United States v. Larry Nichols
United States v. Larry Nichols
Opinion
Defendant Larry D. Nichols appeals from a corrected sentence entered by the district court in an amended judgment pursuant to
BACKGROUND
In 2004, Defendant was convicted for felon in possession of a firearm, in violation of
While in prison, Defendant was convicted and sentenced for conspiracy to distribute heroin, in violation of
In 2015, the Supreme Court invalidated the ACCA's residual clause as unconstitutionally vague.
Johnson v. United States
, --- U.S. ----,
By the time the district court entered Defendant's corrected sentence, Defendant had already served twelve years in prison-two years in excess of the ten-year statutory maximum for his firearm offense. The Guidelines range for Defendant's conduct, absent the ACCA enhancement, was 51 to 63 months' imprisonment, which is well below the statutory maximum of ten years. Based on his belief that a period of over-incarceration can be calculated and credited toward the completion of a consecutive sentence, Defendant asked the district court to impose a Guidelines-range sentence and, in any event, to impose a sentence of a specific term of months. The district court denied Defendant's request and instead imposed a corrected sentence of "time served," which was equivalent to a term of about twelve years' imprisonment. (R. 52 at PageID #347.) Defendant requested reconsideration, which the district court denied. Defendant then filed this timely appeal.
DISCUSSION
On appeal, Defendant argues that his sentence of "time served" exceeds the statutory maximum and that the sentence is unreasonable, regardless of its legality. We address each issue in turn.
A. Legality of Defendant's Sentence
District courts have broad discretion when making sentencing decisions.
Gall v. United States
,
In this case, Defendant's corrected sentence must be vacated. The district court imposed a sentence of "time served" based on Defendant's violation of
In support of its decision to impose a sentence exceeding the statutory maximum, the district court cited a "standard procedure" calling for the "impos[ition of] a corrected term of 'time served' where a petitioner entitled to
Johnson
-based collateral relief has already served in excess of the 120-month statutory maximum applicable to non-ACCA offenders under
By contrast, the modification of Defendant's sentence to "time served" did not result in Defendant becoming eligible for immediate release; Defendant will not be eligible for release until he completes his consecutive sentence for the conviction he received while incarcerated. Defendant would like to argue that his period of over-incarceration should be applied toward the latter sentence. The district court found that Defendant should not be permitted to obtain such an outcome, offering its opinion that "[a]voiding the creation of such 'time banks' makes complete sense as a matter of sentencing policy." (R. 59 at PageID #397 n.2.) But that issue was not before the district court. As the government now admits, "[t]his is
not
a case in which the district court had 'jurisdiction and authority to reevaluate the entire aggregate sentence' because the original sentence had been deemed a unified 'packaged' or interdependent 'components of a single comprehensive sentencing plan.' " (Gov. Br. 11-12) (emphasis original) (citing
Pasquarille v. United States
,
*735
The government argues that the district court committed no error-or that the district court's error was inconsequential-because "[a] district court cannot actually turn back the clock to reduce the number of months a defendant has already spent in custody," and therefore " 'correcting' a sentence to a term of months less than the number of months already served by a defendant amounts to a legal fiction." (Gov. Br. 8.) But there is nothing fictional about the deprivation of liberty associated with over-incarceration.
See
Pollard v. United States
,
Meanwhile, the dissent picks up the torch of the lone dissent in
Welch
, lamenting the "steep price" of correcting unconstitutional sentences. From the dissent's point of view, we should not "years later pretend that it [the sentence] was actually illegal from the start" because "at all times prior to
Welch
, [Defendant] was incarcerated lawfully under a sentence mandated by Congress." The Supreme Court has twice explained the flaw in this premise. In
Johnson
, the Supreme Court explained that the residual clause-the supposed "mandate" to which the dissent refers-is invalid.
Johnson
,
This analysis is unchanged by the dissent's parade of horribles. The dissent asks, for instance, "[h]ow many corrected sentences will be now per se reversible plain error?" And, "[h]ow many inmates, like Nichols, will discover that they have long been unlawfully incarcerated, and what will be the effect of that discovery?" The dissent, it seems, would like to pretend that inmates like Defendant were never subjected to unconstitutional sentences-that the residual clause suddenly became vague as the Supreme Court penned Johnson rather than being unconstitutionally vague all along. On this premise, *736 the dissent proposes that " Welch stops the sentence when the district court grants the § 2255, whereupon the 15-year minimum no longer applies and the 10-year maximum immediately begins to apply , with the result that Welch 's retroactivity allows the district court to apply Johnson to correct the sentences that were imposed prior to Johnson , but does not empower the district court to change any sentences that were served prior to the award of the § 2255." This paradigm might be administratively convenient for the courts, but it ignores the constitutional underpinnings of Johnson and Welch .
The dissent then muddies the waters by raising a "concern" about the applicable standard of review. The dissent suggests that Defendant "is merely challenging the district court's discretionary choice of relief under § 2255" and that "[u]nder an abuse-of-discretion standard, ... the majority would likely agree to affirm the district court." But Defendant's appeal has little to do with § 2255 or with the abuse-of-discretion standard. In the district court, Defendant filed a § 2255 motion, which the district court correctly granted. The district court then had discretion to grant relief to Defendant in one of four forms: discharge him, resentence him, grant him a new trial, or correct his sentence.
Finally, the dissent complains that today's decision conflicts with two unpublished cases. The first of these cases,
United States v. Watkins
,
B. Reasonableness of Defendant's Sentence
Defendant also argues that his sentence must be vacated for the independent reason that it is unreasonable. Before addressing the merits of this argument, however, we must decide a threshold question of first impression in this Circuit: whether corrected sentences are subject to reasonableness review. We conclude that they are. We have previously explained, without limitation, that we "review sentences for reasonableness."
United States v. Collington
,
Reasonableness review requires that each sentence be both procedurally and substantively reasonable.
See
Gall v. United States
,
Applying this standard, we find the district court's order to be a plainly inadequate foundation for Defendant's sentence. After finding that Defendant does not qualify as an armed career criminal and that Defendant's original sentence was therefore unlawful, the district court's order states the following:
For purpose of the current case, the Court finds correction of Petitioner's sentence to be the most appropriate form of relief. Despite this, Petitioner is not entitled to immediate release, however, because he incurred an additional federal conviction while incarcerated for the instant offense....
Petitioner has already served twelve years in prison (Doc. 51, at 5), a total exceeding the ten-year custodial maximum applicable to him post- Johnson . As a result, his motion (Doc. 50) will be GRANTED and the term of imprisonment for the instant offense will be reduced to a "time served" sentence. The judgment dated December 14, 2004 (Doc. 28) will be AMENDED to reflect a term of supervised release of three years. The Clerk's Office will be DIRECTED to prepare an amended judgment in accordance herewith.
(R.52 at PageID #347 (citation omitted).) The order contains no analysis whatsoever in support of the corrected sentence. The correction to Defendant's sentence was the removal of an ACCA enhancement. Following this correction, Defendant's recommended Guidelines range was 51 to 63 months' imprisonment. The district court's order contains no reference to this Guidelines range, nor does it contain any acknowledgement that the length of the sentence imposed-twelve years-reflects a major departure from the recommended Guidelines range. This deficiency renders the sentence procedurally unreasonable because, on appellate review, we are unable to determine whether the district court properly used the Guidelines as "the starting point and the initial benchmark" for the corrected sentence.
Gall
,
*738
Moreover, the corrected sentence is procedurally unreasonable for the independent reason that the district court "fail[ed] to adequately explain the chosen sentence-including an explanation for any deviation from the Guidelines range."
Gall
,
The dissent disagrees, raising a strawman concern: requiring corrected sentences to satisfy reasonableness review effectively "merges 'corrected sentences' and 'resentencings' " under § 2255. Under today's decision, however, a court imposing a corrected sentence will have discretion to impose a corrected sentence based on a brief order, a hearing that resembles a de novo sentencing proceeding, or anything in between. A court's discretion on this measure will be guided by the requirement that the corrected sentence be procedurally and substantively reasonable. If the court finds that the original sentencing court's calculations and explanations are irrelevant to the corrected sentence, then the court might find that it must enter an extensive, detailed order, or it might even hold a hearing. But this will not be necessary in every case. When the court imposes a corrected sentence that is largely consistent with the rationale of the original sentence, a de novo resentencing would be largely redundant and wasteful. Consequently, the dissent's fear that today's decision "effectively excise[s] the 'correct the sentence' option from § 2255(b)" is unfounded. District courts are surely competent to judge the extent to which they must supplement the record.
CONCLUSION
We VACATE Defendant's corrected sentence and REMAND with instructions for Defendant to be sentenced in a manner consistent with this opinion.
DISSENT
ALICE M. BATCHELDER, Circuit Judge, dissenting.
The majority opinion, at least as I understand it, begins reasonably enough with the premise that when a district court grants § 2255 relief and corrects an inmate's sentence, based on retroactive application of
*739
Johnson v. United States
, 576 U.S. ----,
I.
The problem here-Nichols's corrected sentence-was a foreseeable consequence of
Welch v. United States
, 578 U.S. ----,
Before Johnson , the [Armed Career Criminal] Act applied to any person who possessed a firearm after three violent felony convictions, even if one or more of those convictions fell under only the residual clause. An offender in that situation faced 15 years to life in prison. After Johnson , the same person engaging in the same conduct is no longer subject to the Act and faces at most 10 years in prison.
Nichols is by no means unique. There are many federal inmates across the country, who are or soon will be seeking relief based on
Johnson
/
Welch
, and who fall into this same circumstance of having already served more than the newly applicable 10-year maximum. There are already 18 such cases in the U.S. District Courts in Tennessee, where this case arose.
3
In each
*740
case, the court issued a corrected sentence of "time served."
See, e.g.,
Hammonds v. United States
, No. 2:05-CR-52,
From Nichols's perspective, the district court's corrected sentence of time served was actually a de facto sentence of 12 years, meaning that the district court "illegally" sentenced him to a term that was two years more than the newly applied statutory maximum. Moreover, under this theory, once Nichols had completed 10 years in prison by July 2014, the government had no authority to continue to confine him for that offense. Thus, he insists that the court was at fault-or at least not free from fault-for his "unlawful incarceration" from July 2014 on.
From the district court's perspective, however, until
Johnson
was decided in July 2015, the 15-year minimum was mandated by statute and not subject to judicial discretion.
See
Apprendi v. New Jersey
,
In short, Congress ordered the district court to imprison Nichols for at least 15 years and then, after 12 years, the Supreme Court held that the prior (congressional) order no longer applied and so forbade the district court from imprisoning Nichols for any longer than 10 years. Despite the obvious byproduct of this holding-that Nichols and many inmates like him would have already served more than the newly applied 10-year maximum-the Court did not provide specific instruction or guidance for addressing this scenario. When Nichols moved for relief based on this new command, the district court-like Lady Macbeth, recognizing that "What's done cannot be undone," Macbeth , Act 3, Sc. 2-acknowledged that Nichols had served more time than is now required to *741 punish his offense, more than is now permitted in fact, and corrected Nichols's sentence to time served, immediately ending the punishment.
Nichols was not satisfied with this "correction," however, and wanted the district court to resentence him to a set term of months-preferably 51 to 63 months under a new advisory guidelines calculation or, alternatively, to 120 months under the newly applicable statutory maximum-so that "[t]he time [Nichols] has served past 120 months can be credited to another case." The district court's refusal led to this appeal.
The majority agrees with Nichols and holds that the district court's corrected sentence was illegal and its underlying decision unreasonable. The majority's remand instructs the district court to perform a full resentencing so as to calculate a specific term of months, as Nichols requests, and provide sufficient explanation to permit a reasonableness review in a potential future appeal. Because I have certain concerns or disagreements, I must respectfully dissent.
II.
The first concern is the proper standard of review. In his § 2255 motion, Nichols expressly requested a term-of-months sentence, saying: "Rather than a 'time served' sentence upon reversal, Mr. Nichols respectfully requests either a guideline sentence or a sentence that specifically assigns a number of months to serve." The government supported § 2255 relief but offered that "the custodial portion of [Nichols's] sentence should be reduced to time served." When the district court granted the motion eight days later it mistakenly thought that both parties wanted time served and did not address other possibilities, such as a specific term of months.
See
Nichols v. United States
, No. 1:04-CR-68,
Without the unconstitutional sentencing enhancements of the Armed Career Criminal Act, Mr. Nichols' advisory guideline range should be 51 to 63 months incarceration.... A 120-month sentence would be double the high-end of Mr. Nichols' guideline range. While Mr. Nichols' post-sentence behavior might warrant a sentence at the top of his appropriate guideline range, or even a slight upward variance, it does not justify such an upward departure/variance [to 120 months, which is] 57 months over the top of a guideline range of 51 to 63 months.
Mr. Nichols respectfully moves this Honorable Court to reconsider its imposition of a 'time served' sentence and instead impose a sentence consistent with Mr. Nichols' appropriate guideline range.
Consequently, the first time the district court confronted Nichols's term-of-months-versus-time-served argument, it did so under a Rule 59(e) motion in which Nichols argued strongly for a 51-to-63-month within-guidelines sentence, and just as emphatically argued against a time-served *742 sentence or even a possible 120-month maximum sentence.
Ordinarily, we review the denial of a motion to alter or amend a judgment under Rule 59(e) for an abuse of discretion but, to the extent that the denial was based on an erroneous legal doctrine, we review it de novo.
Morris Aviation, LLC v. Diamond Aircraft Indus., Inc.
,
[Nichols] hopes [to] creat[e] an identifiable period of over-incarceration that the Bureau of Prisons can credit toward his completion of the consecutive 151-month term of imprisonment imposed by the Western District of Virginia.
In response, the United States ... [argues that Nichols] has not identified any issue of law or fact previously overlooked and instead disputes the nature of the discretionary relief afforded. In addition to noting that courts have routinely imposed 'time served' sentences where the defendant served more than 120 months in custody, the United States argues that the requested alteration would confer an unwarranted windfall and improperly interfere with the sentencing authority of another district court. This [c]ourt agrees that [ ] it would not be appropriate to alter or amend [Nichols]'s 'time served' sentence.
[Nichols] has not identified, and this court is unaware of, any authority that suggests it is an abuse of discretion for a district court to impose a corrected term of 'time served' where a petitioner entitled to Johnson -based collateral relief has already served in excess of the 120-month statutory maximum applicable to non-ACCA offenders under18 U.S.C. § 924 (a)(2). To the contrary, numerous district courts have done just that.
Under an abuse-of-discretion standard, I believe the majority would likely agree to affirm the district court.
The majority, however, appears to find that the district court relied on "an erroneous legal doctrine," and reviews the judgment de novo.
See
Morris Aviation
,
The merit of this "legal doctrine" is questionable.
See, e.g.
,
Davis v. United States
,
III.
The next concern is the potential for mootness. In
United States v. Perotti
,
We dismissed Perotti's appeal, finding that Perotti was "challenging only the part of his sentence he ha[d] already completed," which meant that he lacked a live case or controversy necessary to give us appellate jurisdiction and, therefore, "Perotti's challenge to his sentence was mooted when he was released from federal custody." Id . at 323. We recognized that Perotti did remain incarcerated, despite the § 2255 relief, but explained that "Perotti's current imprisonment is the result of a violation of ... a state charge that is not before us." Id . at 325.
Pursuant to
Perotti
, Nichols's appeal would also be moot. The only difference is that Perotti was subsequently incarcerated under a judgment from a state court while Nichols was subsequently incarcerated under a judgment from a
different
federal court, namely the U.S. District Court for the Western District of Virginia.
Nichols
,
*744 For our purposes, the district court's time-served sentence ended Nichols's incarceration under any sentence for which we had jurisdiction, just as if he had been released from custody. This continuing federal custody is an insufficient basis upon which to distinguish either Perotti or any of the district court opinions imposing time-served sentences on inmates such as Nichols.
IV.
The next concern is that every "corrected" sentence will henceforth require a full "resentencing," as the majority orders here. The law until now had been that " Section 2255 gives district judges wide berth in choosing the proper scope of post-2255 proceedings."
Ajan v. United States
,
Recall that the district court thought, albeit mistakenly, that both parties were requesting a time-served sentence. It is not surprising, then, that the court identified and relied on the only fact pertinent to that misapprehension: that, given the newly applicable 10-year statutory maximum,
any
sentence the court might calculate under any sentencing considerations-past, present, or future-would be less than Nichols had already served.
Nichols
,
To be sure, the district court could proceed on what I earlier described as the second "legal fiction" and calculate a hypothetical sentence as if Nichols could serve some sentence less than the 12 years he has already served. And we could review that hypothetical sentence for reasonableness, even though it is not connected to Nichols's actual incarceration or the amount of time he actually served for that particular conviction. And we could pretend that is not merely advisory. But this strays from the point, which is whether all of this is really necessary.
The majority merges "corrected sentences" and "resentencings" on the premise that full sentencing proceedings are necessary for a reasonableness review, which we must perform on all sentences, "without limitation." When courts have told us how to review sentencings, they have not differentiated between corrected sentences and full resentencings (or offered a different way to review corrected sentences), so, the majority reasons, the *745 district court must conduct all sentencings the same way and, consequently, corrected sentences and full resentencing are de facto the same thing-both are just resentencings. But § 2255 expressly makes them different things.
Under § 2255(b), if the district court finds that the inmate is entitled to relief, "the court shall vacate and set the judgment aside and shall [1] discharge the prisoner or [2] resentence him or [3] grant a new trial or [4] correct the sentence." These are four separate alternatives.
Ajan
,
Because "correcting sentences" and "resentencings" are different things, it follows that our appellate review of them, while still for "reasonableness," is different also, even though opinions have not addressed this difference when instructing us on the method of review. A corrected sentence-particularly from a reasonable original sentence with only a slight correction-might be found reasonable on review even without a full rendition of the guidelines calculations or explanation of the factors. To hold otherwise, as the majority does, is to hold that "correcting" and "resentencing" are the same thing and effectively excise the "correct the sentence" option from § 2255(b). The majority's proffered reasons do not justify that.
V.
The next concern is the Eighth Circuit's conflicting opinion. In
United States v. Watkins
,
Watkins is unreported and its analysis is cursory, almost conclusory, but its holding directly contradicts the majority's holding here that a time-served sentence necessarily equates to a term of months and when that term of months exceeds the statutory maximum, the sentence is illegal and constitutes per se reversible plain error. Even without endorsing the Eight Circuit's opinion, one can see that the majority might have gone too far.
VI.
Finally, I question the merit of the majority's proffered legal doctrine that holds, in three parts: (1) that a time-served sentence equates to a term-of-months sentence in the number of months actually served; (2) that the sentence is illegal when that post hoc term of months exceeds the newly applicable statutory maximum (or, broadly stated, actions that were taken pursuant to a statute are ex post facto unlawful when the statute is retroactively unconstitutional); and (3) the resulting illegal sentence is per se reversible plain error. So, again, as applied here: any corrected sentence of time served for an *746 inmate who has already served more than the newly applicable 10-year maximum is per se reversible plain error. Moreover, the inmate must receive a full resentencing sufficient for reasonableness review.
Given the breadth of this holding and the vast number of sentences to which it might henceforth apply, this opinion will doubtless have consequences, foreseeable and unforeseen. How many corrected sentences will now be per se reversible plain error? How many inmates, like Nichols, will discover that they have long been unlawfully incarcerated, and what will be the effect of that discovery? Will they, like Nichols, pursue a time bank or offset? Or will they seek compensation for that newly discovered unlawful incarceration? What of an inmate who suffered an injury, committed a crime, or unsuccessfully demanded special accommodations while so incarcerated-how does the calculus change when it is later declared via post hoc stipulation that the inmate was only in prison because he was being held unlawfully?
Rather than holding that the corrected sentence of time served necessarily equates to a term of years equal to the amount of time already served and invoking the legal fictions and consequences that follow, we might be better served by viewing a "time-served sentence" as different in kind from a "term of years sentence," either of which could satisfy the district court's discretionary choice of relief under § 2255. That is, of course, an entirely different analysis from the one the majority has undertaken here, though compatible with the approach taken by the district courts that have been resolving § 2255 motions based on Johnson / Welch .
Or, upon recognizing that "[a]fter Johnson , the same person engaging in the same conduct is no longer subject to the Act," Welch , 136 S.Ct. at 1265 (emphasis added), we could emphasize the "no longer" to hold that: after Johnson , the inmate is no longer subject to the 15-year mandatory minimum, though he remained subject to it right up until Johnson (actually, until he obtains his § 2255 relief based on Johnson / Welch ), and only at that point became eligible for the 10-year statutory maximum. That is, Welch stops the sentence when the district court grants the § 2255, whereupon the 15-year minimum no longer applies and the 10-year maximum immediately begins to apply , with the result that Welch 's retroactivity allows the district court to apply Johnson to correct sentences that were imposed prior to Johnson , but does not empower the district court to change any sentences that were served prior to the award of the § 2255 relief.
For example, when the district court granted Nichols's § 2255 relief in October 2016, Nichols had already served 147 months of his original 288-month sentence. At that specific point, the Act no longer applied, meaning Nichols was no longer subject to the 15-year mandatory minimum and immediately became subject to the 10-year maximum, so the court was obliged to correct the sentence from that point on, to eliminate the portion remaining that was due to the Act's enhancement, which was all of it given that the Act's enhancement was the basis for every month above 120. That would result in an actual completed sentence of 147 months, which was lawful looking backwards, and a prospective sentence of zero months, which was lawful looking forward. This, of course, is the same as imposing a sentence of time served.
But the majority has taken a different approach. For all of the forgoing reasons, I cannot join its approach. Therefore, I must respectfully dissent.
The district court issued a single order that granted a § 2255 motion in Nichols' civil proceeding and imposed a corrected sentence in Nichols' criminal proceeding. Because Nichols challenges only his corrected sentence in this appeal, we refer to him as Defendant in this opinion.
In
Johnson
,
According to the docket, police arrested Nichols in July 2004, and he remained incarcerated. Presumably, the Bureau of Prisons began counting his incarceration at that time for purposes of his sentence.
See
Hill v. United States
,
As a practical matter, the district court was not obliged to address Nichols's sentence until Nichols moved for some action. He did not do so until September 2016, at which point the court acted rather quickly.
According to the docket, Nichols filed his § 2255 motion on September 2, 2016; the government responded on October 3, 2016, and the court entered judgment on October 11, 2016.
The government, on the other hand, cited numerous cases in which district courts had been imposing time-served sentences under similar circumstances. See fn. 3, supra .
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Larry D. NICHOLS, Defendant-Appellant.
- Cited By
- 32 cases
- Status
- Published