United States v. Pruitt
Full Opinion (html_with_citations)
ROGERS, J., delivered the opinion of the court, in which MOORE, J., joined. MERRITT, J. (pp. 426-31), delivered a separate dissenting opinion.
OPINION
In determining whether to apply the career offender provision of the United States Sentencing Guidelines, must the federal court take into account the defendantâs state criminal history (or lack thereof) at the time of his predicate North Carolina convictions? The answer is yes, given the particular characteristics of North Carolina sentencing law, in light of recent United States Supreme Court precedent.
After pleading guilty to one count of being a felon in possession of a firearm, in violation of 18 U.S.C. § 922(g), and one count of manufacturing marijuana, in violation of 21 U.S.C. § 841(a)(1), defendant Samson Pruitt was sentenced to 262 monthsâ imprisonment. During sentencing, the district court determined that Pruitt qualified as a career offender under the United States Sentencing Guidelines on the basis of two prior drug convictions that Pruitt had sustained in North Carolina, and for which Pruitt was sentenced to imprisonment for less than one year.
For a prior conviction to qualify as a predicate under the career offender guideline, U.S. S.G. § 4B1.1, the offense of conviction must have been âpunishable by death or imprisonment for a term exceeding one year.â U.S.S.G. § 4B1.2 cmt. n. 1. Under North Carolinaâs structured felony sentencing scheme, the maximum punishment authorized for Pruittâs prior offenses of conviction depended on Pruittâs state law âprior record levelâ at the time of each conviction. See N.C. Gen. St. § 15A-1 340.17(c)-(d). In determining whether Pruittâs prior convictions qualified as predicates, the district court did not consider Pruittâs prior record level, but rather con
I.
On June 23, 2005, federal and state agents, acting on information received from various sources, executed a search warrant at Pruittâs home. Upon entering the residence, officers found a large indoor marijuana growing operation. The search also yielded three firearms located in an upstairs closet and over 1,400 rounds of ammunition. After the officers read Pruitt his Miranda rights, Pruitt admitted that he had previously been convicted of felony marijuana charges, that he owned the marijuana operation, and that he was a regular user of marijuana and cocaine.
On July 1, 2005, Pruitt signed a written plea agreement and an agreed factual basis in which he admitted to growing an amount of marijuana in excess of 100 plants and to possessing the three firearms found in his home. Under the plea agreement, Pruitt agreed to plead guilty to one count of being a felon in possession of a firearm, in violation of 18 U.S.C. § 922(g)(1), and to one count of manufacturing marijuana, in violation of 21 U.S.C. § 841(a)(1). Pruitt later pled guilty to both counts in open court on July 11, 2005. Prior to entry of Pruittâs guilty plea, the government filed in open court, pursuant to 21 U.S.C. § 851(a), an information giving notice of its intent to seek an increased punishment under 21 U.S.C. § 841(b)(1)(B), on the basis that Pruitt had previously been convicted of felony drug offenses.
The probation department prepared a presentence report detailing Pruittâs exposure under the sentencing guidelines. With respect to the § 922(g) count, the report calculated a base offense level of 24 because Pruitt had two prior felony controlled substance convictions. This base offense level was increased by two levels because Pruitt possessed three firearms, resulting in an offense level of 26. With respect to the § 841(a)(1) count, the pre-sentence report calculated an offense level of 16. Under the guidelines grouping rules, this yielded a total combined offense level of 26. However, because Pruitt had previously been convicted of two prior felony controlled substance offenses in North Carolina, the presentence report concluded that Pruitt was a career offender under U.S. S.G. § 4B1.1. As a result, Pruittâs offense level was adjusted upward to 37. With a three-level downward adjustment for acceptance of responsibility, the report settled on an offense level of 34. Due to his status as a career offender, Pruittâs criminal history category was calculated to be VI. With the offense level of 34, this yielded an advisory guidelines range of 262-327 monthsâ imprisonment.
After receiving the presentence report, Pruitt filed an objection to its career offender determination. Pruitt asserted that the prior convictions relied upon in the report did not qualify as predicates under § 4B1.1 because those convictions were not for offenses âpunishableâ by a term of imprisonment exceeding one year. On July 10, 2006, the district court entered a written order overruling Pruittâs objection and concluding that the relevant prior offenses of conviction were qualifying predicates. The district court reasoned that the relevant North Carolina sentencing statute authorized a sentence of up to 15 monthsâ imprisonment for Pruittâs prior offenses of conviction, and that Pruittâs particular prior record level at the time of each conviction was irrelevant to the analysis.
II.
Because the district court did not account for Pruittâs prior record level under North Carolina law in determining whether Pruittâs two prior North Carolina convictions were âpunishable by ... imprisonment for a term exceeding one year,â Pruittâs sentence must be vacated and remanded. In the context of North Carolinaâs structured sentencing scheme, an offense of conviction is âpunishableâ for a term exceeding one year only if the state court could have sentenced a hypothetical defendant with the same prior record level as the defendantâs prior record level to a term exceeding one year.
Under U.S.S.G. § 4B1.1, a defendant qualifies as a career offender if, among other things, âthe defendant has at least two prior felony convictions of either a crime of violence or a controlled substance offense.â § 4Bl.l(a). In turn, § 4B1.2 defines âprior felony convictionâ to mean
a prior adult federal or state conviction for an offense punishable by death or imprisonment for a term exceeding one year, regardless of whether such offense is specifically designated as a felony and regardless of the actual sentence imposed.
§ 4B1.2 cmt. n. 1. The district court deemed Pruitt a career offender on the basis of two prior convictions that Pruitt sustained in North Carolina in 1998 and 2003. Both convictions were obtained pursuant to N.C. Gen. St. § 90-95(a)(l), which proscribes selling, manufacturing, delivering, or possessing with intent to sell, manufacture, or deliver, a controlled substance. Under § 90-95(b)(2), Pruittâs conduct with respect to both convictions was punishable as a Class I felony. Unlike many substantive criminal statutes, however, the relevant provisions of § 90-95 do not prescribe a statutory maximum punishment for the offense. Rather, the maximum punishment is determined by reference to the structured felony sentencing scheme set out in N.C. Gen. St. § 15A-1340.17.
Under § 15A-1340.17, unless otherwise provided in a statute prescribing a specific punishment, the statutory maximum sentence for any given felony offense is derived based on two factors: (1) the defendantâs âprior record levelâ as calculated under state law; and (2) whether the aggravated, presumptive, or mitigated sentencing range applies. See § 15A-1340.17(c)-(d). The defendantâs prior record level (I-VI) is generally determined by âcalculating the sum of the points assigned to each of the [defendantâs] prior convictions.â N.C. Gen. St. § 15A-1340.14(a). A sentence outside the presumptive range is permissible if the court determines that an aggravated or mitigated sentence is justified in light of the facts and circumstances of the case. § 15A-1340.17(c)(3)-(4). At the time of Pruittâs two convictions, North Carolina law permitted judicial fact-finding of the aggravating factors necessary to impose an aggravated sentence. See State v. Lucas, 353 N.C. 568, 548 S.E.2d 712, 731 (2001) (defining the statutory maximum for Apprendi purposes to include the aggravated sentencing range). In 2005, however, following Blakely v. Washington, 542 U.S. 296, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004), the North Carolina Supreme Court held that such judicial fact-finding violated the Sixth Amendment to the United States Constitu
The structure of the North Carolina scheme effectively tailors the statutory maximum punishment available to each individual defendant. For a Class I felony, a hypothetical defendant with the worst pri- or record level (VI) is subject to a maximum term of imprisonment of 15 months under the aggravated range. That same defendant is subject to a maximum sentence of 12 monthsâ imprisonment under the presumptive range, and to a maximum sentence of 10 months under the mitigated range. Conversely, a hypothetical defendant with the lowest prior record level (I) is subject to a maximum term of imprisonment of 10 months under the aggravated range. That same defendant is subject to a maximum sentence of 8 months under the presumptive range, and to a maximum sentence of 5 months under the mitigated range. See § 15A-1340.17(c)-(d).
In sentencing Pruitt as a career offender, the district court determined that both of Pruittâs prior North Carolina convictions were âpunishableâ by a term of imprisonment exceeding one year because a hypothetical Class I felon with the worst prior record level could be sentenced to 15 monthsâ imprisonment under the aggravated range. Pruitt contests this determination on appeal. He argues that his two prior North Carolina convictions do not qualify as predicates under the career offender guideline because, in light of his particular circumstances at the time of each conviction, he was not exposed to a sentence that exceeded one year of imprisonment. Pruitt bases this argument on three grounds, the third of which has merit. That is, the district court was required to consider Pruittâs prior record level at the time of his predicate convictions. Before reaching that ground, we dispose of Pruittâs first two contentions, which would require the district court to consider that Pruitt allegedly could not have been sentenced under the aggravated range in connection with his predicate convictions.
Pruittâs first contention is based on the fact that, for a Class I felony, a defendant may be sentenced to a term of imprisonment exceeding 12 months only if a sentence within the aggravated range is imposed. (Indeed, under the North Carolina scheme, a sentence exceeding one year is authorized for a Class I felony only if the defendant is subject to the aggravated sentencing range and has a prior record level of V or VI.) See § 15A-1340.17(c)-(d). Pruitt contends that, because aggravated sentences under the North Carolina scheme were precluded by the North Carolina Supreme Court in State v. Allen, his prior Class I felony convictions cannot possibly qualify as predicate convictions for purposes of § 4B1.1. But Pruittâs argument misreads Allen. It is true that, in Allen, the North Carolina Supreme Court held, following Blakely, that it is unconstitutional under the Sixth Amendment for a judge to find aggravating factors to enhance a sentence beyond the presumptive sentencing range. 615 S.E.2d at 264-66. However, the Allen decision did not altogether preclude the imposition of aggravated sentences in North Carolina. Pruittâs argument fails to account for the fact that judicial fact-finding is not the only means by which an aggravated sentence could be imposed. In fact, and as explicitly acknowledged in Allen, an aggravated sentence remains possible under North Carolina law in circumstances
Second, Pruitt argues that, in any event, there were no aggravating factors present with respect to his prior convictions. Accordingly, Pruitt contends that he could not have received a sentence within the aggravated range. But whether Pruitt was actually sentenced to the aggravated range or could have been sentenced to the aggravated range is not pertinent to the determination of whether his prior convictions were âpunishableâ by a term exceeding one year. Under North Carolina law, Pruitt could have faced the aggravating factors necessary to impose a sentence within the aggravated range. Consequently, under that regime, the presumptive sentencing range served as the functional equivalent of a âguidelines range,â above which the sentencing judge could depart under certain circumstances. Any such upward adjustment, however, could not exceed the maximum sentence authorized by the aggravated range. In effect then, the top of the aggravated range, and not the presumptive range, served as the âstatutory maximumâ for Pruittâs prior convictions, irrespective of whether an aggravated sentence was imposed in Pruittâs case. This conclusion is consistent with the Tenth Circuitâs holding in United States v. Norris, 319 F.3d 1278, 1281-82 (10th Cir.2003), that the possibility of an upward departure under Kansasâs sentencing scheme rendered a conviction punishable for more than one year for purposes of a 18 U.S.C. § 922(g) conviction, even though the defendantâs maximum presumptive sentence had been less than one year and no upward departure had been imposed.
Our conclusion above finds additional support in an analogous case in which the Supreme Court distinguished a state guidelines scheme from a state recidivism enhancement. In United States v. Rodriquez, â U.S. -, 128 S.Ct. 1783, 170 L.Ed.2d 719 (2008), the Supreme Court addressed the question of whether a statutory recidivism enhancement should be accounted for in determining, under the Armed Career Criminal Act (ACCA), the âmaximum term of imprisonment ... prescribed by lawâ for a prior offense of conviction. Id. at 1786-87. Although Rodriquez involved the ACCA rather than the career offender guideline, its analysis is nonetheless persuasive in this case. Under the ACCA, a prior conviction qualifies as a âserious drug offenseâ if â âa maximum term of imprisonment of ten years or more is prescribed by lawâ for the âoffense.ââ Id. at 1786 (quoting 18 U.S.C. § 924(e)(2)(A)(ii)). At the time of the defendantâs prior convictions, the relevant criminal statute prescribed a statutory maximum of five yearsâ imprisonment, but a second statutory provision provided for a recidivism enhancement that doubled the statutory maximum to ten years for a second or subsequent offense. Id. at 1786-87. In addition to the prescription of those maximum punishments in the relevant criminal statutes, Washingtonâs sentencing scheme featured a mandatory guidelines system under which a standard sentencing range was calculated. Id. at 1792. At the time of the defendantâs prior convictions, the sentencing judge had authority to
Though the criminal statute at issue in this case does not itself prescribe a statutory maximum term of imprisonment, Rodriquez remains instructive. Under North Carolina law, Pruitt faced a possible sentence above the presumptive range if aggravating factors were found. Still, any upward adjustment could not exceed the top of the aggravated range. Thus, the presumptive range in the North Carolina scheme that Pruitt faced was analogous to the standard sentencing guideline range described in Rodriquez. And the maximum aggravated sentence under the North Carolina scheme served as the âstatutory maximumâ because the judge could not impose a sentence above that maximum.
Pruittâs third and final argument, however, has merit. The district court erred in failing to account for Pruittâs prior record level at the time of his predicate convictions in determining whether those convictions qualified as predicates under § 4B1.1. As discussed, the maximum sentence authorized for a Class I felony depends on the prior record level of each defendant. A defendant who has a prior record of less than V cannot be sentenced to a term of imprisonment exceeding one year, regardless of whether he or she is sentenced in the aggravated, presumptive, or mitigated sentencing range. The use of a defendantâs prior record level in the determination of a maximum sentence reflects a clear legislative judgment to vary a defendantâs sentencing exposure based on criminal history. And unlike the imposition of an aggravated sentence, the determination of Pruittâs prior record level was not a matter left to the wide discretion of the sentencing judge.
Rodriquez provides persuasive authority in this regard. In holding that the recidivism statutory provision could be accounted for in determining the maximum term of imprisonment authorized for the offense, the Supreme Court clearly indicated that consideration of that enhancement was proper only in circumstances where the particular defendant actually faced the possibility of the enhancement. Rodriquez, 128 S.Ct. at 1791. In Part III.C. of the opinion, the Court addressed the defendantâs contention that making such a determination in every case would be difficult. The Court dismissed the defendantâs contention as âgreatly exaggerate^]â for a number of reasons, and concluded its discussion with an observation that âin those cases in which the records that may properly be consulted do not show that the defendant faced the possibility of a recidivist enhancement, it may well be that the Government will be precluded from establishing that a conviction was for a qualifying offense.â Id. The Courtâs observation clearly conveys its understanding that the recidivism enhancement can be accounted for in determining the âmaximum term of imprisonmentâ under the ACCA only if the particular defendant was subject to the enhancement. Indeed, although Rodriquez had been convicted under the same Washington statute three times, the government appeared to argue only that the latter two convictions should count for ACCA purposes. See id. at 1787 (âThe Government also argued that at least two of respondentâs Washington drug convictions were for âserious drug offense[s].â â). The governmentâs argument and the Courtâs analysis therefore accepted that Rodriquezâs first conviction under the same Washington statute was not a qualifying offense because, given Rodriquezâs criminal history, the first conviction was punishable by only five years in prison.
There is no reasonable basis on which to distinguish the North Carolina schemeâs consideration of a defendantâs prior record level and the recidivism enhancement provision at issue in Rodriquez. Under each, the prior criminal record of the defendant operates to increase the defendantâs sentencing exposure, reflecting a legislative judgment to authorize harsher criminal penalties for persons who have previously engaged in criminal activity. In Rodriquez, the Court made clear that two of the defendantâs prior Washington convictions carried a maximum sentence of ten years because the defendant himself was subject to the recidivism enhancement. In Pruittâs case, the relevant substantive criminal statute does not itself prescribe a maximum punishment. Instead, the maximum punishment is derived under the North Carolina structured scheme. Under that scheme, Pruittâs state prior record level dictates his sentencing exposure and, consequently, it must be considered in determining whether Pruittâs convictions were âpunishableâ for a term exceeding one year.
As expressed in Rodriquez, requiring the district court to consider a defendantâs prior record level will not significantly burden sentencing proceedings. In some cases, the defendantâs prior record level will be evident from the length of the sentence imposed. In others, the judgment of conviction or plea colloquy will list the prior record level. Finally, in those cases where the relevant records do not indicate the defendantâs prior record level, âit may well be that the Government will be precluded from establishing that a conviction was for a qualifying offense.â Id. at 1791.
For the foregoing reasons, Pruittâs sentence must be vacated and remanded. The record is not sufficient for this court to determine whether, at the time of each of Pruittâs two North Carolina convictions, Pruittâs prior record level was high enough to warrant a sentence exceeding one year. Additionally, the record indicates that the two convictions at issue here may not be the only prior convictions that potentially qualify as predicate convictions under § 4B1.1. For example, Pruitt has conceded that a prior drug conviction in Georgia qualifies as a prior felony conviction for purposes of the 21 U.S.C. § 841(b)(1)(B) enhancement, and also for purposes of his 18 U.S.C. § 922(g)(1) conviction. It is possible that this conviction, or others listed in the presentence report, might qualify as a predicate conviction for purposes of § 4B1.1. The district court may give further consideration to these matters on remand.
III.
In his brief, Pruitt asserts additional arguments related to his sentence. Although we vacate Pruittâs sentence, we address two of those arguments to provide guidance to the district court on remand.
The government tendered the § 851 information to the district court at the beginning of the rearraignment hearing, before Pruitt entered his guilty plea. Counsel for Pruitt acknowledged at the rearraignment hearing that she had previously received the § 851 information from the government, and stated that she had ânot been able to provide that [information] to [Pruitt], but I will lay it in front of him at this moment and he can review that.â Counsel also stated with respect to the information, âIf I could object, I would, Your Honor, but I canât.â Thereafter, Pruitt pled guilty to the 21 U.S.C. § 841(a)(1) offense. The clerk then docketed the § 851 information at 1:32 p.m.
As the government points out, this court and others have rejected arguments similar to Pruittâs. In United States v. Butler, 137 Fed.Appx. 813, 815-16 (6th Cir.2005), this court concluded in an unpublished decision that the requirements of § 851 were met where the government filed the information in open court prior to trial, but the clerk did not enter the information on the docket until after trial had begun. Because âboth the transcript of the pre-trial conference and the certificate of service on the § 851 informationâ indicated that notice was served prior to trial, the fact that the information was entered on the docket after trial was âimmaterial.â Id. at 816; see also United States v. Weaver, 905 F.2d 1466, 1481 (11th Cir.1990) (no § 851 violation where the information was docketed four days after trial commenced because the record indicated that counsel for defendant actually received the information before trial began). The transcript of the arraignment hearing in this case similarly indicates that Pruitt and his counsel received the information at the rearraignment hearing prior to his plea of guilty. Thus, Pruitt had âreasonable notice and an opportunity to be heard regarding the possibility of an enhanced sentence,â see United States v. Pritchett, 496 F.3d 537, 548 (6th Cir.2007) (quoting United States v. King, 127 F.3d 483, 489 (6th Cir.1997)), and it is immaterial that the clerk entered the information on the docket after Pruitt pled guilty. Because Pruitt received sufficient notice under 21 U.S.C. § 851(a), the district court is not precluded, on § 851 notice grounds, from applying an offense level of 37 under § 4B1.1 if it determines that the career offender enhancement applies.
Second, Pruitt contends that his due process rights were violated because he was not provided with sufficient notice that he was subject to the career offender enhancements under the sentencing guidelines. This argument is also unavailing. As part of his argument, Pruitt contends that due process requires that the notice
IV.
For the reasons stated in Part II, supra, we vacate Pruittâs sentence and remand for resentencing consistent with this opinion.
. As noted above, a defendant's prior record level is generally determined by âcalculating the sum of the points assigned to each of the [defendant's] prior convictions.â § ISA-1340.14(a). Prior to the 2005 amendments to the North Carolina sentencing scheme, a sentencing judge could, under limited circumstances, assess prior record level points based on its own findings of facts other than the fact of prior conviction. Points could be assessed if the offense was committed while the defendant was (1) on probation, parole, or post-release supervision, or (2) serving a sentence of imprisonment or on escape from a correctional institution. See § 15A-1340.14(b)(7). These circumstances involve facts closely related to the fact of prior conviction, and thus do not involve the sort of discretion associated with judicial fact-finding of aggravating factors. The 2005 amendments now require § 15A-1340.14(b)(7) facts to be found by a jury or admitted by the defendant. See § 15A-1340.16(a5).
. We also note that the presentence report assessed a base offense level of 26 for Pruittâs § 922(g) conviction by relying, in part, on the same two prior North Carolina convictions that it relied on in assessing the career offender enhancement. The relevant guideline for the § 922(g) conviction, U.S.S.G. § 2K2.1, defines âfelony convictionâ in terms almost identical to the definition of âprior felony convictionâ in § 4B1.2. See § 2K2.1 cmt. n. 1; § 4B1.2 cmt. n. 1. Thus, on remand, the analysis with respect to § 4B1.1 appears to apply with equal force to the determination of Pruittâs sentencing exposure under § 2K2.1.
. In addition to the arguments discussed here, Pruitt asserts other arguments related to the reasonableness of his sentence. In light of the remand, there is no reason to address those arguments.