United States v. McElroy , 24 F. App'x 886 ( 2001 )

F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS NOV 27 2001
TENTH CIRCUIT PATRICK FISHER
Clerk
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
Nos. 99-5154, 00-5036, 00-5116
v. (D.C. Nos. 89-CR-36-C, 99-CR-148E)
(N.D. Okla.)
J. GERALD MCELROY,
Defendant-Appellant.
ORDER AND JUDGMENT *
Before SEYMOUR, Circuit Judge, BALDOCK and BRORBY, Senior Circuit
Judges.
These consolidated appeals arise from criminal proceedings brought against
Joseph Gerald McElroy in 1989, in which he was convicted on twenty-six counts
alleging conspiracy, wire fraud, and misapplication of bank funds. In subsequent
years, Mr. McElroy was released from prison, reincarcerated for probation
violations, and released again. He now appeals his reincarceration for additional
This order and judgment is not binding precedent, except under the
*
doctrines of law of the case, res judicata, and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
probation violations, as well as his new sentence for failing to voluntarily
surrender in violation of 18 U.S.C. § 3146(a)(2). We reverse and remand with
respect to Mr. McElroy’s probation violation, and we affirm his sentence for
failure to appear.
On February 1, 1990, Mr. McElroy was sentenced to four years in prison on
Count One of the 1989 fraud charge. His sentences on the remaining counts were
suspended and he was placed on probation on those counts for a term of five years,
to begin upon the expiration of the sentence imposed on Count One. In 1996, his
probation was revoked just on Count Two and he was sentenced to three years in
prison on that count. The district court ordered that the remaining counts were to
become inactive under 18 U.S.C. § 3564(b) while Mr. McElroy served his sentence
on Count Two, and were to recommence upon his release from custody, with credit
for time served.
In 1999, Mr. McElroy’s probation on the remaining counts was revoked and
he was sentenced to five-year concurrent terms on those counts. The district court
authorized him to voluntarily surrender on August 30 at the designated prison
facility. Mr. McElroy did not appear on that date and was subsequently charged
with and convicted of failing to appear. He was given a sentence of twelve
months and one day, required by statute to be imposed consecutively to any other
sentence.
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In No. 99-5154, Mr. McElroy contends the district court did not have
jurisdiction to revoke his probation in 1999 because he had already completed his
probationary period by that time. Under 18 U.S.C. § 3565(c), the power of the
court to revoke a sentence of probation and impose another sentence extends
beyond the term of probation only if a warrant or summons has been issued prior
to the expiration of the probation period. Mr. McElroy argues that his period of
probation had expired prior to both the issuance of summons and the revocation
order, and that the court was therefore without power under section 3565(c) to
revoke his probation and impose another sentence.
In so doing, Mr. McElroy relies on 18 U.S.C. § 3564(b), which provides that
“[a] term of probation runs concurrently with any Federal, State, or local term of
probation, supervised release, or parole for another offense to which the defendant
is subject or becomes subject during the term of probation.” Mr. McElroy points
to material in the record submitted by the government with respect to his 1996
revocation proceeding which indicates that on October 18, 1992, he was released
from federal custody on Count One and began his probation on the remaining
counts. Rec., vol. I, doc. 219 at 1. Indeed, both the 1996 petition seeking
revocation of probation and the attached letter from Mr. McElroy’s probation
supervisor state that he was released and began probation on October 18, 1992.
Nonetheless, the 1996 order revoking probation on Count Two inexplicably states
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that Mr. McElroy did not begin service of his probation on Counts Two through
Twenty-six until August 5, 1993, some ten months later. The probation petition
filed in 1999 likewise simply states that he began serving his probation terms on
August 5, 1993. Mr. McElroy argues that these ten months would make the
difference in calculating whether he had completed his probation on Counts Three
through Twenty-six before May 12, 1999, the date on which the petition to revoke
probation on those counts was filed. 1
The government points out that Mr. McElroy did not raise this matter in the
1999 revocation hearing and in fact stipulated to the allegations in the revocation
petition which he now challenges. However, the government also recognizes that
“[c]hallenges to a district court’s subject matter jurisdiction may be raised at any
time,” and that “[s]ubject matter jurisdiction may not be conferred on a federal
court by stipulation, estoppel, or waiver.” United States v. Burch, 169 F.3d 666,
668 (10th Cir. 1999). We believe the record before us raises a fact question as to
1
Our review of the record has revealed several other instances in which the
same event was assigned different dates at different times by various government
officials. For example, the 1999 probation petition states that probation on
Counts Three through Twenty-six was tolled until February 20, 1997, while the
presentence report states that this probation was tolled until February 20, 1998,
and the parties agreed at the 1999 revocation hearing that the date should have
been October 20, although no year was specified. Similarly, the 1999 probation
petition states that Mr. McElroy’s supervision would expire September 1, 1999,
while the presentence report states that it would expire on December 30, 1999.
We are unclear whether these discrepancies might also be relevant to whether the
term of probation had expired prior to the revocation order.
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whether Mr. McElroy’s probation on Counts Three through Twenty-six had
expired prior to the revocation of his probation on those counts. We also conclude
that, under Burch, Mr. McElroy did not waive his challenge to the court’s
jurisdiction by failing to raise the matter earlier or by stipulating to the allegations
in the revocation petition. Accordingly, we grant the government’s request to
remand the matter to the district court for further factual development. 2
In Nos. 00-5036, 00-5116, Mr. McElroy challenges his sentence for failing
to appear. 3 He contends the district court erred in refusing to consider his belated
objections to the presentence investigation report.
After Mr. McElroy was convicted of failing to appear, the trial judge set his
sentencing for March 29, 2000. At the request of the probation office, sentencing
2
Mr. McElroy also argues that his counsel was ineffective in the 1999
revocation proceeding by failing to inquire into whether the probationary period
had been completed, and instead advising Mr. McElroy to stipulate to the
allegations in the revocation petition. Ineffective assistance claims brought on
direct appeal are presumptively dismissible because they require the development
of a factual record. See United States v. Gell-Iren, 146 F.3d 827, 831 (10th Cir.
1998). That is particularly true when, as here, the facts of the underlying claim
are themselves undeveloped. We therefore dismiss without prejudice Mr.
McElroy’s claim in Appeal No. 99-5154 that his counsel was ineffective with
respect to ascertaining whether his period of probation had expired and in
advising him to stipulate to the allegations in the petition.
3
He also challenges his conviction for failing to appear, arguing that his
counsel was ineffective in failing to present evidence to the jury or request a jury
instruction on his assertion that his probation period had expired prior to the
revocation of his parole. As with Mr. McElroy’s ineffectiveness claim in the
revocation proceeding, we dismiss the claim without prejudice as premature.
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was reset for May 9. On that date, at Mr. McElroy’s request, the judge gave him
twenty additional days to develop evidence with respect to his objections to the
presentence report and set his sentencing for June 6. Although Mr. McElroy’s
objections to the report were due on May 30, he did not submit them until June 6
about twenty minutes before the sentencing proceeding. The minute sheet reflects
that the court struck the objections as untimely, noting also that the court had
reviewed them and found them to have “no real merit.” Aplt. App. at 145.
Mr. McElroy contends the tardiness of his objections should not have been
fatal, pointing out that under the applicable rule “[f]or good cause shown, the
court may allow a new objection to be raised at any time before imposing
sentence.” Fed. R. Crim. P. 32(6)(D). He claims the court’s failure to address his
untimely objections left open the possibility that he was sentenced on the basis of
misinformation in violation of his right to due process.
Under Rule 32(6)(D), a sentencing court has discretion to consider
objections not raised in a timely manner when good cause is shown. See United
States v. Jones, 70 F.3d 1009, 1010 (8th Cir. 1995) (per curiam). See also United
States v. Chung, 261 F.3d 536, 539 (5th Cir. 2001) (citing cases). Because Mr.
McElroy has failed to provide us with the transcript to the sentencing proceeding,
we are unable to determine whether he provided good cause for his failure to
comply with the court’s deadline. We are thus unable to review the court’s
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exercise of discretion. We observe, however, that Mr. McElroy has not provided
this court any reason for his tardiness. Moreover, despite the sentencing court’s
decision to strike Mr. McElroy’s objections, the court nonetheless considered them
and found them to be without merit. We discern no ground for concluding the
district court abused its discretion.
In sum, in No. 99-5154, we VACATE the order revoking Mr. McElroy’s
probation and REMAND for further proceedings. In Nos. 00-5036, 00-5116, we
AFFIRM the conviction and sentence. The claims of ineffective assistance of
counsel raised in both appeals are DISMISSED without prejudice.
ENTERED FOR THE COURT
Stephanie K. Seymour
Circuit Judge
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