UNITED STATES of America, Appellee, v. Frederick SMITH, Defendant, Appellant.
No. 07-1246.
United States Court of Appeals, First Circuit.
Heard June 7, 2007. Decided Aug. 21, 2007.
Before LYNCH, Circuit Judge, SELYA, Senior Circuit Judge, and LIPEZ, Circuit Judge.
The appeal is hereby dismissed.
J. Hilary Billings for appellant.
F. Mark Terison, Senior Litigation Counsel, with whom Paula D. Silsby, United States Attorney, was on brief, for appellee.
LIPEZ, Circuit Judge.
Under
The facts relevant to the appeal are undisputed. Appellant Frederick Smith was convicted in Vermont of conspiracy to distribute heroin. On November 25, 2002, he was sentenced to time served—fifty-five days’ imprisonment—and three years of supervised release. Subsequently, on November 18, 2004, jurisdiction over Smith‘s conviction was transferred from Vermont to Maine so that the United States Probation Office in Maine could supervise the conditions of his release.
Smith failed to report to his probation officer in Maine, in violation of a condition of his supervised release. On May 9, 2006, the government filed a petition to revoke his supervised release. Smith was arrested on May 17 pursuant to a warrant issued in connection with the petition. At a preliminary hearing the following day, the magistrate judge found probable cause to support the violation but ordered Smith‘s release conditioned on a $5000 bond and an agreement “to appear at all proceedings as required and to surrender for service of any sentence imposed.” Despite this agreement, Smith failed to appear at his final supervised release revocation hearing on July 7.
On October 27, in an information, the government charged Smith under
The district court held a joint sentencing hearing on the two violations. It determined that Smith‘s sentencing exposure for his failure to appear conviction should be based on
Applying the relevant provision of the Sentencing Guidelines, the court increased Smith‘s base offense level of six by nine levels. See
On appeal, Smith protests that the court erred in sentencing him for his failure to appear based on his prior conviction for conspiracy to distribute heroin. He contends that the relevant charge was that of violating a supervised release condition, which was punishable by two years of imprisonment, and thus his sentencing exposure should have been based on
Smith‘s challenge to his sentence presents a question of statutory interpretation, which we review de novo. See, e.g., United States v. Leahy, 473 F.3d 401, 405 (1st Cir.2007). Our analysis must begin with the statute itself. Section 3146 provides for punishment for a failure to appear as follows:
(b) Punishment.--
(1) The punishment for an offense under this section is--
(A) if the person was released in connection with a charge of, or while awaiting sentence, surrender for service of sentence, or appeal or certiorari after conviction for--
(i) an offense punishable by death, life imprisonment, or imprisonment for a term of 15 years or more, a fine under this title or imprisonment for not more than ten years, or both;
(ii) an offense punishable by imprisonment for a term of five years or more, a fine under this title or imprisonment for not more than five years, or both;
(iii) any other felony, a fine under this title or imprisonment for not more than two years, or both;
(iv) a misdemeanor, a fine under this title or imprisonment for not more than one year, or both....
(Emphasis added.) The government contends that the district court correctly held that Smith “was released in connection with a charge of” conspiracy to distribute heroin, which is “an offense ... punishable by a term of incarceration of 15 years or more.” Consequently, his punishment falls under
Smith then emphasizes that the charge “in connection with” which he failed to appear was the supervised release violation, not the previous heroin conspiracy charge. He explains that supervised release is not explicitly mentioned in
The fundamental problem with Smith‘s argument is its incompatibility with the language of
Smith argues that a felony is “classically defined” as an offense punishable by one year or more, while a misdemeanor is punishable by less than a year. See
Both parties have failed to point out that Congress has provided statutory definitions for the relevant terms.
We resolve that issue against Smith. First, there is no support for the proposition that a supervised release violation is a “criminal offense.” See Johnson v. United States, 529 U.S. 694, 700 (2000) (“Although [supervised release] violations often lead to imprisonment, the violative conduct need not be criminal and need only be found by a judge under a preponderance of the evidence standard, not by a jury beyond a reasonable doubt.“); United States v. Marvin, 135 F.3d 1129, 1138 n. 14 (7th Cir.1998) (“An individual‘s violation of the conditions of his supervised release is not a crime, but the violative conduct can constitute criminal behavior if it satisfies the elements of a particular offense.“); United States v. Green, 797 F.2d 855, 858 (10th Cir.1986) (“[A] violation of parole is not, in itself, a criminal offense.“). As noted in these precedents, the procedural mechanisms relating to a supervised release revocation hearing demonstrate that the alleged violation at issue in such a hearing is not a crime. Importantly, the standard of proof in a supervised release revocation hearing is a preponderance standard,
Also, in providing for the revocation of supervised release,
Finally, the violation of a supervised release condition is not a violation of an “Act of Congress.” In Smith‘s case, the condition that he report to his probation officer was incorporated in an order from a federal judge, and thus his failure to do so did not violate a congressional act. Of course, federal judges are statutorily required to order certain conditions in conjunction with supervised release. See
In light of the foregoing analysis, we conclude that the violation of a supervised release condition is not a “criminal offense” in violation of an “Act of Congress” that is “triable” in federal court. Thus, it cannot qualify as a felony within the meaning of
The dissent does not argue that our reading of the statute would produce an absurd result. Instead, it contends that our interpretation disregards Congress’ clear statutory intent, to which we owe deference if “the literal application of a statute will produce a result demonstrably at odds with the intentions of its drafters.” Griffin v. Oceanic Contractors, Inc., 458 U.S. 564, 571 (1982). This argument illustrates the danger of ignoring the plain language of a statute in favor of an attributed legislative intent divined by the court.
The dissent contends that “Congress‘s intent was plainly to create a hierarchy of penalties geared to the magnitude of the sentence that was at stake in connection with the proceeding for which the defendant failed to appear.” This statement of congressional intent is based on language that does not appear in the statute. The statutory language correlates the severity of the penalty with the seriousness of the charge “in connection with” which the individual “was released.” The statute does not correlate the severity of the penalty with the sentence at stake in the particular proceeding for which the defendant failed to appear. The language that Congress chose (“if the person was released in connection with a charge of“), by its plain terms, applies to an individual on supervised release in connection with the charge underlying the supervised release. On the theory that Congress means what it says, Congress’ intent was to link the potential severity of punishment for the failure to appear at a supervised release revocation hearing to the seriousness of the offense that originally led to the supervised release.5 Indeed, Congress might easily
The dissent cites the “perverse outcomes” that result from relying on the plain language of
Ultimately, as with any other sentence imposed pursuant to a statute that provides maximum penalties for particular crimes, the district courts may impose a below-Guidelines sentence, so long as the sentence imposed in a particular case is reasonable. See United States v. Booker, 543 U.S. 220, 261-62 (2005); United States v. Jimenez-Beltre, 440 F.3d 514, 518-19 (1st Cir.2006) (en banc), cert. denied, --- U.S. ----, 127 S.Ct. 928, 166 L.Ed.2d 715 (2007). Indeed, the district court in this case considered Smith‘s history and circumstances and concluded that a sentence substantially below the Guidelines range was appropriate. This sentence demonstrates that our adherence to the plain language of
Even if one thought that the result here was odd (and we do not), it is not our role to revise the plain language of the statute simply because we think that an alternative construction is more sensible. The dissent opts for a substantial rewriting of the statute, in the guise of interpretation, “as the defendant would have us construe
Given these considerations, and given the plain language of
Affirmed.
SELYA, Senior Circuit Judge, dissenting.
I agree with my colleagues that the language of
Judges are not mere grammarians, and the responsibility for statutory interpretation involves more than the application of hard-and-fast syntactical rules to isolated words and phrases. Thus, even plain meaning may succumb to some other, more realistic interpretation if that is necessary to effectuate Congress‘s discernible intent. See Holy Trinity Church v. Unit-ed States, 143 U.S. 457, 459 (1892) (“It is a familiar rule that a thing may be within the letter of the statute and yet not within the statute, because not within its spirit nor within the intention of its makers.“).7
In construing statutes, courts have some freedom to depart from literal meaning if doing so is necessary to preserve the statutory purpose. C.I.R. v. Brown, 380 U.S. 563, 571 (1965). As Justice Rehnquist once put it, “in rare cases the literal application of a statute will produce a result demonstrably at odds with the intentions of its drafters.” Griffin v. Oceanic Contractors, Inc., 458 U.S. 564, 571 (1982). When that occurs, “those intentions must be controlling.” Id. The trick, of course, is to recognize those rare cases.
Given the structure of the statutory scheme, I have come to conclude that this is one of them. Congress‘s intent was plainly to create a hierarchy of penalties geared to the magnitude of the sentence that was at stake in connection with the proceeding for which the defendant failed to appear. Had Congress actually considered the application of this statute to failures to appear at supervised release revocation hearings—which I doubt—I believe that it would have written the statute as the defendant would have us construe it.
Although the majority engages in a meticulous dissection of the vocabulary of the statute, the result of that exercise verges on the Kafkaesque. In this instance, I find such slavish devotion to literalism unwise and unwarranted.
The majority‘s reading of
Ignoring the structure and purpose of the statute, the majority insists that Congress must mean what the statute literally appears to say. To justify this wooden approach, it notes that the statute correlates the severity of the penalty with the seriousness of the charge “in connection with” which the individual “was released.” Ante at 32-33. From this, it leaps to the conclusion that Congress‘s intent must
It is a familiar canon of construction that words in a statute are to be interpreted in accordance with the company that they keep. See, e.g., James v. United States, --- U.S. ----, 127 S.Ct. 1586, 1605, 167 L.Ed.2d 532 (2007). Application of the phrase “released in connection with a charge of” therefore must be read in context.
Section (b)(1)(A) applies to failures to appear at hearings “if the person was released in connection with a charge of, or while awaiting sentence, surrender for service of sentence, or appeal or certiorari after conviction for [a particular offense].” The listing is chronological and the language, read literally, appears to apply only to failures to appear in proceedings occurring from the time that charges are brought through direct appeal or certiorari after conviction. There is no suggestion that the statute applies to proceedings that post-date conviction, sentencing, and appellate review. Under those circumstances, elevating literalism over practicalities and using the underlying offense to shape punishment in hearings unrelated to the original charge seems inconsistent with the precisely configured time frame of section (b)(1)(A).9
The majority further chides me for focusing on “the proverbial worst case scenario.” Ante at 32-33. It argues that under United States v. Booker, 543 U.S. 220, 261-62 (2005), district judges retain flexibility to impose below-guidelines sentences, thus foreclosing any concern for grossly disproportionate outcomes. This argument turns a blind eye to the likelihood that the majority‘s reading of the statute will make below-the-range sentences (like the one in the instant case) the norm rather than the exception. Something is quite wrong with that picture; the very fact that, under the majority‘s construction, a guidelines sentence will routinely result in a grossly disproportionate outcome renders that construction suspect. Cf. United States v. Rita, --- U.S. ----, 127 S.Ct. 2456, 2464-65, 168 L.Ed.2d 203 (2007) (“[I]t is fair to assume that the Guidelines, insofar as practicable, reflect a rough approximation of sentences that might achieve [18 U.S.C.] § 3553(a)‘s objectives.“).
Judge Learned Hand once wrote that, when construing statutes, “it is one of the surest indexes of a mature and developed jurisprudence not to make a fortress out of the dictionary.” Cabell v. Markham, 148 F.2d 737, 739 (2d Cir.1945). I fear that today‘s decision runs contrary to that wise advice and erects just such a semantic fortress. Left to my own devices, I would vacate Smith‘s sentence and remand for resentencing in accordance with what I perceive to be Congress‘s vividly clear intent.
I respectfully dissent.
Notes
(1) The punishment for an offense under this section is--
(A) if the person failed to appear for a proceeding for which the penalty at stake was--
(i) death, life imprisonment, or imprisonment for a term of 15 years or more; a fine under this title or imprisonment for not more than ten years, or both;
(ii) a term of five years or more; a fine under this title or imprisonment for not more than five years, or both;
(iii) a term of less than five years but more than one year; a fine under this title or imprisonment for not more than two years, or both;
(iv) a term of less than one year; a fine under this title or imprisonment for not more than one year, or both....
