of mootness in no way depends on the merits of the plaintiff‘s contention.” (quoting Keller Tank Servs. II, Inc. v. Comm‘r, 854 F.3d 1178, 1194 (10th Cir. 2017))).
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, 600 F.3d 1301, 1311 (10th Cir. 2010) (quoting Kan. Judicial Review v. Stout, 562 F.3d 1240, 1246 (10th Cir. 2009)). Therefore, we reject the government‘s mootness contention.
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, 594 F.3d
1291, 1295 (10th Cir. 2010) (“When a party had no opportunity to raise the issue, we review it as if it had been presented.“); United States v. Uscanga-Mora, 562 F.3d 1289, 1294 (10th Cir. 2009) (“[T]he federal rules provide for plain error review only when counsel has been given, but has not taken advantage of, an opportunity to voice his or her objection; where no such opportunity was afforded in the district court, our normal standards of review pertain.“); see also United States v. Lewis, 823 F.3d 1075, 1081 (7th Cir. 2016) (“The foundation for these limits on appellate review [imposed by preservation doctrines like forfeiture or waiver] is that a district judge needs to ensure that parties have a fair and genuine opportunity to raise objections in the district court.“); United States v. Mike, 632 F.3d 686, 693 (10th Cir. 2011) (declining to apply plain-error standard where “the court first announced [the challenged] conditions in its written judgment, thus[] stripping [the defendant] of an opportunity to object to them“).
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.
unnecessary.“); United States v. Madrid, 633 F.3d 1222, 1228 (10th Cir. 2011) (Kelly, J., concurring) (“Plain and simple, the government was under no obligation to file a motion to reconsider. Neither the federal criminal rules nor the local rules even mention—let
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
At the heart of this appeal is the proper interpretation of
On the other hand,
(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
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.
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, 818 F.3d 1091, 1100 n.6 (10th Cir. 2016)
(observing that “[c]ourts give weight to the advisory committee notes unless they contradict the plain language of the rule“). Particularly, the portion of that note addressing Rule 59(a) reinforces the idea that Rule 59(a)‘s framework is premised wholly on referral and, indeed, is intended to incorporate or mirror the “designat[ion]” framework laid out in
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 days2 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
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 also 28 U.S.C. § 636(b)(1)(A) .
The same advisory committee‘s note states that Rule 59 is “derived in part from Federal Rule of Civil Procedure 72.” Id. That rule similarly distinguishes between “nondispositive” and “dispositive” matters. And, notably, its own
advisory committee‘s notes expressly state that the two provisions of the rule are meant to address “court-ordered referrals” of matters under
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
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.
language of
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
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
the record an oral or written order stating the determination. . . . ” (emphasis added)), with
Furthermore, as Mr. Doby points out, it will often be a “misnomer” to characterize a “motion for amendment of the conditions of release” under
That is because those issues would not have emerged at the time of the magistrate judge‘s decision.
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
The district court therefore erred in applying Rule 59(a)‘s fourteen-day time limit to a motion under
for a motion under
IV
For the foregoing reasons, we REVERSE the district court‘s order and REMAND for further proceedings.
HOLMES
Circuit Judge
