No. 98-2059
In the Supreme Court of the United States
JEFFREY BROWN, PETITIONER
v.
UNITED STATES OF AMERICA
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
BRIEF FOR THE UNITED STATES IN OPPOSITION
SETH P. WAXMAN
Solicitor General
Counsel of Record
JAMES K. ROBINSON
Assistant Attorney General
SANGITA K. RAO
Attorney
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
QUESTIONS PRESENTED
1. Whether 21 U.S.C. 851(c) precludes a defendant from bringing a post-conviction
challenge to a sentence imposed under 21 U.S.C. 841(a)(1) that was enhanced
by a prior state conviction, on the ground that the prior state conviction
was later expunged on non-constitutional grounds.
2. Whether 21 U.S.C. 841(a)(1) permits a sentence to be enhanced by a prior
state conviction that was later expunged, where the expunction was based
on the fact that the defendant had successfully completed a probationary
term, rather than for reasons related to the constitutionality of the conviction,
the innocence of the defendant, or legal error.
In the Supreme Court of the United States
No. 98-2059
JEFFREY BROWN, PETITIONER
v.
UNITED STATES OF AMERICA
ON PETITION FOR A WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
BRIEF FOR THE UNITED STATES IN OPPOSITION
OPINION BELOW
The order of the court of appeals (Pet. App. 1) is unpublished, but the
decision is noted at 170 F.3d 188 (Table).
JURISDICTION
The judgment of the court of appeals was entered on January 28, 1999. On
March 26, 1999, Justice Kennedy extended the time within which to file a
petition for a writ of certiorari to and including June 28, 1999. The petition
for a writ of certiorari was filed on June 24, 1999. The jurisdiction of
this Court is invoked under 28 U.S.C. 1254(1).
STATEMENT
Following a jury trial, petitioner was convicted in the United States District
Court for the Southern District of Florida on one count of possessing at
least one kilogram of heroin with intent to distribute it, in violation
of 21 U.S.C. 841(a)(1). Because he had a prior state conviction in Pennsylvania
for a felony drug offense, petitioner was subject to a mandatory minimum
sentence of 20 years' imprisonment pursuant to 21 U.S.C. 841(b)(1)(A), which
the district court imposed on September 12, 1989. Gov't C.A. Br. 1-2.
On April 18, 1996, petitioner filed a motion under 28 U.S.C. 2255 seeking
to vacate his federal sentence on the ground that after his federal conviction
had become final, Pennsylvania had expunged the prior state conviction used
to enhance his federal sentence. The magistrate judge issued a report and
recommendation recommending that the motion be denied. The district court
adopted the magistrate judge's report and recommendation and denied petitioner's
motion. The court of appeals affirmed in an unpublished order. Gov't C.A.
Br. 2-3; Pet. App. 1; id. at 2-7.
1. On April 2, 1974, petitioner was charged in the Court of Common Pleas
of Centre County, Pennsylvania, with multiple felony counts of delivering
and possessing with the intent to deliver quantities of LSD and marijuana.
Petitioner entered a guilty plea, and on October 1, 1974, he was sentenced
to a term of imprisonment of not less than three months, nor more than three
years. The judgment further provided that in view of petitioner's status
as a drug abuser and his request for treatment and rehabilitation, the imposition
of the sentence of imprisonment would be "deferred" and petitioner
placed on a period of probation requiring him to undergo treatment at a
drug rehabilitation center, to be followed by a stay at a mental health
facility. Gov't C.A. Br. 3. Pennsylvania law provides that in such instances,
a criminal charge may be held "in abeyance" during the probationary
period and at the expiration of the period be "automatically dismissed."
Pa. Stat. Ann. tit. 35, § 780-118(e) (West 1993). Petitioner completed
his prescribed probation, and on April 19, 1976, an order was entered in
the Court of Common Pleas releasing him from further supervision. No order
of dismissal, however, was entered and the case remained a matter of public
record. Gov't C.A. Br. 3-4.
2. On March 31, 1989, petitioner was charged in the United States District
Court for the Southern District of Florida with conspiring to possess at
least one kilogram of heroin with the intent to distribute it, in violation
of 21 U.S.C. 846, possessing at least one kilogram of heroin with the intent
to distribute it, in violation of 21 U.S.C. 841(a)(1), and carrying a firearm
during and in relation to a drug trafficking offense, in violation of 18
U.S.C. 924(c). Gov't C.A. Br. 4. Section 841(b)(1)(A) of Title 21, in pertinent
part, provides a mandatory minimum sentence of ten years' imprisonment upon
conviction of a Section 841(a)(1) offense involving more than one kilogram
of heroin. In addition, the statute provides for enhanced punishment for
recidivist offenders: "If any person commits such a violation after
a prior conviction for a felony drug offense has become final, such person
shall be sentenced to a term of imprisonment which may not be less than
20 years." 21 U.S.C. 841(b)(1)(A). Section 851 of Title 21 sets out
the procedures for establishing the prior convictions used as a basis for
sentence enhancement. In accordance with Section 851(a), before trial the
government filed an information identifying petitioner's prior Pennsylvania
drug conviction and advising petitioner of its intention to seek an enhancement
of sentence on that basis. Gov't C.A. Br. 4.
After a jury trial, petitioner was convicted on the Section 841(a)(1) offense
and acquitted on the other two charges. Before sentencing, petitioner moved
to dismiss the prior felony offender information. Petitioner contended that
Section 851(a)(2) recognizes as predicate felony offenses only those charged
by means of indictment, thus excluding petitioner's Pennsylvania crime,
which was presented by means of information. The district court denied the
motion and, after petitioner admitted to having been convicted of the prior
Pennsylvania drug felony, imposed the mandatory minimum 20-year sentence
of imprisonment under Section 841(b)(1)(A). Petitioner appealed the judgment
of conviction, but did not contest the propriety of his sentence. Gov't
C.A. Br. 4-5. On June 6, 1990, the court of appeals, without opinion, affirmed
the conviction. See United States v. Brown, 907 F.2d 1143 (11th Cir. 1990)
(No. 89-6008) (Table).
3. In April 1991, almost two years after the imposition of his federal sentence,
petitioner petitioned the Pennsylvania Court of Common Pleas to enter an
order of dismissal of his previous drug conviction in accordance with state
law and based upon his successful completion, in 1976, of his probationary
term. On April 18, 1991, the petition was granted and an order was entered
expunging and destroying the official and unofficial records of petitioner's
1974 felony drug conviction pursuant to Pa. Stat. Ann. tit. 35, § 780-119(a)
(West 1993).1 Gov't C.A. Br. 5.
Some five years later, on April 18, 1996, petitioner filed a motion under
28 U.S.C. 2255 asking the district court to set aside and vacate his federal
sentence on the ground that the expunction of his Pennsylvania conviction
retroactively invalidated his adjudication as a prior felony drug offender
and entitled him to be resentenced without the recidivist enhancement. Gov't
C.A. Br. 5-6.
Following a hearing, the magistrate judge issued a report and recommendation
recommending that the motion be denied. The report observed that Section
851(c) "establishes a procedure for attacking the constitutional validity
of a conviction which the Government seeks to use to enhance sentence,"
but that "there is no similar vehicle [for] challenging convictions
where the charges have been dismissed and the record expunged years after
the date of conviction." Pet. App. 6-7. The report concluded that "[s]ince
[petitioner] does not contend that his conviction was invalidated by the
State Court on constitutional grounds, he cannot prevail in an attack on
that conviction pursuant to 21 U.S.C. § 851(c)." Id. at 7.
In addition, the report concluded that, even if it "were to infer that
an expunged conviction is subject to challenge" notwithstanding Section
851(c), petitioner would not be entitled to relief, "based on the reasoning
of [United States v.] Cox[, 83 F.3d 336 (10th Cir. 1996)]." Pet. App.
7. The Cox court ruled that a prior conviction expunged under state law
should not be used in calculating a defendant's criminal history score under
the Sentencing Guidelines if the conviction is "reversed or vacated
for reasons related to constitutional invalidity, innocence, or errors of
law," but "when convictions are set aside for reasons other than
innocence or errors of law, such as to restore civil rights or remove the
stigma of a criminal conviction, those convictions are counted." Id.
at 5-6 (citing Cox, 83 F.3d at 339-340 and Sentencing Guidelines §§
4A1.2, 4A1.2(j) & comment. (nn. 6, 10). Here, petitioner's record was
expunged "based on his successful completion of a drug diversion program,
and not as the result of constitutional invalidity, innocence or error of
law." Pet App. 6. Accordingly, the magistrate's report concluded that,
even if petitioner were entitled under Section 851(c) to challenge his prior
conviction on the ground that it was "expunged," on the facts
of this case the dismissal of petitioner's state felony conviction did not
disqualify it as a prior felony drug conviction for purposes of his federal
sentence under Section 841(a)(1) itself. Id. at 7.
The district court adopted the magistrate judge's report and recommendation
and, on November 18, 1997, entered an order denying the Section 2255 motion.
Pet. App. 2. The district judge granted petitioner a certificate of appealability.
Gov't C.A. Br. 6.
4. The court of appeals summarily affirmed "for the reasons stated
in the Report and Recommendation of the magistrate judge." Pet. App.
1.
ARGUMENT
1. Petitioner contends (Pet. 5-6) that review by this Court is warranted
because the court of appeals' ruling in this case conflicts with decisions
from other courts of appeals. The one-sentence, per curiam order of the
court of appeals in this case, however, was unpublished. Under Eleventh
Circuit Rule 36-2, "[u]npublished opinions are not considered binding
precedent," although "[t]hey may be cited as persuasive authority."
Because the court of appeals' decision in this case is not "binding
precedent," it does not set forth the Eleventh Circuit's final and
considered view on any issue. Thus, even if the decision of the court of
appeals in this case were inconsistent with decisions of other courts of
appeals, there would be no conflict that would warrant this Court's review.
2. In any event, the decision of the court of appeals does not conflict
with any decision of any other court. In Custis v. United States, 511 U.S.
485 (1994), this Court held that a defendant had no right at sentencing
to make a collateral attack on prior state convictions used to enhance a
sentence imposed under the Armed Career Criminal Act of 1984 (ACCA), 18
U.S.C. 924(e), except on the basis of denial of the right to counsel. The
ACCA had no provisions for allowing a defendant to collaterally attack prior
convictions. The Court went on to state that, if the petitioner in that
case later made a successful collateral attack on his state convictions
either in state court or on federal habeas review, "he may then apply
for reopening of any federal sentence enhanced by the state sentences,"
but the Court stated that it would "express no opinion on the appropriate
disposition of such an application." 511 U.S. at 497.
Unlike the ACCA, the drug statute under which petitioner was convicted and
sentenced sets forth specific procedures for challenging prior convictions
used for enhancement purposes. 21 U.S.C. 841, 851. Specifically, Section
851(c)(2) of Title 21 provides:
A person claiming that a conviction alleged in the information was obtained
in violation of the Constitution of the United States shall set forth his
claim, and the factual basis therefor, with particularity in his response
to the information. The person shall have the burden of proof by a preponderance
of the evidence on any issue of fact raised by the response. Any challenge
to a prior conviction, not raised by response to the information before
an increased sentence is imposed in reliance thereon, shall be waived unless
good cause be shown for failure to make a timely challenge.
Here, the magistrate's report interpreted Section 851(c)(2) as expressing
Congress's intent that all prior felony drug convictions should be used
in determining a sentencing enhancement under Section 841(b)(1)(A), except
those prior convictions that were constitutionally invalid. Since petitioner's
conviction was not invalidated by the state court on that ground, the magistrate's
report determined that petitioner's sentence "was properly enhanced
under 21 U.S.C. § 841(b)(1)(A), and no reduction in that sentence is
warranted." Pet. App. 7.
Petitioner asserts that he was "barred * * * from reopening his federal
sentence despite his successful challenge to the state conviction which
had been used to enhance his federal sentence." Pet. 6. To the extent
that petitioner is arguing that the magistrate judge's report was based
on the premise that 28 U.S.C. 2255 bars collateral relief when a prior conviction
used to enhance a sentence has later been invalidated, he is incorrect.
The report did not conclude that Section 2255 relief was unavailable for
such a claim. Rather, the report entertained petitioner's claim and then
rejected it on the merits, ruling in its primary ground for decision that,
because the prior state conviction had not been invalidated on constitutional
grounds, it was properly used to enhance petitioner's Section 841(b)(1)(A)
sentence. Pet. App. 7. No court of appeals has held differently.
None of the cases cited by petitioner (Pet. 6), United States v. LaValle,
175 F.3d 1106 (9th Cir. 1999); United States v. Pettiford, 101 F.3d 199
(1st Cir. 1996); United States v. Cox, 83 F.3d 336 (10th Cir. 1996); and
United States v. Nichols, 30 F.3d 35 (5th Cir. 1994),2 conflicts with the
decision in this case. The ruling in this case turns on the interpretation
of the limitation imposed on challenges to prior convictions contained in
Section 851(c)(2). The report's alternative ground turns on whether a conviction
expunged under state law constitutes a "conviction" for a prior
felony drug offense under Section 841(b)(1), which does not specifically
disqualify expunged convictions from consideration. None of the cases cited
by petitioner turns on Section 841 or Section 851, and all of the cases
involve statutory schemes that, unlike the statute at issue here, expressly
provide that expunged convictions may not be considered for enhancement
purposes.3
Indeed, even if the cases cited by petitioner had arisen under Section 841,
they would be fully consistent with the magistrate's report here. That is
because none of the cases cited by petitioner holds or suggests that a prior
conviction that, like petitioner's, was expunged for reasons unrelated to
constitutional or other legal error or the defendant's innocence should
be disregarded for purposes of a sentence enhancement. Pettiford, Nichols,
and Lavalle deal with prior state convictions that were vacated on the basis
of an involuntary guilty plea-a constitutional ground-rather than a conviction
expunged because of successful completion of a probationary period, as in
this case. As Cox explains, a prior conviction expunged under state law
is not necessarily "expunged" for purposes of a federal sentencing
statute, and the Cox court went on to conclude that a conviction is expunged
under the Sentencing Guidelines for purposes of calculating a criminal history
score only if it is reversed or vacated for reasons related to constitutional
invalidity, innocence, or errors of law. Cox, 83 F.3d at 339. Citing Cox,
the magistrate's report here came to the same conclusion with respect to
a sentence enhancement under Section 841(b)(1)(A). See Pet. App. 5-6. Thus,
the ruling in this case does not conflict with the decision of any court
of appeals.
3. Petitioner challenges (Pet. 7-10) the interpretation of Section 851(c)(2)
in the magistrate's report. The report interpreted Section 851(c)(2) as
limiting the type of attack that could be made on prior convictions used
to enhance a sentence under Section 841(b)(1)(A). According to the report's
reasoning, since, under Section 851(c)(2), constitutional invalidity is
the only basis to attack a prior conviction during the initial federal sentencing
proceeding, a prior conviction invalidated on any other basis and at any
later time is not disqualified from serving as a prior felony drug offense
for purposes of sentence enhancement under Section 841(b)(1)(A). Petitioner
contends that that interpretation conflicts with Custis, supra, and United
States v. McChristian, 47 F.3d 1499 (9th Cir. 1995). Petitioner's contention
is without merit.
The issue in Custis was whether a defendant may collaterally attack prior
convictions used to enhance a sentence imposed under the ACCA at the federal
sentencing proceeding. Custis, 511 U.S. at 487. In the course of determining
that the ACCA did not authorize such attacks, the Court mentioned other
statutes that did expressly permit such attacks, such as 21 U.S.C. 851(c).
511 U.S. at 491-492. In attempting to demonstrate a conflict with this case,
petitioner relies (Pet. 9) on the Court's statement that "[t]he language
of § 851(c) shows that when Congress intended to authorize collateral
attacks on prior convictions at the time of sentencing, it knew how to do
so." 511 U.S. at 492. Contrary to petitioner's suggestion (Pet. 9),
however, the Court in that passage was not limiting the applicability of
Section 851(c) to the initial federal sentencing proceeding. Nor was the
Court purporting to interpret the extent of any limitations Section 851(c)
places on the type of attack that may be made to a prior conviction, either
at the federal sentencing proceeding or thereafter. It was simply distinguishing
between statutes that allow some attacks on prior convictions to be made
at the federal sentencing proceeding and statutes that do not. The Custis
Court's brief characterization of Section 851(c)(2) is not in conflict with
the analysis in the magistrate's report.
Nor does United States v. McChristian, supra, conflict with the magistrate's
report. In McChristian, the defendant was sentenced in October 1992 to an
enhanced sentence for a federal drug offense under Section 841(b)(1)(A),
based on a 1982 state conviction that the state court invalidated before
the federal sentence was imposed. McChristian, 47 F.3d at 1502. Although
the defendant tried to show the district court that a state trial court
had invalidated the state conviction after he had been convicted but before
a sentence had been imposed, the district court held that, under 21 U.S.C.
851(e), the defendant could not "challenge the validity of any prior
conviction * * * which occurred more than five years before the date of
the information alleging such prior conviction." 21 U.S.C. 851(e).
The Ninth Circuit reversed, holding that Section 851(e) did not bar a defendant
from merely reporting to the federal sentencing court, before sentence was
imposed, that a state court had invalidated the prior conviction. McChristian,
47 F.3d at 1503.
Petitioner contends (Pet. 9-10) that McChristian is in conflict with this
case because, in the course of interpreting Section 851(e), the Ninth Circuit
interpreted the word "challenge" in Section 851(c)(2) to mean
a "full-blown, collateral attack in federal court on a prior conviction"
rather than mere "reports of successful collateral challenges completed
in state court." 47 F.3d at 1503. Even if the Ninth Circuit's interpretation
of the word "challenge" is correct, however, it does not conflict
with the ruling here, because the magistrate's report did not rely on the
meaning of "challenge" in Section 851(c)(2). The only time "challenge"
is used in Section 851(c)(2) is in the last sentence, which states that
"[a]ny challenge to a prior conviction, not raised by response to the
information before an increased sentence is imposed in reliance thereon,
shall be waived unless good cause be shown for failure to make a timely
challenge." The magistrate's report did not rely on that sentence or
otherwise deny petitioner's Section 2255 motion on the ground that he was
bringing an untimely "challenge" to his prior convictions. Instead,
insofar as it relied on Section 851(c)(2), the report denied petitioner's
motion because his prior conviction was expunged for nonconstitutional reasons.4
That holding does not conflict with anything in McChristian.5
4. Petitioner argues (Pet 11-12) that his expunged conviction does not constitute
a prior conviction for purposes of sentence enhancement under Section 841(b)(1)(A)
because, under Pennsylvania law, his state court records have been destroyed
and his prior Pennsylvania case, he asserts, "does not now exist,"
Pet. 12. Petitioner's reliance on state law to establish whether his prior
conviction is a qualifying predicate felony under a federal statute is unavailing.
Absent clear language directing reference to state law, federal law defines
what constitutes a prior conviction under a federal statute. See Dickerson
v. New Banner Inst., Inc., 460 U.S. 103, 111-112 (1983) ("Whether one
has been 'convicted' within the language of the gun control statutes is
necessarily * * * a question of federal, not state, law, despite the fact
that the predicate offense and its punishment are defined by the law of
the State."). In Dickerson, the Court determined that an individual's
prior guilty plea in Iowa to a state crime disqualified that individual
from obtaining a license to deal in firearms under 18 U.S.C. 922, which
is applicable to persons "convicted" of certain crimes. The Court
so held even though the state conviction had been expunged following completion
of a successful probationary period. 460 U.S. at 122. The Court reasoned
that "expunction under state law does not alter the historical fact
of the conviction" and "does not signify that the defendant was
innocent of the crime to which he pleaded guilty." Id. at 115.6
In keeping with Dickerson, the courts of appeals that have addressed the
issue have uniformly held that a state's procedure in dismissing or expunging
a previous state conviction does not invalidate that conviction for use
by a federal court in imposing an enhanced sentence under 21 U.S.C. 841(b)(1).7
The same result should follow here, since petitioner's conviction was expunged
for reasons unrelated to innocence or legal error. Petitioner's state court
conviction demonstrates that he is a repeat drug offender, even though the
state court's formal judgment of conviction has been expunged pursuant to
state law. See United States v. Meraz, 998 F.2d 182, 185 (3d Cir. 1993)
("[W]hen an individual has been given an opportunity to reform his
or her conduct and instead commits another crime, the imposition of an enhanced
sentence is appropriate."); United States v. Campbell, 980 F.2d 245,
251 (4th Cir. 1992) ("To treat a deferred sentence as something other
than a 'prior conviction' would 'completely frustrate the policy behind
the enhancement provisions of the federal statute, i.e., to penalize and
deter repeat offenders.'") (quoting United States v. Petros, 747 F.
Supp. 368, 376 (E.D. Mich. 1990)), cert. denied, 508 U.S. 952 (1993).8
Petitioner attempts to distinguish Dickerson based on his assertion that,
under Pennsylvania law, his prior conviction "does not now exist,"
Pet. 12, while under the Iowa law at issue in Dickerson, expunction meant
"no more than that the State has provided a means for the trial court
not to accord a conviction certain continuing effects under state law,"
Pet. 11 (quoting Dickerson, 460 U.S. at 115). Regardless of the merits of
petitioner's argument that the Pennsylvania and Iowa statutes are distinguishable,9
petitioner's argument fails because it relies exclusively upon the mechanics
and the significance of the Pennsylvania expunction procedures. Absent a
contrary statutory provision (see note 6, supra), whether a prior conviction
counts for enhancement purposes for a federal sentence is determined by
federal law, which does not turn on local practice. See Dickerson, 460 U.S.
at 112 (what constitutes a conviction under federal law should be "unaffected
by varying state laws, procedures, and definitions of 'conviction'").
5. Petitioner argues (Pet. 10) that his federal sentence should be reopened
based on fairness since, had the Pennsylvania procedures operated as they
should have, neither the government nor the federal sentencing court would
have known of his prior conviction, as there would have been no record of
it. That contention does not merit further review by this Court. Petitioner
indeed has a qualifying prior felony conviction that has not been invalidated
on grounds of constitutional invalidity, innocence, or legal error. Petitioner
admitted his prior conviction at the initial sentencing proceeding. In such
circumstances, requiring him to bear the consequences of his prior conduct
is not unfair.
CONCLUSION
The petition for a writ of certiorari should be denied.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
JAMES K. ROBINSON
Assistant Attorney General
SANGITA K. RAO
Attorney
SEPTEMBER 1999
1 The Pennsylvania expunction statute provides in part:
Any expunged record of arrest or prosecution shall not hereafter be regarded
as an arrest or prosecution for the purpose of any statute or regulation
or license or questionnaire or any civil or criminal proceeding or any other
public or private purpose. No person shall be permitted to learn of an expunged
arrest or prosecution, or of the expunction, either directly or indirectly.
Any person, except the individual arrested or prosecuted, who divulges such
information in violation of this subsection shall be guilty of a summary
offense and shall, upon conviction thereof, be punished by imprisonment
not exceeding thirty (30) days or a fine not exceeding five hundred dollars
($500) or both.
Pa. Stat. Ann. tit. 35, § 780-119(b) (West 1993).
2 Petitioner also relies on United States v. Bacon, 94 F.3d 158, 161 n.3
(1996), in which the Fourth Circuit in dicta noted that a defendant could
seek to reopen his federal sentence if successful in overturning a prior
state conviction used to enhance his sentence under the career offender
provisions of the Guidelines. In United States v. Kahoe, 134 F.3d 1230 (1998),
however, the Fourth Circuit stated that "whether a defendant is entitled
to § 2255 relief if a district court relied upon a prior conviction
to enhance a federal sentence and subsequently the prior conviction was
set aside" remains an open question in that court. Id. at 1234 n.2.
3 Pettiford involved an enhanced sentence under the ACCA, 18 U.S.C. 924(e),
which contains no specific procedure for collaterally attacking prior convictions
and therefore does not contain the limitation found in Section 851(c)(2).
In addition, the ACCA specifically provides that "[a]ny conviction
which has been expunged, or set aside or for which a person has been pardoned
or has had civil rights restored shall not be considered a conviction for
purposes of this chapter." 18 U.S.C. 921(a)(20); see Pettiford, 101
F.3d at 201 (citing 18 U.S.C. 921(a)(20)); see also Kahoe, 134 F.3d at 1234
(explaining that the ACCA incorporates 18 U.S.C. 921(a)(20) by reference).
Nichols, Lavalle, and Cox involve prior convictions used in calculating
a defendant's criminal history score or assigning career offender status
under provisions of the Sentencing Guidelines that, in contrast to 21 U.S.C.
851, specify that "expunged" convictions "are not counted,"
Sentencing Guidelines § 4A1.2(j). See Nichols, 30 F.3d at 36; Lavalle,
175 F.3d at 1108; Cox, 83 F.3d at 339-340.
4 The magistrate's report did comment that, in contrast to the procedure
set forth in Section 851(c) for challenging prior convictions before sentencing,
"there is no similar vehicle [for] challenging convictions where the
charges have been dismissed and the record expunged years after the date
of conviction." Pet. App. 6-7. But we do not understand the report
to have rejected petitioner's claim on that ground. Instead, insofar as
it relied on Section 851(c)(2), it reasoned that "[s]ince the movant
does not contend that his conviction was invalidated by the State Court
on constitutional grounds, he cannot prevail in an attack on that conviction
pursuant to 21 U.S.C. § 851(c)." Pet. App. 7a.
5 Although the court of appeals did not rely on waiver in denying petitioner's
Section 2255 motion, petitioner did not challenge his prior conviction in
a timely manner. Petitioner simply ignored the existence of his Pennsylvania
conviction for 15 years after it had become final. When he finally moved
for its dismissal some two years after the imposition of the sentence in
this case, his petition was granted in ten days. Plainly, the matter could
have been presented to the sentencing court before the imposition of sentence
and entry of the judgment. It was not. Petitioner waited another five years
before raising the issue under Section 2255. Such dilatory conduct provides
an additional reason why review by this Court is unwarranted.
6 Congress amended 18 U.S.C. 922 in response to Dickerson to provide that
"[w]hat constitutes a conviction" for purposes of the firearms
laws in Chapter 44 of Title 18 "shall be determined in accordance with
the law of the jurisdiction in which the proceedings were held." 18
U.S.C. 921(a)(20); see Beecham v. United States, 511 U.S. 368, 369 (1994)
(amended statute requires reference to the law of the convicting jurisdiction).
While that choice-of-law clause thus produces a different result than reached
in Dickerson for the statute at issue there, the interpretive principle
of Dickerson was not disturbed.
7 See United States v. Meraz, 998 F.2d 182, 183-185 (3d Cir. 1993) (a state
offense for which sentence is deferred and charges dismissed after successful
completion of probation constitutes a prior conviction under 21 U.S.C. 841(b)(1)(B));
United States v. Campbell, 980 F.2d 245, 251 (4th Cir. 1992) ("A sentence
of probation, though subject to expunction, constitutes a 'prior sentence'
for purposes of sentence enhancement."), cert. denied, 508 U.S. 952
(1993); United States v. Cisneros, 112 F.3d 1272, 1281-1282 (5th Cir. 1997)
("deferred adjudication" under Texas law constitutes prior conviction
for 21 U.S.C. 841(b)(1)(A)); United States v. Gomez, 24 F.3d 924, 930 (7th
Cir.) (expunction under state law does not alter the legality of the prior
state conviction, which may be used for enhancement purposes under 21 U.S.C.
841(b)(1)), cert. denied, 513 U.S. 909 (1994); United States v. McAllister,
29 F.3d 1180, 1184-1185 (7th Cir. 1994) (a state offense for which defendant
receives probated sentence, under a state statute which provides for "discharge
and dismissal * * * [without] adjudication of guilt" after successful
probation is a prior conviction under 21 U.S.C. 841(b)(1)); United States
v. Ortega, 150 F.3d 937, 948 (8th Cir. 1998) ("deferred adjudication"
followed by period of probation under Missouri statute constitutes predicate
drug felony under 21 U.S.C. 841(b)), cert. denied, 119 S. Ct. 837 (1999);
United States v. Fernandez, 58 F.3d 593, 600 (11th Cir. 1995) ("a state
offense in which the defendant pleads nolo contendere and adjudication is
withheld pending completion of probation constitutes a 'prior conviction'
for purposes of the enhancement provision of 21 U.S.C. § 841");
United States v. Mejias, 47 F.3d 401, 403 (11th Cir. 1995) (defendant's
plea of nolo contendere to state charge where adjudication was withheld
is a "conviction" supporting an enhancement of sentence under
Section 841(b)(1)(B)).
8 United States v. Beaulieu, 959 F.2d 375, 380-381 (2d Cir. 1992), is not
to the contrary. See Pet. 12-13. That case concerned the use of an expunged
conviction in calculating a defendant's criminal history under Sentencing
Guidelines § 4A1.1, not the use of an expunged conviction to enhance
a sentence under Section 841(b)(1).
9 Contrary to petitioner's assertion (Pet. 12), Pennsylvania does not, in
fact, erase the historical fact of the conviction for all purposes. At the
time of expunction, a separate list is maintained of those persons whose
records were expunged "for the purpose of determining the eligibility
of persons for the expunction provisions under this section and to be made
available to any court upon request." Pa. Stat. Ann. tit. 35, §
780-119(a) (West 1993).