United States v. John Doe

980 F.2d 876, 1992 U.S. App. LEXIS 30885, 1992 WL 340134
CourtCourt of Appeals for the Third Circuit
DecidedNovember 24, 1992
Docket92-1218
StatusPublished
Cited by28 cases

This text of 980 F.2d 876 (United States v. John Doe) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. John Doe, 980 F.2d 876, 1992 U.S. App. LEXIS 30885, 1992 WL 340134 (3d Cir. 1992).

Opinions

OPINION OF THE COURT

NYGAARD, Circuit Judge.

The District Court denied appellant John Doe’s Motion for Expungement of the record of his conviction under the Federal Youth Corrections Act (FYCA), 18 U.S.C. § 5005 et. seq. (1976) (repealed 1984); reasoning that § 5021 of the FYCA did not authorize federal courts to expunge criminal records. Because we believe it within the court’s power to expunge his records, we will reverse and remand.

I.

While a college undergraduate student, Doe pleaded guilty to conspiracy to defraud the United States of $8,736.53 in student loan proceeds — a violation of 18 U.S.C. § 371. Specifically, Doe gained access to [877]*877his university’s computer system, enrolled in classes and gave himself grades and credit for classes he never attended — all while receiving federal financial assistance. He was sentenced to five years probation, conditioned on restitution within three years. Doe made full restitution within the three year period and the court ordered that he be “unconditionally discharged from probation” and that his conviction be “set aside.”

He returned to college, graduated with honors in engineering, and was offered a position with the Carolina Power and Light Company. A company security check disclosed Doe’s conviction, and that this conviction had been “set aside.” Nonetheless, the company withdrew its offer of employment. Doe now works for the GPU Nuclear Corporation. He was recommended by GPU for a Nuclear Regulatory Commission reactor operator’s license. The application form for this license inquired whether he had ever been convicted of violating a federal, state, county, or municipal law. He answered in the affirmative and the negative, and attached an explanation expressing his belief that the conviction had been expunged.

The NRC’s background investigation disclosed that the conviction was still on the government’s records; that the conviction was “set-aside;” and that Doe’s record is readily accessible to the public. Notwithstanding the criminal record, Doe was granted his operator’s license.1

Doe filed a Motion for Expungement.2 In it he indicated that he pleaded guilty believing that his record would be expunged once he completed his probationary period. Doe further contended that, although he has advanced in his career, further advancement is inhibited by the conviction record. The district court denied Doe’s motion because no express language in the statute authorizes an expungement.

Because this issue raises questions of statutory construction, our review is plenary. Wheeler v. Heckler, 787 F.2d 101, 104 (3d. Cir., 1986).

II.

A.

We have stated that “it is axiomatic that statutory interpretation properly begins with the language of the statute itself, including all of its parts. There is no need to resort to legislative history unless the statutory language is ambiguous.” Velis v. Kardanis, 949 F.2d 78, 81 (3d Cir.1991). See also Sacred Heart Medical Center v. Sullivan, 958 F.2d 537 (3d Cir.1992). We realize, however, that there are instances where language initially appears plain, but when applied to a particular situation may create an ambiguity. When that happens, the. Supreme Court has instructed that “words are inexact tools at best and for that reason there is wisely no rule of law forbidding resort to explanatory legislative history no matter how clear the words may appear on superficial examination.” Harrison v. Northern Trust Company, 317 U.S. 476, 479, 63 S.Ct. 361, 363, 87 L.Ed. 407 (1943). See also Association of Westinghouse Employees v. Westinghouse Electric Company, 348 U.S. 437, 444, 75 S.Ct. 489, 492, 99 L.Ed. 510 (1955) (legislative history should be examined to “see whether that history raises such doubts that the search for meaning should not be limited to the statute itself”).

B.

Section 5021 of the FYCA provides:

[878]*878(a) Upon the unconditional discharge by the commission of a convicted youth offender before the expiration of the maximum sentence imposed upon him, the conviction shall be automatically set aside and the commission shall issue to the youth offender a certificate to that effect.
(b) Where the youth offender has been placed on probation by the court, the court may, in its discretion unconditionally discharge such youth offender from probation prior to the expiration of the maximum period of probation theretofore fixed by the court which discharge shall automatically set aside the conviction, and the court shall issue to the youth offender a certificate to that effect.

18 U.S.C. § 5021 (West, 1976). (emphasis added.)

The issue is what “set-aside” means. The district court, while correctly noting that the issue is new to this circuit, reasoned literally that because Congress did not specifically use the word “expungement,” they did not intend to empower the district court with such a remedy. We disagree.

In our view, the term “set aside” is ambiguous. The statute does not define the term “set aside.” Since the statute does not offer a definition, and since the term has no common law connotation of which we are aware, it must be given its ordinary meaning. Chapman v. United States, — U.S.-,-, 111 S.Ct. 1919, 1925, 114 L.Ed.2d 524 (1991); Moskal v. United States, 498 U.S. 103,-, 111 S.Ct. 461, 468-70, 112 L.Ed.2d 449 (1990). Black’s Law Dictionary defines “set-aside” as “to reverse, vacate, cancel, annul, or revoke a judgment, order, etc.” Black’s Law Dictionary 1230 (5th ed. 1979). This definition is itself ambiguous since it encompasses the broad range of remedies from a reversal to an annulment. An “annulment” is closely aligned to an “expungement.” To “annul” is defined as

to reduce to nothing; annihilate; obliterate; to make void or of no effect. To annul a judgment or judicial proceeding is to deprive it of all force and operation, either ab initio or prospectively as to future transactions.

Id. at 83. When compared to the definition of the term “expunge” (“to destroy; blot out; obliterate; erase....” Id. at 522), the definition of “set aside” seems to encompass an expungement-like remedy. Further adding to the confusion, Webster’s Dictionary defines “set aside,” in part, as “to annul." Webster’s Dictionary Encyclopedic Edition 911 (1988 Edition). Because the term “set aside” connotes numerous and varying remedies, we deem it necessary to resort to the legislative history to define it.

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Bluebook (online)
980 F.2d 876, 1992 U.S. App. LEXIS 30885, 1992 WL 340134, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-john-doe-ca3-1992.