FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
STEVE CARTER SUSAN K. CARPENTER
Attorney General of Indiana Public Defender of Indiana
CHRISTOPHER L. LAFUSE ANNE-MARIE ALWARD
Deputy Attorney General Deputy Public Defender
Indianapolis, Indiana Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
STATE OF INDIANA, )
)
Appellant-Respondent, )
)
vs. ) No. 48A02-0308-PC-723
)
DAVID LEON JONES, )
)
Appellee-Petitioner. )
APPEAL FROM THE MADISON SUPERIOR COURT
The Honorable Thomas Newman, Jr., Judge
Cause No. 48D03-9903-CF-55
March 30, 2004
OPINION - FOR PUBLICATION
MATHIAS, Judge
David Jones (Jones) was granted post-conviction relief in Madison Superior Court. The
State appeals, presenting the following dispositive issues for review:
Whether a jury instruction created a mandatory presumption entitling Jones to post-conviction relief;
and
Whether Jones sentencing enhancements are subject to the double enhancement prohibition of Ross
v. State.
Concluding the jury instruction at issue does not entitle Jones to post-conviction relief
and Jones sentencing enhancements are not subject to Ross, we reverse and remand.
Facts and Procedural History
On March 11, 1999, Anderson Police Officer William Richardson (Officer Richardson) noticed Jones
stagger down the sidewalk and toss a bottle in a yard. Based
upon public intoxication and littering suspicions, Officer Richardson questioned Jones.
During questioning, Jones placed his hands behind his back. Because he feared
Jones might be reaching for a weapon, Officer Richardson ordered Jones to keep
his hands in front of him. Jones failed to comply. As
a result, Officer Richardson frisked Jones and discovered a gun.
When Officer Richardson attempted to remove Jones gun, a struggle ensued. Jones
was able to secure his gun, flee, and enter a private residence in
an attempt to hide. The police eventually were able to talk Jones
out of the residence, arrest him, and seize his gun.
On March 12, 1999, the State charged Jones with Class A misdemeanor battery,
Class D felony resisting law enforcement, Class A misdemeanor trespass, Class D felony
receiving stolen property, and Class C felony carrying a handgun without a license.
The State subsequently dismissed Jones trespass and receiving stolen property charges and
added a charge of Class D felony residential entry.
See footnote The State also
sought possession of a handgun by a felon and habitual offender sentencing enhancements.
On June 17, 1999, a jury convicted Jones of battery, resisting law enforcement,
residential entry, and possession of a handgun without a license. Jones then
pled guilty to his two sentencing enhancements. Jones was sentenced to one
year for battery, three years for resisting law enforcement, three years for residential
entry, and one year for possession of a handgun. Pursuant to his
sentencing enhancements, Jones was sentenced to eight years for possession of a handgun
by a felon and to twelve years for being an habitual offender.
Jones battery, resisting law enforcement, residential entry, possession of a handgun, and possession
of handgun by a felon sentences were ordered to be served concurrently.
Jones habitual offender sentence was ordered to be served consecutively, culminating in a
twenty-year sentence executed in the Department of Correction.
Jones appealed his convictions, and this court affirmed.
Jones v. State, No.
48A05-9910-CR-453 (Ind. Ct. App. May 3, 2000). On July 26, 2000, Jones
filed a petition for post-conviction relief, which was granted on May 30, 2003.
The State now appeals.
Standard of Review
We review a States appeal from a grant of post-conviction relief under a
clearly erroneous standard. State v. Dye, 784 N.E.2d 469, 470-71 (Ind. 2003).
We neither reweigh the evidence nor judge witness credibility and only consider
the probative evidence and reasonable inferences supporting the judgment. Moore v. State,
771 N.E.2d 46, 50 (Ind. 2002). We reverse only upon a showing
of clear error. Spranger v. State, 650 N.E.2d 1117, 1119 (Ind. 1995).
Our inquiry is essentially whether there is any way the post-conviction court
could have permissibly reached its decision. Id.
I. Jury Instruction
Jones contends a jury instruction used at his trial shifted the burden of
proving residential entrys element of breaking from the State to him and his
trial attorneys failure to object to this instruction amounted to ineffective assistance of
counsel.
A. Ineffective assistance of counsel
To establish a violation of the Sixth Amendment right to effective assistance of
counsel, a petitioner must establish two components set forth in Strickland v. Washington,
466 U.S. 668 (1984). Wesley v. State, 788 N.E.2d 1247, 1252 (Ind.
2003). First, a petitioner must show defense counsels performance was deficient.
Strickland, 466 U.S. at 687. This requires a showing that counsels representation
fell below an objective standard of reasonableness and counsel made errors so serious
that counsel was not functioning as counsel guaranteed by the Sixth Amendment.
Id. at 687-88.
Second, a petitioner must show the deficient performance prejudiced his or her defense.
Id. To establish prejudice, a petitioner must show there is a
reasonable probability that, but for the unprofessional errors, the result of the proceeding
would have been different. Id. at 694.
Mandatory presumptions
The Fourteenth Amendment requires the State to prove every element of an offense
beyond a reasonable doubt. Sandstrom v. Montana, 442 U.S. 510, 512 (1979).
Jury instructions that (1) constitute a direction for the jury to find
the State has established an element once convinced of certain predicate facts or
(2) shift the burden of proving an element to the defendant violate this
requirement. Sandstrom, 442 U.S. at 517; see also McCorker v. State, 797
N.E.2d 257, 265 (Ind. 2003). The proper inquiry in determining whether an
instruction violated this rule is whether there is a reasonable likelihood that the
jury applied the instruction in an unconstitutional manner. Tyler v. Cain, 533
U.S. 656, 659 n.1 (2001) (citing Estelle v. McGuire, 502 U.S. 62, 72
n.4 (1991)).
The instruction at issue stated:
Some physical movement of a structural impediment is necessary to support a finding
of a breaking. Opening an unlocked door constitutes breaking, as does pushing
open a door which is slightly ajar.
Tr. p. 409. Because the phrase constitutes breaking instructs the jury that
breaking is established if they conclude Jones unlocked or pushed open the door,
this instruction is impermissible. See Sandstrom, 442 U.S. at 517 (disapproving of
an instruction that constituted a direction by the court to find [an element]
once convinced of facts triggering the presumption); see also McCorker, 797 N.E.2d at
265 (a jury instruction cannot require a jury to find that the State
has met its burden of proof on an element.). We note that
Judge Vaidik came to the same conclusion regarding a similar instruction, albeit with
a slightly different rationale. Higgins v. State, 783 N.E.2d 1180, 1189-90 (Ind. Ct.
App. 2003), trans. denied Vaidik, J. concurring.
C. Federal harmless error
A jury instruction that shifts the burden of proving an element to the
defendant is subject to federal harmless error. Yates v. Evatt, 500 U.S.
391, 402 (1991). An instruction is harmless when a reviewing court concludes
the record establishes beyond a reasonable doubt that the error did not contribute
to the verdict. Id. at 402. To say that an error
did not contribute to the verdict is not to say that the jury
was totally unaware of the feature later held to have been error.
Id. at 403. Rather, harmless error analysis requires the reviewing court, after
reviewing the whole record, to make a judgment concerning the effect of the
instruction upon reasonable jurors. Id. at 403-04.
The lack of prejudice resulting from the jury instruction at bar can best
be demonstrated by distinguishing it from jury instructions disapproved of in Supreme Court
cases governing this issue. The jury instruction in the seminal case of
Sandstrom stated, the law presumes that a person intends the ordinary consequences of
his voluntary acts. Sandstrom, 442 U.S. at 512. Implicit in Sandstroms
disapproval of this instruction is the fact that there are a variety of
conditions and circumstances capable of precluding someone from comprehending the ordinary consequences of
his or her voluntary actions.
See footnote
See also Francis v. Franklin, 471 U.S.
307, 311 (1985) (concluding a person of sound mind and discretion is presumed
to intend the natural and probable consequences of his acts to be an
impermissible instruction);
See footnote
Yates, 500 U.S. at 397 (concluding an instruction that malice may
be presumed by the use of a deadly weapon to be impermissible).
See footnote
The similarity of the instructions disapproved of in the three above-cited cases is
that the underlying facts used to establish the presumptions
are not necessarily conclusive
as to the ultimate establishment of the disputed elements. The same cannot
be said for the instruction at bar. Proof that Jones moved the
door in the slightest mannerthe fact predicating the presumption at issueindisputably establishes the
element of breaking.
See footnote
In other words, for the instruction at issue to have affected Jones jury,
Jones jury would have first had to find that Jones moved the door.
Such a predicate finding indisputably and irrefutably establishes the breaking element of
residential entry, rendering the instruction harmless.
See Griesinger v. State, 699 N.E.2d
279, 282 (Ind. Ct. App. 1998), trans. denied (the State need only introduce
evidence from which the trier of fact could reasonably infer that the slightest
force was used to gain entry).
This point is emphasized by Jones prejudice argument. Jones states that, but
for the instruction, the evidence could have been viewed to point to an
authorized rather than unauthorized entry. Br. of Appellee at 8. Unauthorized
for purposes of residential entry merely denotes illegal. Griesinger, 699 N.E.2d at
282. Consequently, reference to authorization adds nothing to our analysis. Conversely,
if Jones is referring to landowner consent when he uses the term authorization,
consent is an affirmative defense which Jones had the burden of proving.
See id.
Although the instruction at issue was improper, the absence of prejudice renders it
harmless. Accordingly, Jones did not receive ineffective assistance of counsel.
II. Sentencing Enhancement
After Jones was convicted of battery, resisting law enforcement, residential entry, and possession
of a handgun on June 17, 1999, he pled guilty to two sentencing
enhancements. On May 25, 2000, Ross v. State held that a defendant
may not receive both an habitual offender and handgun sentencing enhancement. 729
N.E.2d 113, 113 (Ind. 2000).
Jones does not challenge this courts previous determination that Ross does not apply
retroactively. See Jacobs v. State, 799 N.E.2d 1161, 1163 (Ind. Ct. App.
2003), trans. pending. Rather, he notes a conviction becomes final for purposes
of retroactivity when the availability of direct appeal has been exhausted and the
time for filing a petition for certiorari has elapsed. Br. of Appellee
at 9 (citing State v. Mohler, 694 N.E.2d 1129, 1133 (Ind. 1998)).
Thus, Jones contends, because he still had the ability to petition for certiorari
from his direct appeal when Ross was handed down, Ross must be applied.
However, as Jones acknowledges, a conviction becomes final for purposes of retroactivity analysis
when the availability of direct appeal has been exhausted. Br. of Appellee
at 9. Because Jones pled guilty to both his sentencing enhancements, he
forfeited his right to appeal them. See Brightman v. State, 758 N.E.2d
41, 44 (Ind. 2001) (a defendant may not challenge his guilty plea on
direct appeal). Jones plea, which was entered into well before Ross hand-down
date, forfeited his ability to directly appeal his sentencing enhancements and, consequently, to
claim relief pursuant to Ross.
Jones does not challenge Jacobs determination that Ross does not apply retroactively, and
Jones ability to appeal his enhancements terminated well before Ross hand-down date.
Accordingly, Jones is not entitled to a retroactive application of Ross.
Conclusion
Jones did not receive ineffective assistance of counsel and is not entitled to
retroactive application of Ross.
Reversed and remanded.
SHARPNACK, J., and VAIDIK, J., concur.
Footnote:
Ind. Code § 35-43-2-1.5 (1992).
Footnote: The defendant in
Sandstrom specifically asserted his personality disorder and alcohol consumption
were conditions that precluded him from understanding the consequences of his actions and
precluded his ability to form the intent to kill. Sandstrom, 442 U.S.
at 512.
Footnote:
In
Franklin the defendant specifically asserted that, though he was of sound
mind, the surprise from a door having been slammed precluded him from understanding
the consequence of his reflex-reaction of squeezing a trigger. Franklin, 471 U.S.
at 311.
Footnote:
In
Yates, the defendant specifically asserted he had only brought a gun
to induce the store cashier to give him money, not to commit the
murder he was convicted of (which was the result of his accomplice stabbing
the victim to death). Yates, 500 U.S. at 395.
Footnote:
Jones movement of the door may have been unintentional; however, intent was
not affected by the instruction.