TJOFLAT, Circuit Judge:
The Federal Magistrate Act of 1979, Pub.L. No. 96-82, 93 Stat. 643, authorizes a magistrate judge, with the consent of the parties, to "conduct any or all proceedings in a jury or nonjury civil matter and order the entry of judgment in the case." Id. § 2, 93 Stat. at 643 (codified as amended at 28 U.S.C. § 636(c) (2006)). In Appeal No. 12-10293, which must be decided before we reach Appeal No. 11-15149, the question presented is whether the consensual delegation of a motion to vacate sentence under 28 U.S.C. § 2255 (Supp. I 2009)
This opinion proceeds in four parts. Part I sets out the circumstances giving rise to the appeals before us. In part II, we recount the history of the magistrate system to provide context to part III's analysis of the question Appeal No. 12-10293 presents. A brief conclusion follows in part IV.
James Joseph Brown, the appellant, stands convicted of using a computer and America Online to knowingly persuade, induce, entice and coerce an individual who had not attained the age of eighteen years, to engage in sexual activity under circumstances as would constitute a criminal offense, and attempted to do so, in violation of 18 U.S.C. § 2422(b) (Supp. III 2005).
On July 15, 2011, the Magistrate Judge, without an evidentiary hearing, entered an order denying Brown's § 2255 motion on the ground that the motion failed to state a basis for granting relief; he also denied Brown's motion for reconsideration.
On November 28, 2011, Brown, citing the Fifth Circuit's decision in United States v. Johnston, 258 F.3d 361 (5th Cir.
This constitutional question is before us in Brown's second appeal, Appeal No. 12-10293.
Whether we reach the merits of Brown's first appeal depends on the outcome of this second appeal. In addressing the second appeal, "[w]e are mindful of the doctrine that a federal court should not pass on federal constitutional issues unless necessary to its decision." Bickerstaff Clay Prods. Co. v. Harris Cnty., Ga., 89 F.3d 1481, 1486 n. 9 (11th Cir.1996) (citing Ashwander v. Tenn. Valley Auth., 297 U.S. 288, 347, 56 S.Ct. 466, 483, 80 L.Ed. 688 (1936) (Brandeis, J., concurring) ("The Court will not pass upon a constitutional question although properly presented by the record, if there is also present some other ground upon which the case may be disposed of.")); see also Spector Motor Serv., Inc. v. McLaughlin, 323 U.S. 101, 105, 65 S.Ct. 152, 154, 89 L.Ed. 101 (1944) ("If there is one doctrine more deeply rooted than any other in the process of constitutional adjudication, it is that we ought not to pass on questions of constitutionality... unless such adjudication is unavoidable."). Therefore, before deciding whether Article III prohibited the Magistrate Judge from entering final judgment on Brown's § 2255 motion, we must consider
To provide context for our analysis of the issues presented by Brown's appeals, we first describe the creation and development of the magistrate system. This part is divided into five subparts: subpart A recounts the history of the precursor to the magistrate system — the commissioner system; subpart B details the 1968 Federal Magistrates Act; subpart C describes the Supreme Court's decision in Wingo v. Wedding, 418 U.S. 461, 94 S.Ct. 2842, 41 L.Ed.2d 879 (1974), which curtailed the use of magistrates, as well as Congress's response to the Wingo decision; subpart D outlines the Federal Magistrate Act of 1979 and the ancillary changes Congress has made to the magistrate system since that statute's enactment; finally, subpart E synthesizes the previous subparts to describe the Article I power Congress exercised in establishing the magistrate system.
Beginning with the Judiciary Act of 1793, ch. 22, § 4, 1 Stat. 333, 334, Congress granted circuit court judges
Over the next seventy years, Congress expanded the commissioners' authority to include "all the powers that any justice of the peace, or other magistrate, of any of the United States may now exercise in respect to offenders for any crime or offense against the United States, by arresting,
In 1891, Congress established the courts of appeals, Act of Mar. 3, 1891, ch. 517, § 2, 26 Stat. 826, 826-27, and soon thereafter abolished the circuit courts' commissioners, replacing them with United States Commissioners, who were appointed by the district courts, Act of May 28, 1896, ch. 252, § 19, 29 Stat. 140, 184. These commissioners, like the circuit court commissioners, were paid according to a fee schedule and performed the same duties those commissioners had performed, but they served a limited term of four years and were prohibited from holding other federal positions, civil or military. Id. § § 19-20, 29 Stat. at 184. These commissioners were not Article III judges — they lacked life tenure and undiminishable salaries — and thus could not exercise the "judicial Power" of Article III.
Around the turn of the twentieth century, Congress began to expand the commissioners' jurisdiction over petty offenses. At first, commissioners were authorized to hear and determine certain minor offenses in specific federal areas, such as territories,
In 1968, Congress passed the Federal Magistrates Act, Pub.L. No. 90-578, 82 Stat. 1107 (1968), which eliminated the Office of the United States Commissioner and created the Office of the United States Magistrate. The Act vested appointment power in the district courts and established minimum qualifications for magistrates,
Magistrates retained the powers the commissioners had exercised, and the district courts were authorized to give magistrates the power to serve as special masters in civil cases, to assist in pretrial or discovery proceedings, and to conduct a preliminary review of an application for post-trial relief and submit a report and recommendation thereon to facilitate the decision of the district court. Id. § 101, 82 Stat. at 1113 (codified as amended at 28 U.S.C. § 636(a)-(b) (2006 & Supp. III 2010)). Recognizing that district courts could innovate the way in which magistrates were utilized, Congress also authorized district courts to establish rules giving magistrates "such additional duties as are not inconsistent with the Constitution and laws of the United States." Id. (codified as amended at 28 U.S.C. § 636(b) (2006 & Supp. III 2010)).
Magistrates could also try and sentence persons accused of "minor offenses."
Before Congress enacted the 1968 Act, it specifically considered the constitutionality of expanding the magistrate's jurisdiction over minor offenses, concluding that "the heavy weight of authority supported the constitutionality of the minor offense provisions." H.R.Rep. No. 90-1629, at 21 (1968), reprinted in 1968 U.S.C.C.A.N. 4252, 4264. In reaching that conclusion, the House Committee on the Judiciary was also "especially cognizant of the fact that the magistrate is an officer of the U.S. district court, is appointed by the article III judges of the court and subject at all times to the directions and control of the judges." Id.
After Congress enacted the Federal Magistrates Act, the district courts began to grant magistrates "such additional duties as are not inconsistent with the Constitution and laws of the United States." 28 U.S.C. § 636(b) (1972). One such district court enacted a local rule authorizing magistrates to conduct evidentiary hearings in habeas corpus proceedings, a duty not expressly authorized in the 1968 Act. Then, a petitioner who had filed a habeas corpus petition under 28 U.S.C. § 2254 and whose petition had been referred to a magistrate for an evidentiary hearing challenged this rule as beyond the authority of the magistrate. After the Sixth Circuit overturned the local rule, the Supreme Court considered, in Wingo v. Wedding, 418 U.S. 461, 94 S.Ct. 2842, 41 L.Ed.2d 879 (1974), whether the local rule imposed an additional duty that was inconsistent with the laws of the United States within the meaning of § 636(b) or whether § 636(b) itself precluded district courts from assigning such a duty to magistrates. Id. at 465, 94 S.Ct. at 2845.
The Court began its analysis by noting that that the habeas corpus statute requires that "[t]he court shall summarily hear and determine the facts, and dispose of the matter as law and justice require." Id. at 468, 94 S.Ct. at 2847 (quoting 28 U.S.C. § 2243) (alteration in original). Then, relying on Holiday v. Johnston, 313 U.S. 342, 61 S.Ct. 1015, 85 L.Ed. 1392 (1941), which held that, under the predecessor to § 2243, a commissioner was not authorized to conduct evidentiary hearings in habeas proceedings and make findings of fact, the Court concluded that "[a] federal judge on habeas corpus application is required to summarily hear and determine the facts." Wingo, 418 U.S. at 469, 94 S.Ct. at 2848 (quoting Brown v. Allen, 344 U.S. 443, 462, 73 S.Ct. 397, 410, 97 L.Ed. 469 (1953)) (internal quotation marks omitted).
The Court then narrowed its inquiry to "whether the Federal Magistrates Act changed the requirement of § 2243 that federal judges personally conduct habeas
Following Wingo — and courts of appeals cases that had restricted the use of magistrates — Congress enacted a statute in 1976 to clarify the role of magistrates in the federal judicial system. See H.R.Rep. No. 94-1609, at 7-8 (1976), reprinted in 1976 U.S.C.C.A.N. 6162, 6167-68 ("[T]he committee has concluded that the enactment of [the 1976 Act] will further improve the judicial system by clearly defining the additional duties which a judge of the district court may assign to a magistrate...."). The 1976 Act amended § 636(b) in its entirety to read:
Act of Oct. 21, 1976, Pub.L. No. 94-577, § 1, 90 Stat. 2729, 2729 (codified as amended at 28 U.S.C. § 636(b)).
When a magistrate heard and determined a matter pursuant to § 636(b)(1)(A), the district court was authorized to "reconsider any pretrial matter... where it ha[d] been shown that the magistrate's order [was] clearly erroneous or contrary to law." Act of Oct. 21, 1976, § 1, 90 Stat. at 2729. When a magistrate issued a report and recommendation, the district court was required to "make a de novo determination of those portions of the report or specified proposed findings or recommendations to which objection [was] made." Id. Additionally, judges could receive further evidence, recommit the matter to the magistrate with further instructions, or accept, reject, or modify the magistrate's findings and recommendations. Id.
The House Report and congressional debates made clear that the 1976 Act was intended to "supply the congressional intent found wanting by the Supreme Court in Wingo v. Wedding." 122 Cong. Rec. 35,181 (1976) (statement of Rep. Danielson). According to the House Report on the 1976 Act, the language "notwithstanding any provision of law to the contrary" was
H.R.Rep. No. 94-1609, at 9, reprinted in 1976 U.S.C.C.A.N. at 6169. Thus, even though § 2243 continued to state that "the court shall ... hear and determine the facts," 28 U.S.C. § 2243 (1976), Congress was clear that the 1976 Act implicitly amended § 2243 to allow magistrates to conduct evidentiary hearings in habeas corpus cases.
Three years later, Congress passed the Federal Magistrate Act of 1979, Pub.L.
Congress believed that § 636(c) would both reduce the costs of litigation and "help the system cope and prevent inattention to a mounting queue of civil cases pushed to the back of the docket" as a result of the Speedy Trial Act's requirements for criminal trials. S.Rep. No. 96-74, at 4, reprinted in 1979 U.S.C.C.A.N. at 1472. However, we have not uncovered any indication in the legislative history of the 1979 Act that Congress intended that § 636(c) reach habeas corpus or § 2255 proceedings — or even that it considered that such a situation might occur. Instead, the history expresses concern for the plight of private civil litigants. See, e.g., id. ("The bill recognizes the growing interest in the use of magistrates to improve access to the courts for all groups, especially the less-advantaged. The latter lack the resources to cope with the vicissitudes of adjudication delay and expense. If their civil cases are forced out of court as a result, they lose all their procedural safeguards."). As it did in 1968, Congress considered the constitutionality of expanding the magistrate's jurisdiction, concluding that "the right to consent to a civil trial before a person other than an Article III judge is long established." H.R.Rep. No. 96-287, at 8 n. 20 (1979). Moreover, Congress believed that the consent requirement insulated § 636(c) from any potential Article III problem. See, e.g., id. at 20 (noting that consent, "standing alone, create[s] a solid constitutional basis upon which to construct the proposed legislation.");
Various courts of appeals, prior to 1987, considered whether 28 U.S.C. § 636(c) violated Article III of the Constitution.
In 1996, Congress amended 28 U.S.C. § 636(a) to authorize magistrate judges to try and sentence persons accused of most minor offenses without requiring the consent of the parties. Federal Courts Improvement Act of 1996, Pub.L. No. 104-317, § 202, 110 Stat. 3847, 3848-49. Again, Congress specifically considered the constitutionality of allowing magistrate judges to try minor offenses without requiring the consent of the parties, concluding that defendants charged with petty offenses do not have a constitutional right to be tried before an Article III judge and that there is a long history, dating to the time of ratification, of petty offenses being heard and decided by non-Article III judges. S.Rep. No. 104-366, at 28 (1996), reprinted in 1996 U.S.C.C.A.N. 4202, 4207-08. Finally, in 2000, magistrate judges were authorized to try and enter sentences for any petty offense with or without the parties' consent,
To summarize the preceding four subparts, magistrate judges (and their predecessors, the commissioners) are not — and have never purported to be — Article III judges. Instead, magistrate judges "draw their authority entirely from an exercise of Congressional power under Article I of the Constitution." Thomas v. Whitworth, 136 F.3d 756, 758 (11th Cir.1998). Although Congress considered magistrate judges to be "adjunct[s] of the United States District Court, appointed by the court and subject to the court's direction and control," H.R.Rep. No. 96-287, at 8 (1979), the fact is that when magistrate judges exercise their authority to try petty offenses and to enter final judgment in civil cases, they are exercising the essential attributes of "judicial Power." See infra part III. They do
U.S. Const. art. III, § 1. As previously recounted, magistrate judges do not hold life-tenure, nor is their compensation undiminishable. Therefore, these puisne judges cannot exercise "the judicial Power of the United States." Thus, a magistrate judge who exercises final judgment on a § 2255 motion implicates a potentially serious constitutional problem. With this framework in mind, we now turn the questions presented by Brown's appeal.
Before considering the merits of Brown's claims for relief, presented in Appeal No. 11-15149, we must first address the constitutional question raised by Appeal No. 12-10293. Brown argues that we should adopt the reasoning of United States v. Johnston, 258 F.3d 361 (5th Cir. 2001), and conclude that the Magistrate Judge's final resolution of his § 2255 motion is void under Article III. The Government argues that there is no constitutional problem with permitting a magistrate judge to decide a § 2255 motion, but, contrary to the position it took before the District Court, now says that § 636(c) does not authorize a magistrate judge to exercise such authority. Therefore, before we determine whether a magistrate judge acts in contravention of Article III of the Constitution when entering a final judgment disposing of a § 2255 motion, we must first determine whether § 636(c) authorizes magistrate judges to enter final judgment in the first instance.
Magistrate judges are permitted, with the consent of the parties, to "conduct any or all proceedings in a jury or nonjury civil matter and order the entry of judgment in the case, when specially designated to exercise such jurisdiction by the district court or courts he serves." 28 U.S.C. § 636(c)(1). The key phrase in the quoted language is "civil matter." Under the plain terms of the statute, if a matter is not a "civil matter" within the meaning of § 636(c), a magistrate judge lacks the authority to enter final judgment. Unfortunately, the phrase "civil matter" was not defined in the Federal Magistrate Act of 1979, and it remains undefined today.
For the reasons set out below, we conclude that, as a matter of statutory interpretation, a § 2255 motion is not a "civil matter" for purposes of 28 U.S.C. § 636(c). We therefore hold that the Magistrate Judge was without statutory authority to enter a final order on Brown's motion to vacate sentence. In light of our statutory
This part proceeds in three subparts. Subpart A explains why § 2255 motions are most accurately described as civil matters. Subpart B demonstrates that regardless of how § 2255 is characterized, Congress did not evince an intent to allow magistrates to enter final judgment on § 2255 motions. Finally in subpart C, we discuss the constitutional concerns that would be implicated by allowing a magistrate judge to enter final judgment on a § 2255 motion and apply the canon of constitutional avoidance to conclude that a § 2255 proceeding is not a civil matter within the meaning of § 636(c).
Enacted in 1948, § 2255 authorizes federal prisoners to move to vacate their convictions or sentences "upon the ground that the sentence was imposed in violation of the Constitution or laws of the United States, or that the court was without jurisdiction to impose such sentence, or that the sentence was in excess of the maximum authorized by law, or is otherwise subject to collateral attack." 28 U.S.C. § 2255(a).
Habeas corpus proceedings have historically been viewed as civil proceedings. See, e.g., Hilton v. Braunskill, 481 U.S. 770, 776, 107 S.Ct. 2113, 2119, 95 L.Ed.2d 724 (1987) ("Our decisions have consistently recognized that habeas corpus proceedings are civil in nature."); Fisher v. Baker, 203 U.S. 174, 181, 27 S.Ct. 135, 136, 51 L.Ed. 142 (1906) ("The proceeding is in habeas corpus, and is a civil, and not a criminal, proceeding."); Ex parte Tom Tong, 108 U.S. 556, 559, 2 S.Ct. 871, 872, 27 L.Ed. 826 (1883) ("The writ of habeas corpus is the remedy which the law gives for the enforcement of the civil right of personal liberty.... Proceedings to enforce civil rights are civil proceedings...."). But cf. Harris v. Nelson, 394 U.S. 286, 293-94, 89 S.Ct. 1082, 1087-88, 22 L.Ed.2d 281 (1969) ("It is, of course, true that habeas corpus proceedings are characterized as `civil.' But the label is gross and inexact. Essentially, the proceeding is unique. Habeas corpus practice in the federal courts has conformed with civil practice only in a general sense." (footnote omitted) (citation omitted)). Thus, we held in Sinclair v. Wainwright, 814 F.2d 1516 (11th Cir.1987), that magistrate judges are authorized under § 636(c) to enter final judgment on habeas petitions filed by state prisoners pursuant to 28 U.S.C. § 2254. Id. at 1519.
But it is clear that while § 2255 is comparable to habeas corpus petitions in many respects, § 2255 motions are distinct procedural avenues for federal prisoners who seek to challenge only their convictions or sentences. Cf. 28 U.S.C. § 2255(e) (providing that a district court may not consider a petition for a writ of habeas corpus from a federal prisoner "if it appears that the applicant has failed to apply for relief, by [a § 2555] motion, to the court which sentenced him, or that such court has denied him relief, unless it also appears that the remedy by motion is inadequate or ineffective to test the legality of his detention");
Eleven years after § 2255 was enacted, a plurality of the Supreme Court stated, in dicta, that "a motion under § 2255, like a petition for a writ of habeas corpus is not a proceeding in the original criminal prosecution but an independent civil suit." Heflin v. United States, 358 U.S. 415, 418 n. 7, 79 S.Ct. 451, 453 n. 7, 3 L.Ed.2d 407 (1959) (emphasis added) (citation omitted).
From this early history, as well as from the circumstances surrounding the enactment of § 2255, we might reasonably conclude that motions under that section are rightfully considered civil in nature. Before we rest on that conclusion, however, we must acknowledge that "the classification of postconviction proceedings as civil has been criticized." Wright & Welling, supra, at § 622. Much of the criticism stems from the Historical and Revision
The Government seizes on the Advisory Committee Note and contends that § 2255 motions cannot be considered civil matters for purposes of § 636(c). Of course in 1948 (when § 2255 was enacted) and in 1976 (when the Section 2255 Rules were promulgated), magistrate judges did not possess the authority to conduct civil trials and enter final judgment. That is, the determination of whether § 2255 is civil or criminal would not have had any bearing on the authority of the commissioner (in 1948) or the magistrate (in 1976) — only Article III judges were authorized to grant writs of habeas corpus. See 28 U.S.C. § 2241 (1976) ("Writs of habeas corpus may be granted by the Supreme Court, any justice thereof, the district courts and any circuit judge within their respective jurisdictions.").
In further support of its argument, the Government points to the Section 2255 Rules, which, it argues, demonstrate that a motion under that section is akin to a criminal case. For example, unlike a § 2254 proceeding — which is governed by the Federal Rules of Civil Procedure, see Rule 12 of the Section 2254 Rules — § 2255 motions are governed by both the Federal Rules of Civil Procedure and the Federal Rules of Criminal Procedure, see Rule 12 of the Section 2255 Rules.
Beyond the procedural aspects of § 2255, the Government argues that the fundamental reason § 2255 cannot be considered a "civil matter" relates to the form of relief available to federal prisoners under that section. A district judge granting a § 2255 motion has the option to "discharge the prisoner or resentence him or grant a new trial or correct the sentence." 28 U.S.C. § 2255(b). The Government contends that because a § 2255 motion is a continuation of the movant's criminal case, if the motion is granted and the court orders resentencing, the § 2255 proceeding does not conclude until the relief ordered has been completed. See United States v. Futch, 518 F.3d 887, 894 (11th Cir.2008) ("When the district court entered [the movant's] new sentence after resentencing, it not only entered a final sentence in [the movant's] criminal case but also completed the § 2255 proceedings by providing the relief awarded in that § 2255 case.").
In certain limited circumstances, federal prisoners may challenge their detention via habeas corpus and file petitions pursuant to 28 U.S.C. § 2241 (2006). Importantly, because habeas corpus is governed by equitable principles, see Danforth v. Minnesota, 552 U.S. 264, 278, 128 S.Ct. 1029, 1040, 169 L.Ed.2d 859 (2008), the relief available to habeas petitioners is no longer limited to release from confinement. As Justice Scalia has explained,
Wilkinson v. Dotson, 544 U.S. 74, 85, 125 S.Ct. 1242, 1250, 161 L.Ed.2d 253 (2005) (Scalia, J., concurring). The Government suggests in a footnote that "a habeas petition properly filed pursuant to the savings clause in Section 2255 should not be considered a purely `civil matter' that may be delegated to a magistrate judge under Section 636(c)(1)." Gov't Br. at 25 n. 15.
To summarize, the overwhelming history of § 2255 indicates that motions filed under that section could be considered civil in nature. Although there is limited support for the proposition that § 2255 is a criminal matter, or at least not purely civil in nature, the stray remarks in the Advisory Committee Note and a Senate Report on a bill that was incorporated into the bill that became § 2255 are not sufficient to alter the nature of § 2255 proceedings. Therefore, we must now consider whether, given § 2255's nature as a civil matter, Congress intended that § 636(c) authorize magistrate judges to enter final judgment on § 2255 motions.
Although § 2255 proceedings could be considered "civil matters" within the meaning of § 636(b), we nevertheless could also conclude that Congress did not intend to authorize magistrate judges to enter final judgment on such motions. This conclusion is based largely on the legislative history of the Federal Magistrate Act of
As explained in part II.D., supra, Congress enacted the Federal Magistrate Act of 1979 because it was worried that "[i]f [parties'] civil cases are forced out of court as a result [of the delays in civil cases being heard by district courts], they lose all their procedural safeguards." S.Rep. No. 96-74, at 4 (1979), reprinted in 1979 U.S.C.C.A.N. 1469, 1472. In other words, the Senate was concerned that parties would seek to resolve their disputes outside the courthouse, whether by arbitration or settlement. Of course, federal prisoners seeking postconviction relief via § 2255 cannot resolve their claim outside the courthouse. From our search of the relevant legislative history on the 1979 Act, we found no mention of § 2255 motions or concern for the plight of federal prisoners facing delays in having their claims for postconviction relief resolved. The legislative history reveals that Congress was responding to an entirely separate concern.
We doubt that by amending § 636 to allow magistrate judges to enter final judgment in civil matters, Congress also implicitly amended the habeas corpus chapter of Title 28 to allow magistrate judges to enter final judgment. 28 U.S.C. § 2255 is clear: the sentencing court enters judgment on such motions. Similarly, § 2241 grants the authority to issue the writ of habeas corpus to "the Supreme Court, any justice thereof, the district courts and any circuit judge within their respective jurisdictions," 28 U.S.C. § 2241(a). It is a fundamental canon of statutory construction that "[a]mendments by implication, like repeals by implication, are not favored." United States v. Welden, 377 U.S. 95, 102 n. 12, 84 S.Ct. 1082, 1087 n. 12, 12 L.Ed.2d 152 (1964) (citing 1 Sutherland, Statutes and Statutory Construction 365-66 (3d ed.1943)). As we read Wingo,
Moreover, given the special nature of § 2255 proceedings — which involve the review of a district court's actions during a criminal prosecution and trial — there are additional, policy-based reasons why Congress would not have intended magistrate judges to have § 636(c) dispositive authority over such motions. First, magistrate judges are appointed by the district courts. In some instances, the magistrate judge would be evaluating the constitutionality not just of the criminal proceeding but of the judge's conduct at trial. For example, if a § 2255 motion raises a claim of ineffective assistance of appellate counsel for failing to raise a Pate claim,
Moreover, allowing a magistrate judge to enter final judgment on a § 2255 motion would upset a federal criminal conviction, and Congress has never authorized magistrate judges — or their predecessors, the
From the absence of legislative history indicating that Congress intended that magistrate judges enter final judgment on § 2255 motions, we could conclude, despite our analysis in part III. A., that § 636(c) does not authorize magistrate judges to do so.
Whether § 2255 is a "civil proceeding" that a magistrate judge can decide is ambiguous. Moreover, as explained infra, we harbor some concern as to the constitutionality of allowing magistrate judges to decide § 2255 motions. Therefore, we invoke the doctrine of constitutional avoidance to decide that § 2255 is not a civil matter for purposes of § 636(c). The doctrine of constitutional avoidance directs that "when deciding which of two plausible statutory constructions to adopt, a court must consider the necessary consequences of its choice. If one of them would raise a multitude of constitutional problems, the other should prevail." Clark v. Martinez, 543 U.S. 371, 380-81, 125 S.Ct. 716, 724, 160 L.Ed.2d 734 (2005). In this subpart, we briefly note — though we need not resolve — our concerns regarding the constitutionality of referring a § 2255 motion to a magistrate judge for final adjudication. Because a § 2255 proceeding could plausibly be considered a civil matter or a noncivil matter for purposes of 28 U.S.C. § 636(c), we hold that a § 2255 proceeding is not a civil matter so as to avoid Article III concerns. Thus, we decline to pass on the constitutional question presented by Appeal No. 12-10293.
At the outset, we harbor serious concerns as to the facial constitutionality of § 636(c). As described in part II.E., Article III requires that the "judicial Power of the United States" be vested in the Supreme Court and in any inferior courts that Congress deems necessary to create, and that the judges of those courts must have the protections of life tenure and undiminishable salary. See U.S. Const. art. III, § 1. The Framers thought it essential that Article III provide these protections so as to ensure an "independent spirit in the judges, which must be essential to the faithful performance of so arduous a duty." The Federalist No. 78, at 428
In Stern, the Supreme Court held that a bankruptcy court violated Article III when it entered final judgment on a bankruptcy estate's permissive state-law counterclaim against a creditor when the counterclaim was not resolved in the process of ruling on the creditor's proof of claim. Id. at ___, 131 S.Ct. at 2608. Although Stern concerned bankruptcy courts and here we deal with magistrate judges, the rationale motivating the Supreme Court's decision in Stern would appear to apply with equal force here.
The Supreme Court in Stern rejected the contention that bankruptcy courts act as adjuncts of the district court because, in adjudicating a bankruptcy estate's counterclaim, the bankruptcy court exercises the "essential attributes of judicial power" by "resolv[ing] [a]ll matters of fact and law in whatever domains of the law to which the parties' counterclaims might lead." See id. at ___, 131 S.Ct. at 2618-19 (second alteration in original) (internal quotation marks omitted). In addition, the bankruptcy court enters final judgment subject to Article III review only if the party decides to appeal. Id. at ___, 131 S.Ct. at 2619; see N. Pipeline Const. Co. v. Marathon Pipe Line Co., 458 U.S. 50, 86 n. 39, 102 S.Ct. 2858, 2879 n. 39, 73 L.Ed.2d 598 (1982) (plurality opinion) ("[T]he exercise of the judicial power must be met at all stages of adjudication, and not only on appeal, where the court is restricted to considerations of law, as well as the nature of the case as it has been shaped at the trial level.").
In light of Stern, our holding in Sinclair — that § 636(c) is facially constitutional — has certainly been called into question. Like bankruptcy judges, magistrate judges acting pursuant to § 636(c) exercise the essential attributes of judicial power by "resolving `[a]ll matters of fact and law in whatever domains of the law to which'" the parties' civil claims might lead. Stern, ___ U.S. at ___, 131 S.Ct. at 2619 (alteration in original) (quoting N. Pipeline Const. Co., 458 U.S at 92, 102 S.Ct. at 2852 (Rehnquist, J., concurring in the judgment)); see also id. at ___, 131 S.Ct. at 2615 ("[T]his case involves the most prototypical exercise of judicial power: the entry of a final, binding judgment by a court with broad substantive jurisdiction, on a common law cause of action, when the action neither derives from nor depends upon any agency regulatory regime." (emphasis in original)). Similarly, like the bankruptcy judge, the magistrate judge enters final judgment subject only to appellate review, which Stern deemed to be insufficient Article III control. Therefore, Congress's conclusion that magistrate judges are adjuncts of the district courts cannot be deemed correct. Instead, magistrate judges exercise the "judicial Power of the United States," despite the fact that they lack Article III protections. Cf. id. at ___, 131 S.Ct. at 2601 ("The Bankruptcy Court in this case exercised the judicial power of the United States by entering final judgment on a common law tort
The fact that the parties consent to a magistrate judge entering final judgment does not (notwithstanding Congress's statement in the 1979 congressional reports to the contrary) obviate the Article III concerns. As the Supreme Court has indicated, "Article III, § 1, serves both to protect the role of the independent judiciary within the constitutional scheme of tripartite government, and to safeguard litigants' right to have claims decided before judges who are free from potential domination by other branches of government." Commodity Futures Trading Comm'n v. Schor, 478 U.S. 833, 848, 106 S.Ct. 3245, 3255, 92 L.Ed.2d 675 (1986) (citations and internal quotation marks omitted). And while the parties' consent to the magistrate judge's jurisdiction may mitigate the concern regarding litigants' rights, "[t]o the extent that this structural principle is implicated in a given case, the parties cannot by consent cure the constitutional difficulty for the same reason that the parties by consent cannot confer on federal courts subject-matter jurisdiction beyond the limitations imposed by Article III, § 2." Id. at 850-51, 106 S.Ct. at 3256-57.
In Day v. Persels & Associates, LLC, 729 F.3d 1309 (11th Cir.2013), we explained that Stern did not abrogate our holding in Sinclair because Sinclair relied on attributes of magistrate judges that the Supreme Court did not mention in Stern when it evaluated bankruptcy judges. Id. at 1323-24. We conceded that "Stern suggests that some of the factors cited in those decisions [relied on by Sinclair as support for upholding § 636(c) ] may not provide the district court sufficient control over magistrate judges to avoid a problem under Article III when a magistrate judge enters a judgment." Id. But because Sinclair also relied on additional factors, such as a district court's authority to cancel an order of reference sua sponte and the requirement that a district court must consent to transfer a case to a magistrate, Stern did not directly conflict with our previous decision in Sinclair. Id. However, variations of those additional factors we highlighted in Day are also present in the bankruptcy court. See 28 U.S.C. § 157(a) (2006) ("Each district court may provide that any or all cases under title 11 and any or all proceedings arising under title 11 or arising in or related to a case under title 11 shall be referred to the bankruptcy judges for the district." (emphasis added)); id. § 157(d) ("The district court may withdraw, in whole or in part, any case or proceeding referred under this section, on its own motion or on timely motion of any party, for cause shown." (emphasis added)). Although Stern did not address these factors, they certainly were not sufficient to save the bankruptcy court from Article III problems.
Even if § 636(c) does not raise constitutional concerns on its face, allowing a magistrate judge to enter final judgment in a § 2255 proceeding implicates unique Article III problems. This is so because a magistrate judge entertaining such a motion would create an "ironic situation whereby non-Article III magistrate judges review and reconsider the propriety of rulings by Article III district judges, but do not themselves have to worry about review" by the district court. Johnston, 258 F.3d at 371. Such a situation would be "ironic" — i.e., possibly unconstitutional — for two reasons.
First, an Article I magistrate judge entertaining a § 2255 motion would, in effect,
Second, the authority of a district court to review the magistrate judge's decision, even if neither party invokes such authority, is essential to ensuring that Article III values are protected. See, e.g., Peretz v. United States, 501 U.S. 923, 937, 111 S.Ct. 2661, 2669-70, 115 L.Ed.2d 808 (1991) (finding no Article III issue with parties consenting to a magistrate judge conducting voir dire in a felony trial because "the entire process takes place under the district court's total control and jurisdiction" (internal quotation marks omitted)); United States v. Woodard, 387 F.3d 1329, 1334 (11th Cir.2004) (per curiam) (holding that delegating the authority to conduct a plea hearing to magistrate judges does not violate Article III's structural principles because "a district court, as a matter of law, retained the ability to review the Rule 11 [plea] hearing if requested" (emphasis in original)).
To summarize, the Supreme Court's decision in Stern undermines some of our reasons for upholding the facial constitutionality of § 636(c). Additionally, allowing a magistrate judge to enter final judgment on a federal prisoner's § 2255 motion raises serious constitutional concerns. However, we need not we decide whether § 636(c) is unconstitutional in light of Stern. Nor must we resolve whether allowing a magistrate judge to enter final judgment on a § 2255 motion is unconstitutional. Principles of constitutional avoidance counsel that "when deciding which of two plausible statutory constructions to adopt, a court must consider the necessary consequences of its choice. If one of them would raise a multitude of constitutional problems, the other should prevail." Clark, 543 U.S. at 380-81, 125 S.Ct. at 724. Therefore, although § 636(c) could plausibly be read to authorize a magistrate judge to enter final judgment in a § 2255 proceeding, to avoid Article III concerns we hold that it does not because such a reading is equally plausible.
We hold that 28 U.S.C. § 636(c) does not authorize a magistrate judge to enter final judgment on a § 2255 motion. Therefore, we need not resolve the constitutional question presented by the Magistrate Judge's certificate of appealability. Nor do we express any view regarding the merits of Brown's underlying claims for § 2255 relief. Accordingly, the Magistrate Judge's order denying Brown's § 2255 motion is VACATED. The motion is REMANDED to the District Court for disposition.
SO ORDERED.
U.S. Sentencing Guidelines Manual § 4B1.1(a) (2013). The term "crime of violence" is defined U.S.S.G. § 4B1.2 and is nearly identical to the definition of the term "violent felony" in the Armed Career Criminal Act (the "ACCA"), 18 U.S.C. § 924(e). See United States v. Taylor, 489 F.3d 1112, 1113 (11th Cir.2007) ("[O]ur cases interpreting `crime of violence' under § 4B1.2 provide important guidance in determining what is a `violent felony' under the ACCA because the definitions for both terms are virtually identical.") (internal quotation marks omitted).
Persons who qualify as career offenders are subject to a sentencing enhancement, which is laid out in U.S.S.G. § 4B1.1(b). In this case, because Brown was sentenced as a career offender, his total offense level increased from 22 to 31 and his criminal history category increased from III to VI.
Six years after Wingo, the Court described its holding in that case as follows: "Wingo held that as a matter of statutory construction, the 1968 Magistrates Act did not authorize magistrates to hold evidentiary hearings in federal habeas corpus cases." United States v. Raddatz, 447 U.S. 667, 674, 100 S.Ct. 2406, 2411, 65 L.Ed.2d 424 (1980); see also Thomas v. Arn, 474 U.S. 140, 152 n. 12, 106 S.Ct. 466, 473 n. 12, 88 L.Ed.2d 435 (1985) ("[Wingo] held that Congress had not intended, in enacting the Federal Magistrates Act in 1968, to permit a magistrate to conduct an evidentiary hearing on a habeas corpus petition."). The Court subsequently interpreted the "additional duties" provision as authorizing magistrates to conduct voir dire in felony trials, provided the parties consent. See generally Peretz v. United States, 501 U.S. 923, 111 S.Ct. 2661, 115 L.Ed.2d 808 (1991).
Until 1987, federal prisoners had an additional method of obtaining relief from their sentence — Federal Rule of Criminal Procedure 35. When it was promulgated in 1946, Rule 35 provided that a district court judge could "correct an illegal sentence at any time." Fed.R.Crim.P. 35 (1946). Amendments in 1966 and 1979 slightly changed some details of the Rule, but the thrust of the Rule remained largely intact. In many respects § 2255 and Rule 35 overlapped, but there were important distinctions. For instance, Rule 35 applied even if the federal convict was not in custody; and § 2255 authorized prisoners to attack a conviction on any ground, whereas Rule 35 was limited to attacks on sentences. A motion under Rule 35 was a criminal procedure. See United States v. Guiterrez, 556 F.2d 1217, 1217 (5th Cir. 1977) (per curiam) ("A rule 35 motion is a proceeding in the original criminal prosecution. Accordingly, the 10 day limitation of Fed. R.App. P. 4(b) governs." (citation omitted)).
In addition, courts have concluded that the "notwithstanding any provision of law to the contrary" language overcomes the problem that nowhere in 28 U.S.C. §§ 2241, 2243 are magistrate judges mentioned as possessing the authority to grant the writ of habeas corpus. See Orsini, 913 F.2d at 476; see also Norris, 146 F.3d at 324 ("Congress in 1976 passed section 636(b)(1)(B) with the language the language `[n]otwithstanding any provision of law to the contrary' in order to neutralize any problems district courts might encounter designating magistrate judges to perform various functions by virtue of the Supreme Court's holding in Wingo v. Wedding that 28 U.S.C. § 2241(a) vested the power to grant habeas corpus relief only in Article III judges and not magistrate judges because of its reference to `the judge' or `the court.' The Eighth Circuit observed that § 636(c) similarly begins with the `[n]otwithstanding any provision of law to the contrary' language and concluded that Congress had had a similar intention with respect to § 636(c)." (citations omitted)).
The Fifth Circuit took a different approach. After discussing the Sixth, Seventh, and Eighth Circuit's reasoning, the Fifth Circuit relied on its prior opinion in United States v. Johnston, 258 F.3d 361 (5th Cir.2001) — which had previously determined that § 2255 proceedings are civil matters for purposes of § 636(c) — and concluded "a fortiori, § 2254 proceedings too should be considered civil cases." White v. Thaler, 610 F.3d 890, 897 (5th Cir.2010). Notably, all of these opinions predate the Supreme Court's decision in Stern.
Id. at 418 n. 7, 79 S.Ct. at 453 n. 7 (majority opinion) (emphasis added) (citation omitted). In other words, the four Justices who deemed § 2255 relief to be available determined that § 2255 is civil.
United States v. Vonn, 535 U.S. 55, 64 n. 6, 122 S.Ct. 1043, 1049 n. 6, 152 L.Ed.2d 90 (2002) (citation omitted). Of course, the Advisory Committee Note is to the Section 2255 Rules, not § 2255 itself. Therefore, it is possible that Congress did not appreciate the distinction the Note makes as to the nature of § 2255 or why the distinction might be relevant.
S. Rep. No. 80-1256, at 2 (1948) (emphasis added) (citations omitted).
A similar situation occurred with respect to magistrates and the habeas statutes. Congress did not expressly amend the habeas statutes and § 2255 to allow magistrate judges to grant the writ or enter judgment on § 2255 motions. It made no statement indicating an intent to allow magistrate judges to exercise such authority. And to the extent Congress discussed civil matters as part of § 636(c), it did not indicate that it intended to sweep habeas corpus actions and § 2255 motions within the ambit of that provision.
The district court in Woodward referred the proceeding to the magistrate judge with instructions to submit a report and recommendation regarding all pretrial motions. The magistrate judge then conducted a change of plea hearing and a Federal Rule of Criminal Procedure Rule 11 colloquy. United States v. Woodard, 387 F.3d 1329, 1330 (11th Cir. 2004) (per curiam). The magistrate judge informed the defendant that he had the option to have a district judge hear the change of plea, but the defendant did not object. Id. After the plea colloquy, the magistrate judge "accepted [the defendant's] guilty plea as follows: `The plea is, therefore, accepted by me, and the defendant is now adjudged guilty of that offense.'" Id.
The district court then conducted a sentencing hearing and imposed sentence. Id. The district judge asked, "Now that sentence has been imposed, does the Defendant or his counsel object to the Court's finding of fact or to the manner in which sentence was pronounced?" Id. at 1331 (internal quotation marks omitted). The defendant did not object to the sentence or the plea the colloquy conducted by the magistrate judge. Id.
We held in Woodward that "there was no error, statutory or constitutional, in the magistrate judge accepting Woodard's guilty plea and adjudicating him guilty." Id. at 1330. But that holding overlooked the mechanics of the district court's actions in that case. For although the magistrate judge purported to adjudge the defendant guilty, it was the district court that actually entered judgment. That is, the magistrate judge did not make the final adjudication of guilt.
We noted in Woodward that different magistrate judges categorized their actions as an acceptance of a plea or a report and recommendation, "reveal[ing] a lack of uniformity in the language used by magistrate judges." Id. at 1334. But we concluded that the key reason their actions did not run afoul of Article III was that "a district court, as a matter of law, retained the ability to review the Rule 11 hearing if requested." Id. We believe that there is value in uniformity; thus we clarify today that the magistrate judge's action in such proceedings are akin to a report and recommendation rather than a final adjudication of guilt.
28 U.S.C. § 636(b)(1). In other words, a district court has much greater discretion in reviewing the action of a magistrate judge than does a circuit court on appeal.