KAYATTA, Circuit Judge.
Attorney Francisco Rebollo-Casalduc ("Rebollo"), a criminal defense attorney, appeals from a $2,000 sanction imposed upon him and his client for filing motions in limine immediately before his client's anticipated retrial. We reverse.
Rebollo represented Braulio Agosto-Vega in a criminal case relating to the discharge of sewage into public waters. United States v. Agosto-Vega, 617 F.3d 541, 542-45 (1st Cir.2010). On appeal after trial, we vacated the convictions of
After remand, the district judge set a trial date and a cutoff date for plea negotiations. After the trial was postponed at the government's request, Rebollo moved to dismiss Agosto-Vega's indictment on Speedy Trial Act grounds.
Although the parties had evidently continued their plea negotiations, the government informed the district court on May 13, 2011, that no change of plea was forthcoming and trial should proceed. Rebollo then filed ten motions in limine, mostly to exclude or limit certain evidence used in the first trial: four motions on May 13th, two on May 17th, and four on May 18th. Collectively, the motions raised several classic evidentiary objections. Eight invoked Federal Rules of Evidence 402 and 403; three objected on hearsay or personal knowledge grounds; and two challenged testimony under Rule 702. The motions also pressed a challenge to evidence based on asserted limitations in the indictment, and made a request to strike a portion of the indictment. The government responded to one motion on the 18th. That same day, the court sua sponte vacated the trial date. The following day, it issued an order sanctioning Rebollo and Agosto-Vega jointly (but not severally) $2,000 for having filed the ten motions in limine over the course of the six days prior to the scheduled start of the trial. As justification for the sanction, the district court declared the filings both "late" and "an abuse of process." The court suggested that the motions were filed late to avoid impacting defendant's Speedy Trial Act motion, and/or to force a continuance of the trial.
Rebollo asked the court to reconsider the sanction entered jointly against him and his client. He argued that they had violated no announced deadline, that a sanction without warning or hearing deprived them of due process, and that there were good reasons not to file the motions earlier — in particular, to preserve plea negotiations. The district court denied reconsideration, reasoning that because the motions targeted evidence from the first trial, they should have been filed within three months after the first appeal. The court was skeptical that plea negotiations justified the "late" filing of the motions in limine. It maintained that if the plea negotiations were so substantial, Rebollo should have discussed them in the Speedy Trial Act motion, because (in the court's view) time spent in plea negotiations is excluded under the Act. The court also concluded that any lack of due process in issuing the sanction without warning or hearing was cured by the court's consideration of the motion to reconsider. Rebollo appeals.
Because the district court relied on its inherent power to sanction the attorneys before it in imposing the sanctions, we review the order for an abuse of discretion. Chambers v. NASCO, Inc., 501 U.S. 32, 55, 111 S.Ct. 2123, 115 L.Ed.2d 27 (1991); United States v. Romero-López (In re Armenteros-Chervoni), 661 F.3d 106, 108 (1st Cir.2011). We do not review sanctions imposed on criminal defense counsel "in a vacuum," but rather bear in mind such counsel's important constitutional function. United States v. Cooper (In re Zalkind), 872 F.2d 1, 3 (1st Cir. 1989); see also United States v. Figueroa-Arenas (In re De Jesús Morales), 292 F.3d 276, 279, 282 (1st Cir.2002) (noting that courts should use their inherent sanction power "with due circumspection" and should not "chill vigorous but legitimate advocacy").
The district court premised its sanction ruling on an assertion that the motions in limine were abusively late. We see nothing in the rules or the record that supports that conclusion or, more importantly, that placed Rebollo on notice of the court's deadline for filing the motions. Certain criminal motions, including challenges to an indictment, "must" be made before trial. Fed.R.Crim.P. 12(b)(3). However, a party "may" raise pretrial "any defense, objection, or request that the court can determine without a trial of the general issue." Fed.R.Crim.P. 12(b)(2).
We have reviewed the Local Rules for the United States District Court for the District of Puerto Rico and the docket in this case. We find nothing in any of those sources notifying Rebollo of the district court's deadline, or that sanctions might flow from filing the motions when he did.
Absent any contrary order (and with the possible exception noted in footnote three above), defense counsel properly could have filed no written motions, waited until witnesses were called and questions posed, and then objected orally, arguing the objections at sidebar. By instead raising the objections before trial, counsel acted not merely to preserve the objections, but to seek the advantage of briefing the court, and perhaps securing an answer prior to trial in order to plan accordingly and keep opposing counsel from mentioning the challenged evidence before an objection is made.
We must comment, too, that the sua sponte issuance of a sanction order, staking out a view and judgment without any warning or opportunity to be heard, increases the likelihood of error and the appearance of unfairness. This Court has often noted "the general desirability and sometime necessity of affording notice and an opportunity to be heard when monetary sanctions are imposed." Lamboy-Ortiz v. Ortiz-Vélez, 630 F.3d 228, 246 (1st Cir. 2010) (quoting Media Duplication Servs., Ltd. v. HDG Software, Inc., 928 F.2d 1228, 1238 (1st Cir.1991)). Imposing sanctions without a hearing does not necessarily violate due process or constitute an abuse of discretion, particularly if the objectionable conduct took place in the court's presence. See id. However, when "a court is considering invoking its inherent power to sanction, the much better practice is for the court to hear from the offending attorney before imposing any sanctions." Romero-López, 661 F.3d at 108-09. The difficult position into which Rebollo and Agosto-Vega were placed in this case only underscores the importance of care and circumspection in the exercise of the court's inherent sanction power, as a matter both of substance and procedure.
For the foregoing reasons, we reverse the sanctions order.