United States v. Lamont Vanderhorst
Opinion
Defendant Lamont Marloe Vanderhorst appeals a decision of the U.S. District Court of the Eastern District of Virginia denying his motion under Federal Rule of Criminal Procedure 36 to correct a clerical error in his Pre-Sentence Report ("PSR"). According to Defendant, as a result of that clerical error, the district court wrongly sentenced Defendant as a career offender. In denying Defendant's motion, the District Court held that Rule 36 cannot serve as a vehicle for a defendant to pursue resentencing. Although we disagree with the district court's conclusion that defendants are categorically barred from pursuing resentencing under Rule 36, for the reasons that follow we nonetheless affirm the district court's decision to deny Defendant relief.
I.
On September 4, 2007, Defendant pleaded guilty to one count of conspiracy to distribute 5 kilograms or more of powder cocaine. Defendant's PSR listed several prior drug offenses relevant to this appeal, including: 1991 North Carolina state convictions for (1) "trafficking heroin by possession," (2) trafficking heroin by transportation," and (3) "conspiracy to sell and deliver cocaine," and a 1997 New Jersey conviction for (4) "distribution of a controlled dangerous substance." J.A. 158-59. The PSR determined that each of those four convictions constituted a "controlled substance offense" and therefore, that Defendant was subject to sentencing under the career offender guideline, U.S.S.G. § 4B1.1. J.A. 164. Applying the career offender guideline, the PSR calculated Defendant's total offense level as 34, his criminal history category as VI, and his advisory guideline range as 262-327 months' incarceration. Defendant's counsel told the probation officer that he had no objections to the PSR and told the court that he did not find any errors in the calculation of Defendant's guideline range. Relying on that guideline range, the district court sentenced Defendant to 327 months' imprisonment.
Several years later, Defendant learned that his PSR incorrectly characterized one of his 1991 convictions-rather than being convicted of "conspiracy to sell and deliver cocaine," Defendant had been convicted of "conspiracy to traffick cocaine by transportation." The error in the PSR was attributable to an improper description of the offense in the Wake County, North Carolina Superior Court's electronic database, which the probation officer accessed and relied on in preparing the PSR. It is undisputed that given the nature of the error, Defendant's trial counsel would have had to travel to the Wake County Superior Court Clerk's office and examine the case file to learn of and correct the error. After learning of the error, the Wake County Superior Court corrected the database to reflect Defendant's correct offense of conviction. The Wake County database accurately characterized Defendant's other two 1991 convictions.
On March 29, 2016, Defendant filed a motion under Rule 36 seeking correction of the "clerical" error in the PSR and resentencing. In his supporting brief, Defendant asserted that, absent the clerical error, he should not have been sentenced as a career offender because none of his three 1991 convictions constituted controlled substances offenses for purposes of the Guidelines. According to Defendant, had he not been sentenced as a career offender, his guideline range would have been 140-175 months' imprisonment-at least 15 years shorter than the sentence he received. In a memorandum opinion and order entered February 23, 2018, the district court denied the motion, holding that defendants are categorically barred from relying on Rule 36 as a basis for obtaining resentencing. Defendant timely appealed.
II.
Rule 36 provides that "[a]fter giving any notice it considers appropriate, the court may at any time correct a clerical error in a judgment, order, or other part of the record, or correct an error in the record arising from oversight or omission." Fed. R. Crim. P. 36. There is no dispute that a PSR, the type of record at issue here, constitutes an "other part of the record" amenable to correction under Rule 36.
See
United States v. Mackay
,
Rather, the issue on which the parties disagree-and which we must resolve-is whether the district court erred in holding that that clerical error did not constitute a basis for Defendant to obtain resentencing under Rule 36. Whether a district court properly denied a defendant's motion for relief under Rule 36 is a question of law that this Court reviews
de novo
.
See
Mackay
,
United States v. Portillo
,
In support of his contention that he is entitled to resentencing under Rule 36, Defendant principally relies on this Court's unpublished decision in Powell . There, the defendant, Powell, was convicted of drug trafficking and sentenced as a career offender to 360 months' imprisonment. Id. at 264. Four years after Powell's conviction, his counsel learned "that because of a clerical error in state court, one of Powell's predicate offenses did not qualify as 'a controlled substance offense' " for purposes of U.S.S.G. § 4B1.1. Id. at 265. In particular, "Powell pleaded guilty in state court to Count 3, which charged him with conspiracy to possess a controlled dangerous substance, and not to Count 4 [which had erroneously served as one of Powell's predicate offenses], but the clerk erroneously recorded him as pleading guilty to Count 4." Id. at 266 (emphasis retained).
The panel first noted that, like Defendant, Powell could not obtain relief under
We agree with the
Powell
panel: Rule 36 may serve as an appropriate vehicle for a defendant to obtain resentencing when a clerical error likely resulted in the imposition of a longer sentence than would have been imposed absent the error. In doing so, we acknowledge, as did the panel in
Powell
, that "the important interest of finality in judicial proceedings requires that judicial and substantive errors in cases be laid to rest after specified time periods."
Although we disagree with the district court's conclusion that criminal defendants are categorically barred from relying on Rule 36 to obtain resentencing, we affirm the district court's decision to deny Defendant resentencing. In order to qualify as a career offender under the Sentencing Guidelines, a defendant must have two prior felony convictions for either a crime of violence or a controlled substance offense. U.S.S.G. § 4B1.1. Defendant's PSR identified four prior convictions for controlled substance offenses, only one of which is tainted by the clerical error. Accordingly, Defendant's remaining three convictions were sufficient to support application of the career offender Guideline. 2
Before this Court, Defendant argues that his two untainted 1991 convictions for "trafficking heroin by possession" and "trafficking heroin by transportation" also do not constitute "controlled substance offense[s]"-meaning that he has not committed the requisite two controlled substance offenses-because those two offenses did not require the "manufacture, import, export, distribution, or dispensing" of a controlled substance. U.S.S.G. § 4B1.2(b). But that is a substantive argument that Defendant could have raised-but did not raise-at his original sentencing. And a defendant may obtain relief under Rule 36 based on clerical errors, not substantive errors. See Powell , 266 Fed. App'x at 266. Accordingly, Defendant's challenge to the characterization of his two 1991 convictions not tainted by clerical errors is not cognizable under Rule 36.
III.
In sum, the district court erred in holding that a defendant is categorically barred from relying on Rule 36 to correct a sentence tainted by a clerical error. Nonetheless, we affirm the district court's judgment because Defendant's three remaining convictions were sufficient to sustain his classification and sentencing as a career offender under U.S.S.G. § 4B1.1.
AFFIRMED
DIAZ, Circuit Judge, dissenting in part and concurring in the judgment:
Lamont Marloe Vanderhorst was sentenced to 327 months in prison based on his classification as a career offender under the sentencing guidelines. Almost a decade later, Vanderhorst learned that one of his prior offenses underlying that classification was erroneously labelled in his state court records and consequently was also erroneously labelled in his PSR. He then moved pursuant to Rule 36 to correct the record and modify his sentence.
I agree with the majority that the error in the PSR is a clerical error in the record for purposes of Rule 36. I likewise agree that this clerical error taints only one of the underlying offenses, leaving three remaining controlled substance offenses that are sufficient to support application of the career offender enhancement. Accordingly, I readily concur in the judgment affirming Vanderhorst's sentence.
But I part company with the majority's broader conclusion that Rule 36 may serve as an appropriate vehicle for defendants to obtain resentencing. This is a novel question of law that we need not decide today, as Rule 36 can't help Vanderhorst. But because the majority has chosen to answer this question, I am compelled to respond. Respectfully, I cannot agree that Rule 36 grants district courts the authority to modify a sentence.
In my view, our inquiry begins and ends with
In this case, no one asserts that the Bureau of Prisons moved to reduce Vanderhorst's sentence, or that the Sentencing Commission amended the applicable guidelines. Nor does Vanderhorst claim that Rule 35 provides a basis for relief, or that another federal statute would authorize the district court to modify his sentence. Indeed, Vanderhorst explicitly refused to characterize his motion for relief in the district court as one filed pursuant to
Vanderhorst sought instead to have the district court modify his sentence pursuant to Rule 36. But § 3582 doesn't mention Rule 36. For that reason alone, a district court can't rely on the rule to modify a sentence.
See
United States v. Blackwell
,
Our decision in
Goodwyn
supports this conclusion. There, the district court modified the defendant's sentence a second time without relying on any of the exceptions listed in § 3582. On appeal, noting that "the clear intent of § 3582 is to
constrain
postjudgment sentence modifications," we held that the statute's silence on whether a district court could modify a sentence more than once effectively precluded such action.
The majority (without addressing the import of § 3582 ) mistakenly asserts in a footnote that Goodwyn doesn't control this case. But although Goodwyn arose in a different context, it absolutely controls our interpretation of § 3582 -that is, a district court may not modify a sentence except when specifically authorized by § 3582. And because § 3582 doesn't mention Rule 36, a district court can't rely on that rule to modify a sentence.
The fact that § 3582 makes no mention of Rule 36 is even more telling given that § 3582 expressly cites another Federal Rule of Criminal Procedure. Specifically, the statute provides that the court may modify a sentence if "expressly permitted by statute or by Rule 35." § 3582(c)(1)(B). The text of § 3582 is "unambiguous" that "absent other express statutory authority, modification of an imprisonment sentence can only be done pursuant to Rule 35."
Phillips
,
To support its unnecessary (and incorrect) conclusion, the majority relies exclusively on our unpublished opinion in
United States v. Powell
,
I therefore concur only in the court's judgment.
By contrast, the government argues-and the district court agreed-that our decision in
United States v. Goodwyn
,
According to the government, Goodwyn establishes that because "Rule 36 is not enumerated in § 3582(c)," Rule 36 does not "provide a means to modify a sentence of imprisonment." Appellee's Br. at 11. We do not believe Goodwyn controls this case. To begin, Goodwyn dealt with a materially distinguishable legal issue-whether and in what circumstances a defendant can obtain a second sentence reduction on grounds not set forth in any statute or rule. Goodwyn also does not mention Rule 36, let alone state whether or in what circumstances a defendant can rely on Rule 36 to obtain resentencing. And Goodwyn does not purport to provide an exhaustive list of circumstances in which a defendant can obtain resentencing.
By comparison, the errant PSR for the defendant in Powell identified only two predicate offenses, meaning that the correction of the error, by itself, would have stripped the defendant of his career offender status.
Vanderhorst's counsel acknowledged that "a § 2255 motion would have provided a separate and distinct avenue to move for a correction of his sentence." J.A. 119. But counsel believed that such a motion would have been untimely. However, § 2255 provides that the 1-year statute of limitations begins to run by the latest of several conditions, including "the date on which the facts supporting the claim or claims presented could have been discovered through the exercise of due diligence." § 2255(f)(4). Because counsel chose not to pursue a § 2255 motion, we don't know whether the difficulty in discovering this state court error could have rendered the motion timely.
So too does it render meaningless the 1-year statute of limitations in § 2255, which authorizes the sentencing court to "set aside or correct" a sentence in excess of the maximum authorized by law.
Reference
- Full Case Name
- UNITED STATES of America Plaintiff - Appellee v. Lamont Marloe VANDERHORST Defendant - Appellant
- Cited By
- 15 cases
- Status
- Published