POOLER, Circuit Judge:
On January 19, 2012, Bert was arrested in the hallway outside his girlfriend's apartment at 55 Holland Avenue, a Staten Island building participating in New York City's Field Trespass Affidavit Program. Earlier that evening, Officer John Fahim and Officer Besim Pelinku received a radio report that five black males were trespassing at 55 Holland Avenue. Upon arriving at the building, the officers encountered Bert, another black male, and a woman standing and talking in the hallway of the 10th floor. After detaining the three suspects pursuant to Terry v. Ohio, 392 U.S. 1, 88 S.Ct. 1868, 20 L.Ed.2d 889 (1968), Officer Fahim observed that Bert had a gun on his person. A struggle ensued between Officer Fahim and Bert, during which Bert dropped the gun out of the 10th floor window. See United States v. Bert, No. 12-CR-100 (RRM), 2014 WL 358983, at *2-3 (E.D.N.Y. Feb. 3, 2014). The officers subsequently arrested Bert, who has remained continuously detained since that evening.
Bert appeared in New York state court the following day. On January 30, 2012, after his state charges were reduced, Bert was transferred to federal custody. He first appeared in the Eastern District of New York on February 16, 2012, on a two-count indictment charging him with possessing a firearm with an obliterated serial number, in violation of 18 U.S.C. § 922(k), and being a felon in possession of a firearm and ammunition, in violation of 18 U.S.C. § 922(g)(1).
By motion filed June 25, 2012, and supplemented by four additional submissions over the next six months, Bert sought to suppress statements he made to law enforcement on the evening following his arrest and during his transfer to federal custody.
On February 1, 2013 — after the matter had been fully briefed and the hearing transcript corrected — the district court took Bert's suppression motion under advisement. During the twelve months that followed, Bert remained in prison, presumptively innocent, with no apparent activity in his case. The docket sat idle until February 3, 2014, over a year later, when the district court denied Bert's suppression motion in its entirety.
On February 20, 2014, Bert filed a motion to dismiss the indictment with prejudice on the basis that he had not been brought to trial within the timeframe required under the Speedy Trial Act, and alleging that the delay violated his constitutional rights under the Sixth Amendment's Speedy Trial clause. The government conceded that the Speedy Trial Act had been violated, but argued that the dismissal should be without prejudice, as authorized by 18 U.S.C. § 3162(a)(1).
Ruling from the bench, the district court rejected Bert's constitutional argument, but concluded that the indictment must be dismissed pursuant to 18 U.S.C. § 3162(a)(2), because the delay violated the Speedy Trial Act. After "quickly tick[ing] through the factors in the statutory analysis," the district court found that "all of the factors tip[ped] in favor of the government's position on [the] motion." It therefore ordered that the dismissal of the indictment be without prejudice to Bert's reprosecution.
That same day, the government re-indicted Bert on identical charges. A three-day trial commenced on May 19, 2014, and the jury returned a verdict of guilty on both counts. The district court then sentenced Bert principally to a term of 120 months' imprisonment, which he is currently serving.
Bert appealed, arguing that the district court abused its discretion by dismissing the indictment without prejudice.
The Speedy Trial Act mandates that a criminal defendant must be brought to trial within 70 days of the filing of the indictment or the defendant's initial appearance, whichever occurs later. See 18 U.S.C. § 3161(c)(1). If that deadline is not met, the Act provides that the indictment "shall be dismissed on motion of the defendant." 18 U.S.C. § 3162(a)(2).
The Act excludes delays due to certain enumerated events from the 70-day indictment-to-trial period. See 18 U.S.C. § 3161(h). In this case, the parties agree that the district court properly excluded the period of time from when the motion was filed until it was taken under advisement, 18 U.S.C. § 3161(h)(1)(D), as well as the first thirty days that it was under advisement, 18 U.S.C. § 3161(h)(1)(H). It is similarly undisputed that the remaining eleven months that the motion was pending
In the year that Bert's suppression motion remained under advisement, several key dates passed with no activity in his case. Bert's speedy trial clock began to run on March 4, 2013, when the 30-day advisement period ended. His speedy trial clock expired 70 days later, on May 13, 2013. The district court's six-month list came and went in September of 2013, still with no activity in Bert's case. It was not for another five months that the district court ultimately denied the motion. At no point did the government alert the district court to any speedy trial issues or propose excluding any of the time that accumulated in the interim.
Accordingly, neither party contests that a violation of the Speedy Trial Act occurred. Nor do they question the statute's unambiguous mandate that the court was required to dismiss the indictment upon Bert's motion. The only question before us, therefore, is whether the district court abused its discretion in permitting Bert's reprosecution by dismissing the indictment without prejudice. Bert argues that the district court failed to consider or properly weigh the 18 U.S.C. § 3162(a)(2) factors in deciding that dismissal without prejudice was warranted. He further contends that dismissal with prejudice is the only appropriate remedy under the circumstances because the delay at issue here was lengthy, the product of "administrative neglect," United States v. Stayton, 791 F.2d 17, 22 (2d Cir.1986), and presumptively prejudicial given that he remained incarcerated while the motion was pending.
It is well established that "Congress did not intend any particular type of dismissal to serve as the presumptive remedy for a Speedy Trial Act violation." United States v. Taylor, 487 U.S. 326, 334, 108 S.Ct. 2413, 101 L.Ed.2d 297 (1988); accord United States v. Caparella, 716 F.2d 976, 980 (2d Cir.1983). Rather, "[t]he determination of whether to dismiss an indictment with or without prejudice is committed to the discretion of the district court." United States v. Wilson, 11 F.3d 346, 352 (2d Cir.1993).
The Act does, however, set out factors that a district court must consider in choosing between the two remedies:
18 U.S.C. § 3162(a)(2). "In addition to these statutory factors, the Supreme Court has indicated that prejudice to the defendant should also be considered." Wilson, 11 F.3d at 352 (citing Taylor, 487 U.S. at 334, 108 S.Ct. 2413).
A district court is not free simply to exercise its equitable powers in fashioning an appropriate remedy for a violation of the Speedy Trial Act, Taylor, 487 U.S. at 332-33, 108 S.Ct. 2413, but "must carefully consider those factors as applied to the particular case and, whatever its decision, clearly articulate their effect in order to permit meaningful appellate review," id. at 336, 108 S.Ct. 2413. "To permit appropriate appellate review, the district court should explicate as clearly as possible the bases for its conclusions as to each factor." United States v. Giambrone, 920 F.2d 176, 180 (2d Cir.1990). "Although the role of an appellate court is not to substitute its
The district court in this case appropriately identified all of the statutory factors it was required to consider in determining whether the remedy for the conceded Speedy Trial Act violation should be dismissal with or without prejudice. We must therefore assess whether, in ruling that all factors tip in favor of dismissal without prejudice, the court sufficiently considered each factor (i.e., did not "slight" any factor), and whether it reached its conclusion with respect to each factor based on the application of sound legal authority to adequate factual findings. See id. ("A judgment that must be arrived at by considering and applying statutory criteria ... constitutes the application of law to fact."). As we have noted on many occasions, "`abuse of discretion' is a distinctive term of art that is not meant as a derogatory statement about the district judge whose decision is found wanting. It is more properly understood as referring to occasions where, after examining trial court records, an appellate court reaches the informed judgment that a ruling is based on an erroneous view of the law or on a clearly erroneous assessment of the evidence." United States v. Park, 758 F.3d 193, 199-200 (2d Cir.2014) (quotation marks omitted).
In determining to dismiss the indictment without prejudice, the district court found that the crime with which Bert was charged was "a very serious offense" and "a violent crime." It pointed to the lengthy period of incarceration Bert potentially faced as well as the harm that he posed to others during his encounter with the police. On appeal, Bert does not contest that the district court correctly found that this first factor tips in favor of dismissal without prejudice. But the seriousness of the crime must "be weighed against ... the seriousness of the delay," Stayton, 791 F.2d at 21 (internal citation omitted), because "[w]here the crime charged is serious, the sanction of dismissal with prejudice should ordinarily be imposed only for serious delay," United States v. Simmons, 786 F.2d 479, 485 (2d Cir.1986).
It is firmly established that the length of the delay, as "a measure of the seriousness of the speedy trial violation," Taylor, 487 U.S. at 340, 108 S.Ct. 2413, is a critical consideration when determining whether to dismiss an indictment with or without prejudice. For example, when reversing a dismissal with prejudice in United States v. Taylor, the Supreme Court faulted the district court for ignoring "the brevity of the delay and the consequential lack of prejudice" to the defendant who, by failing to appear, had caused the Act's 70-day indictment-to-trial period to be exceeded by only 14 nonexcludable days. 487 U.S. at 343, 108 S.Ct. 2413. Echoing this concern, in United States v. Hernandez, this Court held that dismissal with prejudice would not be warranted where the Act's 30-day arrest-to-indictment period was exceeded by 14 nonexcludable days after the defendant, who was out on bond, had absconded.
The district court in this case acknowledged "the length of time that the Court took ultimately to decide the motion to suppress," describing it as "lengthy." Special App'x at 29. The court's discussion of the length of the delay went no further, however. It did not include, for example, a calculation or acknowledgment of the actual time that the motion remained under advisement, any evaluation of the severity of this delay or how this "lengthy" period of time compared to delays in other cases, nor did it address whether this factor weighs in favor of dismissal with or without prejudice.
At the time the district court issued its ruling, Bert's motion had been under advisement for over a year, and Bert's speedy trial clock had been expired for 266 days (almost 9 months). It is beyond cavil that this delay — which amounts to almost nine times the period of time automatically excluded for the resolution of such motions, see 18 U.S.C. § 3161(h)(1)(H), and almost four times the length of the speedy trial clock itself, see 18 U.S.C. § 3161(c)(1) — is serious. Indeed, the cases in which this Court has held in favor of dismissal without prejudice have uniformly involved substantially shorter periods of delay. See, e.g., Wilson, 11 F.3d at 352 (affirming dismissal without prejudice where defendants had consented to continuances, which were belatedly executed, leading to "at most forty-two days" of unexcused delay in filing indictments); United States v. Wells, 893 F.2d 535, 539-40 (2d Cir.1990) (reversing dismissal with prejudice where "the district court failed to consider whether the 32-day delay in indictment ... caused any prejudice to Wells," who had failed to appear while out on bond, and had "not complained of any prejudice whatsoever"); Simmons, 786 F.2d at 485 (ordering dismissal without prejudice for delay between indictment and trial of "almost four months, a significant portion [of which] was excludable"); United States v. Kiszewski, 877 F.2d 210, 214 (2d Cir.1989) (recognizing that delay was "certainly not minor" where the 70-day indictment-to-trial period may have been exceeded by as many as 130 days, but finding this fact alone did not necessitate dismissal with prejudice because "the bulk of the delay was apparently caused by unusual circumstances concerning a conflict of interest on the part of defendant's prior attorney," and leaving open the possibility that a "similar delay might weigh more heavily in another case"). The length of the delay in this case renders
As to the facts and circumstances leading to the delay, the court stated:
Special App'x at 30. After discussing several other factors, the court returned to the reason for delay, stating:
Special App'x at 32-33.
The district court's discussion of the reason for the delay is premised implicitly on two erroneous interpretations of the governing legal standards: first, that the absence of bad faith, intentional delay, or some other form of heightened scienter is dispositive of this statutory factor; second, that a delay attributable to the court and not to the government tips this factor in favor of dismissal without prejudice. Both of these premises are contrary to governing precedent.
The sanction of dismissal with prejudice does not always require a finding of "evil motive." Caparella, 716 F.2d at 980. On the contrary, this statutory factor may tip in favor of dismissal with prejudice in situations where the delay is attributable to mere "administrative neglect" or clerical oversight. Stayton, 791 F.2d at 22; see also Taylor, 487 U.S. at 338, 108 S.Ct. 2413 ("We do not dispute that a truly neglectful attitude on the part of the Government reasonably could be factored against it in a court's consideration of this issue ..."). As the Supreme Court has explained in the context of a Sixth Amendment speedy trial challenge, "[a]lthough negligence is obviously to be weighed more lightly than a deliberate intent to harm the accused's defense, it still falls on the wrong side of the divide between acceptable and unacceptable reasons for delaying a criminal prosecution once it has begun." Doggett v. United States, 505 U.S. 647, 657, 112 S.Ct. 2686, 120 L.Ed.2d 520 (1992).
We have held that negligent conduct by the court or the government, "renders the second factor [(reason for the delay)] neutral, at best" where the "delay [is] not overly long" and there has been no showing of prejudice. Simmons, 786 F.2d at 486. But see Caparella, 716 F.2d at 980 ("[G]iven the government's negligent conduct,... we conclude that the second factor militates in favor of dismissal with prejudice."). The Supreme Court has likewise instructed that, in the absence of prejudice or significant delay, courts should only preclude reprosecution of a serious crime upon a showing of "something
Also mistaken is the assumption that the second statutory factor tips in favor of dismissal without prejudice whenever a speedy trial violation is caused by the court and not the government. To the contrary, the Speedy Trial Act "is as much aimed at the delay caused by judicial congestion and mismanagement as it is aimed at the deliberate stalling of counsel." United States v. Pringle, 751 F.2d 419, 429 (1st Cir.1984). "`The Act controls the conduct of the parties and the court itself during criminal pretrial proceedings. Not only must the court police the behavior of the prosecutor and the defense counsel, it must also police itself.'" Stayton, 791 F.2d at 20 (quoting Pringle, 751 F.2d at 429); see also United States v. Moss, 217 F.3d 426, 432 (6th Cir.2000) ("[T]he purposes of the Act would be thwarted if courts do not adjust their day-to-day procedures to comply with its requirements"); United States v. Ramirez, 973 F.2d 36, 39 (1st Cir.1992) ("When a STA violation is caused by the court or the prosecutor, it weighs in favor of granting a dismissal with prejudice."). District courts must hold themselves accountable for ensuring their own compliance with the Speedy Trial Act's requirements. A district court may not merely assume responsibility for a speedy trial violation, deny an improper motive, and weigh this statutory factor in favor of dismissal without prejudice without offering further explanation.
We do not doubt that the violation here was caused by a simple administrative oversight at one of the busiest and most productive district courts in the country, and we proceed under that assumption. On this record, however, assume is all that we can do, and our deference to the district court's analysis of this factor is limited because it made no factual findings supporting its conclusions.
Several of our sister circuits have recognized that dismissal with prejudice may serve as an appropriate remedy under analogous circumstances involving a district court's administrative neglect. For instance, in United States v. Moss, the
Of course, we accept the district court's finding that neither the government nor the court acted out of any nefarious or underhanded motive. Bad faith, however, is not a prerequisite to ordering dismissal with prejudice. We commend the district court's honest and unequivocal acceptance of responsibility for the delay. But the mere fact that a speedy trial violation is attributable to the court and not the government does not expunge that violation, nor does it automatically render the violation any less serious. Neither the record nor the district court's ruling provides us with any explanation for the court's serious delay in ruling on a motion that does not appear to present any novel legal questions or distinct factual complexity. In light of the seriousness of the Speedy Trial Act violation in this case, the absence of any explanation beyond mere administrative neglect weighs in favor of dismissal with prejudice.
"`Although the absence of prejudice [to the defendant] is not dispositive,' it can be `another consideration in favor of permitting reprosecution.'" Wells, 893 F.2d at 540 (quoting Taylor, 487 U.S. at 341, 108 S.Ct. 2413). The length of the delay has a bearing on the issue of prejudice: "The longer the delay, the greater the presumptive or actual prejudice to the defendant, in terms of his ability to prepare for trial or the restrictions on his liberty." Taylor, 487 U.S. at 340, 108 S.Ct. 2413.
The district court concluded, and Bert concedes, that he did not suffer any actual prejudice in his ability to mount a defense at trial, but that is not the only type of prejudice that is relevant to this inquiry:
Taylor, 487 U.S. at 340-41, 108 S.Ct. 2413 (internal alterations and quotation marks omitted).
The district court alluded to this brand of prejudice when it asserted that the court was not "minimizing the incarceration to the defendant," Special App'x at 33, but then proceeded to discount the likelihood that Bert suffered any prejudice in light of his failure promptly to alert the court after his speedy trial clock had expired. Pointing to United States v. Siembida, No. 05-cr-366 (PKC), 2007 WL 4267192 (S.D.N.Y. Dec. 3, 2007), an unpublished district court memorandum and order, the court here suggested "that where the defendant does not come forward and assert his rights he is more interested in a
It is well established that a criminal defendant has "no obligation to take affirmative steps to insure that [he will] be tried in a timely manner." United States v. Tunnessen, 763 F.2d 74, 79 (2d Cir. 1985). It is the court and the government that bear the affirmative obligation of insuring the speedy prosecution of criminal charges. United States v. Vasquez, 918 F.2d 329, 336 (2d Cir.1990). A criminal defendant can only waive his speedy trial rights by failing to invoke them before trial or plea. See 18 U.S.C. § 3162(a)(2); see also United States v. Gambino, 59 F.3d 353, 360 (2d Cir.1995) ("The legislative history of the Act confirms the importance of the non-waiver rule."). Thus, while the district court was entitled to construe Bert's delay in noticing the violation as evidence that he did not suffer actual prejudice, this fact was not fatal to his claim, nor should it have been the end of the court's inquiry into prejudice. See Stayton, 791 F.2d at 22 (declining to decide "whether, and if so, how seriously" the 23-month delay prejudiced the defendant, where "the enormity of the delay is sufficient alone to tip this second factor in favor of dismissal of the indictment with prejudice"). The district court gave insufficient consideration to the issue of non-trial prejudice when it concluded that by failing to speak up, Bert — who was incarcerated during the entire one-year period during which his motion was pending — evinced a lack of such prejudice. The sheer length of the delay at issue here was presumptively prejudicial, see Doggett, 505 U.S. at 652 n. 1, 112 S.Ct. 2686, particularly because Bert remained incarcerated throughout the time the docket sat idle.
Analyzing the impact of reprosecution on the administration of the Speedy Trial Act, the district court summarily concluded "the fact that the government will have to reindict here served as a deterrent, particularly here where there is no bad faith or intentional conduct or pattern on the part of the government" and Bert's crime is serious. Special App'x at 33. Again, the district court's findings are inadequate to satisfy our "more substantive scrutiny." Taylor, 487 U.S. at 337, 108 S.Ct. 2413.
It is beyond question that "[d]ismissal without prejudice is not a toothless sanction." Taylor, 487 U.S. at 342, 108 S.Ct. 2413. But it is equally doubtless that the sanction of dismissal with prejudice has more bite. See id. ("It is self-evident that dismissal with prejudice always sends a stronger message than dismissal without prejudice, and is more likely to induce salutary changes in procedures, reducing pretrial delays."). Although the less severe sanction "imposes some costs on the prosecution and the court," Zedner v. United States, 547 U.S. 489, 499, 126 S.Ct. 1976, 164 L.Ed.2d 749 (2006), "the prosecutor may of course seek — and in the great majority of cases will be able to obtain — a new indictment," id.; see also 18 U.S.C. § 3288 (providing that even if "the period prescribed by the applicable statute of limitations has expired, a new indictment may be returned ... within six calendar months of the date of the dismissal"). Consequently, "if the government suffers only dismissals without prejudice on motion
The Act's purpose of expeditiously bringing criminal cases to trial would not be served by assuring those charged with this responsibility that they need not fear the more severe sanction — no matter how egregious the violation — as long as they refrain from intentional efforts to circumvent the Act. The burden on courts and prosecutors of reindicting a defendant is, at a minimum, not substantially more onerous than the routine business of ensuring vigilant compliance. Accordingly, "the knowledge that a violation could potentially result in [dismissal with prejudice] gives the prosecution a powerful incentive to be careful about compliance," Zedner, 547 U.S. at 499, 126 S.Ct. 1976, which would be absent under a regime requiring a showing of bad faith. Preserving the threat of dismissal with prejudice in cases of administrative neglect also furthers the Act's purpose by incentivizing courts to police their own dockets. "While not all violations of the Speedy Trial Act warrant a dismissal with prejudice, the purposes of the Act would be thwarted if courts do not adjust their day-to-day procedures to comply with its requirements." Moss, 217 F.3d at 432.
Furthermore, under a regime that limited the more severe sanction exclusively to cases of intentional misconduct, criminal defendants would have little incentive to alert the court to administrative oversights that held no conceivable promise of precluding reprosecution. See Barker v. Wingo, 407 U.S. 514, 521, 92 S.Ct. 2182, 33 L.Ed.2d 101 (1972) (noting "[d]elay is not an uncommon defense tactic"); accord Caparella, 716 F.2d at 981 ("[A] defendant might find it advantageous to play a waiting game hoping, for example, that government witnesses may disappear or become forgetful."). The complacency of criminal defendants would not, however, further the purposes of the Act, which "serves not only to protect defendants, but also to vindicate the public interest in the swift administration of justice." Bloate v. United States, 559 U.S. 196, 211, 130 S.Ct. 1345, 176 L.Ed.2d 54 (2010).
"[T]here is a societal interest in providing a speedy trial which exists separate from, and at times in opposition to, the interests of the accused." Barker, 407 U.S. at 519, 92 S.Ct. 2182. The Act's demand that justice be swiftly administered serves the public interest by, among other things, avoiding extended pretrial delays, which may "impair[ ] the deterrent effect of punishment," Zedner, 547 U.S. at 501, 126 S.Ct. 1976, or "risk the loss of important evidence," Giambrone, 920 F.2d at 181. "Whenever [a prosecution] — for whatever reasons — falls short of meeting the Act's requirements, the administration of justice is adversely affected." Ramirez, 973 F.2d at 39. "Certainly, the public is the loser when a criminal trial is not prosecuted expeditiously, as suggested by the aphorism, `justice delayed is justice denied.'" Gambino, 59 F.3d at 360.
It is also clear that the administration of justice — and certainly of the Act — would be well served by whatever actions the court may need to undertake in order to avoid future speedy trial violations. In light of the fact that the district court did not acknowledge or explain the administrative neglect that we assume caused the delay, we cannot determine the likelihood of repeated violations, and we lack any indication of potential administrative changes this violation should have prompted.
Up to this point in our analysis we have focused on the district court's role in permitting the speedy trial violation in this
Even though prosecutors do not "bear the burden of monitoring the court's compliance with the [Act] in absence of an announced rule, district courts do look to prosecutors for assistance as officers of the court." Ramirez, 973 F.2d at 39. As a nation, we demand a great deal from our United States District Courts and the judges who are called to serve on them. District courts in this Circuit and across the country shoulder heavy and complex caseloads — the Eastern District of New York more so than most.
In this case, the government did not notify the court that the speedy trial deadline was approaching or had passed. It took no action whatsoever in this case during the year in which Bert's motion was under advisement. Cf. Stayton, 791 F.2d at 18 ("During this [sixteen month delay], the assistant United States attorneys on the case sent seven reminder letters to the court and went so far as to make a motion
Given the extended administrative neglect by the court and the government in allowing the case to stagnate for almost a year while Bert was incarcerated, we conclude that the government's interest in administering justice by prosecuting Bert's firearms offenses is outweighed by the impact that permitting reprosecution would have on the administration of justice and of the Speedy Trial Act.
As determined above, the district court did not adequately consider several of the statutory factors relevant to its choice of remedy under the Act, to wit: the seriousness of the Speedy Trial Act violation as measured by length of the delay, the facts and circumstances that led to the need for dismissal, nontrial prejudice suffered by the defendant, and the impact of reprosecution on the administration of the Act and on the administration of justice. Its ruling was also premised on a mistaken interpretation of governing law. Accordingly, the determination to order dismissal of Bert's indictment without prejudice constituted an abuse of discretion.
The district court's conclusion that all of the factors tipped in favor of dismissal without prejudice was also flawed. As the district court recognized, Bert was charged with a serious crime, there was no bad faith on the part of the court or the government, and no claim of trial prejudice. Regardless, the Speedy Trial Act violation was grave, unjustified by what we assume was mere administrative neglect, and presumptively prejudicial to the incarcerated defendant. Barring reprosecution in this case will have a more positive and substantial impact upon the administration of justice — and most certainly on improved administration of the Speedy Trial Act — than would permitting the prosecution to proceed. We conclude, therefore, that Bert's conviction should be reversed and the indictment against him dismissed with prejudice. Because of our disposition of this issue, it is unnecessary to address the other arguments Bert asserts in this appeal.
For the foregoing reasons, the judgment of the district court is reversed, and the case is remanded with instructions to vacate Bert's conviction and dismiss the indictment with prejudice.
DENNIS JACOBS, Circuit Judge, dissenting:
I respectfully dissent.
The majority opinion recites the applicable standards and rules; and if they were followed, I would sign the opinion of the Court. Then again, it would come out the other way.
The only issue presented is whether the district court had discretion to dismiss this case under the Speedy Trial Act (as it did) without prejudice. The delay was occasioned by a one-year interval in which the district court considered a suppression motion that was complicated, ramified, and virtually outcome-determinative.
As the majority opinion recites, the decision to dismiss with prejudice (or without) was confided by Congress to the discretion of the district court. This Court lacks power to substitute our own judgment (even if ours were superior). See Maj. Op. at 130-31. Since the seriousness of the crime is one salient consideration, it matters that the majority undoes police work that resulted in the conviction of a felon who had been using drugs, possessed a firearm with an obliterated serial number, was carrying it in the hallway of a residential building, and tossed the gun from the
There are several first principles:
In light of those principles and the district court's discretion, the relevant considerations militate so strongly against dismissal with prejudice that I can see no basis for revisiting the district court's ruling — let alone for reversal. In a nutshell, the majority opinion does a bad job of weighing the relevant factors (which it should not be doing in the first place), unfairly criticizes the United States Attorney's Office to create the spurious impression of institutional breakdown, and relies on circumstances that fail to distinguish this case from those that are dismissed without prejudice.
Two officers responded to a report made by the security guard of a residential building, and encountered on arrival two men in the lobby who admitted they did not live in the building, and who were directed to leave. The security guard told the officers that more trespassers were on the tenth and twelfth floors. In the tenth floor hallway, the officers saw Bert and two others, who claimed that they were visiting a friend in Apartment 10L. The resident of 10L disclaimed knowledge of the group (or did not answer) until Bert told her: "Tell them you know me," which she did. Disbelieving the response that Bert had prompted and observing Bert pacing back-and-forth with his body turned away from the officers, one of the officers drew his gun and asked to see Bert's hands. The other officer saw Bert adjust his sweatshirt, revealing a gun, and remove the gun from his waistband as he moved toward the open hallway window. He moved to handcuff Bert. When Bert began to struggle, a magazine released from the gun fell to the floor, and the gun hit the window and fell to the ground outside, where it was recovered by the police officers.
En route to the precinct, Bert (who was not Mirandized) began singing songs and asking after his gun. One of the officers in the police car asked Bert what gun he was talking about; Bert did not respond and went back to singing. Later, Bert said he would reveal where other guns were if he were released.
After being given warnings at the precinct, Bert inquired as to whether the gun was still operable, observing that he could not be charged with possessing a loaded firearm because the magazine had been ejected, and that the firearm probably could not be found to be in working order because he had thrown it out a tenth-floor window. A bit later, Bert predicted that he would beat the case because the firearm was inoperable. Eventually, he was charged with being a felon in possession of a firearm and with possession of a firearm with an obliterated serial number.
One year after the close of these proceedings, concerning a score of contentious issues, the district court denied the suppression motion in a 24-page opinion. The court ruled that the "police had the requisite level of suspicion of wrongdoing at all times, and that their actions were therefore reasonable under the circumstances," United States v. Bert, No. 12-CR-001 (RRM), 2014 WL 358983, at *6 (E.D.N.Y. Feb. 3, 2014); "there was no Fourth Amendment violation with respect to the encounter" in the hallway, id. at *9; none of Bert's statements were fruit of unconstitutional conduct, id.; Bert's statements en route to the precinct were voluntary and initiated by Bert, id.; and Bert understood his Miranda rights when he waived them, id. at *10. The district court made further and additional findings with respect to other contentions by Bert and responsive arguments advanced by the prosecution.
After the suppression motion was denied, Bert moved to dismiss with prejudice, citing his statutory and constitutional rights to a speedy trial. Def. Mot. to Dismiss on Speedy Trial, United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Feb. 21, 2014). The statutory speedy trial clock began to run on March 4, 2013, 30 days after the last brief was filed on the suppression motion. See 18 U.S.C. § 3161(h)(1)(D), (H). Because Bert was not brought to trial within 70 days thereafter, the government conceded a statutory violation, see id. § 3161(c)(1), but argued there had been no constitutional violation and that dismissal under the Act should be without prejudice to reprosecution.
The district court found no constitutional violation and dismissed without prejudice. After reindictment, a three-day jury trial resulted in a conviction on both counts, and Bert was sentenced principally to ten years' imprisonment.
In deciding between dismissal with prejudice and without, the district court must consider statutory factors: seriousness of the offense; the facts and circumstances that led to dismissal; and the impact on the administration of the Act and on the administration of justice. 18 U.S.C. § 3162(a)(2). The court must also consider the length of the delay, Taylor, 487 U.S. at 340, 108 S.Ct. 2413; Maj. Op. at 131-32, and the prejudice to the defendant, United States v. Wilson, 11 F.3d 346, 352 (2d Cir.1993).
These guides to discretion overlap considerably in this case. The district court's opinion fully justifies its exercise of discretion in favor of dismissal without prejudice.
As to the seriousness of the offense, the majority concedes (as it must) that an offense involving a firearm with an obliterated serial number, carried in a residential hallway, is serious indeed. The majority opinion treats this issue in a perfunctory way as uncontested; but the district
Special App. at 31-32.
As to the facts and circumstances of the speedy trial violation, the length of the delay is important. The district court itself acknowledged that "[i]t was the Court that caused the delay," and "concede[d]" that the delay was "lengthy." Special App. at 29-30.
The majority opinion treats the twelve-month delay as decisive in itself. But the cases on which the opinion relies (Maj. Op. at 132-33) offer no support, as demonstrated in the margin.
"[I]n the absence of a factually supported finding of bad faith or a pattern of neglect by the local United States Attorney, an `isolated unwitting violation' of the Speedy Trial Act cannot support a decision to dismiss with prejudice." United States v. Hernandez, 863 F.2d 239, 244 (2d Cir. 1988) (quoting Taylor, 487 U.S. at 339, 108 S.Ct. 2413); see also United States v. Wells, 893 F.2d 535, 539 (2d Cir.1990) (same). There is no issue of bad faith in this case. All that happened is that a trial judge in one of the busiest courts in the nation failed to make an easily justifiable finding that the delay needed to decide a complex and ramified suppression motion was in the interest of justice. Nor is there anything to suggest that the local United States Attorney's Office has engaged in a pattern of neglect or a "demonstrably lackadaisical attitude." United States v. Giambrone, 920 F.2d 176, 180 (2d Cir.1990).
The majority opinion is not to the contrary. It adduces some out-of-Circuit cases that discussed only the period of delay, from which the majority draws a shaky inference that the length of delay is all that matters. See Maj. Op. at 134-35. But the majority does not discuss how the other factors cut, such as the absence of bad faith or a pattern of neglect. What we have here is the "isolated unwitting violation" referenced in Taylor. One swallow does not a summer make.
As to prejudice, Bert claims none; and the majority falls back upon the presumption that prejudice comes with delay. However, since prejudice is assumed in every case of delay, the presumption does not usefully distinguish between cases that should be dismissed with prejudice, or without. The majority concedes that the "district court was entitled to construe Bert's delay in noticing the violation as evidence that he did not suffer actual prejudice." Maj. Op. at 136. The absence of actual prejudice militates against a windfall for Bert by way of dismissal with prejudice.
The interest of justice is surely disserved by the release onto the streets and hallways of Staten Island of a man who has now twice been convicted of firearms violations. So much for getting guns off the streets.
As to the interest in enforcement of the Speedy Trial Act, the majority's impulsive gift of dismissal with prejudice (in the absence of bad faith or abuse) can only subvert public respect for the Act.
I agree with the majority that the Act serves important ends and must be enforced, and that it is integral to the administration of justice. But the majority implicitly assumes that the Act is disserved or impaired unless dismissal is with prejudice; and that assumption violates the background principles that dismissal without prejudice is not toothless, that the Act embodies no preference as to whether dismissal should be with prejudice or without, and that the choice is confided to the discretion of the district court.
Among other errors in the majority opinion, it casts the twelve-month delay as egregious by discounting the suppression motion as one "that does not appear to present any novel legal questions or distinct factual complexity." Maj. Op. at 135. That observation is rebutted by the following (compressed) procedural account.
Bert moved to suppress the gun, the ammunition, and his post-arrest statements on the grounds that the officers lacked a basis for stopping him and that the weapon and statements were fruit of the poisonous tree. See Def. Mot. to Suppress at 5, United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. June 25, 2012). He also argued that his Miranda waiver was not knowing and voluntary because he had been high on angel dust. Id. at 7.
Bert reasserted his arguments on reply, Def. Reply Br., United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. July 23, 2012), and made a supplemental submission arguing (inter alia) that his "case was federalized in order to secure [his] cooperation with ongoing state investigations," so that his statements to federal agents were "the product of exploitation of the illegality of the initial stop." Def. Suppl. Submission in Supp. of Mot. to Suppress at 3, United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Aug. 16, 2012) (internal quotation marks and alterations omitted).
At the suppression hearing held November 20, 2012, the government adduced testimony from three police officers (including the arresting officers), a detective, and a special agent. The defense called an investigator with the Federal Defenders' Office. The parties filed numerous post-hearing submissions. See Def. Post-Hr'g Mem., United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Dec. 13, 2012); Gov't Post-Hr'g Mem., United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Dec. 13, 2012); Def. Post-Hr'g Mem. Reply, United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Dec. 19, 2012); Def. Suppl. Post-Hr'g Mem., United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Jan. 25, 2013); Gov't Post-Hr'g Mem. Reply, United States v. Bert, No. 12-CR-100 (RJM) (E.D.N.Y. Feb. 1, 2013).
By my count, the district court's opinion on the suppression motion decides a dozen issues of fact and law, and applications of law to fact — issues arising out of several ambiguous encounters: one in the hallway, one in the squad car, one at the precinct, another in the squad car, and one in the Pretrial Services office of the federal courthouse. See generally United States v. Bert, 2014 WL 358983, at *2-6. The district court's 24-page opinion resolves the myriad issues in a taut and businesslike way. The delay in deciding that motion violates the Speedy Trial Act, but cannot be said to embarrass the district court.
In short, the delay was an isolated instance; there was no bad faith or pattern of delay or misconduct by the prosecutors, or by the judge, or by the court as a whole; and, under the circumstances, no incentive for abuse can be identified, let alone be said to arise, such that the administration of justice and the Act requires dismissal with prejudice when the district court has found otherwise.
While Wilson, Wells, and Simmons ruled that the brevity of delay weighed in favor of dismissal without prejudice, none of those cases can be construed to hold that some longer delay would end the inquiry and compel the opposite result. And in Kiszewski, we affirmed the district court's dismissal without prejudice despite a "not minor" delay, because of the salience of the other relevant factors, including the seriousness of the offense, the failure of the defendant to present evidence of prejudice, and the inadvertence of the violation. 877 F.2d at 214-15.