LACKAWANNA COUNTY DISTRICT ATTORNEY ET AL. v. COSS
No. 99-1884
SUPREME COURT OF THE UNITED STATES
Argued February 20, 2001—Decided April 25, 2001
532 U.S. 394
James V. Wade argued the cause for respondent. With him on the brief was Daniel I. Siegel.*
JUSTICE O‘CONNOR delivered the opinion of the Court, except as to Parts III-B and III-C.†
For the second time this Term, we are faced with the question whether federal postconviction relief is available when a prisoner challenges a current sentence on the ground that it was enhanced based on an allegedly unconstitutional prior conviction for which the petitioner is no longer in custody. In Daniels v. United States, ante, p. 374, we held that such relief is generally not available to a federal prisoner through a motion to vacate the sentence under
I
Respondent Edward R. Coss, Jr., has an extensive criminal record. By the age of 16, he had been adjudged a juvenile delinquent on five separate occasions for offenses including theft, disorderly conduct, assault, and burglary. See Record Doc. No. 101 (Pl. Exh. 5, pp. 4-6). By the time he turned 23, Coss had been convicted in adult court of assault, institutional vandalism, criminal mischief, disorderly conduct, and possession of a controlled substance. See id., at 6-7. His record also reveals arrests for assault, making terroristic threats, delivery of controlled substances, reckless endangerment, disorderly conduct, resisting arrest, retail theft, and criminal conspiracy, although each of those charges was later dropped. See ibid. A report generated by the Lackawanna County Adult Probation Office sums up the “one consistent factor in this defendant‘s life: criminal behavior, much of it being aggressive.” Id., at 8.
This case revolves around two of the many entries on Coss’ criminal record. In October 1986, Coss was convicted in Pennsylvania state court of simple assault, institutional vandalism, and criminal mischief. He was then sentenced to two consecutive prison terms of six months to one year. He did not file a direct appeal. See App. 54a; see also Tr. of Oral Arg. 28-29.
In June 1987, Coss filed a petition for relief from the 1986 convictions under the Pennsylvania Post Conviction Relief Act,
In 1990, after he had served the full sentences for his 1986 convictions, Coss was again convicted in Pennsylvania state court, this time of aggravated assault. He was sentenced to 6 to 12 years in prison, but successfully challenged this sentence on direct appeal because of a possible inaccuracy in the presentence report. App. 62a.
On remand, the court‘s first task was to determine the range of sentences for which Coss was eligible. In calculating Coss’ “prior record score“—one of two determinants of the applicable sentencing range, see
The court‘s next task was to choose a sentence within that range. In doing so, the trial court considered a number of factors, including “the seriousness and nature of the crime involved here, the well being and protection of the people
In September 1994, Coss filed a petition for a writ of habeas corpus under
In answer to Coss’
The District Court stated that Coss was arguing “that his current sentence [for the 1990 conviction] was adversely affected by the 1986 convictions because the sentencing judge considered these allegedly unconstitutional convictions in computing Coss‘s present sentence.” App. to Pet. for Cert. 105a-106a. Finding that “the sentencing judge... did make reference to the 1986 convictions in sentencing Coss,” id., at 107a, the court held that it could properly exercise jurisdiction under
The Court of Appeals for the Third Circuit, sitting en banc, agreed that “the sentencing court for the 1990 conviction took into consideration [Coss’ 1986] conviction[s],” and therefore that the District Court had jurisdiction over Coss’
The court then found that Coss had received ineffective assistance during his 1986 trial, and that there was “a reasonable probability” that but for the ineffective assistance, Coss “would not have been found guilty of assau[lt].” Id., at 462. The court remanded the case to the District Court, ordering that the Commonwealth be allowed either to retry Coss for the 1986 assault or to resentence him for the 1990 assault without consideration of the 1986 conviction. Id., at 467.
We granted certiorari to consider the threshold question that the District Court and Court of Appeals both resolved
II
A
The first showing a
We held that the respondent was not “in custody” on his 1958 conviction merely because that conviction had been used to enhance a subsequent sentence. Id., at 492. We acknowledged, however, that because his
Similarly, Coss is no longer serving the sentences imposed pursuant to his 1986 convictions, and therefore cannot bring a federal habeas petition directed solely at those convictions. Coss is, however, currently serving the sentence for his 1990 conviction. Like the respondent in Maleng, Coss’
B
More important for our purposes here is the question we explicitly left unanswered in Maleng: “the extent to which the [prior expired] conviction itself may be subject to challenge in the attack upon the [current] senten[ce] which it was used to enhance.” 490 U. S., at 494. We encountered this same question in the
We grounded our holding in Daniels on considerations relating to the need for finality of convictions and ease of administration. Those concerns are equally present in the
As we said in Daniels, “[t]hese vehicles for review ... are not available indefinitely and without limitation.” Ante, at 381. A defendant may choose not to seek review of his conviction within the prescribed time. Or he may seek review and not prevail, either because he did not comply with procedural rules or because he failed to prove a constitutional violation. In each of these situations, the defendant‘s conviction becomes final and the State that secured the conviction obtains a strong interest in preserving the integrity of the judgment. See ante, at 379-380. Other jurisdictions acquire an interest as well, as they may then use that conviction for their own recidivist sentencing purposes, relying on “the ‘presumption of regularity’ that attaches to final judgments.” Parke v. Raley, 506 U.S. 20, 29 (1992); see also Daniels, ante, at 380.
An additional concern is ease of administration of challenges to expired state convictions. Federal courts sitting in habeas jurisdiction must consult state court records and transcripts to ensure that challenged convictions were obtained in a manner consistent with constitutional demands. As time passes, and certainly once a state sentence has been served to completion, the likelihood that trial records will be retained by the local courts and will be accessible for review diminishes substantially. See Daniels, ante, at 379.
Accordingly, as in Daniels, we hold that once a state conviction is no longer open to direct or collateral attack in its own right because the defendant failed to pursue those remedies while they were available (or because the defendant did so unsuccessfully), the conviction may be regarded as conclusively valid. See Daniels, ante, at 382. If that conviction is later used to enhance a criminal sentence, the defendant
III
A
As in Daniels, we recognize an exception to the general rule for
As we recognized in Custis, the “failure to appoint counsel for an indigent [is] a unique constitutional defect...ris[ing] to the level of a jurisdictional defect,” which therefore warrants special treatment among alleged constitutional violations. See 511 U. S., at 496. Moreover, allowing an exception for Gideon challenges does not implicate our concern about administrative ease, as the “failure to appoint counsel... will generally appear from the judgment roll itself, or from an accompanying minute order.” 511 U. S., at 496.
As with any
B
We stated in Daniels that another exception to the general rule precluding habeas relief might be available, although the circumstances of that case did not require us to resolve the issue. See ante, at 383-384. We note a similar situation here.
The general rule we have adopted here and in Daniels reflects the notion that a defendant properly bears the consequences of either forgoing otherwise available review of a conviction or failing to successfully demonstrate constitutional error. See supra, at 403-404; Daniels, ante, at 381-383. It is not always the case, however, that a defendant can be faulted for failing to obtain timely review of a constitutional claim. For example, a state court may, without justification, refuse to rule on a constitutional claim that has been properly presented to it. Cf.
In such situations, a habeas petition directed at the enhanced sentence may effectively be the first and only forum available for review of the prior conviction. As in Daniels, this case does not require us to determine whether, or under what precise circumstances, a petitioner might be able to use a
Whatever such a petitioner must show to be eligible for review, the challenged prior conviction must have adversely affected the sentence that is the subject of the habeas petition. This question was adequately raised and considered below. As the District Court stated, Coss contended “that his current sentence [for the 1990 conviction] was adversely affected by the 1986 convictions because the sentencing judge considered these allegedly unconstitutional convictions in computing Coss‘s present sentence.” App. to Pet. for Cert. 105a-106a (emphasis added). The District Court and majority of the Court of Appeals agreed with Coss on this point. See id., at 107a; 204 F. 3d, at 459. Judge Nygaard, joined by Judge Roth, dissented to dispute the conclusion that the 1986 convictions had any effect whatsoever on Coss’ sentence for the 1990 conviction. Id., at 467-469.
C
After a careful examination of the record here, we are satisfied that the findings of the lower courts on this threshold factual point are clearly erroneous. Cf. Neil v. Biggers, 409 U. S. 188, 193, n. 3 (1972). We therefore conclude that respondent Coss does not qualify to have his
As we explain above, see supra, at 398-399, when Coss was resentenced on his 1990 conviction, he objected to the
In choosing a sentence for Coss within that range, the trial court considered several factors, including “the seriousness and nature of the crime involved here, the well being and protection of the people who live in our community, your criminal disposition, your prior criminal record, the possibility of your rehabilitation, and the testimony that I‘ve heard.” Record Doc. No. 101 (Pl. Exh. 3, at 26). Coss’ 1986 convictions are, of course, a portion of his criminal record. Thus, it is technically correct to say that the court “considered” those convictions before sentencing Coss. Cf. 204 F. 3d, at 459.
But it is a different thing entirely to say that the 1986 convictions actually increased the length of the sentence the court ultimately imposed. As the sentencing court told Coss, “I think that it‘s indicative that from your actions that you will continue to break the law unless given a period of incarceration.” Record Doc. No. 101 (Pl. Exh. 3, at 26). The “actions” to which the judge referred were obviously not limited to Coss’ criminal conduct in 1986, but Coss’ extensive and violent criminal record as a whole. We conclude, as Judge Nygaard did below, that the 1986 convictions are “such a minor component of [Coss‘] record that there is no question that the sentencing court, given its concerns, would have imposed exactly the same sentence” had those convictions been omitted from Coss’ record. 204 F. 3d, at 468 (dissenting opinion).
We note that the record does not explain why Coss’ ineffective assistance claim did not receive a timely adjudication
IV
The judgment of the United States Court of Appeals for the Third Circuit is therefore reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
JUSTICE SOUTER, with whom JUSTICE STEVENS and JUSTICE GINSBURG join, dissenting.
The error of Daniels v. United States, ante, p. 374, is repeated once more, and I respectfully dissent for reasons set out in my dissenting opinion in that case. There is a further reason to disagree with the majority here.
Although state law theoretically provided a procedure for respondent Coss to challenge his 1986 convictions, the provision has proven to be a mirage; Coss‘s challenge was filed and answered by the district attorney, only to disappear in the state-court system for almost 14 years, so far. This failure of state process leads the plurality to qualify its general rule against attacking predicates to enhanced sentences, by raising the possibility of such a challenge when the opportunity for attack under provisions of state law, timely invoked, has proven to be imaginary. Ante, at 405. The plurality then goes on to deny Coss the benefit of this exception on the ground that he cannot demonstrate that “the challenged prior conviction ... adversely affected the sentence that is
The issue of adverse effect was by no means adequately raised and considered by the Court of Appeals. The earlier convictions could have affected the later sentence in either of two ways: by subjecting Coss to a higher sentencing range or by being considered as a reason to give him a higher sentence than he would otherwise have received within a given range. It appears that the sentencing court did not treat the convictions as subjecting Coss to a higher range of potential sentence, but the District Court expressly found that the sentencing court considered the challenged convictions in sentencing Coss to the maximum sentence within the applicable range. App. to Pet. for Cert. 107a (“The sentencing judge, however, did make reference to the 1986 convictions in sentencing Coss to the top of the standard range for his 1990 aggravated assault conviction“). This finding was never challenged in the Court of Appeals,* which appeared to accept the District Court‘s finding as a matter of course. Id., at 11a (“We are satisfied that the sentencing judge ... took into consideration [Coss‘s 1986 conviction]“).
In holding the District Court‘s finding to be clearly erroneous, the majority is thus ruling on a matter in the first instance in derogation of this Court‘s proper role as a court of review. E. g., Glover v. United States, 531 U. S. 198 (2001);
JUSTICE BREYER, dissenting.
Because the Commonwealth has failed to argue in this Court that the trial court‘s consideration of respondent‘s 1986 convictions was harmless, and consequently, the issue has not been briefed, I would not overturn the Court of Appeals’ finding that respondent‘s sentence was enhanced based on the purportedly defective 1986 convictions. The Court of Appeals, however, operated under the belief that the Constitution generally requires
