FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
KATHERINE A. CORNELIUS STEVE CARTER
Marion County Public Defender Agency Attorney General of Indiana
Indianapolis, Indiana
CYNTHIA L. PLOUGHE
Deputy Attorney General
Indianapolis, Indiana
SCOTTIE EDWARDS, )
)
Appellant-Defendant, )
)
vs. ) No. 49A05-0401-CR-61
)
STATE OF INDIANA, )
)
Appellee. )
OPINION - FOR PUBLICATION
Upon appeal, Edwards argues that imposition of an enhanced sentence runs afoul of
the rule set forth in Blakely, supra. Before addressing the Blakely issue,
we must first respond to two preliminary issues presented by the State.
First, the State argues that Indianas sentencing scheme is not implicated by the
Blakely analysis. We disagree. As held by this court in Berry
v. State, 819 N.E.2d 443, 455-56 (Ind. Ct. App. 2004), we reject the
States assertion that the presumptive sentence functions merely as a sentencing guidepost for
Indiana trial courts. The rule as stated in Blakely prohibits our courts
from imposing a sentence greater than the presumptive if based upon a factor
not admitted by the defendant or submitted to a jury and proven beyond
a reasonable doubt.
The State also argues that Edwards has waived his right to challenge his
sentence under Blakely because he failed to preserve the error with the trial
court. We again disagree. Here, Edwards was sentenced on January 9,
2004 and timely filed his notice of appeal on January 28, 2004.
On June 24, 2004, the Blakely opinion was handed down and shortly thereafter,
on July 14, 2004, Edwards filed his Appellants Brief presenting his Blakely argument.
It is clear that newly announced constitutional rules must be applied to
all cases still pending on direct review when the rule was announced.
Griffith v. Kentucky, 479 U.S. 314, 328 (1987). Given that Blakely was
decided after sentencing and after this appeal was initiated, this is Edwardss first
opportunity to make a Blakely argument.
See footnote We will therefore address the merits
of Edwardss
Blakely claim.
On January 12, 2005, the United States Supreme Court decided United States v.
Booker, 125 S.Ct. 738 (2005). In a two-part split opinion, one five
to four majority reaffirmed the Courts holding in Blakely. In the second
part of the decision, a different five to four majority struck down as
unconstitutional certain mandatory provisions of the Federal Sentencing Guidelines. We believe that
the key to an understanding of the Booker two-part opinion lies first with
the fact that in Part I written by Justice Stevens, the Court clearly
and unmistakably reaffirms the holdings of Apprendi and Blakely. Yet in Judge Barness
dissent here an interpretation is placed upon Booker which virtually emasculates both Apprendi
and Blakely and their clarion call to the sanctity of the right to
a trial by jury as to any fact that increases the penalty for
a crime beyond the prescribed statutory maximum . . . . Blakely,
124 S.Ct. at 2536.
Secondly,
Booker must be understood with reference to what the Justices believed to
be unconstitutionally mandatory. One might say that because both the Federal Sentencing Guidelines
and
the Indiana statutory language require the sentencing court to consider certain factors,
they are both mandatory in that sense. However, what was fatal
to the provisions of the Guidelines stricken down in Booker was that the
Guidelines mandated a sentence as set forth in the Guidelines themselves. As
Judge Barness dissent here notes, under the Indiana sentencing scheme the trial court
has discretion and is not required to impose a sentence exceeding the presumptive
sentence whether or not aggravating circumstances are found. It is in this
respect that we conclude that Booker does not impact Indianas sentencing scheme.
In Blakely, the United States Supreme Court applied the rule set forth in
Apprendi v. New Jersey, 530 U.S. 466 (2000), wherein the court stated, Other
than the fact of a prior conviction, any fact that increases the penalty
for a crime beyond the prescribed statutory maximum must be submitted to a
jury and proved beyond a reasonable doubt. The Blakely Court, relying upon
the Apprendi rule, held that the sentencing scheme at issue violated the petitioners
Sixth Amendment right to a trial by jury. 124 S.Ct. at 2543.
The Court noted that precedent made clear that the statutory maximum for
Apprendi purposes is the maximum sentence a judge may impose solely on the
basis of facts reflected in the jury verdict or admitted by the defendant.
Id. at 2537 (emphasis in original). The Court further clarified, stating
that the relevant statutory maximum for Apprendi purposes is not the maximum sentence
a judge may impose after finding additional facts, but the maximum he may
impose without any additional findings. Id.
Edwards asserts that in convicting him of attempted murder, the jury was required
to find only that he attacked his victim with the specific intent to
kill. Edwards thus argues that the degree of planning and preparation was
a fact not found by the jury and therefore, could not have been
considered by the court as justification for imposing an enhanced sentence. We
agree.
Here, although evidence tending to show planning and preparation was presented to the
jury, the facts of planning and preparation need not have been found by
the jury in order for the jury to have found Edwards guilty of
attempted murder. Indeed, the evidence presented at trial showed that Edwards approached
his victim and stabbed him approximately twelve times. His victim was treated
for stab wounds to the back, arm, side, and back of the head
and was also treated for a pierced lung. This evidence was sufficient
from which the jury could have found that Edwards attacked his victim with
intent to kill. Thus, the facts of planning and preparation are not
necessarily reflected in the jury verdict.
See footnote Under
Blakely, the trial court could
not itself make the finding of planning and preparation and then rely upon
such in sentencing Edwards to an enhanced term of imprisonment. Such is
a violation of Edwardss Sixth Amendment right to trial by jury. See
Aguilar v. State, 820 N.E.2d 762 (Ind. Ct. App. 2005).
While it was error for the court to consider additional facts not inherent
within the jurys verdict in sentencing Edwards, a sentence may still be upheld
if there are other valid aggravating factors from which we can discern that
the trial court would have imposed the same sentence. See Holden v.
State, 815 N.E.2d 1049, 1060 (Ind. Ct. App. 2004), trans. denied; Powell v.
State, 751 N.E.2d 311, 317 (Ind. Ct. App. 2001).
Here, we cannot say that reconsideration by the trial court without regard to
the circumstances of the crime as an aggravating factor would result in the
same outcome. In its sentencing statement, the trial court made clear that
[p]robably the most significant aggravating factor was the circumstances of the offensespecifically referring
to Edwardss planning and preparation. Further, as to the remaining aggravators, we
note that Edwardss criminal history consists of only one unrelated misdemeanor battery conviction
in 1996 and thus of minimal significance.
See footnote With regard to the courts
finding that Edwards was in need of correctional rehabilitation which can only be
provided by a penal facility or the Department of Correction, we observe that
such was merely a rote recitation of the statutory aggravating factor.See footnote The
trial court did not explain why the circumstance was aggravating and did not
seem to afford it much weight. Given the foregoing, we must reverse
Edwardss forty-year sentence and remand to the trial court with instructions to either
convene a jury for sentencing purposes or impose the presumptive sentence of thirty
years for Edwardss attempted murder conviction.See footnote
The judgment of the trial court is reversed and the cause is remanded
with instructions.
NAJAM, J., concurs.
BARNES, J., dissents with opinion.
BARNES, Judge, dissenting
I respectfully dissent. The majority here concludes that Blakely v. Washington impacts
Indianas sentencing scheme and, therefore, a jury rather than a judge must find
any fact other than criminal history that warrants an increase in a defendants
sentence above the statutory presumptive. Indeed, in the months following the Blakely
decision, every judge of this court who considered the issue, myself included, readily
concluded that Blakely did impact Indianas sentencing scheme. The broad language used
in the Blakely majority opinion seemed to leave little choice. The opinion
followed Apprendi v. New Jersey, 530 U.S. 466, 490, 120 S. Ct. 2348,
2362-63 (2000), which held: Other than the fact of a prior conviction,
any fact that increases the penalty for a crime beyond the prescribed statutory
maximum must be submitted to a jury, and proved beyond a reasonable doubt.
Blakely held that the statutory maximum for Apprendi purposes is the maximum
sentence a judge may impose solely on the basis of the facts reflected
in the jury verdict or admitted by the defendant. -- U.S. --,
124 S. Ct. 2531, 2537 (2004). Because Indiana trial judges are only
permitted to impose a presumptive sentence following a judgment of conviction unless they
specifically find aggravating circumstances, it was widely believed by members of this court
that Blakely invalidated sentences where a judge enhanced a sentence based on aggravating
circumstances, other than criminal history, that relied upon judicial fact-finding. See Patrick
v. State, 819 N.E.2d 840 (Ind. Ct. App. 2004); Berry v. State, 819
N.E.2d 443 (Ind. Ct. App. 2004); Ryle v. State, 819 N.E.2d 119 (Ind.
Ct. App. 2004); Milligan v. State, 819 N.E.2d 115 (Ind. Ct. App. 2004);
Williams v. State, 818 N.E.2d 970 (Ind. Ct. App. 2004); Tursley v. State,
818 N.E.2d 110 (Ind. Ct. App. 2004); Traylor v. State, 817 N.E.2d 611
(Ind. Ct. App. 2004); Teeters v. State, 817 N.E.2d 275 (Ind. Ct. App.
2004); Strong v. State, 817 N.E.2d 256 (Ind. Ct. App. 2004); Wickliff v.
State, 816 N.E.2d 1165 (Ind. Ct. App. 2004); Krebs v. State, 816 N.E.2d
469 (Ind. Ct. App. 2004); Holden v. State, 815 N.E.2d 1049 (Ind. Ct.
App. 2004).
Now, the Supreme Court has decided United States v. Booker. -- U.S.
--, 125 S. Ct. 738 (2005). In my view, Booker requires a
significant reconsideration of our earlier holdings regarding Blakelys impact in Indiana.
See footnote It
contains an important clarification and limitation on
Blakelys holding, agreed upon by all
nine justices, that was not apparent in Blakely itself. Specifically, to quote
Justice Stevens majority opinion holding that the Federal Sentencing Guidelines were unconstitutional as
written:
If the Guidelines as currently written could be read as merely advisory provisions
that recommended, rather than required, the selection of particular sentences in response to
differing sets of facts, their use would not implicate the Sixth Amendment.
We have never doubted the authority of a judge to exercise broad discretion
in imposing a sentence within a statutory range. . . . Indeed,
everyone agrees that the constitutional issues presented by these cases would have been
avoided entirely if Congress had omitted from the [Sentencing Reform Act] the provisions
that make the Guidelines binding on district judges . . . .
For when a trial judge exercises his discretion to select a specific sentence
within a defined range, the defendant has no right to a jury determination
of the facts that the judge deems relevant.
-- U.S. --, 125 S. Ct. at 750 (emphasis added). Justice Stevens
also observed that there was no distinction of constitutional significance between the Federal
Sentencing Guidelines and the Washington state sentencing guidelines struck down in Blakely, because
the relevant sentencing rules are mandatory and impose binding requirements on all sentencing
judges. Id. at 749-50 (emphasis added).
Justice Breyer authored an opinion for a different majority, composed of the four
Blakely dissenters and with the addition of Justice Ginsburg (who also joined Justice
Stevens opinion), holding that it was possible to render the Guidelines constitutional by
severing the provisions that made them mandatory and calling for de novo appellate
review of sentencing decisions. Id. at 764-65. Instead, the Guidelines are
to be read as advisory only, with appellate review of sentencing decisions to
be for reasonableness. Id. Justice Breyer explicitly stated that 18 U.S.C.
3553(b), which made the Guidelines mandatory and binding on district court judges, is
a necessary condition of the constitutional violation. That is to say, without
this provision . . . the statute falls outside the scope of Apprendis
requirement. Id. at 764 (emphases added).
The particular facts of Booker were that the defendant was charged with possession
with intent to distribute at least 50 grams of crack cocaine, which by
itself carries a sentencing range of 10 years to life. The jury
specifically found that the defendant possessed 92.5 grams of crack. Under the
Federal Sentencing Guidelines, this jury finding of the amount of the drug, combined
with the defendants criminal history, placed him in a mandatory sentencing range of
210 to 262 months. However, the district court found after a bench
sentencing hearing that the defendant had possessed an additional 566 grams of crack,
for a total of 658.5 grams. Under the Guidelines, this fact required
the district court to impose a sentence of between 360 months and life
imprisonment; the district court decided to impose the minimum possible 360-month sentence.
The Stevens majority held that this violated the defendants Sixth Amendment right to
a jury trial. Id. at 751. The statutory maximum sentence for
Blakely purposes authorized by the jurys verdict and the defendants criminal history was
262 months. Id. The Breyer majority concluded that the remedy for
this constitutional violation was, generally, to make the Federal Sentencing Guidelines advisory only
across the board and to subject district court sentencing decisions to appellate reasonableness
review. Id. at 764-65. The Court held specifically that Booker was
entitled to be resentenced, and have his sentence reviewed on appeal, in accordance
with the Courts opinions. Id. at 769. Presumably, on remand Booker
could be sentenced to a precisely identical 360-month sentence, above the 262 month
presumptive maximum under the Federal Sentencing Guidelines based solely on the jurys verdict,
so long as the district court was not required to impose that sentence
and a reviewing appellate court found the sentence to be reasonable.
I conclude, pursuant to Bookers clarifications, that Blakely does not impact Indianas sentencing
scheme. Simply put, Indianas sentencing scheme now somewhat resembles the Federal Sentencing
Guidelines as reshaped by the Supreme Court, albeit that the Federal rules are
much more explicit and precise as to what sentence ought to be imposed
in response to particular facts. Indiana Code Section 35-38-1-7.1(a) applies to all
non-death penalty/life without parole sentences and lists a number of factors trial courts
shall consider when determining an appropriate sentence; subsections (b) and (c) list a
number of possible aggravating and mitigating factors trial courts may consider; subsection (d)
allows courts to develop or recognize other aggravating or mitigating circumstances. Indiana
Code Sections 35-50-2-3 through 7 provide sentencing ranges for murder and Class A,
B, C, and D felonies, each with a presumptive starting point to which
time may be added for aggravating circumstances or subtracted for mitigating circumstances.
No part of these statutes prescribes that any particular aggravating circumstance must equal
a certain increase in a defendants sentence. In Indiana, the jurys verdict
or a plea of guilty generally only authorizes the imposition of a presumptive
sentence, which would be equivalent to the 210 to 262 months sentencing range
in Booker authorized solely by the jurys verdict in that case. However,
Booker makes it clear that it is acceptable for a sentencing court to
rely on judge-found facts to increase a sentence above a presumptive sentence or
sentencing range, so long as the court is not required to increase the
sentence.
In this particular case, a jury found Edwards to have committed attempted murder,
a Class A felony carrying a sentencing range of twenty to fifty years
and a presumptive of thirty years. Ind. Code § 35-50-2-4. The
trial courts selection of a sentence within that range was entirely a matter
within its discretion, albeit we would have found a clear abuse of that
discretion if it had imposed an enhanced sentence without finding or identifying any
aggravating circumstances. On the other hand, if the jury had returned a
verdict for attempted murder, but the State attempted to prove at a bench
sentencing hearing that the victim actually died and Edwards intended that death, Blakely
would apply if this were sufficient to expose Edwards to the increased penalty
range for murder, which is forty-five to sixty-five years or, possibly, death or
life imprisonment. I.C. § 35-50-2-3. Such a judicially-found fact would mandate
an increase in Edwards sentencing exposure and would violate Blakely.
See footnote The aggravating
circumstances found by the trial judge in this case, however, did not require
an automatic increase in Edwards potential penalty either within or above the Class
A felony range authorized by the jurys verdict.
In other words, while Indianas sentencing scheme does not allow judges to increase
a sentence above the presumptive unless they have found at least one aggravating
circumstance, which seemed to run afoul of
Blakely, neither does the scheme mandate
judges to increase a sentence if they find aggravating circumstances, which makes the
scheme constitutional under Booker. Under the Indiana sentencing scheme, judges have broad
discretion to determine an appropriate sentence within a defined sentencing range, after considering
the nature of the offense and character of the offender, with the caveat
that they adequately explain an aggravated sentence above the statutory presumptive by identifying
and weighing aggravating and mitigating (if any) circumstances. Leone v. State, 797
N.E.2d 743, 748 (Ind. 2003); Ind. Appellate Rule 7(B).
See footnote Judges are not
bound by statute to impose an enhanced sentence if aggravating circumstances exist.
Any deviation by a judge above the statutory presumptive represents an exercise of
his or her discretion.
See, e.g., Buchanan v. State, 767 N.E.2d 967,
970 (Ind. 2002). Thus, an Indiana judges decision to enhance a defendants
sentence above the presumptive based upon an aggravating circumstance neither found by the
jury nor admitted by the defendant does not run afoul of the Sixth
Amendment because the judge also enjoyed the discretion not to enhance the sentence.
I believe, under Booker, that this is enough to make Indianas sentencing
scheme fully constitutional.
As a practical matter, it is clear to me that the Supreme Court
has, by the Breyer majority opinion, done its best to allow trial judges
to use their collective discretion when sentencing criminal defendants. That discretion must
be given, as much as it is constitutionally and statutorily possible, to Indiana
trial judges. Because very few defendants come before the bar of justice
with exactly the same background, criminal history or lack thereof, and various other
attributes and flaws, and because no two crimes are precisely alike, I believe
it is correct to read the Booker opinion to allow the present Indiana
sentencing scheme to pass constitutional muster. See State v. Barker, 809 N.E.2d
312, 317 (Ind. 2004) (stating, in case concerning application of Apprendi to Indianas
death penalty statute, that courts have an overriding obligation to construe our statutes
in such a way as to render them constitutional if reasonably possible.).
It also appears that Edwards case is precisely the type of case Justice
Breyer had in mind when he extolled the virtues of allowing trial judges
discretion in determining an appropriate sentence as opposed to having juries determine any
facts other than criminal history that may warrant an increased sentence. For
example, Justice Breyer noted the vastly increased complexity that would result from regularly
conducting jury sentencing trials:
How would courts and counsel work with an indictment and a jury trial
that involved not just whether a defendant robbed a bank but also how?
Would the indictment have to allege, in addition to the elements of
robbery, whether the defendant possessed a firearm, whether he brandished or discharged it,
whether he threatened death, whether he caused bodily injury, whether any such injury
was ordinary, serious, permanent or life threatening, whether he abducted or physically restrained
anyone, whether any victim was unusually vulnerable, how much money was taken, and
whether he was an organizer, leader, manager, or supervisor in a robbery gang?
Booker, 125 S. Ct. at 761-62. Justice Breyer also notes that a
successful sentencing system depends upon judicial efforts to determine, and to base punishment
upon, the real conduct that underlies the crime of conviction. Id. at
759 (emphasis in original). He also astutely observes that an act that
meets the statutory definition of a crime can be committed in a host
of different ways. Id. at 760.
Most of what Justice Breyer is describing in these passages is what would
fall under the nature and circumstances of the crime under Indiana sentencing law,
and which the trial judge here relied upon in enhancing Edwards sentence.
See footnote
Like Justice Breyer, I am concerned about the workability of a system where
a jury, not a judge, must evaluate and find (or not find) a
potential multitude of other facts relating to
how a crime was committed before
an appropriate sentence may be determined. As Justice Breyer makes clear, such
a system is not only impractical, but also is not required by the
Sixth Amendment, so long as the finding of a particular aggravator does not
mandate an enhanced sentence.
Because the majority has decided to remand for resentencing on Blakely grounds, it
did not address whether Edwards sentence is inappropriate. I have no qualms
with the appropriateness of the sentence, particularly in light of the evidence of
extensive planning and stalking of the victim before the brutal knife attack.
Such facts warrant an enhanced sentence in my opinion. In sum, I
would affirm the sentencing decision of the trial court.