EASTERBROOK, Circuit Judge.
The United States has appealed from a district court's order dismissing an indictment, but without prejudice to a new indictment (should one be returned within the statute of limitations). The district judge took this step to permit appellate review of his discovery order, with which the prosecutor had declined to comply. Once the indictment had been dismissed, the Solicitor General authorized an appeal under the Criminal Appeals Act, 18 U.S.C. § 3731. But a panel of this court dismissed the appeal for lack of jurisdiction, 766 F.3d 722 (7th Cir.2014), ruling that the Act authorizes appeal only if the dismissal of an indictment would be final within the meaning of 28 U.S.C. § 1291. The possibility of reindictment and recurrence of the discovery dispute made this dismissal non-final, the panel held. We granted the United States' petition for rehearing en banc.
The indictment charges Paul Davis and six confederates — Alfred Withers, Julius Morris, Jayvon Byrd, Vernon Smith, Corey Barbee, and Dante Jeffries — with several federal offenses arising from a plan to rob a stash house, where the defendants believed they would find drugs and money. We need not set out the plan's details or the precise statutes involved, because proceedings on the merits of the charges never got under way in the district court. What matters now is that the stash house the defendants thought they would rob did not exist. They were caught in a sting.
According to the prosecutor, Davis repeatedly approached someone he thought to be a potential partner in crime and asked whether he knew of any opportunities to conduct robberies. Davis did not know that his interlocutor was cooperating with the FBI. Acting on the informant's reports, agents bought drugs from Davis three times; this gave some credibility to the informant's report that Davis was interested in robbing stash houses to get drugs to sell. The FBI passed the information to the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), which sent an undercover agent to conduct a sting. Posing as a disgruntled drug courier, the agent told Davis about an opportunity to rob a stash house, supposedly containing 50 kilograms of cocaine. Davis recruited assistants (the other six defendants). They discussed the possibility of killing the stash houses' guards and the undercover agent too in order to eliminate witnesses and avoid sharing the loot. When arrested at the assembly point for the planned robbery, three of the seven defendants carried firearms.
They maintain that the prosecutor, the FBI, and the ATF engaged in racial discrimination, in violation of the Due Process Clause's equal-protection component. The
Defendants asked the judge to direct the prosecutor to provide extensive information about who is prosecuted, how they (and others) were selected for attention by the FBI and ATF, and how the United States Attorney's office makes decisions after receiving reports from investigators. The prosecutor opposed this motion, contending that United States v. Armstrong, 517 U.S. 456, 116 S.Ct. 1480, 134 L.Ed.2d 687 (1996), forbids discovery into prosecutorial selectivity unless the defense first shows that similarly situated persons have not been prosecuted. The defense's data about who had been prosecuted did not include any information about who could have been prosecuted, but was not.
The district court entered a discovery order substantially as the defense had proposed it, writing in a short explanation that "the prosecution in this District has brought at least twenty purported phony stash house cases, with the overwhelming majority of the defendants named being individuals of color. In light of this information, it is necessary to permit Defendants discovery on the following issues...." The district court did not identify any similarly situated person who had not been prosecuted or explain why Armstrong allows a court to compel disclosures by the prosecutor in the absence of that information.
Coupled with the breadth of the discovery order (which we discuss in Part III of this opinion), this led the United States to decline to comply. The Criminal Appeals Act does not authorize appeals from discovery orders, but it does authorize appeals from orders dismissing indictments. The district judge agreed to facilitate appellate review by dismissing the indictment without prejudice, and the United States appealed. That brings us to the jurisdictional question.
If this were a civil case, and a complaint had been dismissed without prejudice in an attempt to permit immediate review of a discovery order, an appeal would not be possible. See, e.g., Doctor's Associates, Inc. v. Duree, 375 F.3d 618 (7th Cir.2004) (dismissing an appeal where the parties reserved the right to reactivate the litigation later); Furnace v. Board of Trustees, 218 F.3d 666 (7th Cir.2000) (same). For 28 U.S.C. § 1291, which governs most civil appeals, requires a "final decision," and to be final the dismissal of a complaint generally must be with prejudice. Some statutes, such as 28 U.S.C. § 1292, authorize interlocutory appeals; so do some rules, such as Fed.R.Civ.P. 23(f); but in the main a final decision is essential — and the Supreme Court insists that the exceptions to the final-decision rule be applied sparingly, to avoid dragging litigation out. See, e.g., Mohawk Industries, Inc. v. Carpenter, 558 U.S. 100, 130 S.Ct. 599, 175 L.Ed.2d 458 (2009). The Justices have said that this is likewise true for appeals by defendants in pending criminal cases, which also are covered by § 1291. See, e.g., Flanagan v. United States, 465 U.S. 259, 104 S.Ct. 1051, 79 L.Ed.2d 288 (1984). Compare Abney v. United States,
But the United States relies on the Criminal Appeals Act, 18 U.S.C. § 3731, which applies exclusively to the prosecutor's appeals in criminal cases. This statute provides:
Defendants maintain, and the panel held, that the first clause of § 3731's first paragraph, referring to "a decision, judgment, or order of a district court dismissing an indictment", covers only the sort of dismissal that would be "final" for the purpose of an appeal under § 1291.
The rest of § 3731 provides context for evaluating this position — as does a comparison with § 1291, which permits appeals from "final" decisions. The word "final" does not appear in § 3731, nor does any similar word.
Context begins with the first paragraph of § 3731, which after mentioning an indictment or information adds "or granting a new trial after verdict or judgment, as to any one or more counts, or any part thereof". An order setting a case for a new trial is not a final decision. Nor is an order setting one count for a new trial, or a "part" of one count for a new trial. And if we read the "count" language as modifying both indictments and new trials — so that we get "dismissing an indictment or information ... as to any one or more counts" — again § 3731 ¶ 1 authorizes appeals from non-final decisions, for in ordinary civil litigation a decision dismissing one count of a complaint cannot be appealed unless the requirements of Fed.R.Civ.P. 54(b) are met.
Paragraph 2 of § 3731 authorizes appeals from orders suppressing or excluding evidence, or ordering the return of property (though the rest of the case continues). Orders excluding evidence and disposing of some property while the litigation continues are not final decisions under § 1291.
The third paragraph continues the pattern by authorizing an appeal from an order granting a person's release on bail
It seems apt to say that all of § 3731 is an exception to the final decision rule. And so the Supreme Court has described it. In the course of distinguishing appeals under § 1291 from those under § 3731, the Court called § 3731 "a statutory exception to the final judgment rule". Flanagan, 465 U.S. at 265 n. 3, 104 S.Ct. 1051. If finality were essential then, when responding to the holding of United States v. Sanges, 144 U.S. 310, 12 S.Ct. 609, 36 L.Ed. 445 (1892), that the United States needs express authority to appeal, Congress could have amended § 1291 so that a prosecutor, like other litigants, may use it plus interlocutory appeals by permission under § 1292(b). (Defendant and prosecutor alike also could use 18 U.S.C. § 3742, which authorizes appeals of sentences in criminal cases.) Instead Congress created a separate Criminal Appeals Act and has amended it over the years to include the many categories of non-final orders that we have mentioned. United States v. Wilson, 420 U.S. 332, 336-39, 95 S.Ct. 1013, 43 L.Ed.2d 232 (1975), traces this history.
Defendants want us to hold that the first clause of § 3731 ¶ 1 alone has an atextual finality requirement, which not only would divorce orders dismissing indictments from every other kind of order under § 3731 but also would create the anomaly that a dismissal of one count would be immediately appealable (though non-final in civil practice) while the dismissal of all counts would not be appealable. Neither the text nor the structure of § 3731 permits such an approach.
Section 3731 authorizes interlocutory appeals in part because the Double Jeopardy Clause of the Fifth Amendment creates special obstacles for a prosecutor who contends that a district court's order is erroneous. The Supreme Court stressed in decisions such as Mohawk Industries that, if a district court errs, an appeal from the final decision usually allows the mistake to be corrected, if necessary by holding a new trial. But errors in favor of the defense in a criminal prosecution may lead to acquittal, and the prosecution cannot appeal from a mid-trial acquittal by the judge, or an end-of-trial acquittal by the jury, no matter how erroneous the ruling that led to this out-come — even though in parallel civil litigation the losing litigant would have a full appellate remedy. See, e.g., Fong Foo v. United States, 369 U.S. 141, 82 S.Ct. 671, 7 L.Ed.2d 629 (1962); Sanabria v. United States, 437 U.S. 54, 98 S.Ct. 2170, 57 L.Ed.2d 43 (1978). That's why § 3731 departs from § 1291 and why it is inappropriate to read into § 3731 a "finality" requirement that it lacks (but § 1291 contains).
Congress has not taken the final-decision rule as far as it might go. The books are full of exceptions thought helpful to facilitate accurate or prompt decision. We have mentioned § 1292, which permits appeals from orders granting, denying, or modifying injunctions (interlocutory or final) plus orders certified by district judges and accepted by courts of appeals. Another statute, 28 U.S.C. § 1453(c), permits immediate appellate review of orders remanding suits that had been removed on the authority of the Class Action Fairness Act And § 1447(d) permits appeals of remands in civil-rights cases or those removed by federal officers. Rule 23(f) permits
Even if we were disposed to fight against the language of § 3731 (which lacks the word "final"), and its structure, and its objective of accommodating the prosecution's need to obtain appellate review in a way consistent with the Double Jeopardy Clause, we would still respect the Supreme Court's description of § 3731 as "remov[ing] all statutory barriers to Government appeals". Wilson, 420 U.S. at 337, 95 S.Ct. 1013. Ditto, United States v. Martin Linen Supply Co., 430 U.S. 564, 568, 577, 97 S.Ct. 1349, 51 L.Ed.2d 642 (1977). Perhaps this is an overstatement; after all, § 3731 contains a list of appealable orders, which does not include discovery orders. That's why the prosecutor asked the district court to choose a remedy on the statutory list. But the minimum meaning of the statement in Wilson is that if the district court enters a listed order, there are no further barriers to appeal. A final-decision rule imported from § 1291 would be such a further barrier.
Because discovery orders are not on the § 3731 list, appellate review depended on the district court's cooperation. The judge chose a response that was listed; if the judge had decided to exclude vital evidence as a sanction for the prosecutor's stance, that too would have authorized an appeal. It is hard to see why this appeal should be foreclosed because the judge chose what seemed to be the cleanest way to proceed. But if in the future a district judge believes than an interlocutory appeal would be unduly disruptive, the court has only to avoid issuing one of the sorts of orders that fall within the scope of § 3731. The prosecutor cannot dismiss an indictment on his own but requires the court's approval. Fed.R.Crim.P. 48(a). (The prosecutor may of course decline to proceed with a case, whether or not a judge dismisses the indictment, but a prosecutor can't appeal from his own decision.) If the judge chooses a response not on the § 3731 list, then to obtain review the prosecutor would need to meet the stringent requirements of a writ of mandamus, a discretionary remedy limited to the clearest errors and usurpations of power.
Although, as we have mentioned, Wilson may be thought to slight the fact that § 3731 contains a specific list of appealable orders, the Justices themselves seem willing to take the language of Wilson and Flanagan at face value.
United States v. Bass, 536 U.S. 862, 122 S.Ct. 2389, 153 L.Ed.2d 769 (2002), offers an illustration. In the wake of Armstrong, which held that discovery relating to a claim of selective prosecution depends on proof that eligible persons of a different race have not been prosecuted, a defendant contended that the Attorney General took race into account when deciding when to authorize a prosecutor to seek capital punishment. The defense offered the same sort of evidence that had been deemed inadequate in Armstrong: that black defendants were charged with capital crimes out of proportion to the general population. The district court ordered discovery into the exercise of prosecutorial discretion and, when the United States declined to provide the information, dismissed the prosecutor's notice of intent to seek the death penalty. The United States appealed, the court of appeals affirmed, and the Supreme Court summarily reversed, holding the discovery order incompatible with Armstrong. Yet the district court's order dismissing the notice of intent to seek the death penalty not only was interlocutory (the criminal prosecution remained pending) but also is not on the list in § 3731. Still, the court of appeals and the Supreme Court did not see a
Other courts of appeals take the Justices at their word. Several have entertained appeals from orders dismissing indictments without prejudice. See, e.g., United States v. Lester, 992 F.2d 174, 176 (8th Cir.1993), and United States v. Woodruff, 50 F.3d 673, 675 (9th Cir.1995). As far as we know, no court of appeals has added a finality requirement to § 3731 111 and thus forbidden the appeal from an order dismissing an indictment without prejudice — or for that matter required "finality" for the appeal of any order covered by § 3731.
Defendants insist that United States v. Clay, 481 F.2d 133 (7th Cir.1973) (Stevens, J.), commits this court to a different path. Yet in Clay the court held that § 3731 allows an appeal from an order dismissing an indictment without prejudice. Along the way, Clay remarked that, despite the district court's choice of label, the order was "final" in the sense that the dispute would not recur. Defendants read that as a holding that if a dispute can recur — as this discovery dispute could recur if another grand jury returned another indictment — then an appeal is forbidden. This reads too much into Clay. Saying "if conclusive, then appealable" (as Clay did) differs from saying "only if conclusive, then appealable." Clay did not have a non-final order and could not announce a holding about that subject — nor did it purport to do so.
But suppose this is wrong and Clay did think that finality is essential. Since then, the Supreme Court has said repeatedly that barriers (other than the Double Jeopardy Clause) not stated in § 3731 itself do not foreclose appeals. Section 3731 does not contain a final-decision rule. The language in Clay, though not its holding, has been overtaken by developments in the Supreme Court, and this court, sitting en banc in 2015, is not bound by what one panel believed about § 3731 in 1973.
We hold that § 3731 authorizes an appeal when a district court dismisses an indictment, or a count of an indictment, or a part of a count of an indictment, without prejudice to the possibility of a successive indictment containing the same charge. The court therefore has jurisdiction to decide whether the indictment was properly dismissed, which depends on whether the discovery order was itself proper. (Armstrong reached the Supreme Court in the same way, as the United States used the dismissal of an indictment to present a question about the propriety of a discovery order.)
Before entering the discovery order, the district court said only that "the prosecution in this District has brought at least twenty purported phony stash house cases, with the overwhelming majority of the defendants named being individuals of color. In light of this information, it is necessary to permit Defendants discovery" about prosecutorial practices and criteria. That decision is inconsistent with Armstrong. The record in Armstrong showed that every defendant in every crack-cocaine prosecution filed by a particular United States Attorney's office and assigned to the public defender was black. If, as the Supreme Court held, that evidence did not justify discovery into the way the prosecutor selected cases, then proof that in the Northern District of Illinois three-quarters of
The United States believes that we should stop here and reverse. But things are not that simple. Armstrong was about prosecutorial discretion. The defendants assumed that state and federal law-enforcement agents arrested all those they found dealing in crack cocaine, and they suspected that the federal prosecutor was charging the black suspects while letting the white suspects go. The Supreme Court replied that federal prosecutors deserve a strong presumption of honest and constitutional behavior, which cannot be overcome simply by a racial disproportion in the outcome, for disparate impact differs from discriminatory intent. See Personnel Administrator of Massachusetts v. Feeney, 442 U.S. 256, 99 S.Ct. 2282, 60 L.Ed.2d 870 (1979). The Justices also noted that there are good reasons why the Judicial Branch should not attempt to supervise how the Executive Branch exercises prosecutorial discretion. In order to give a measure of protection (and confidentiality) to the Executive Branch's deliberative processes, which are covered by strong privileges, see Cheney v. United States District Court, 542 U.S. 367, 124 S.Ct. 2576, 159 L.Ed.2d 459 (2004); In re United States, 503 F.3d 638 (7th Cir.2007); In re United States, 398 F.3d 615 (7th Cir.2005); United States v. Zingsheim, 384 F.3d 867 (7th Cir.2004), the Court in Armstrong insisted that the defendant produce evidence that persons of a different race, but otherwise comparable in criminal behavior, were presented to the United States Attorney for prosecution, but that prosecution was declined. Bass held the same about the selection of capital prosecutions, and for the same reasons.
To the extent that Davis and the other six defendants want information about how the United States Attorney has exercised prosecutorial discretion, Armstrong is an insuperable obstacle (at least on this record). But the defendants' principal targets are the ATF and the FBI. They maintain that these agencies offer lucrative-seeming opportunities to black and Hispanic suspects, yet not to those similarly situated in criminal background and interests but of other ethnicity. If the agencies do that, they have violated the Constitution — and the fact that the United States Attorney may have prosecuted every case the agencies presented, or chosen 25% of them in a race-blind lottery, would not matter, since the constitutional problem would have preceded the prosecutor's role and could not be eliminated by the fact that things didn't get worse at a later step. Cf. Connecticut v. Teal, 457 U.S. 440, 102 S.Ct. 2525, 73 L.Ed.2d 130 (1982) (rejecting a "bottom-line defense" in an employment-discrimination suit).
Agents of the ATF and FBI are not protected by a powerful privilege or covered by a presumption of constitutional behavior. Unlike prosecutors, agents regularly testify in criminal cases, and their credibility may be relentlessly attacked by defense counsel. They also may have to testify in pretrial proceedings, such as hearings on motions to suppress evidence, and again their honesty is open to challenge. Statements that agents make in affidavits for search or arrest warrants may be contested, and the court may need their testimony to decide whether if shorn of untruthful statements the affidavits would have established probable cause. See Franks v. Delaware, 438 U.S. 154, 98 S.Ct. 2674, 57 L.Ed.2d 667 (1978). Agents may be personally liable for withholding evidence from prosecutors and thus causing violations of the constitutional requirement that defendants have access to material, exculpatory evidence. See, e.g., Armstrong v. Daily, 786 F.3d 529 (7th Cir.2015); Newsome v. McCabe, 256 F.3d 747, 752 (7th Cir.2001). Before holding
How does the district court's order hold up by these standards? Here is its full text, which requires the United States to produce:
This order is vastly overbroad. A good deal of the discovery it requires is blocked by Armstrong (on the current record) because it concerns the exercise of prosecutorial discretion. Other discovery is blocked by executive privilege independent of Armstrong; a district court is not entitled to require "the White House" (which is to say, the President) to reveal confidential orders given to criminal investigators. But some of the discovery asks for information from supervisors or case agents of the FBI and ATF, and this is outside the scope of Armstrong, the executive privilege, and the deliberative process privilege.
To say that some of the information is potentially discoverable is not to vindicate any part of this particular order, however. Consider ¶ 5, which requires the United States to produce "all documents" that contain any "information" about how the FBI and ATF manage stings (pejoratively called "phony stash house ripoffs"), plus all details concerning how these agencies curtail discrimination. This demands the disclosure of thousands (if not millions) of documents generated by hundreds (if not thousands) of law enforcement personnel. It would bog down this case (and perhaps the agencies) for years.
Or consider ¶ 4, which requires the public disclosure of all criteria the agencies employ to decide when and how to conduct sting operations. Agencies understandably want to keep such information out of the hands of persons who could use it to reduce the chance that their own criminal conduct will come to light. For the same reason that the IRS does not want to reveal its audit criteria, the FBI and ATF do not want to reveal their investigative criteria. Perhaps the FBI and ATF might be able to improve the public's understanding and acceptance of their selection criteria by releasing more information, but that's not a legal obligation.
Similar things could be said about other paragraphs, but the point has been made. This order is an abuse of discretion.
The racial disproportion in stash-house prosecutions remains troubling, however, and it is a legitimate reason for discovery provided that the district court does not transgress Armstrong or an applicable privilege.
Instead of starting with a blunderbuss order, a district court should proceed in measured steps. Logically the first question is whether there is any reason to believe that race played a role in the investigation of these seven defendants. The prosecutor says that it cannot have done, because Davis himself initiated matters by
If the initial inquiry gives the judge reason to think that suspects of another race, and otherwise similarly situated, would not have been offered the opportunity for a stash-house robbery, it might be appropriate to require the FBI and ATF to disclose, in confidence, their criteria for stash-house stings. Analysis of the targeting criteria (and whether agents followed those rules in practice) could shed light on whether an initial suspicion of race discrimination in this case is justified. Keeping that part of the investigation in camera would respect the legitimate interest of law enforcement in preventing suspects (and potential suspects) from learning how to avoid being investigated or prosecuted. If after that inquiry the judge continues to think that racial discrimination may have led to this prosecution, more information could be gathered.
We do not want to tie the judge's hands, but we do think it essential, lest this and other prosecutions be sidetracked (both defendants and the public have a right to speedy resolution of criminal cases), to start with limited inquiries that can be conducted in a few weeks, and to enlarge the probe only if evidence discovered in the initial phase justifies a wider discovery program. Only if information learned during these limited inquiries satisfies the Armstrong criteria may discovery be extended to the prosecutor's office, and even then the judge should ensure that required disclosures make no more inroads on prosecutorial discretion than are vital to ensuring vindication of the defendants' constitutional right to be free of race discrimination.
The judgment dismissing the indictment is reversed, and the case is remanded for proceedings consistent with this opinion.
ROVNER, Circuit Judge, with whom HAMILTON, Circuit Judge, joins, dissenting.
In a case charging the defendants with conspiring to rob a fictitious stash house, it is perhaps fitting that our appellate jurisdiction is premised on a fictitious sanction — a dismissal of the indictment that was proposed by the government, and granted by the district court, for the express and sole purpose of facilitating an appeal of a discovery order that the government opposed. The dismissal was non-binding, to boot, allowing the government to proceed with the prosecution regardless of what we might have to say about the merits of the discovery order. However far Congress may have meant to extend the limits of appellate jurisdiction when it re-wrote the Criminal Appeals Act in 1970, I am confident that this appeal lies beyond those bounds. For all of the prudential reasons that we do not permit civil litigants to manufacture appellate jurisdiction, we should not allow an appeal based on the sort of non-final dismissal that was fabricated here. I must therefore respectfully and regretfully part ways with my colleagues on the matter of our jurisdiction to hear this appeal.
R. 144 at 4; see also R. 144 at 6 (court confirms, at government's request, that the dismissal is without prejudice).
As my colleagues in the majority recognize, this would not be tolerated in the civil context. Ante at 715-16. Indeed, we have repeatedly disapproved efforts by civil litigants to engineer appellate jurisdiction by inviting the district court to enter a dismissal order that has the veneer of appealability when, in fact, the dismissal is a sham intended to serve solely as the vehicle for what is otherwise an unauthorized interlocutory appeal. See Sims v. EGA Prods., Inc., 475 F.3d 865, 867-68 (7th Cir.2007); ITOFCA, Inc. v. MegaTrans Logistics, Inc., 235 F.3d 360, 363-64 (7th Cir.2000); West v. Macht, 197 F.3d 1185, 1188-90 (7th Cir.1999); JTC Petroleum Co. v. Piasa Motor Fuels, Inc., 190 F.3d 775, 776-77 (7th Cir.1999); Horwitz v. Alloy Auto. Co., 957 F.2d 1431, 1435-36, 1437 (7th Cir.1992); see also Union Oil Co. of Cal. v. John Brown E & C, a Div. of John Brown, Inc., 121 F.3d 305, 308-11 (7th Cir.1997). A civil plaintiff, for example, may be frustrated with an order that disposes of some counts of his complaint but not others, JTC Petroleum, 190 F.3d at 776-77, or which prospectively limits his damages, Union Oil, 121 F.3d at 307. Rather than awaiting a final judgment or seeking the court's leave to pursue an interlocutory appeal pursuant to 28 U.S.C. § 1292(b), the plaintiff instead asks the court to dismiss what remains of his complaint without prejudice, thereby terminating the litigation in the district court and producing a seemingly final order that would permit him to challenge on appeal any and all of the interlocutory orders preceding that order. See Sims, 475 F.3d at 867-68. Except that the judgment is not final, because it permits the plaintiff to re-file the counts it has persuaded the court to dismiss without prejudice, even if he loses the appeal. E.g., West, 197 F.3d at 1188; JTC Petroleum, 190 F.3d at 776; see also Union Oil, 121 F.3d at 307-08 (parties entered into settlement terminating litigation, contingent upon outcome of appeal). As such, the manufactured dismissal cannot serve as the gateway to
The importance of finality has been central to our decisions in these cases. See ITOFCA, 235 F.3d at 363-64 & n. 1; West, 197 F.3d at 1188-89; Union Oil, 121 F.3d at 310-11; Horwitz, 957 F.2d at 1435-36, 1437. "Finality as a condition of review is an historic characteristic of federal appellate procedure." Flanagan v. United States, 465 U.S. 259, 263, 104 S.Ct. 1051, 1053-54, 79 L.Ed.2d 288 (1984) (quoting Cobbledick v. United States, 309 U.S. 323, 324, 60 S.Ct. 540, 541, 84 L.Ed. 783 (1940)). Except where Congress has specifically authorized an interlocutory appeal, see 28 U.S.C. § 1292(b), or where the order appealed from falls into the narrow category of collateral orders that are immediately appealable, see Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 546, 69 S.Ct. 1221, 1225, 93 L.Ed. 1528 (1949), we generally insist that there be a truly final judgment before a disappointed party may appeal the otherwise interlocutory order that has aggrieved him. The requirement of finality serves a number of important prudential concerns:
Flanagan, 465 U.S. at 263-64, 104 S.Ct. at 1054. See also ITOFCA, 235 F.3d at 363-64 & n. 1; West, 197 F.3d at 1189; Union Oil, 121 F.3d at 310. The rationale underlying the final judgment rule is "especially compelling in the administration of criminal justice." Flanagan, 465 U.S. at 264, 104 S.Ct. at 1054 (quoting Cobbledick, 309 U.S. at 325, 60 S.Ct. at 541); given that "the defendant is entitled to speedy resolution of the charges against him," Will v. United States, 389 U.S. 90, 96, 88 S.Ct. 269, 274, 19 L.Ed.2d 305 (1967) (citing DiBella v. United States, 369 U.S. 121, 126, 82 S.Ct. 654, 658, 7 L.Ed.2d 614 (1962)).
What the government has done in this case to produce an appealable order is precisely what we have deemed forbidden in the civil context. It has engineered a dismissal as the means of obtaining review of an otherwise interlocutory and unappealable discovery order. But the dismissal was not final, as it would have been if the district court had dismissed the indictment due to incurable pleading defect, or as a sanction for pretrial delay or some other fault that the government could not cure. See, e.g., United States v. Clay, 481 F.2d 133, 136 (7th Cir.1973) (indictment dismissed based on post-arrest delay in indicting defendant). Nominally, the dismissal was entered as a sanction for the government's announcement that it did not intend to comply with the court's discovery order, but only nominally. The dismissal was invited by the government as a means to appeal, and was granted by the district court in deference to that wish; there was never an independent assessment by the
It is worthwhile to consider the multiple ways in which allowing an appeal based on the government's invited dismissal of the indictment without prejudice is contrary to the interests served by the finality requirement and grants to the government what amounts to an advisory opinion on the merits of its opposition to the district court's discovery order. Such consideration also demonstrates why conditioning this type of appeal on a final judgment — in other words, a dismissal of the indictment with prejudice — would accommodate the government's interests and at the same time protect the equally important interests of the defendants, the district court, and this court.
First and foremost, by permitting the government to invite dismissal of the indictment, we have allowed it to cut short the proceedings in the district court, and we cannot be sure that those proceedings necessarily would have resulted in dismissal of the indictment had they been permitted to run their course. Recall that the government suggested the dismissal as a "sanction" for its refusal to comply with the discovery order. R. 129 at 1-2 ¶¶ 4, 7; R. 144 at 4. But there was never any meaningful inquiry below into whether dismissal of the indictment actually was the appropriate sanction for the government's unwillingness to comply with the ordered discovery; the dismissal was asked for and granted solely in order to open the door to this appeal. R. 144 at 4. Had the government instead come into court and said, "Judge, we are unwilling to comply with your discovery order," period, the court necessarily would have had to commence an inquiry into an appropriate response.
And it is by no means certain that the government's opposition to the order necessarily would have led the court to dismiss the indictment. The government's wholesale refusal to comply with a court order is, safe to say, a rare occurrence. I cannot recall it ever happening in my courtroom in my eight years as a district judge. My first response to such a declaration, and I suspect the response of many, if not most judges, would be to explore why the government believed it could not comply with my order — not because I felt bullied by the government's resistance, but because the rarity of a refusal like this (by a party that shares the court's obligation to ensure a fair and just proceeding) merits
Even if the government had persisted in its refusal to comply with some or all aspects of my discovery order, I cannot say that I inevitably would have dismissed the indictment, the weightiest of the penalties available to me. See Barnhill v. United States, 11 F.3d 1360, 1367-69 (7th Cir. 1993) (variously describing entry of judgment, including dismissal with prejudice, as a "draconian," "severe," "harsh," "powerful," "serious," and "extreme" sanction for party's misconduct). Before taking that course, it would have been my obligation to consider not only the egregiousness of the government's non-compliance but the burden it inflicted on the defendants and the public's interest in seeing that those who have broken the law are brought to justice. See id. It is entirely possible that I might have chosen a different sanction, and one that might or might not have been immediately appealable, if it was appealable at all. See, e.g., United States v. Moussaoui, 382 F.3d 453, 459-60 (4th Cir.2004) (after inviting briefing as to appropriate sanction for government's refusal to comply with order granting defendant access to enemy combatant witnesses, district court rejected parties' shared proposal to dismiss indictment, and instead dismissed death notice and foreclosed certain lines of evidence and argument to government).
Finally, assuming that I did decide to dismiss the indictment as a sanction, I surely would have done so with prejudice. Why, after all, would I leave the option of re-indictment open to the government if I believed that its refusal to comply with my order were serious enough to warrant dismissal of the case? Its sole effect would be to force the government to present its case to a grand jury for a second time, while changing nothing about the nature of
Just as we cannot be sure that the district court inevitably would have dismissed the indictment, we cannot be sure that the government would have persisted in its blanket refusal to comply with any part of the court's discovery order had it been subject to a genuine sanctions inquiry by the district court. When the government suggested dismissal of the indictment without prejudice to the district judge, it was proposing a "sanction" that had a great deal of upside and very little downside for the government. It opened the door to an immediate appeal of the discovery order, and even if the appeal failed and we affirmed the order, all that the government had to do is re-indict the defendants in order to resurrect the prosecution. And that is a modest burden. Among other things, the government runs the show, its burden of proof is relatively low, and, especially in a sting, most of the evidence is in its hands. A grand jury's refusal to indict is, needless to say, itself a rare occurrence. The ham sandwich aphorism
All of this shows why the dismissal in this case was a complete fiction as a sanction, and why we are potentially misallocating our time to an appeal that might have been obviated by further proceedings in the district court. In short, we have permitted the government and the district court to do exactly what we have forbidden in the civil context: collaborate to produce a sham judgment for the purpose of facilitating review of an otherwise unappealable, interlocutory order, when the finality typically required for such an appeal is entirely absent. See Horwitz v. Alloy Auto. Co., supra, 957 F.2d at 1435-36, 1437. And this is precisely why our opinion is advisory: we are presuming, without knowing, that the discovery order would have remained as broad as it is had the district judge been invited to reconsider the order rather than collaborating to manufacture appellate jurisdiction; we are presuming, without knowing, that the government would have persisted in refusing to comply with the discovery order had the choice of sanction been left up to the district judge; and we are presuming, without
Apart from authorizing an appeal that might be unnecessary, the court's jurisdictional determination is inconsistent in several other ways with the concerns animating the finality requirement.
First, in accepting an appeal based on the invited and non-final dismissal of the indictment, we are potentially interfering with the district court's management of the case by permitting the government to appeal a discretionary, pretrial discovery order that Congress has not identified as one of the interlocutory orders that may be appealed. See Flanagan, 465 U.S. at 263-64, 104 S.Ct. at 1054; ITOFCA, 235 F.3d at 364 n. 1. Of course, Judge Darrah cannot be heard to complain on that point, given that he willingly entered the dismissal order that paved the way for this appeal. But he is only one of multiple judges in the Northern District of Illinois presiding over similar stash house prosecutions in which the defendants are pursuing claims of selective prosecution; and all of them will now be bound by the discovery framework this court has outlined. There is much to be said for the clarity that this court has brought to that issue. If I agreed that we had jurisdiction over this appeal, I might well be joining the court's opinion. But the danger in an appellate court reaching an issue prematurely or unnecessarily is that we might make a decision without the illumination that further development in the lower court would have given us, and in doing so hobble the district courts and ourselves with a rule that will not stand the test of time. That, by the way, is one advantage of mandamus, which permits us to intervene when truly necessary but restricts our role to policing the very outermost boundaries of the district court's authority, and reserves ample discretion to the trial judges to manage their cases as they see fit. Not incidentally, by accepting this appeal, we are circumventing the limits that mandamus would otherwise impose on disruptive appeals of this type. See Cheney v. U.S. Dist. Ct. for Dist. of Columbia, 542 U.S. 367, 380, 124 S.Ct. 2576, 2586, 159 L.Ed.2d 459 (2004) ("[Mandamus] is a `drastic and extraordinary' remedy `reserved for really extraordinary cases.'") (quoting Ex Parte Fahey, 332 U.S. 258, 259-60, 67 S.Ct. 1558, 1559, 91 L.Ed. 2041 (1947)).
Second, we are placing significant burdens on the defendants by allowing the government to interrupt the litigation in order to pursue the appeal of a non-dispositive order. See Flanagan, 465 U.S. at 264, 104 S.Ct. at 1054; ITOFCA, 235 F.3d at 364 n. 1. Nominally, the indictment has been dismissed, but because the dismissal was without prejudice, the prosecution of the defendants likely would have resumed regardless of whether we affirmed or reversed the challenged discovery order. In the meantime, while the advancement toward trial has ceased, the defendants have remained under the cloud of unresolved charges.
My colleagues nonetheless hold that finality is not required when the government is appealing the dismissal of the indictment, reasoning that because each of the other orders that section 3731 authorizes the government to appeal (orders suppressing evidence, for example) is a non-final order, Congress must have intended to permit the appeal of any order dismissing an indictment, whether final or not. Ante at 717-18. The final judgment rule embodied in section 1291 thus can have no application to government appeals under section 3731, ante at 717-18, which is an interpretation that even the government has not urged upon us.
The argument is somewhat a historical, in that Congress originally permitted appeals only from certain orders dismissing an indictment (including dismissals based on defects in the statute underlying an indictment) or otherwise disposing of a case (including an order sustaining a plea in bar), and those orders were indisputably final. 34 Stat. 1246; see United States v. Wilson, 420 U.S. 332, 336-37, 95 S.Ct. 1013, 1018-19, 43 L.Ed.2d 232 (1975) (discussing the original and successor versions of the Criminal Appeals Act). With the 1970 amendments to the Criminal Appeals Act, Congress surely did expand the range of dismissals that were appealable, but it is not obvious that it meant to expand that range so far as to include non-final dismissals, simply because it added other categories of interlocutory orders to the list of decisions that the government can appeal.
More to the point, what this reasoning misses, in my view, is the singular way in which finality concerns come into play when the order deemed appealable by section 3731 is being used as a gateway to review of another interlocutory order that section 3731 does not recognize as appealable. For all of the reasons that I have discussed, requiring that such a dismissal be genuine, i.e. final, ensures that appellate review of the order underlying the dismissal (here, the discovery order) is consistent with the longstanding prudential concerns underlying the finality rule. In other words, we would have a genuine sanction based on the government's genuine refusal to comply with the underlying order as to which review is sought. That is precisely the scenario that Congress had in mind when it enacted the 1970 amendments to the Criminal Appeals Act. Although the Act had been modified subsequent to its enactment, the statute in 1970 still authorized appeal from only a limited subset of orders dismissing indictments. See Wilson, 420 U.S. at 336-37, 95 S.Ct. at 1018-19; S.Rep. No. 91-1296, at 2, 5-6 (1970) (Report of Senate Judiciary Committee). While Congress was considering modifications to the statute, the Department of Justice pointed out that the statute as it had been interpreted did not permit the government to appeal dismissals based on grounds other than defects in the indictment or in the statute on which the indictment is based. Id. at 22 (Dep't of Justice Comments on S. 3132). Thus, for example, the government had no ability to appeal when the district court had dismissed the indictment as a sanction for the
Wilson's extravagant language — that Congress, when it enacted the current Criminal Appeals Act, "intended to remove all statutory barriers to Government appeals and to allow appeals whenever the Constitution would permit," 420 U.S. at 337, 95 S.Ct. at 1019 — provides only tepid support for the notion that the final judgment rule embodied in section 1291 has no application to government appeals in criminal cases. We have previously cautioned that Wilson's sweeping declaration cannot be taken literally. See United States v. Spilotro, 884 F.2d 1003, 1005-06 (7th Cir. 1989); United States v. Horak, 833 F.2d 1235, 1246-47 (7th Cir.1987). Wilson dealt with a double jeopardy issue and had nothing whatever to say on the subject of invited dismissals and the final judgment rule. Given the prominent role that the latter rule has long played in criminal as well as civil appeals, see Flanagan, 465 U.S. at 264-65, 104 S.Ct. at 1054-55, I would have expected a clearer signal from Congress that it was jettisoning the finality rule and granting the government a license no other party enjoys — the ability to invite a dismissal and use that as the gateway to appeal an interlocutory order that is otherwise not appealable, all the while reserving the right to proceed with the case even if it loses the appeal.
Likewise, Flanagan's observation that section 3731 is "a statutory exception to the final judgment rule," 465 U.S. at 265 n. 3, 104 S.Ct. at 1055 n. 3, quoted ante at 716-17, was actually addressed to the statute's specific and separate provision permitting appeals from orders suppressing or excluding evidence. The Court was not referring to the entire statute, or to the provision authorizing appeals from an order dismissing an indictment in particular.
Certainly it is true that the Double Jeopardy Clause imposes significant constraints on the government's ability to take an appeal, ante at 717; see Wilson, 420 U.S. at 352, 95 S.Ct. at 1026, but requiring that a dismissal of an indictment be final before it may be appealed would in no way jeopardize the government's ability to exercise
My colleagues do recognize one meaningful limitation on the government's power to take an immediate appeal of an order with which it does not wish to comply by inviting a dismissal of the indictment without prejudice: the district court's discretion to decline the invitation. Ante at 717-18. The government conceded at argument that the district court has this power, and rightly so. In the face of the government's unwillingness to comply with the court's order, a judge surely is not bound to accept a sanction of the government's choosing.
But our recognition that the district court has the discretion to accept or reject an invitation to dismiss the indictment, and thus to open or close the door to an appeal of an order that is otherwise not appealable under the terms of section 3731, more than anything else makes clear that we have created a right of appeal that Congress itself has not authorized. What we are saying, in effect, is that if the government wishes to take an appeal of an interlocutory order (like a discovery order), it may do so if it is willing to accept a temporary dismissal of the indictment and the district court, in the exercise of its discretion, is willing to go along and dismiss the indictment without prejudice in order to make the appeal possible. In everything but name, this is the criminal equivalent of the discretionary, interlocutory appeal that 28 U.S.C. § 1292(b) authorizes in civil cases. Whatever the merits of such an appeal might be, suffice it to say that Congress has not authorized it. See, e.g., United States v. White, 743 F.2d 488, 493 (7th Cir.1984). (If Congress had authorized it, we no doubt would have been given the same discretion we possess in the civil context not to permit the appeal. Ironically, that is the one point that distinguishes this type of interlocutory appeal from one taken under section 1292(b): so long as the district court in the exercise of its discretion allows the appeal by dismissing the indictment, we have no choice but to accept the appeal.)
The finding of jurisdiction in this case is also inconsistent with the spirit, if not the letter, of our prior decision in United States v. Clay, supra, 481 F.2d at 135-36 (Stevens, J.). The district court in that case had dismissed the indictment based on the government's eight-month delay in indicting the defendant after he was arrested. On the government's appeal of that ruling, this court explained that although the district court's order was properly understood as a dismissal without prejudice, "[o]ur construction of the order
My colleagues pooh-pooh the notion that Clay demands finality, ante at 718-19, but I have a hard time reading Clay otherwise. It is true that the dismissal order in that case was final, and so, strictly speaking, the court did not have to consider whether a non-final order of dismissal would have been appealable. But the significance of finality to the court's finding of appellate jurisdiction is hard to miss. Why else would the court have gone out of its way to observe that, although the court's dismissal of the indictment was properly construed as having been without prejudice, "[that] construction ... does not foreclose appealability," id. at 135, and then devote several paragraphs to explaining why the order was appealable precisely because it was final, id. at 135-36? Under Clay's straightforward reasoning, the dismissal of the indictment in this case simply is not final and appealable.
The Supreme Court's decisions in United States v. Armstrong, 517 U.S. 456, 116 S.Ct. 1480, 134 L.Ed.2d 687 (1996), and United States v. Bass, 536 U.S. 862, 122 S.Ct. 2389, 153 L.Ed.2d 769 (2002) (per curiam), by contrast, are utterly silent on the subject of appellate jurisdiction. Certainly it is safe to say that jurisdiction in both cases was assumed, see ante at 718-19, but we are obliged to honor the Court's express directive not to read jurisdictional holdings into precedents that do not address jurisdiction. See Lewis v. Casey, 518 U.S. 343, 352 n. 2, 116 S.Ct. 2174, 2180 n. 2, 135 L.Ed.2d 606 (1996) (collecting cases).
Moreover, there are reasons to think that the dismissal orders at issue in both Bass and Armstrong were, in contrast to the order at issue here, final. In Bass, the district court had dismissed the government's notice of intent to seek the death penalty as a sanction for the government's refusal to comply with the district court's discovery order. The Sixth Circuit treated the dismissal of the death notice as a partial dismissal of the indictment, which of course section 3731 expressly recognizes as an appealable order. United States v. Bass, 266 F.3d 532, 535-36 (6th Cir.2001); see also United States v. Moussaoui, supra, 382 F.3d at 463 (likewise treating dismissal of death notice as an appealable order and collecting cases). And because the dismissal of the death notice was a genuine sanction that the government could not avoid or undo except by obtaining reversal of the discovery order, the Sixth Circuit expressly labeled the dismissal "a final, appealable order under 18 U.S.C. § 3731." 266 F.3d at 535 (emphasis mine). As for Armstrong, the Ninth Circuit's opinion, although it did not expressly engage in a discussion of finality in the same sense we are discussing it here (the court instead was addressing the fact that dismissal of the indictment had been stayed pending appeal), had the following to say on the matter of its jurisdiction:
48 F.3d 1508, 1510 (9th Cir.1995) (en banc). This discussion reads very much as if the Ninth Circuit did not believe the option was open to the government, as it was here, to re-indict the defendants and belatedly comply with the district court's order in the event the government lost the appeal. Perhaps that reads too much into the court's language. But so long as we are talking about why the Supreme Court "may have let the issue [of jurisdiction] pass" in silence, ante at 719, it is worth pointing out that the Court in Armstrong may have thought the dismissal order was a genuinely final order.
For these and all of the other reasons set forth in the panel's opinion, 766 F.3d 722, I respectfully dissent from the court's holding that we have jurisdiction over the government's appeal in this case.