FIORE v. WHITE
FIORE v. WHITE, WARDEN, et al.
certiorari to the united states court of appeals for the third circuit
Petitioner Fiore and his codefendant Scarpone were convicted of operat[ing] a hazardous waste facility without a permit, Pa. Stat. Ann., Tit. 35, §6018.401(a), because their operation deviated significantly from the terms of the permit they possessed. Fiore appealed his conviction to the Pennsylvania Superior Court, which affirmed; but Scarpone appealed his conviction to the Pennsylvania Commonwealth Court, which reversed. The Pennsylvania Supreme Court denied further review of Fiores case, and his conviction became final. However, it subsequently affirmed the Commonwealth Courts decision in Scarpones case, finding that §6018.401(a) does not apply to those who posses a permit but deviate radically from the permits terms. After the Pennsylvania courts refused to reconsider Fiores identical conviction, he sought federal habeas relief, arguing, inter alia, that the Federal Constitution required that his conviction be set aside because his conduct was not criminal under §6018.401(a). The District Court granted his petition, but the Third Circuit reversed, primarily because it believed that state courts have no obligation to apply their decisions retroactively.
Held:<unicode value="8194"> To help determine the proper state-law predicate for this Courts determination of the federal constitutional questions raised here, the Court certifies to the Pennsylvania Supreme Court the question whether the interpretation of §6018.401(a) set forth in Scarpone v. Commonwealth, 535 Pa. 273, 279, 634 A. 2d 1109, 1112, states the correct interpretation of Pennsylvania law at the date Fiores conviction became final. Scarpone marked the first time that the Pennsylvania Supreme Court had interpreted the statute. Because that authoritative interpretation came only after Fiores conviction became final, this Court must know whether the Scarpone construction stated the statutes correct understanding at the time Fiores conviction became final, or whether it changed the interpretation then applicable. Judgment and further proceedings in this case are reserved pending receipt of the Pennsylvania Supreme Courts response. Pp. 57.
149 F. 3d 221, question certified.
Breyer, J., delivered the opinion for a unanimous Court.
WILLIAM FIORE, PETITIONER
WARDEN, et al.
on writ of certiorari to the united states court of appeals for the third circuit
Justice Breyer delivered the opinion of the Court.
The Commonwealth of Pennsylvania convicted codefendants William Fiore and David Scarpone of violating a provision of Pennsylvania law forbidding any person to operate a hazardous waste facility without a permit. Pa. Stat. Ann., Tit. 35, §6018.401(a) (Purdon 1993) (reprinted at Appendix A, infra ). Each codefendant appealed to a different intermediate state court, one of which affirmed Fiores conviction, the other of which reversed Scarpones. The Pennsylvania Supreme Court denied further review of Fiores case, and his conviction became final. However, that court agreed to review Scarpones case, and it subsequently held that the statutory provision did not apply to those who, like Scarpone and Fiore, possessed a permit but deviated radically from the permits terms. Consequently, it set aside Scarpones conviction.
In light of the Pennsylvania Supreme Courts decision in Scarpone , Fiore asked the Pennsylvania courts to reconsider his identical conviction. They denied his request. He then brought a federal habeas corpus petition in which he argued, among other things, that Pennsylvanias courts, either as a matter of Pennsylvania law or as a matter of federal constitutional law, must apply the Scarpone interpretation of the statute to his identical case. If this proposition of law is correct, he asserted, it would follow that the Commonwealth failed to produce any evidence at all with respect to one essential element of the crime (namely, the lack of a permit). On this reasoning, Fiore concluded that the Federal Constitution requires his release. See Jackson v. Virginia, 443 U. S. 307, 316 (1979) ; In re Winship, 397 U. S. 358, 364 (1970) .
The Federal District Court granted the habeas petition, but the Court of Appeals reversed that decision. We agreed to review the appellate courts rejection of Fiores claim. Before deciding whether the Federal Constitution requires that Fiores conviction be set aside in light of Scarpone , we first must know whether Pennsylvania itself considers Scarpone to have explained what Pa. Stat. Ann., Tit. 35, §6018.401(a) always meant, or whether Pennsylvania considers Scarpone to have changed the law. We invoke the Pennsylvania Supreme Courts certification procedure in order to obtain that courts view of the matter. See Appendix B, infra .
The relevant background circumstances include the following:
1. Fiore owned and operated a hazardous waste disposal facility in Pennsylvania. Scarpone was the facilitys general manager. Pennsylvania authorities, while conceding that Fiore and Scarpone possessed a permit to operate the facility, claimed that their deliberate alteration of a monitoring pipe to hide a leakage problem went so far beyond the terms of the permit that the operation took place without a permit at all. A jury convicted them both of having operate[d] a hazardous waste storage, treatment or disposal facility without a permit. Pa. Stat. Ann., Tit. 35, §6018.401(a); see Commonwealth v. Fiore , CC No. 8508740 (Ct. Common Pleas, Allegheny Cty., Pa., Jan. 19, 1988), p. 2, App. 6 (marking date of conviction as Feb. 18, 1986). The trial court upheld the conviction, despite the existence of a permit, for, in its view, the alterations of the … pipe represented such a significant departure from the terms of the existing permit that the operation of the hazardous waste facility was un-permitted after the alterations were taken … . Id., at 48, App. 44.
2. Fiore appealed his conviction to the Pennsylvania Superior Court. See 42 Pa. Cons. Stat. §742 (1998) (granting the Superior Court jurisdiction over all appeals from a final order of a court of common pleas). That court affirmed the conviction on the basis of the opinion of the court below. Commonwealth v. Fiore , No. 00485 PGH 1988 (May 12, 1989), pp. 23, App. 99100. The Pennsylvania Supreme Court denied Fiore leave to appeal on March 13, 1990; shortly thereafter, Fiores conviction became final.
3. Fiores codefendant, Scarpone, appealed his conviction to the Pennsylvania Commonwealth Court. See 42 Pa. Cons. Stat. §762(a)(2)(ii) (1998) (granting the Commonwealth Court jurisdiction over appeals in regulatory criminal cases). That court noted the existence of a valid permit, found the Commonwealths interpretation of the statute strained at best, and set Scarpones conviction aside. Scarpone v. Commonwealth, 141 Pa. Commw. 560, 567, 596 A. 2d 892, 895 (1991). The court wrote:
The alteration of the monitoring pipe was clearly a violation of the conditions of the permit. But to say that the alteration resulted in the operation of a new facility which had not been permitted is to engage in a semantic exercise which we cannot accept. … [W]e will not let [the provisions] language be stretched to include activities which clearly fall in some other subsection. Ibid .
The Pennsylvania Supreme Court affirmed the Commonwealth Courts conclusion. It wrote:
[T]he Commonwealth did not make out the crime of operating a waste disposal facility without a permit … . Simply put, Mr. Scarpone did have a permit… . [T]o conclude that the alteration constituted the operation of a new facility without a permit is a bald fiction we cannot endorse… . The Commonwealth Court was right in reversing Mr. Scarpones conviction of operating without a permit when the facility clearly had one. Commonwealth v. Scarpone, 535 Pa. 273, 279, 634 A. 2d 1109, 1112 (1993).
4. Fiore again asked the Pennsylvania Supreme Court to review his case, once after that court agreed to review Scarpones case and twice more after it decided Scarpone . See Appellees Supplemental App. in No. 973288 (CA3), pp. 59, 61 (including docket sheets reflecting Fiores filings on Jan. 30, 1992, Jan. 24, 1994, and Oct. 18, 1994). The court denied those requests.
5. Fiore then sought collateral relief in the state courts. The Court of Common Pleas of Allegheny County, Pa., refused to grant Fiores petition for collateral reliefdespite Scarpone because at the time of … conviction and direct appeals, the interpretation of the law was otherwise, and [t]he petitioner is not entitled to a retroactive application of the interpretation of the law set forth in Scarpone . Commonwealth v. Fiore , CC No. 8508740 (Aug. 18, 1994), p. 6. On appeal, the Superior Court affirmed, both because Fiore had previously litigated the claim and because Fiores direct appeal was no longer pending when the Supreme Court made the ruling which [Fiore] now seeks to have applied to his case. Commonwealth v. Fiore, 445 Pa. Super. 401, 416, 665 A. 2d 1185, 1193 (1995).
6. Fiore sought federal habeas corpus relief. As we previously pointed out, supra, at 12, he argued that Pennsylvania had imprisoned him for conduct which was not criminal under the statutory section charged. App. 194. The Federal District Court, acting on a Magistrates recommendation, granted the petition. The Court of Appeals for the Third Circuit reversed, however, primarily because it believed that state courts are under no constitutional obligation to apply their decisions retroactively. 149 F. 3d 221, 222 (1998).
7. We subsequently granted Fiores petition for certiorari to consider whether the Fourteenth Amendments Due Process Clause requires that his conviction be set aside.
Fiore essentially claims that Pennsylvania produced no evidence whatsoever of one element of the crime, namely that he lacked a permit. The validity of his federal claim may depend upon whether the interpretation of the Pennsylvania Supreme Court in Scarpone was always the statutes meaning, even at the time of Fiores trial. Scarpone marked the first time the Pennsylvania Supreme Court had interpreted the statute; previously, Pennsylvanias lower courts had been divided in their interpretation. Fiores and Scarpones trial court concluded that §6018.401(a)s permit requirement prohibited the operation of a hazardous waste facility in a manner that deviates from the permits terms, and the Superior Court, in adjudicating Fiores direct appeal, accepted the trial courts interpretation in a summary unpublished memorandum. Then, the Commonwealth Court, in Scarpones direct appeal, specifically rejected the interpretation adopted by the Superior Court in Fiores case. And the Pennsylvania Supreme Court in Scarpone set forth its authoritative interpretation of the statute, affirming the Commonwealth Court only after Fiores conviction became final. For that reason, we must know whether the Pennsylvania Supreme Courts construction of the statute in Scarpone stated the correct understanding of the statute at the time Fiores conviction became final, or whether it changed the interpretation then applicable. Compare, e.g. , Buradus v. General Cement Prods. Co., 52 A. 2d 205, 208 (Pa. 1947) (stating that [i]n general, the construction placed upon a statute by the courts becomes a part of the act, from the very beginning<fs fs="5"> ) with Commonwealth v. Fiore, supra, at 416417, 665 A. 2d, at 1193; Commonwealth v. Fiore, CC No. 8508740 (Aug. 18, 1994), at 6 (refusing to apply the Scarpone interpretation because at the time of [Fiores] conviction and direct appeals, the interpretation of the law was otherwise).
We certify the following question to the Pennsylvania Supreme Court pursuant to that courts Rules Regarding Certification of Questions of Pennsylvania law:
Does the interpretation of Pa. Stat. Ann., Tit. 35, §6018.401(a) (Purdon 1993), set forth in Scarpone v. Commonwealth, 535 Pa. 273, 279, 634 A. 2d 1109, 1112 (1993), state the correct interpretation of the law of Pennsylvania at the date Fiores conviction became final?
We respectfully request that the Pennsylvania Supreme Court accept our Certification Petition because, in our view, the answer to this question will help determine the proper state-law predicate for our determination of the federal constitutional questions raised in this case.
We recommend that the Pennsylvania Supreme Court designate William Fiore (the petitioner here) as appellant and both Gregory White, Warden, and the Attorney General of the Commonwealth of Pennsylvania (the respondents here) as appellees.
The Clerk of this Court is directed to transmit to the Supreme Court of Pennsylvania a copy of this opinion and the briefs and records filed with this Court in this case. Judgment and further proceedings in this case are reserved pending our receipt of a response from the Supreme Court of Pennsylvania.
It is so ordered.
APPENDIX A TO THE OPINION OF THE COURT
Pennsylvania Stat. Ann. §6018.401(a) (Purdon 1993) provides:
No person or municipality shall store, transport, treat, or dispose of hazardous waste within this Commonwealth unless such storage, transportation, treatment, or disposal is authorized by the rules and regulations of the department; no person or municipality shall own or operate a hazardous waste storage, treatment or disposal facility unless such person or municipality has first obtained a permit for the storage, treatment and disposal of hazardous waste from the department ; and, no person or municipality shall transport hazardous waste within the Commonwealth unless such person or municipality has first obtained a license for the transportation of hazardous waste from the department. (Emphasis added.)
Section 6018.606(f) establishes criminal penalties for a violation of §6018.401 and provides:
Any person who stores, transports, treats, or disposes of hazardous waste within the Commonwealth in violation of [§6018.401] … shall be guilty of a felony of the second degree and, upon conviction, shall be sentenced to pay a fine of not less than $2,500 but not more than $100,000 per day for each violation or to imprisonment for not less than two years but not more than ten years, or both. (Footnote omitted.)
APPENDIX B TO THE OPINION OF THE COURT
RULES REGARDING CERTIFICATION OF QUESTIONS OF PENNSYLVANIA LAW
1. This Court will accept Certification Petitions, on a trial basis, from January 1, 1999 to January 1, 2000.
2. Any of the following courts may file a Certification Petition with this Court:
a. The United States Supreme Court; or
b. Any United States Court of Appeals.
3. A court may file a Certification Petition either on the motion of a party or sua sponte .
4. A Certification Petition shall contain the following:
a. A brief statement of the nature and stage of the proceedings in the petitioning court;
b. A brief statement of the material facts of the case;
c. A statement of the question or questions of Pennsylvania law to be determined;
d. A statement of the particular reasons why this Court should accept certification; and
e. A recommendation about which party should be designated Appellant and which Appellee in subsequent pleadings filed with this Court.
f. The petitioning court shall attach to the Certification Petition copies of any papers filed by the parties regarding certification, e.g., a Motion for Certification, a Response thereto, a Stipulation of Facts, etc. Pa. Rules of Court, p. 745 (1999).
WILLIAM FIORE, PETITIONER
WARDEN, et al .
on writ of certiorari to the united states court of appeals for the third circuit
Petitioner, William Fiore, was convicted of violating a Pennsylvania statute prohibiting the operation of a hazardous waste facility without a permit. After Fiores conviction became final, the Pennsylvania Supreme Court interpreted the statute for the first time, and made clear that Fiores conduct was not within its scope. However, the Pennsylvania courts refused to grant Fiore collateral relief. We granted certiorari in part to decide when, or whether, the Federal Due Process Clause requires a State to apply a new interpretation of a state criminal statute retroactively to cases on collateral review.
In order to determine if that question was in fact presented, we asked the Pennsylvania Supreme Court whether its decision interpreting the statute not to apply to conduct like Fiores was a new interpretation, or whether it was, instead, a correct statement of the law when Fiores conviction became final. The Pennsylvania Supreme Court, responding to our certified question, has now made clear that retroactivity is not at issue. At the same time, that courts interpretation of its statute makes clear that Fiore did not violate the statute. We consequently find that his conviction is not consistent with the demands of the Federal Due Process Clause. See Jackson v. Virginia , 443 U. S. 307, 316 (1979) .
This case, previously described in greater detail in our opinion certifying the state-law question to the Pennsylvania Supreme Court, 528 U. S. 23 (1999) , arises out of William Fiores conviction under a Pennsylvania statute that prohibits operat[ing] a hazardous waste facility without a permit. Pa. Stat. Ann., Tit. 35, §6018.401(a) (Purdon 1993); see Commonwealth v. Fiore , CC No. 8508740 (Ct. Common Pleas, Allegheny Cty., Pa., Jan. 19, 1988), App. 6. The Commonwealth conceded that Fiore in fact had a permit, but argued that Fiore had deviated so dramatically from the permits terms that he nonetheless had violated the statute. And the Commonwealths lower courts agreed. See id. , at App. 4344; Commonwealth v. Fiore , No. 00485 PGH 1988 (May 12, 1989), App. 99100 (affirming Fiores conviction on the trial courts reasoning).
The Pennsylvania Supreme Court declined to review Fiores case, Commonwealth v. Fiore , 525 Pa. 577, 575 A. 2d 109 (1990), and his conviction became final. Thereafter, the Pennsylvania Supreme Court agreed to review the conviction of Fiores co-defendant, David Scarpone, convicted of the same crime at the same time. The Supreme Court reversed Scarpones conviction on the ground that the statute meant what it said: The statute made it unlawful to operate a facility without a permit; one who deviated from his permits terms was not a person without a permit; hence, a person who deviated from his permits terms did not violate the statute. Commonwealth v. Scarpone , 535 Pa. 273, 279, 634 A. 2d 1109, 1112 (1993) (describing the Commonwealths interpretation as a bald fiction we cannot endorse).
Fiore, unsuccessful in his subsequent state-court attempts to have his own conviction set aside, see Commonwealth v. Fiore , 445 Pa. Super. 401, 665 A. 2d 1185 (1995), appeal denied, Commonwealth v. Fiore , 544 Pa. 623, 675 A. 2d 1243 (1996), brought a federal habeas corpus action. The District Court granted the writ, but the Court of Appeals for the Third Circuit reversed. 149 F. 3d 221 (1998). The Court of Appeals believed that the Pennsylvania Supreme Court, in Scarpones case, had announced a new rule of law, inapplicable to Fiores already final conviction. Id. , at 227. And, the Court of Appeals said, state courts are under no [federal] constitutional obligation to apply their decisions retroactively. Id., at 222. We granted certiorari to determine whether Fiores conviction was inconsistent with the Due Process Clause.
Because we were uncertain whether the Pennsylvania Supreme Courts decision in Scarpones case represented a change in the law of Pennsylvania, we certified the following question to that court:
Does the interpretation of Pa. Stat. Ann., Tit. 35, §6018.401(a) (Purdon 1993), set forth in Commonwealth v. Scarpone , 535 Pa. 273, 279, 634 A. 2d 1109, 1112 (1993), state the correct interpretation of the law of Pennsylvania at the date Fiores conviction became final? 528 U. S., at 29.
We received the following reply:
Scarpone did not announce a new rule of law. Our ruling merely clarified the plain language of the statute. . . . Our interpretation of [§6018.401(a)] in Scarpone furnishes the proper statement of law at the date Fiores conviction became final. Fiore v. White , 562 Pa. 634, 646, 757 A. 2d 842, 848849 (2000) (citation omitted).
The Pennsylvania Supreme Courts reply specifies that the interpretation of §6018.401(a) set out in Scarpone merely clarified the statute and was the law of Pennsylvaniaas properly interpretedat the time of Fiores conviction. Because Scarpone was not new law, this case presents no issue of retroactivity. Rather, the question is simply whether Pennsylvania can, consistently with the Federal Due Process Clause, convict Fiore for conduct that its criminal statute, as properly interpreted, does not prohibit.
This Courts precedents make clear that Fiores conviction and continued incarceration on this charge violate due process. We have held that the Due Process Clause of the Fourteenth Amendment forbids a State to convict a person of a crime without proving the elements of that crime beyond a reasonable doubt. See Jackson , supra, at 316; In re Winship , 397 U. S. 358, 364 (1970) . In this case, failure to possess a permit is a basic element of the crime of which Fiore was convicted. Scarpone , supra , at 279, 634 A. 2d, at 1112. And the parties agree that the Commonwealth presented no evidence whatsoever to prove that basic element. To the contrary, the Commonwealth, conceding that Fiore did possess a permit, see Brief for Respondents 1, necessarily concedes that it did not prove he failed to possess one.
The simple, inevitable conclusion is that Fiores conviction fails to satisfy the Federal Constitutions demands. We therefore reverse the contrary judgment of the Third Circuit and remand this case for proceedings consistent with this opinion.