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BY A CONVICTED FELON
Terry Blanet Hukill, a convicted felon, was arrested in October 2006 by the
Dallas Police Department for illegal possession of 21 firearms, including a
sawed-off shotgun. The arrest culminated an investigation by the Bureau of
Alcohol, Tobacco, Firearms, and Explosives (ATF) under a Project Safe
Neighborhoods program, a nationwide federal effort targeting gun crimes.
On December 14, 2007 U.S. District Judge Jane J. Boyle sentenced Hukill,
who pleaded guilty in September to possessing a prohibited firearm (sawed-
off shotgun) and possession of a firearm by a convicted felon, to fifteen
years in prison.
Because the “ACCA generally prohibits the [district] court from delving into
particular facts disclosed by the record of conviction,” Shepard, 544 U.S. at
17, both Taylor (jury verdicts) and Shepard (guilty pleas) adopted what the
Supreme Court called a “formal categorical approach,” Taylor, 495 U.S. at
600, “leaving the [district] court normally to ‘look only to the fact of
conviction and the statutory definition of the prior offense’.” Shepard, 544
U.S. at 17 (quoting Taylor, 495 U.S. at 602).
More recently the Supreme Court held that a state attempted burglary
conviction could be considered a “violent felony” under the ACCA. See:
James v. United States, 550 U.S. ___, 127 S. Ct. 1586 (2007). The Eighth
Circuit, in an en banc decision, followed the James “categorical approach”
to find that a state DWI conviction also constitutes a “violent felony” under
ACCA, even though a conviction under the state statute does not always
involve the actual driving of a vehicle while intoxicated. See: United States
v. McCall, 507 F.3d 670, 674 (8th Cir. 2007)(en banc)[“a charging paper
alleging the felony offense of driving while intoxicated should be construed
as referring to the dominant offense of driving while intoxicated”]. The
McCall court elaborated further that because “a guilty plea to [this charge]
without more, raises no inference that the offense was not a violent felony,”
and the record did not offer any indication that the defendant was not driving
a vehicle at the time he committed the DWI, the district court was correct in
its conclusion that McCall’s guilty plea to that offense constituted a violent
felony. Id., 507 F.3d at 675.
It should be pointed out at this juncture that both Taylor and Shepard
recognized “an exception to this ‘categorical approach’ . . . for ‘a narrow
range of cases’” where state law defines an offense more broadly than the
generic enumerated offense. See: Shepard, 544 U.S. at 17 (quoting Taylor,
495 U.S. at 602). When a state prior conviction results from a jury verdict,
the district court may look to “the indictment or information and jury
instructions” to decide if the jury was “actually required to find all the
elements of [the] generic [offense].” Taylor, 495 U.S. at 602. In cases
involving guilty pleas, the district court “is limited to the terms of the
charging document, the terms of a plea agreement or transcript of colloquy
between judge and defendant in which the factual basis for the plea was
confirmed by the defendant, or to some comparable judicial record of this
information” – all of which must show that the defendant “necessarily
admitted elements of the generic offense.” Shepard, 544 U.S. at 26. The
Eighth Circuit referred to this Taylor and Shepard approach as a “modified
categorical approach.” See: United States v. McCall (McCall I), 439 F.3d
967, 974 (8th Cir. 2006) (en banc).
Some federal appeal courts, however, have held that “another felony
offense” stated in § 2K2.1 requires a “distinction in time or conduct”
between the predicate offense and the possession of a firearm. See: United
States v. Fenton, 309 F.3d 825, 827-28 (3d Cir. 2002). In Fenton the
predicate offense was burglary of a sporting goods store. Id., at 826-27. The
defendant stole several firearms during that burglary. Id. The Third Circuit
reversed a district court finding that the burglary constituted “another felony
offense” and that the stolen firearms had been possessed “in connection
with” the burglary. Id. The Fenton court reasoned that the possession of a
firearm could not constitute an integral aspect of the burglary because if it
did, then the two offenses would have to be considered one and the same,
and, as such, the firearm possession could not be deemed “another felony
offense.” Id. The court summarized its holding by saying “a state law crime,
identical and coterminous with the federal crime, cannot be considered as
‘another felony offense’ within the meaning of the Sentencing Guidelines.”
Id., at 826.
But the federal circuits are sharply divided on this issue. Like the Third
Circuit, the Seventh Circuit has held that enhancement was improper under §
2K2.1(b)(6) for stealing firearms during the burglary of a pawn shop
because there was no separation of time or conduct. See: United States v.
Sanders, 162 F.3d 396, 399-400 (6th Cir. 1998). See also: United States v.
Szakacs, 212 F.3d 344, 351 (7th Cir. 2000)[conspiracy to steal firearms not
“sufficiently distinct” from firearms possession to be considered “another
felony offense”]. The Fifth and Eighth circuits, however, have reached
divergent conclusions. These circuits have ruled that a § 2K2.1(b)(6)
enhancement does indeed apply when a firearm is obtained as a result of a
burglary or theft. See: United States v. Luna, 165 F.3d 316, 323-24 (5th Cir.
1999); United States v. Kenney, 283 F.3d 934, 938-39 (8th Cir. 2002).
And the Third Circuit felt compelled to revisit and revise Fenton two years
after it was decided. See: United States v. Lloyd, 361 F.3d 197 (3d Cir.
2004). In Lloyd the defendant placed a bomb under the car of an intended
victim. He pleaded guilty to unlawful possession of a destructive device in
violation of 26 U.S.C. § 5861(d) and conspiracy to violate that provision in
violation of 18 U.S.C. § 371. Id., at 199. The district court found that the
defendant had possessed a firearm in connection with a state felony offense
of criminal mischief and applied the enhancement provisions of § 2K2.1(b)
(6). Id., at 199-200.
The Lloyd court rejected the narrower view of Fenton in favor of a “broader
analysis” of § 2K2.1(b)(6) under a “test” announced in Blockburger v.
United States, 284 U.S. 299 (1932). The Blockburger test permits
punishment under two criminal statutes based on the same conduct if each
offense requires proof of an element that the other does not. Id., 284 U.S. at
304. The Lloyd court said this analysis could also be applied to § 2K2.1(b)
(6) relative to “another felony offense” only if that offense and the firearm
possession offense each have one element the other does not. See: Lloyd,
supra, 361 F.3d at 200-01. See also: United States v. Purifoy, 326 F.3d 879,
880-81 (7th Cir. 2003)[holding that offense of assault, when committed with
firearm, could be “another felony offense” under § 2K2.1(b)(6)].
The Third Circuit last year seem to retreat even further from Fenton and
Lloyd. See: United States v. Navarro, ___ F.3d ____ (3d Cir. 2007, No. 05-
4102). The defendant in Navarro was involved in a police chase that resulted
in the crashing of his vehicle. He fled the scene only to be captured a short
time later. The police found a loaded, semiautomatic handgun on the roof of
the vehicle and a jacket that contained a quantity of marijuana and cocaine.
The defendant admitted to officers after his arrest that the handgun and
drugs belonged to him. Id. He stated that he had obtained the handgun in
2002 through a drug exchange (“three rocks” of crack for the gun). Id. He
was subsequently charged with one count of possession of a firearm by a
convicted felon under 18 U.S.C. § 922(g) and two counts of simple
possession of a controlled substances under 21 U.S.C. § 844(a). He pleaded
guilty to these offenses. A pre-sentence report recommended a four-level
enhancement under § 2K2.1(b)(6), citing the predicate offense as the simple
possession charges. Id.
The defendant’s attorney objected to the enhancement, pointing out that the
simple possession offenses were not a felonies under 21 U.S.C. § 844(a).
The government conceded this point but argued that a § 2K2.1(b)(6)
enhancement could apply because of the defendant’s admitted drug
distribution offense (the crack for the handgun), a felony under 21 U.S.C. §
841. The district court agreed and sentenced the defendant to 108 months in
prison. The Third Circuit noted, however, that since the defendant had an
actual prior 1996 drug conviction, his simple possession offenses were no
longer misdemeanors under § 844(a) and unquestionably could be utilized as
the predicate offense. Id.
“Judged by this standard, it is clear that the District Court properly applied
the enhancement under section 2K2.1(b)[6]. The predicate offense in this
case was drug distribution under 21 U.S.C. § 841(a), a ‘felony offense’
under the Guidelines.
“The offenses of drug distribution and firearms possession satisfy the first
part of the Lloyd standard, the Blockburger test. Dispensation of a controlled
substance is an element of drug distribution but not of firearms possession;
possession of a firearm is an element of firearms possession but not of drug
distribution. The two offenses each have an element not shared by the other
and therefore should be viewed as separate offenses for purposes of section
2K2.1(b)[6].” Id. (Internal citations omitted).
§ 921(a)(20) provides:
“(B) any State offense classified by the laws of the State as a misdemeanor
and punishable by a term of imprisonment of two years or less.
The United States Supreme Court in Beecham v. United States, 511 U.S.
368, 371 (1994) first interpreted this statutory provision to mean:
The Fifth Circuit in United States v. Daughtery, 264 F.3d 513 (5th Cir. 2001),
cert. denied, 2002 U.S. LEXIS 1121 had an opportunity to apply these two
Supreme Court decisions to a § 922(g) case in which the defendant was
convicted in Texas for delivery of marijuana and injury to a child, and was
imprisoned for those offenses. The Texas court released him and placed him
on “shock probation” for ten years. He was discharged by the court from that
probation in 1995. Id., at 514.
Citing United States v. Dupaquer, 74 F.3d 615, 617 (5th Cir. 1996), the Fifth
Circuit said that Texas law would determine whether Daugherty was a
convicted felon pursuant to § 922(g)(1). Id., at 515. Daugherty argued that
Tex. Code Crim. Proc. § 42.12(20)(a) (Vernon Supp. 2001) restored his civil
rights such that he no longer should be considered a “convicted” felon. Id.
The Fifth Circuit then outlined the legal issue squarely before the court:
The government argued that Tex. Penal Code Ann. § 46.04(a)(Vernon 2001)
prohibited Daugherty from possessing a firearm. Daugherty, on the other
hand, argued that under § 42.12(20) a person discharged from a probation is
no longer “convicted.” The Fifth Circuit noted that neither § 42.12(20) nor §
46.04 explains whether the “successful completion of probation supervision
renders one ‘no longer convicted’.” Id., at 516. The Fifth Circuit addressed
this statutory conflict as follows:
“In United States v. Morales, 854 F.2d 65, 68 (5th Cir. 1988), we noted
specifically that the successful completion of probation does not expunge a
conviction for purposes of § 922(g). We decided Morales two years after
Congress amended § 922(g) to include the ‘unless clause.’ Thus, under Fifth
Circuit precedent, Daugherty remained a convicted felon.
”The government also contends that the Concealed Handgun Act ("CHA"),
TEX. GOV'T CODE ANN. § 411.171(4) (Vernon Supp. 2001), prevents
Daugherty from owning a firearm. The government strongly relies on Tune
v. Tex. Dep't of Pub. Safety, 23 S.W.3d 358 (Tex. 2000), in which the
defendant was denied a license to carry a concealed handgun because he had
been convicted of a felony. See id. at 360. He argued that, because his
conviction had been was set aside under art. 42.12, § 20, he was no longer
‘convicted’ under the CHA. Id. at 363. The Texas Supreme Court, noting
that the CHA deemed a felon convicted ‘after an adjudication of guilt is
entered against him whether or not his sentence is subsequently probated
and he is discharged from supervision,’ id. (citation omitted), declared that
Tune was not eligible for a concealed-handgun license. Id. at 364. After
Tune, most Texas courts have held that a person applying for a concealed-
handgun license remains convicted for purposes of the CHA.
”Both § 46.04 and the CHA demonstrate the power of the legislature ‘to
regulate the bearing of arms, with a view to prevent crime.’ TEX. CONST.
art. I, § 3. Thus, Tune provides strong analogous support for affirming
Daugherty's conviction.
“(1) after conviction and before the fifth anniversary of the person's release
from confinement following conviction of the felony or the person's release
from supervision under community supervision, parole, or mandatory
supervision, whichever date is later; or
“(2) after the period described by Subdivision (1), at any location other than
the premises at which the person lives.
“(b) A person who has been convicted of an offense under Section 22.01,
punishable as a Class A misdemeanor and involving a member of the
person's family or household, commits an offense if the person possesses a
firearm before the fifth anniversary of the later of:
“(1) the date of the person's release from confinement following conviction
of the misdemeanor; or
“(2) the date of the person's release from community supervision following
conviction of the misdemeanor.
“(c) A person, other than a peace officer, as defined by Section 1.07,
actively engaged in employment as a sworn, full-time paid employee of a
state agency or political subdivision, who is subject to an order issued under
Section 6.504 or Chapter 85, Family Code, under Article 17.292 or Chapter
7A, Code of Criminal Procedure, or by another jurisdiction as provided by
Chapter 88, Family Code, commits an offense if the person possesses a
firearm after receiving notice of the order and before expiration of the
order.
For the State to obtain a conviction for the unlawful possession of a firearm
by a felon under § 46.04(a)(1), it must establish the following elements:
• a person
• who has been convicted of a felony
• possesses a firearm
• after conviction and before the fifth anniversary of the person’s
release from confinement following conviction of the felony or the
person’s release from supervision under community supervision,
parole, or mandatory supervision, whichever date is later.
See: Hunt v. State, 994 S.W.2d 206, 208 (Tex.App.-Texarkana 1999, pet.
ref’d).
Four years after this legislative amendment the Texas Court of Criminal
Appeals was called upon to answer that specific question: “Can a
successfully completed deferred adjudication be used to enhance punishment
for a later offense when the provision permitting such enhancement did not
exist at the time adjudication was deferred?” See: Scott v. State, 55 S.W.3d
593 (Tex.Crim.App. 2001).
The Court of Criminal Appeals refused to follow the lead of the Fifth Circuit
in Daugherty and Moosa by answering the question with a resounding “no.”
Id., at 594. The court of criminal appeals explained why:
“Under the Texas Penal Code enhancement scheme, a life sentence must be
assessed to a defendant who commits a sexual offense listed in § 12.42(c)(2)
(A) if that defendant has previously been convicted of a sexual offense listed
in § 12.42(c)(2)(B). When appellant pled guilty in 1991 to indecency with a
child, the deferred adjudication statute provided that a discharged deferred
adjudication would not be considered a conviction except in certain
enumerated circumstances:
”For the purposes of Subsection (c)(2): (1) a defendant has been previously
convicted of an offense listed under Subsection (c)(2)(B) if the defendant
was adjudged guilty of the offense or entered a plea of guilty or nolo
contendere in return for a grant of deferred adjudication, regardless of
whether the sentence was ever imposed or whether the sentence was
probated and the defendant was subsequently discharged from community
supervision.
”In the same bill that amended § 12.42, the Legislature also amended the
"disqualifications and disabilities" clause of Article 42.12, § 5(c) to
accommodate the change in § 12.42(g)(1): "Except as provided by Section
12.42(g), Penal Code, a dismissal and discharge under this section may not
be deemed a conviction for the purposes of disqualifications or disabilities
imposed by law for conviction of an offense" (1997 amendatory language
italicized).” Id., 595-96.
“The distinguishing factor in this case is the existence in the prior statute of
an explicit limitation on the collateral consequences of deferred
adjudication. The resolution of criminal charges will always carry the
possibility of collateral consequences, and as long as those consequences are
not statutorily restricted, disabilities and disqualifications which the
defendant might not have anticipated may proceed from the prior cause. But
when a statute explicitly restricts the collateral consequences of an offense,
the defendant is entitled to rely on that restriction. Punishment for the
offense is increased by the removal of the statutory restriction, and such an
increase in punishment constitutes an ex post facto law.” Id., 597-98
Other courts have followed the McNew lead. In Breedy v. State, 194 S.W.3d
595 (Tex.App.-Houston [1st Dist.] 2006) held that a criminal “conviction”
requires a judgment of guilt and an assessment of punishment. Id., at 599.
See also: Ex parte Evans, 964 S.W.2d 643, 646-47 (Tex.Crim.App. 1998);
Green v. State, 663 S.W.2d 134, 136 (Tex.App.-Houston [1st Dist.] 1983)[a
“deferred adjudication probation” is not an “adjudication of guilt” and is not
“equivalent of probation under article 38.29 of Code of Criminal Procedure”
(now rule 609).”]
The Donovan court held that “one of the signal benefits of deferred
adjudication” is that there is no “’finding or verdict of guilt’.” Id.
“At any time, after the defendant has satisfactorily completed one-third of
the original community supervision period or two years of community
supervision, whichever is less, the period of community supervision may be
reduced or terminated by the judge. Upon the satisfactory fulfillment of the
conditions of community supervision, and the expiration of the period of
community supervision, the judge, by order duly entered, shall amend or
modify the original sentence imposed, if necessary, to conform to the
community supervision period and shall discharge the defendant. If the
judge discharges the defendant under this section, the judge may set aside
the verdict or permit the defendant to withdraw his plea, and shall dismiss
the accusation, complaint, information or indictment against the defendant,
who shall thereafter be released from all penalties and disabilities resulting
from the offense or crime of which he has been convicted or to which he has
pleaded guilty, except that:
”(1) proof of the conviction or plea of guilty shall be made known to the
judge should the defendant again be convicted of any criminal offense; and
In Cuellar, over the opposition of the State, the Court of Criminal Appeals
interpreted § 42.12(20) in § 46.04(a) cases as follows:
“Once the trial court judge signs the Article 42.12, § 20, order, the felony
conviction disappears, except as specifically noted in subsections (1) and
(2). Under subsection (1), if the discharged person is subsequently convicted
of another criminal offense, the previously dismissed "former" felony
conviction will resurrect itself and be made known to the trial judge. Id.
Under subsection (2), if the discharged person is applying for a license to
run a child care facility or currently has such a license, the Texas
Department of Human Services, in issuing, renewing, denying, or revoking
such a license, may consider the fact that the person had previously received
community supervision. Id. Both of these exceptions make good sense. They
are, however, the only listed exceptions. The Legislature could add other
exceptions if it so chooses. For example, it could add a provision stating that
a person whose conviction is dismissed under Article 42.12, § 20, is still
considered a felon for purposes of carrying an otherwise legal firearm. 8
However, in the absence of such an exception, the clear language of Article
42.12, § 20, governs.” Id., at 820.
Therefore, while a person with a § 42.12(20) order may not be charged with
possession of a firearm by a convicted felon under § 46.04, he possibly
remains subject to prosecution under § 922(g) because of the interpretation
the Texas Supreme Court has attached to the term “convicted” under the
CHA. See: Daugherty, supra.
CONCLUSION