United States v. Teran ( 1996 )

UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
No. 96-50037
United States of America,
Plaintiff-Appellee,
VERSUS
Antonio A. Teran,
Defendant-Appellant.
Appeal from the United States District Court
for the Western District of Texas
October 18, 1996
Before SMITH and PARKER, Circuit Judges, and JUSTICE,* District
Judge.
PARKER, Circuit Judge:
Antonio A. Teran (“Teran”) has brought this appeal of his
probation revocation contending that the magistrate judge did not
have jurisdiction over the underlying crime for which he was
convicted and sentenced to probation. He bases his argument on his
characterization of his conviction as being for a felony, as
*
District Judge of the Eastern District of Texas, sitting by
designation.
opposed to a misdemeanor. Teran also contends that the original
conviction and subsequent probation revocation are void because the
case was not prosecuted by indictment as is required in felony
cases. In addition, Teran argues that the revoking court had an
insufficient evidentiary basis for revoking Teran’s probation and
also failed to consider the statutorily-required factors involved
in revocation and sentencing, rendering invalid the sentence
imposed upon revocation. We find that the magistrate judge had
proper jurisdiction over the underlying offense, and AFFIRM the
probation revocation and sentence.
FACTUAL AND PROCEDURAL HISTORY
In 1993, the defendant was charged by information with driving
while intoxicated (“DWI”) on a military base in violation of the
Assimilative Crimes Act (“ACA”), 18 U.S.C. § 13, incorporating Tex.
Rev. Stat. Ann. art. 6701L-1 (repealed) (West 1992 & Supp. 1996).
Teran waived his right to proceed before the district court and
consented to proceeding before a magistrate judge. Teran pleaded
guilty before a magistrate judge in a combined guilty plea and
sentencing hearing.
Under the Texas DWI statute, the DWI offense was classified as
a misdemeanor that carried a maximum penalty of two years
imprisonment. At the hearing, the magistrate judge stated that the
maximum penalty for Teran's offense was a one-year term of
imprisonment and/or a $2000 fine. Teran acknowledged his
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understanding of the maximum penalty for the offense. The
magistrate judge sentenced Teran to a two-year period of supervised
probation, a $200 fine, and a special assessment of $25.
In September of 1995, the Government moved to revoke Teran's
probation pursuant to Fed. R. Crim. P. 32.1 and 18 U.S.C. §
3565(a)(2), alleging that Teran had committed a second, state DWI
offense in 1994 and had also failed to report his arrest to his
probation officer, thereby violating the conditions of his
probation that he obey the law, refrain from excessive alcohol
consumption, and follow the instructions of his probation officer.
Following an evidentiary hearing before the magistrate judge,
the judge revoked Teran's probation and sentenced him to a six-
month period of incarceration. The magistrate judge determined
that the Government had proved by a preponderance of the evidence
that Teran committed the 1994 state DWI offense and that such a
probation violation warranted incarceration. In state criminal
court, a jury later acquitted Teran of the 1994 state DWI offense.
Upon appeal, the district court affirmed the revocation and
sentencing, as well as the magistrate judge’s jurisdiction over the
underlying offense, and Teran now appeals that judgment to this
court.
DISCUSSION
A. Felony or Misdemeanor?
Teran challenges the magistrate judge’s subject matter
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jurisdiction over his underlying conviction on the basis that his
DWI offense, assimilated into federal criminal law from Texas
criminal law, should be classified as a felony and not as a
misdemeanor.1 The issue of a lower court’s subject matter
jurisdiction is reviewed de novo. In re United States Abatement
Corp., 39 F.3d 563, 566 (5th Cir. 1994).
The issue under contention arises because when state law
offenses are imported into federal law through the ACA, they carry
punishment ranges sometimes at odds with the federal law’s
classification of offenses as either misdemeanors or felonies. The
characterization of such offenses becomes potentially problematic
when such offenses come before a magistrate judge, who does not
have jurisdiction over felonies, but over misdemeanors. See 18
U.S.C. § 3401. Federal law defines a misdemeanor as any offense
1
The Government contends that the issue of the magistrate judge’s
subject matter jurisdiction over the underlying conviction cannot be raised
in the context of an appeal of a probation revocation, but must be attacked
in a 28 U.S.C. § 2255 proceeding. This Court has previously addressed a
seemingly comparable problem in United States v. Francischine, in which we
decided that the validity of an underlying conviction cannot be challenged
in a probation revocation proceeding, but must be collaterally attacked in
a § 2255 proceeding. 512 F.2d 827 (5th Cir.), cert. denied, 423 U.S. 931,
96 S. Ct. 284, 46 L. Ed. 2d 261 (1975). However, that decision addressed
the appropriateness of a § 2255 proceeding for reasons other than
jurisdiction. Id. at 828-29. The question to be examined in Francischine
regarding the validity of the underlying conviction did not require a
revoking court to examine the competency of the convicting court to hear
the original case. A thorough search does not reveal a decision in any
circuit holding that the jurisdiction issue must be brought in a § 2255
proceeding. We decline to address this issue and assume for purposes of
this case that the appellant is not barred from raising the issue of
jurisdiction. The appellant loses either because his collateral attack
lacks merit or because he should attack the jurisdiction in a different
proceeding.
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other than one "punishable by death or imprisonment for a term
exceeding one year." See 18 U.S.C. § 1. In this case, state law
provides a range of punishment for the state DWI offense of up to
two years imprisonment. See Tex. Rev. Stat. Ann. art. 6701L-1
(repealed) (West 1992 & Supp. 1996). As the Government conceded in
its brief, Teran’s offense is a “two-year misdemeanor--a
contradiction in terms under the classification system for federal
offenses.”
The purpose of the Assimilated Crimes Act (“ACA”) is to
provide a set of criminal laws for federal enclaves by using the
criminal law of the local state to fill in the gaps in federal
criminal law. United States v. Brown, 608 F.2d 551, 553 (5th Cir.
1979). The ACA provides that an offender “shall be guilty of a
like offense and subject to a like punishment” as under state law.
18 U.S.C. § 13(a).
The appellant argues that state law fixes the range of
punishment under the ACA and that the state law’s punishment range
for this offense causes the offense to be a felony, over which the
magistrate judge lacked jurisdiction. The defendant also argues
that to treat the offense otherwise would be to expand
impermissibly the magistrate judge's jurisdiction, when Congress
has carefully limited their jurisdiction. The Government contends
that the Act's like punishment clause requires only analogous, and
not identical, penalties. This Circuit has already decided how to
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apply the state law’s punishment ranges for crimes incorporated
into federal law under the ACA. State law provides the range of
punishment, but in areas left to the discretion of a state judge,
the federal sentencing guidelines are to be used. United States v.
Marmolejo, 915 F.2d 981, 984 (5th Cir. 1990).
While it is clear that the sentencing judge’s discretion in
imposing a sentence under the ACA is to be guided by the federal
sentencing guidelines and not by any direction from the state, the
issue here is whether the ACA requires that the maximum punishment
range under state law be assimilated. In situations where
incorporation of state law through the ACA results in provisions
that conflict with federal policy, federal courts have declined to
adopt fully state law provisions. As this Court previously stated
in reviewing litigation concerning the ACA, “federal courts have
consistently declined to assimilate provisions of state law
through the ACA if the state law provision would conflict with
federal policy.” United States v. Davis, 845 F.2d 94, 99 (5th Cir.
1988) (citing United States v. Pinto, 755 F.2d 150, 154 (10th Cir.
1985); United States v. Vaughn, 682 F.2d 290, 294-95 (2d Cir.),
cert. denied, 459 U.S. 946, 103 S. Ct. 261, 74 L. Ed. 2d 203
(1982); United States v. Smith, 574 F.2d 988, 992-93 (9th Cir.),
cert. denied, 439 U.S. 852, 99 S. Ct. 158, 58 L. Ed. 2d 156 (1978);
United States v. Kendrick, 636 F. Supp. 189 (E.D.N.C. 1986)).
In United States v. Kelly, the Fourth Circuit faced the same
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jurisdictional question posed by this case. 989 F.2d 162 (4th
Cir.), cert. denied, 510 U.S. 854, 114 S. Ct. 158, 126 L. Ed. 2d
119 (1993). The defendant there, as here, was convicted before a
magistrate judge of a misdemeanor under state law, adopted into
federal law under the ACA, that carried a maximum state sentence
in excess of one year (eighteen months). The defendant there also
appealed on the basis that the magistrate judge lacked
jurisdiction, arguing that the ACA does not allow "selective
assimilation," that is, that the ACA's like punishment clause does
not permit the assimilation of a state crime without assimilating
all of the maximum punishment provided for that crime by state law.
The Fourth Circuit affirmed the conviction, relying on the
established exception to the ACA’s general policy against selective
incorporation of state criminal law in situations where state law
provisions would conflict with federal policy. Kelly, 989 F.2d at
164.
While the Fifth Circuit has not specifically addressed the
jurisdiction of magistrate judges under the ACA in the discussed
scenario, we have held that the ACA’s presumption against selective
assimilation is subject to the exception permitting federal courts
to decline full assimilation of state law on the basis of conflict
with federal policy. In United States v. Davis, we relied on the
principle that “state laws should be assimilated through the ACA in
light of federal policy concerns,” in holding that federal fine
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assessment provisions should apply despite their conflict with
state assessment provisions. 845 F.2d 94, 99 (5th Cir. 1988). The
term “like” in the like punishment clause was interpreted to
require punishment similar to that under state law. Id. The same
principle supports an assimilation of state law punishment ranges
in light of the federal policy of reliance on magistrate judges.
The Fourth Circuit aptly articulated such a federal policy basis as
relating to “the need to promote the efficiency of our federal
criminal process by permitting offenses of the type herein involved
to be tried by a Magistrate Judge and by not requiring all such
offenses to be tried before a federal District Judge. The need in
that regard underlies the Congressional determination to confer
certain jurisdiction upon Magistrate Judges and speaks for itself."
Kelly, 989 F.2d at 164.
Conflict between federal sentencing policy and state
sentencing law has also been found to be a valid basis for
exceptions to full assimilation of state law. In Pinto, Vaughn and
Smith, supra, the courts each rejected state provisions requiring
minimum incarceration prior to any parole, reasoning that the state
minimum-confinement provision conflicted with federal policy. See
also United States v. Pierce, 75 F.3d 173 (4th Cir. 1996)
(affirming imposition of supervised release for a term beyond the
maximum time allowed by state law for incarceration); United States
v. Reyes, 48 F.3d 435 (9th Cir. 1995) (affirming supervised
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release, an option unavailable under state law).
Federal law defines misdemeanor and felony according to the
punishment carried by the offense. See 18 U.S.C. § 1. In this
case, the magistrate judge specifically stated prior to sentencing
that the maximum sentence that he could impose was one year of
imprisonment, a period of time falling within his jurisdiction. A
maximum of one-year imprisonment was not a punishment range that
was violative of the ACA’s “like” punishment clause. On the basis
of the state punishment range’s conflict with federal policy, an
exception to the ACA’s customary full assimilation of state law is
permitted. The magistrate judge properly had jurisdiction over
Teran’s conviction.
B. Information versus Indictment
Teran argues that the convicting court’s failure to obtain an
explicit waiver of indictment deprived the court of jurisdiction to
accept his guilty plea. In the absence of a valid waiver, the lack
of an indictment in a felony prosecution is a defect affecting the
jurisdiction of the convicting court. United States v. Moore, 37
F.3d 169, 173 (5th Cir. 1994). Because it implicates jurisdiction,
whether an indictment was required is a question that this Court
reviews de novo. See United States v. Gaudet, 81 F.3d 585, 589 n.4
(5th Cir. 1996).
Appellant’s argument fails. If the offense for which Teran
was convicted was a felony, then an indictment or a waiver of an
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indictment would have indeed been required. See Fed. R. Crim. P.
7(b). However, since the offense was a misdemeanor, the conviction
could proceed by information as it did.
C. Sufficiency of the Evidence for Revocation
Teran contends that the evidence was insufficient to find that
he had been driving while intoxicated in violation of the
conditions of his probation and points to the fact that a jury
acquitted him of his 1994 state DWI charge. To obtain reversal of
a revocation order on the basis of evidentiary insufficiency, an
appellant must show clearly that the revoking court abused its
discretion. United States v. King, 990 F.2d 190, 193 (5th Cir.),
cert. denied, 510 U.S. 881, 114 S. Ct. 223, 126 L. Ed. 2d 179
(1993).
The revoking court must base a finding of a probation
violation on a preponderance of the evidence. United States v.
Grandlund, 71 F.3d 507, 509 n.2 (5th Cir. 1995), cert. denied, --
U.S.--, 116 S. Ct. 1031, 134 L. Ed. 2d 108 (1996), clarified by,
77 F.3d 811 (5th Cir. 1996). A review of the evidence demonstrates
that the revoking court properly found that it was more likely than
not that Teran committed the 1994 state DWI offense while on
probation. At the revocation hearing, he admitted to consuming
three beers a few hours before driving. There was testimony that
his breath smelled of alcohol, that he performed poorly on field
sobriety tests, and that he declined to take a breathalyser test.
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The revoking court did not believe Teran's explanations of
innocence and explicitly stated, "his testimony lacked
credibility." Regardless of his acquittal by a jury, the revoking
court had a preponderance of evidence before it to support the
finding of this probation violation.
D. Consideration of Statutorily-Required Factors
Teran argues that the magistrate judge did not properly
consider the factors set forth in 18 U.S.C. § 3553(a) in revoking
probation and imposing a sentence of incarceration. We will uphold
a sentence unless it (1) was imposed in violation of law, (2)
resulted from an incorrect application of the guidelines, (3) was
outside the guideline range and is unreasonable, or (4) was imposed
for an offense for which there is no applicable sentencing
guideline and is plainly unreasonable. United States v. Mathena,
23 F.3d 87, 89 (5th Cir. 1994). Because there are no applicable
guidelines for sentencing after revocation of probation, see
U.S.S.G. Ch.7, Pt.A.1 (“At this time, the Commission has chosen to
promulgate policy statements only.”), we will uphold Teran’s
revocation and sentence unless it is in violation of law or is
plainly unreasonable. See Mathena, 23 F.3d at 89. In making those
determinations, we review the lower court’s compliance with
sentencing statutes de novo. Id.
After finding that a defendant has violated a condition of
probation, a court must consider the factors listed in 18 U.S.C. §
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3553(a) in deciding whether to revoke probation and in determining
the particular sentence to be imposed. 18 U.S.C. § 3565(a).
Section 3553(a) enumerates the following factors: (1) the nature
and circumstance of the offense, and the history and
characteristics of the defendant; (2) the need for the sentence to
reflect the seriousness of the crime, provide adequate deterrence,
protect the public from the defendant, and provide effective
correctional treatment; (3) the kinds of sentences available; (4)
the types of sentences and the sentencing range established for the
offense; and (5) applicable policy statements. 18 U.S.C. §
3553(a). Teran argues that the record does not reflect a
consideration of the factors by the magistrate judge. He argues
that consideration of the factors might have produced a lesser
sentence, or an alternative punishment to his sentence of
confinement.
Implicit consideration of the § 3553 factors is sufficient.
See United States v. Whitebird, 55 F.3d 1007, 1010 (5th Cir. 1995).
The revoking court provided an explicit explanation for imposing
prison time at the revocation and sentencing hearing, pointing out
the severe risks and consequences of driving while intoxicated.
Also, the court listened to arguments for prison alternatives and
then responded and rejected such alternatives. The court evidenced
its consideration of the sentencing guidelines' policy statements
in imposing a six-month sentence of incarceration from the
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sentencing guidelines' range of three to nine months. In its
denial of Teran's motion for release pending appeal, the revoking
court explicitly stated that it considered all of the factors at
the time of revocation and sentencing.
The magistrate judge did much more than implicitly consider
the § 3553 factors and the appellant’s argument on this issue
fails.
CONCLUSION
For the foregoing reasons, we AFFIRM the lower court’s
probation revocation and sentence.
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