Jоseph WILMER, United States of America, ex rel., Appellant,
v.
Nathaniel JOHNSON, Director, Pretrial Services Division of
Philadelphia Court of Common Pleas; The District
Attorney for Philadelphia County; The
Attorney General of the State
of Pennsylvania.
No. 93-1283.
United States Court of Appeals,
Third Circuit.
Submitted Under Third Circuit LAR 34.1(a)
April 20, 1994.
Decided July 22, 1994.
Peter Rosalsky, Defender Ass'n of Philadelphia, Philadelphia, PA, for appellant.
Deborah Fleisher, Asst. Dist. Atty., Donna G. Zucker, Chief, Federal Litigation, Ronald Eisenberg, Deputy Dist. Atty., Law Div., Arnold H. Gordon, Chief Deputy Dist. Atty., Lynne Abraham; Dist. Atty., Philadelphia, PA, for appellees.
Before: BECKER, NYGAARD and WEIS, Circuit Judges.
OPINION OF THE COURT
EDWARD R. BECKER, Circuit Judge.
This appeal from an order of the district court dismissing a petition for writ of habeas corpus presents the question whether the Double Jeopardy Clause of the Fifth Amendment to the United States Constitution, as applied through the Fourteenth Amendment, prohibits an enhanced sentence in a state resentencing proceeding brought pursuant to Pennsylvania's Drug Trafficking Mandatory Minimum Sentencing Statute, 18 Pa.Cons.Stat.Ann. Sec. 7508 (1990), after the initial sentence was reversed on appeal. Resolution of this issue requires us to decide which of two arguably controlling Supreme Court decisions determines the outcome. In Bullington v. Missouri,
I.
Petitioner, Joseph Wilmer, was convicted following a bench trial in the Court of Common Pleas of Philadelphia County of pоssessing crack cocaine with intent to deliver. Wilmer had been found with 61 clear plastic vials with orange caps containing an off-white substance. Two of the vials were analyzed by the Commonwealth's chemist and found to contain cocaine, 37 and 43 milligrams respectively.1 The Commonwealth timely notified Wilmer of its intent to proceed under the mandatory sentencing provisions of 18 Pa.Cons.Stat.Ann. Sec. 7508, Pennsylvania's Drug Trafficking Mandatory Minimum Sentencing Statute.2
At a sentencing hearing on April 5, 1990, the issue was whether petitioner was subject to Sec. 7508(a)(3)(i), which provided for a mandatory minimum sentencе of one year and a $5,000 fine when "the amount of the substance involved is at least 2.0 grams and less than ten grams."3 The evidence presented at the sentencing hearing (established through stipulation) showed that the aggregate weight of the substance when the contents of the sixty-one vials were mixed was 2.6 grams. The state did not show what portion of the 2.6 grams was actually cocaine as opposed to a non-cocaine substance used to dilute the mixture.4
The trial court held that the Commonwealth had not proved by a preponderance of the evidence that the amount of cocaine involved was 2.0 grams. Only 2 of 61 vials had been analyzed, and the amount of cocaine discovered in these two vials, in the court's view, did not justify an extrapolation to 2.0 grams of cocaine in the 61 vials. The court therefore refused to apply Sec. 7508(a)(3)(i) and instead sentenced Wilmer to 9 to 18 months confinement to be followed by one year of probation. The Commonwealth appealed the sentence pursuant to Sec. 7508(d), which authorizes an appeal by the Commonwealth when the sentencing court fails to apply the mandatory minimum sentenсe required by that statute. The Pennsylvania Superior Court reversed and remanded the case for imposition of the more severe sentence, holding that the sampling of only 2 of 61 vials was adequate to support the extrapolation. Wilmer's request for allocatur was denied by the Pennsylvania Supreme Court.
On December 2, 1992, Wilmer filed a petition for a writ of habeas corpus in the District Court for the Eastern District of Pennsylvania. The sole claim raised was the alleged impingement of the constitutional right not to be placed twice in jeopardy by reason of being subjected to a second sentence enhancement proceeding under 18 Pa.Cons.Stat.Ann. Sec. 7508. Respondents5 answered the petition, addressing its merits.6 The district court dismissed the petition, and this appeal followed.
On June 10, 1993, a motions panel of this court granted Wilmer's request for a certificate of probable cause to appeal and appointed counsel. After briefs were filed, the Supreme Court granted certiorari in Caspari v. Bohlen, --- U.S. ----,
II.
We must initially determine whether the Supreme Court's decision in Teague v. Lane,
In this case, respondents failed to raise a Teague argument in the district court or in their brief on appeal. The issue was not raised until we, sua sponte, requested supplemental briefs addressing the nonretroactivity principle. Not surprisingly, the respondents now argue that Teague forecloses any habeas relief. Relying primarily on the Supreme Court's recent opinion in Caspari, they contend that Wilmer's doublе jeopardy argument, if accepted, would constitute a new rule which cannot be applied retroactively in a collateral proceeding.8
The respondents' argument has obvious force. In Caspari, the habeas petitioner claimed that the Double Jeopardy Clause prohibited the state from subjecting him to successive noncapital sentence enhancement proceedings. The State argued, as it had in the lower courts and in its brief on the merits, that the nonretroactivity principle articulated in Teague barred the relief sought by the pеtitioner. Agreeing with the state, the Supreme Court declined to address the merits of the double jeopardy claim. Instead, the Court held that granting the petitioner's request for relief "required the announcement and application of a new rule of constitutional law." Id. at ----,
Recognizing the similarity between Caspari and the instant appeal, we nonetheless find the cases distinguishable. In Caspari, the State properly raised the Teague issue in the lower courts. Consequently, the Court held that it "must apply Teague before considering the merits of the claim." Id. at ----,
We hold that respondents' failure to raise the issue in the district court constitutes a waiver of any Teague defense. Schiro, --- U.S. at ---- - ----,
III.
"It is well established that the Double Jeopardy Clause forbids the retrial of a defendant who has been acquitted of the crime charged." Bullington,
The Supreme Court traditionally has refused to extend the Double Jeopardy Clause to sentencing. Caspari, --- U.S. at ----,
In DiFrancesco, a case involving a statute similar to the one at issue in this appeal, the defendant was convicted in federal court of violating the Organized Crime Control Act of 1970, 18 U.S.C. Sec. 3575, a statute predating the United States Sentencing Guidelines. Section 3575 provided for an increased sentence upon proof at a sentencing hearing that the convicted defendant was a "dangerous special offender." After the defendant was found guilty of the rackеteering counts, a dangerous special offender hearing was held. The district court made findings of fact and ruled that the defendant was a dangerous special offender within the meaning of Sec. 3575, but the court's sentence resulted only in one additional year of imprisonment beyond that which the defendant had received on the racketeering counts.
Section 3576 of Title 18 provided for an appeal by the government to correct a sentence imposed after Sec. 3575 proceedings. The government appealed, claiming that the district court had abused its discretion in imposing such a lenient sentence. The court of appeals rejected the government's position, concluding that the risk of substitution of a greater sentence upon an appeal by the government under Sec. 3576 violated the Double Jeopardy Clause. The Supreme Court reversed, holding that the increase of a sentence on review under 18 U.S.C. Sec. 3576 did not violate the Double Jeopardy Clause. Specifically, the Court rejected the contention that the imposition of a sentence under that statute constituted an acquittal of a more serious sentence that could have been imposed, because a defendant had no expectation of finality until the statutory appeal process was completed.
In contrast, in Bullington, a capital case, the Court carved out an exception to the general rule that the Double Jeopardy Clause does not apply in the sentencing context.10 The Court held that the state could not seek the death penalty at a second capital sentencing hearing without violating the Double Jeopardy Clause where the defendant's first jury had declined to impose that penalty. See also Arizona v. Rumsey,
More importantly for this case, the Bullington court distinguished DiFrancesco as follows:
In only one prior case, United States v. DiFrancesco, has this Court considered a separate or bifurcated sentencing procedure at which it was necessary for the prosecution to prove additional facts. The federal statutе under consideration there, the "dangerous special offender" provision of the Organized Crime Control Act of 1970, 18 U.S.C. Secs. 3575 and 3576, requires a separate presentence hearing. The Government must prove the additional fact that the defendant is a "dangerous special offender," as defined in the statute, in order for the court to impose an enhanced sentence. But there are highly pertinent differences between the Missouri procedures controlling the present case and those found constitutional in DiFrancesco....
The Court went on to discuss the importаnt procedural differences between Missouri's death penalty statute and the federal dangerous special offender statute. They included that the federal judge has a number of sentencing choices under 18 U.S.C. Sec. 3575, whereas a Missouri jury must choose between life and death, and that the government in a Sec. 3575 proceeding need only prove that the defendant is a dangerous offender by a preponderance of the evidence, whereas the state in a capital sentencing proceeding must prove the existence of an aggravating circumstance beyond a reasonable doubt. Id. at 440-41,
IV.
Against this background, we turn tо Wilmer's double jeopardy claim as it relates to a resentencing proceeding under 18 Pa.Cons.Stat.Ann. Sec. 7508. Wilmer argues that the constitutional protection against double jeopardy bars resentencing in his case. Specifically, he claims that the state trial court "acquitted" him of the Sec. 7508 mandatory sentence in a sentencing proceeding that was more like a trial on the issue of guilt than a typical discretionary sentencing hearing. Wilmer grounds his argument on the Supreme Court's opinions in Bullington and Rumsey.
After reviewing the relevant caselaw and the state statute at issue in this appeal, we reject petitioner's argument. We are satisfied that the Double Jeopardy Clause does not prohibit an enhanced sentence in a state resentencing proceeding brought pursuant to 18 Pa.Cons.Stat.Ann. Sec. 7508. First, we draw instruction from the Supreme Court's decision in DiFrancesco. The statute at issue there specifically provided that the sentence was subject to appeal. The Court found that under such circumstances the defendant "is charged with knowledge of the statute and its appeal provisions, and has no expectation of finаlity in his sentence until the appeal is concluded or the time to appeal has expired." Id.
In DiFrancesco, the Court alsо noted the human considerations that bar a prosecution after an acquittal. Id. at 136,
Like DiFrancesco, the resentencing proceeding under Sec. 7508 will not subject the petitioner to a second trial. As we read the opinion of the Pennsylvania Superior Court, on remand the trial court has no choice but to impose the appropriate mandatory minimum sentence set out in Sec. 7508; no further trial-like proceedings appear necessary. Indeed, from our reading of Sec. 7508(d), it does not appear that further proceedings would ever be required on resentencing where a trial court refused to impose the mandatory minimum sentence. See, e.g., Commonwealth v. Jоnes,
The prosecution's burden of proof under Sec. 7508 also suggests that the sentencing proceeding does not resemble a trial. Pursuant to Sec. 7508(b), the trial court invokes the mandatory sentencing statute if it determines by a preponderance of the evidence that the section applies. This standard, whiсh is the same standard involved in DiFrancesco, "stands in contrast to the reasonable-doubt standard" at issue in Bullington,
In light of the caselaw, the standard of proof required at sentencing proceedings is certainly a factor in determining whether the imposition of one sentence constitutes an acquittal of another. More precisely, the use at a sentencing hearing of a preponderance of the evidence standard of proof rather than the traditional beyond a reasonable doubt standard is significant. See Bullington,
We also draw instruction from the Supreme Court's decision in Caspari where it stated, albeit in dictum, that, had it decided the broader question of whether the Double Jeopardy Clause bars an enhanced sentence in noncapital cases, it would have limited Bullington and Rumsey to the capital sentencing context. The Court stated that "[b]oth Bullington and Rumsey were capital cases, and our reasoning in those cases was based largely on the unique circumstances of a capital sentencing proceeding." Caspari, --- U.S. at ----,
We have previously considered a double jeopardy challenge to a statutory scheme designed, as is Pennsylvania's here, to reduce the discretion of the sentencer by providing for a government appeal of an improper sentence. In United States v. McMillen,
Relying on DiFrancesco, we explained that the prohibition against double jeopardy is not implicated where a statute specifically provides for the government to obtain appellate review. We noted that Congress had provided the government with the means to appeal an incorrect application of the federal sentencing guidelines in 18 U.S.C. Sec. 3742(b). Id. at 776-777 & n. 6. Thus, the defendant was charged with the knowledge that the government could appeal and had no expectation of finality until the appeal was concluded or the time for appeal had expired. We see no real difference between the federal government's right to have an enhanced sentence meted out at a subsequent sentencing proceeding under the Guidelinеs and the circumstances presented by this appeal.
V.
In sum, we do not think that double jeopardy protection attaches to sentencing proceedings under Sec. 7508. The statute expressly grants the state the right to appeal a sentencing determination; thus, the petitioner did not have a reasonable expectation of finality in the original sentence. Moreover, the sentencing proceedings are not, within the Bullington calculus, so trial-like as to implicate the Double Jeopardy Clause. Here, the Commonwealth made only the showing it had to make under thе preponderance of the evidence standard. The petitioner offered nothing in rebuttal. In fact, at the actual hearing, all that happened in terms of presentation of evidence was that the parties stipulated to a single fact--the total weight of the substance. We fail to see how this resembles a trial. See DiFrancesco,
The order of the district court denying Wilmer's petition for a writ of habeas corpus will be affirmed.
Notes
The specific amount of cocaine found in the two tested vials was brought out at the trial rather than at the sentencing hearing
Before the 1990 amendments, Sec. 7508 provided in relevant part, as follows:
(a) General rule.--Notwithstanding any other provisions of this or any other act to the contrary, the following provisions shall apply:
(3) A person who is convicted of violating section 13(a)(14) or (30) of The Controlled Substance, Drug, Device and Cosmetic Act where the controlled substance is coca leaves or is any salt, compound, derivative or preparation of coca leaves ... shall, upon conviction, be sentenced to a mandatory minimum term of imprisonment and a fine as set forth in this subsectiоn:
(i) upon the first conviction when the amount of the substance involved is at least 2.0 grams and less than ten grams; one year in prison and a fine of $5,000 or such larger amount as is sufficient to exhaust the assets utilized in and the proceeds from the illegal activity ...;
(b) Proof of sentencing.--Provisions of this section shall not be an element of the crime. Notice of the applicability of this section to the defendant shall not be required prior to conviction, but reasonable notice of the Commonwealth's intention to proceed under this section shall be provided after conviction and before sentencing. The applicability of this section shall be determined at sentencing. The Court shall consider evidence presented at trial, shall afford the Commonwealth and the defendant an opportunity to present necessary additional evidence and shall determine, by a preponderance of the evidence, if this section is applicable.
(d) Appellate review.--If a sentencing court refuses to apply this section where applicable, the Commonwealth shall have the right to appellate review of the action of the sentencing court. The appellate court shall vacate the sentence and remand the case to the sentencing court for imposition of a sentence in accordance with this section if it finds that the sentence was imposed in violation of this section.
On December 19, 1990, the Pennsylvania Legislature amended this section to make the mandatory minimum depend not just on the amount of substance involved but rather the aggregate weight of the compound or mixture. The amended provision now reads: "when the aggregate weight of the compound or mixture containing thе substance involved is at least 2.0 grams and less than ten grams...." 18 Pa.Cons.Stat.Ann. Sec. 7508 (Supp.1993) (emphasis added). The amendment has no applicability to this appeal
The total amount of cocaine in the two analyzed vials had been shown only to be eighty milligrams
Respondents are as follows: (1) Nathaniel Johnson, Director, Pretrial Services Division of Philadelphia Court of Common Pleas; (2) the District Attorney for Philadelphia County; and (3) the Attorney General of the State of Pennsylvania
The respondents properly conceded that petitioner had exhausted his state remedies under 28 U.S.C. Sеc. 2254(b)
Wilmer has represented that the state trial court has continued the resentencing pending the outcome of this appeal
A state conviction and sentence become final for the purpose of retroactivity analysis when the availability of direct appeal to the state courts has been exhausted and the time for filing a timely petition for a writ of certiorari has elapsed. Caspari, --- U.S. at ----,
The Double Jeopardy Clause is made applicable to the states through the Fourteenth Amendment. Benton v. Maryland,
At issue in Bullington was the Missouri death penalty statute, which provided for a separate sentencing proceeding at which the prosecution had to prove the existence of an aggravating circumstance beyond a reasonable doubt. At the guilt phase of the defendant's trial, the jury returned a verdict of guilty of capital murder. At the sentencing hearing, the jury returned a verdict fixing the defendant's punishment at life in prison without the possibility of parole. The defendant appealed his conviction and won a new trial on a jury fair cross-section of the community claim. The state then served notice that it would again seek the death penalty on retrial. A defense motion to strike the notice, grounded in the Double Jeopardy Clause, was granted. Following an appeal to the Missouri Supreme Court, the United States Supreme Court granted certiorari "in order to consider the important issues raised by petitioner regarding the administration of the death penalty (footnote omitted)." Bullington,
As we read the record, after the two vials were tested, the contents of all 61 vials were dumped together and weighed. Thus, testing of additional vials would no longer be possible
We use the phrase "Bullington calculus" advisedly. We are acutely aware that the sentencing proceedings with which federal judges regularly deal these days are driven by facts that are often developed in extensive sentencing hearings. While these may sometimes feel trial-like, they differ markedly from actual trials, see generally Edward R. Becker, Insuring Reliable Fact Finding in Guidelines Sentencing: Must the Guarantees of the Confrontation and Due Process Clauses Be Applied?, 22 Cap.U.L.Rev. 1 (1993), and, at all events, are not trial-like within the "Bullington calculus."
