STATE of Florida, Petitioner,
v.
Ransom Louis COLLINS, Respondent.
Supreme Court of Florida.
*986 Bill McCollum, Attorney General, Tallahassee, Florida, and Robert J. Krauss, Assistant Attorney General, Bureau Chief, and Ronald Napolitano, Assistant Attorney General, Tampa, FL, for Petitioner.
James Marion Moorman, Public Defender, and Tosha Cohen, Assistant Public Defender, Bartow, FL, for Respondent.
CANTERO, J.
We must decide whether, when a criminal sentence is reversed on appeal because of insufficient evidence of the defendant's habitual offender status, upon remand for resentencing the State may present new evidence on that issue. We review Collins v. State,
I. THE DECISIONS IN CONFLICT
The respondent, Ransom Louis Collins, pled no contest to robbеry. The State sought to sentence him as a habitual felony offender. To that end, at sentencing it presented evidence of several previous felony convictions. Defense counsel argued, however, that the evidence failed to demonstrate that his prior convictions were "separately sentenced," as the habitual offender statute, section 775.084(5), Florida Statutes (2001), requires.[1] The trial court *987 overruled the objection and sentenced Collins as a habitual felony offender to twenty years in prison.
On appeal, the Second District reversed the sentence because the State presented insufficient evidence establishing the predicate convictions. As the court noted:
[T]he State concedes that the documents presented to the trial court failed to preclude the possibility that all of Collins's prior felony offenses were originally sentenced on the same date. Although the record contains evidence that Collins has been convicted of a number of felonies, many of the documents used as evidence of convictions were in fact orders that revoked probation. The orders revoking probation do not disclose when Collins was originally sentenced to probation, only the date of revocation.... The State concedes that where probation was imposed and subsequently revoked with the imposition of a prison sentence, the date of the original imposition of probation is the date that must be used in determining whether the offense was separately sentenced under section 775.084(5).
Collins,
The Second District's holding conflicts with the law in the majority of districts. The court certified conflict with decisions of the First, Fourth, and Fifth District Courts of Appeal, which allowed the State to prove the predicate convictions on remand even though the defense had objected at sentencing. Id. at 594; see Wilson,
II. ANALYSIS
Before addressing the conflict issue, we must note the issues we do not resolve. The State has conceded that the evidence at sentencing was insufficient to sentence Collins as a habitual felony offender. Thus, the sufficiency of the evidence is not before us. Likewise, in Bover, we held that when the defense fails to object to the sufficiency of the evidence, the State may present additional evidence of habitual felony offender status. See Bover,
What we do address is the narrow question left open in Bover: when the defendant does object at sentencing to the sufficiency of the State's evidence supporting the habitual felony offender sentence, and on appeal the district court reverses on that basis, on remand for resentencing may the State present new evidence that the defendant is a habitual felony offender? Our answer is yes. We hold that because resentencing is a de novo proceeding, on remand the Statе may present additional evidence to prove that the defendant qualifies for habitual felony offender sentencing.
In the following discussion, we: (A) explain that a resentencing is a de novo proceeding; (B) discuss the inapplicability of our decision in Shull v. Dugger,
A. Resentencing as a New Proceeding
In both capital and noncapital cases, we have held that resentencing is a new proceeding. In death penalty cases, we have stated that "[t]he basic premise of sentencing procedure is that the sentencer is to consider all relevant evidence regarding the nature of the crime and the character of the defendant to determine appropriate punishment." Wike v. State,
The principle of de novo sentencing often benefits the defendant. See, e.g., Galindez,
We have also recognized that because a resentencing is a new proceeding, the court is not limited by the evidence originally presented. See Lucas v. State,
Our decision in Mann illustrates this principle. At Mann's original capital sentencing *990 proceeding, the State introduced a Mississippi burglary conviction and presented testimony from the victim that Mann committed sexual battery.
Our remand directed a new sentencing proceeding, not just a reweighing. In such a proceeding both sides may, if they choose, present additional evidence. Moreover, as we stated previously: "We are not presented with a copy of the Mississippi charge document and, thus, cannot determine whether it alleged, and the jury convicted him of, a breaking with intent to commit a crime of violence." The state remedied this omission on resentencing, and the proofthe indictment, the conviction, and the victim's testimonyestablishes a prior conviction of a violent felony.
Id. (citation omitted) (quoting Mann,
As we did in Mann regarding evidence establishing an aggravating factor (a case with the ultimate stakes for the defendant), we conclude that because a resentencing is a new proceeding, the State may present additional evidence on remand to prove the defendant qualifies for habitual felony offender sentencing. Our decision furthers the purpose of the habitual felony offender statute. See Richardson,
B. Shull Does Not Apply
Collins argues that our decision in Shull,
Before Shull, we had decided Whitehead v. State,
Subsequently, in Shull, the defendant was sentenced to a ten-year departure sentence based solely on the habitual offender statute.
Collins argues that the situation here is similar to departure sentencing. As noted above, in those situations, when the reasons supporting a departure sentence are found invalid on appeal, the trial court may not impose a departure sentence on remand. This line of cases is distinguishable, however. To begin with, Shull no longer applies to habitual felony offender sentencing. The legislature has amended section 775.084 to specify that a habitual felony offender sentence is not subject to the sentencing guidelines. It also amended section 775.084 to delete the requirement that the trial court determine "if it is necessary for the protection of the public to sentence the defendant to an extended term." See Ch. 88-131, § 6, at 708-09, Laws of Fla.; § 775.084(4)(h), Fla. Stat. (2001) ("A sentence imposed under this section is not subject to s. 921.002."). Habitual offender sentencing is now separatе from both the sentencing guidelines and sentencing under the Criminal Punishment Code. See Bateman v. State,
Even if the statutes had not been amended, the underlying reason for our decision in Shullpreventing after-the-fact justifications for a previously imposed departure sentenceis not implicated here. See Jones,
C. Double Jeopardy
Our decisiоn does not implicate double jeopardy concerns either. We have noted that "[t]he guarantee against double jeopardy consists of three separate constitutional protections: `It protects against a second prosecution for the same offense after acquittal. It protects against a second prosecution for the same offense after conviction. And it protects against multiple punishments for the same offense.'" Lippman v. State,
In almost identical circumstances, the United States Supreme Court has held that allowing the introduction of additional evidence at resentencing does not implicate double jeopardy concerns. See Monge v. California,
*993 We have held that where an appeals court overturns a conviction on the ground that the prosecution proffered insufficient evidence of guilt, that finding is comparable to an acquittal, and the Double Jeopardy Clause precludes a second trial. Where a similar failure of proof occurs in a sentencing proceeding, however, the analogy is inapt. The pronouncement of sentence simply does not "have the qualities of constitutional finality that attend an acquittal."
Id. at 729,
Like the United States Supreme Court, we find that the Double Jeopardy Clause does not preclude granting the State a second opportunity to demоnstrate that Collins meets the criteria for habitualization. A second attempt to prove the criteria for an enhanced sentence does not equate to "a second prosecution for the same offense after acquittal." Lippman,
D. Due Process
The final issue is whether granting the State a second opportunity to demonstrate that Collins meets the criteria for habitualization violates due process. We hold that it does not. Certainly, due process principles apply to a resentencing. See Griffin v. State,
Here, Collins was originally sentenced as a habitual felony offender and has yet to be resentenced (we stayed the district court's mandate). As long as the sentence imposed following resentencing is not more severe, the presumption of vindictiveness does not arise. Trotter,
III. CONCLUSION
For the reasons stated, we hold that when a habitual offender sentence is reversed because of insufficient evidence, on remand for resentencing the State may again attempt to prove that the defendant meets the critеria for such sentencing. We therefore approve the decision of the Second District reversing Collins's sentence, but quash the decision to the extent it precludes the State from introducing additional evidence on remand. On that issue, we approve the conflicting decisions in Wilson, Cameron, Morss, Roberts, and Brown.
It is so ordered.
WELLS, PARIENTE, and BELL, JJ., concur.
PARIENTE, J., concurs with an opinion.
ANSTEAD, J., dissents with an opinion, in which LEWIS, C.J., and QUINCE, J., concur.
QUINCE, J., dissents with an opinion, in which LEWIS, C.J., and ANSTEAD, J., concur.
PARIENTE, J., concurring.
While I have considered the dissenting positions of both Justice Anstead and Justice Quince, I conclude that the bases of their dissents are not jurisprudentially sound in this case. Contrary to Justice Anstead's broad assertions analogizing what has occurred here to the State's failing to prove an essential element in the guilt phase, there are important distinctions between the guilt and sentencing phases of a criminal proceeding. As Justice Cantero has articulated in the majority opinion, although double jeopardy concerns prohibit the State from getting a second bite at the apple after it has failed to prove an essential element of a crime during the guilt phase, these same concerns do not bar the State from attempting to prove a prior conviction at a resentencing proceeding. Majority op. at 992-93.
In fact, in Trotter v. State,
Even more persuasive is the majority's reliance on Monge v. California,
Although we did not discuss the concepts of double jeopardy or due process in our decision in Bover v. State,
I agree with the majority's reasoning in extending Bover to circumstances where there is an objection, which will give the State the opportunity on remand to establish that the sequential conviction requirement has been met. In sentencing, we must balance the interests of the defendant against the interests of society. Because one of the interests is fairness to the defendant, our rules of procedure have allowed an illegal sentence to be corrected at any time, trumping our usual concerns about finality. Undoubtedly, we have attempted over the years to encourage that all sentencing errors be brought to the trial court's attention at the earliest opportunity in order to benefit the defendant. See Maddox v. State,
I also acknowledge the issue raised in Justice Quince's dissent about the waste of judicial resources in cases where the State has failed to get it right the first time. Indeed, Justice Quince cites an impressive number of cases in which the sentence was reversed because prosecutors arrived at sentencing without the proof required by statute. Dissenting op. at 998-1000 (Quince, J.). However, although we would hope that the State would take all steps to prevent the need for resentencing, I also *996 believe that society's interest in having a habitual offender sentence imposed where the defendant meets the criteria of the predicate offenses outweighs the defendant's interest in finality in these circumstances.
Furthermore, because I believe the Court's holding is narrow, namely, that the State is permitted on remand "to present additional evidence to prove that the defendant qualifies for habitual felony offender sentencing" even though Collins objected, concerns over vindictive sentencing, another constitutional consideration, are not present. Howеver, as noted by the majority and discussed in more detail in Trotter, it is still possible for the presumption of vindictiveness to arise if the trial court imposes a greater sentence on remand than Collins originally received. Majority op. at 993. Thus, I recognize the concerns raised by Justice Anstead in his dissent, and therefore would not foreclose the possibility of a constitutional challenge in other circumstances where the State's conduct on resentencing has not comported with fundamental notions of fairness.[7] In my view, however, allowing the State another opportunity to establish the defendant's predicate convictions at resentencing does not violate such principles.
In sum, although I am hesitant to state that fundamental fairness considerations might never dictate a different result, I discern no constitutional bar or other public policy reason for arriving at a contrary result in these circumstances. Therefore, I concur in the Court's decision today but strongly urge the State to do its homework and always come to court adequately prepared to lay the necessary foundation for habitual offender sentencing and other related sentencing issues.
ANSTEAD, J., dissenting.
I concur in Justice Quince's dissent and would affirm the Second District's decision not to grant the State a second opportunity to prove its case by producing new evidence.
Some cases cry out for resolution by application of the most basic and fundamental rules of criminal trial procedure. There can hardly be a more fundamental principle of law than the rule that the party making an affirmative assertion assumes the burden of proving that assertion. The corollary to this rule, of course, is that when that party fails to carry that burden the affirmative assertion fails. We need not, and should not, look beyond this fundamental principle in resolving this case.[8]
*997 Here, there is no dispute that the State had the burden of proof to demonstrate, by evidence properly admissible under the rules of evidence, that the defendant met the legal requirements for a more severe sentence than would normally be allowed, in this case by imposition of the habitual felony sentencing scheme. And there is no dispute that the State failed to carry that burden. That should be the end of the matter, and would, if this Court properly applied the fundamental rule of burden of proof. As Judge Canady explained in his opinion for the Second District:
The State requests that we remand this case to permit it an opportunity to produce new evidence that Collins qualifies for a habitual felony offender sentence. In the sentencing proceeding, Collins's counsel specifically objected that the documents offered by the State failed to demonstrate a sufficient number of separately sentenced prior felony convictions. In previous cases, when an appropriate objection to a habitual felony offender sentence was presented in the trial court at sentencing, this court has not afforded the State a secоnd opportunity on remand to demonstrate that the defendant meets the habitual felony offender criteria. See Wallace v. State,835 So.2d 1281 (Fla. 2d DCA 2003); Rivera v. State,825 So.2d 500 (Fla. 2d DCA 2002); Reynolds v. State,674 So.2d 180 (Fla. 2d DCA 1996). Accordingly, we remand for resentencing under the Criminal Punishment Code.
Collins v. State,
After all, the majority seems to imply, the records offered by the State indicate the defendant may appear to be eligible for habitual offender sentencing, so why should we let the State's mistaken understanding of our evidence law stand in the way? This time, the State and its advocates assert, we will get it right. Well, the reason we should not afford the State a second chance to prove its case is that we are obligated to apply the rule of law consistently and uniformly to all parties. And the rule of law that we should be applying today is the rule that the State had the burden at the sentencing hearing to establish, by properly admissible evidence, that the defendant qualified for and should receive a more severe sentence under the habitual offender scheme. The State, of course, like the defendant and all other parties to litigation, is charged with knowing that it had the burden of proof and knowing the rules of evidence.[9]
Imagine a case where the State puts on a single witness to prove a crime but the evidence of the witness is all improper hearsay gathered by the witness in a conversation with an eyewitness. In reversing a conviction based upon such evidence, surely no appellate court would permit the State a second chance to prove its case, *998 this time to call the eyewitness. It is pure sophistry to suggest that the State's burden of proof at the sentencing hearing to invoke the habitual sentencing scheme by the use of proper and sufficient evidence should be treated any differently than its burden to prove the commission of an offense by properly admissible evidence. Since when do we treat errors in complying with the evidence code and the admission of evidence as somehow entitling the party bearing the burden of proof to a second chance if the evidence presented is found deficient or insufficient?
Oh, there could be a difference if we take a seductive and tempting glance at the defendant's record and the possibility of the State offering new evidence and correcting its mistakes at a second hearing. But we cannot properly look beyond the record in this case to speculate that the State will be able to prove its case the second time around. It is no more permissible for this Court to look at what might have been in this case than it would for a court to look at what an eyewitness's testimony might have been in the example set out above. Either the State carried its burden of proof by sufficient admissible evidence or it did not. That is the rule of law, and that is why I would approve the Second District's opinion.
LEWIS, C.J., and QUINCE, J., concur.
QUINCE, J., dissenting.
I dissent because I do not believe that in circumstances where the State knew or should have known what was required to be shown in order to get the defendant's sentence enhanced but failed to present evidence to the trial court, the State should have another opportunity to attempt to enhance the sentence.
Section 775.084, Florida Statutes, sets out the requirements the State must prove by a preponderance of the evidence in order to prove that a defendant is a habitual felony offender (HFO) or a habitual violent felony offender (HVFO) and have the court impose an extended term of imprisonment on the defendant. When a state prosecutor chooses to seek HFO or HVFO sentencing, proof that evеry statutory requirement is met should be confirmed and sufficiently documented before the sentencing hearing is held. Of course there will be cases of first impression and cases which fine-tune or clarify various aspects of the statute. What I have discovered with regard to application of this statute by state prosecutors and trial judges, however, is well beyond any normal learning curve of statutory interpretation.
Even a small amount of research into case history involving sentencing under this statute reveals that for years and years, all over this state, prosecutors have arrived at sentencing procedures without the proof required by statute and set out in our case law. And so the cycle begins: The State presents slightly deficient proof of HFO or HVFO; the defense objects that the proof is not sufficient evidence; the trial judge imposes HFO sentencing despite the deficiency and the objection; the prisoner, public defender, or a private attorney files an appeal or a motion for postconviction relief; briefs are written and filed by the defendant and the State, the motion is summarily denied and an appeal is filed, or hearings are held, appearances are made, orders or opinions are written and issued; frequently the sentence is affirmed and review is then sought by a higher court of appeal; again, briefs are written and filed, arguments may be scheduled, court conferences are held, orders or opinions are written and issued; a resentencing is scheduled; and resentencing takes place at a de novo court proceeding at which both the State and the defendant *999 present evidence and call witnesses. By the time a new sentence is finally handed down, often years after the initial sentencing, an enormous amount of judicial time has been spent in terms of judges, lawyers, clerks and court personnel, all at enormous expense to the system and this state.
The fact is, all of this time and expense could be avoided if prosecutors were рrepared with proper and sufficient evidence of HFO status, and if they are not, the trial judges would refuse to impose HFO sentencing. It seems so obvious, so fundamental, yet apparently this has not been the order of things. The following is but a small sampling of appellate cases from each of the district courts of appeal involving the prosecutors' failure to present the information needed to correct enhanced sentencing that had been imposed. See McNair v. State,
Thus, I believe that the Second District's approach, remanding for resentencing under the criminal punishment code and not allowing a second bite at demonstrating habitual offender treatment, saves resources and gives the State an incentive to be prepared for the sentencing process just as it is prepared for the guilt/innocence phase of the proceedings. Therefore, I would approve the decision of the Second District in this case.
LEWIS, C.J., and ANSTEAD, J., concur.
NOTES
Notes
[1] That section provides: "In order to be counted as a prior felony for purposes of sentencing under this section, the felony must have resulted in a conviction sentenced separately prior to the current offense and sentenced separately from any other felony conviction that is to be counted as a prior felony." (Emphasis added.)
[2] Although the Second District stated the issue as whether the sentences were impоsed "on the same date," see Collins,
[3] Collins also certified conflict with Rhodes,
[4] In Walker, all three members of the panel concurred in Judge Altenbernd's specially concurring opinion that, absent precedent in the Second District, he would follow the law from the First, Fourth, and Fifth Districts that this evidentiary error does not preclude the State from presenting new evidence on remand. Judge Altenbernd authored a similar opinion, joined by Judge Kelly, in Lloyd v. State,
[5] Although not relevant to the precedential value of our decision in Mann, we note that the Eleventh Circuit Court of Appeals later vacated Mann's sentence on other grounds. See Mann v. Dugger,
[6] In Heggs, a majority of the Court struck down a law that amended several statutory provisions concerning sentencing guidelines, depаrture sentences, and penalty classifications for certain criminal offenses. Id. at 625-26. Because portions of the 1995 sentencing guidelines were rendered unconstitutional, the Court recognized its decision would require the resentencing of those defendants whose sentences were adversely affected by the law. Id. at 627. Trotter was one such defendant.
[7] Justice Anstead's dissent also includes a reference to Apprendi to support his position. As the majority notes, the relevance of Apprendi has not been raised by the parties as an issue here. Even if the issue had been raised, it would not in my view change the result. See Dinkens v. State,
[8] The majority mistakenly places great reliance on the fact that the defendant will have to be resentenced because the Second District has stricken the habitual sentence erroneously imposed. The majority seems to treat the need for resentencing as some talisman for starting all over when in fact the resentencing has only been ordered for the narrow purpose to correct the error of the improper imposition of a habitual offender sentence and to achieve a legal sentence. This situation is distinguishable from one where a new trial is ordered and a de novo sentencing, if there is a conviction, is part of the risk assumed with an appeal. Here, the defendant asserting the State's flawed proof has been told by the majority "heads you lose and tails the State wins." Why appeal?
[9] Enforcing this fundamental principle is especially important in light of the United States Supreme Court's ruling in Apprendi v. New Jersey,
