FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
SUSAN K. CARPENTER JEFFREY A. MODISETT
Public Defender of Indiana Attorney General of Indiana
SUZAN FELTEN JONES CAROL A. NEMETH
Deputy Public Defender Deputy Attorney General
Indianapolis, Indiana Indianapolis, Indiana
MICHAEL NUCKLES, )
)
Appellant-Petitioner, )
)
vs. ) No. 49A02-9705-PC-279
)
STATE OF INDIANA, )
)
Appellee-Respondent. )
OPINION - FOR PUBLICATION
2. Did the trial court err in ordering that the sentence for the instant
conviction be served consecutive to a sentence imposed in an earlier,
separate conviction?
3. Did the trial court err in responding to a request made by the jury
during deliberations?
4. Did Nuckles receive ineffective assistance of appellate counsel?
We affirm in part, reverse in part, and remand.
In affirming Nuckles's convictions on direct appeal, see Nuckles v. State, 560 N.E.2d
660 (Ind. 1990), our supreme court set forth the facts as follows:
At approximately 11:00 p.m. on November 2, 1987, David Clark answered a
knock on his door. He opened the security window on the door and saw a
stranger, who he later identified as appellant. The man asked to use Clark's
telephone. When Clark refused him entrance, appellant punched his arm
through the security window. Clark ran to his bedroom and obtained a gun.
When Clark reappeared in the hall with his gun, appellant was standing in the
hall holding a gun. Clark fired a shot, which grazed appellant's chest.
Appellant knocked Clark against a mirror, and in the ensuing struggle, Clark
again managed to fire a shot which passed through appellant's finger.
Nevertheless, appellant was able to disarm Clark. As Clark sat on the floor,
appellant pointed his gun at him, threatened to kill him, and then fired a shot
which struck Clark in the head. Appellant then fled.
Id. at 661.
Our supreme court recently set forth the standard of review for the denial of a petition
for post-conviction relief:
Post-conviction procedures do not afford the convicted an opportunity for a
"super appeal." Rather, they create a narrower remedy for subsequent
collateral challenges to convictions, challenges which must be based on
grounds enumerated in the post-conviction rules. Petitioners bear the burden
of establishing their grounds by a preponderance of the evidence. When
appealing the negative judgment of a post-conviction court, petitioners must
show that the evidence, when taken as a whole, "leads unerringly and
unmistakably to a conclusion opposite to that reached by the trial court." If the
evidence does not unswervingly point in that direction, the decision of the
post-conviction court will stand.
Matheny v. State, No. 45S00-9207-PD-584, slip op. at 2-3 (Ind. Nov. 24, 1997) (quoting
Weatherford v. State, 619 N.E.2d 915, 917 (Ind. 1993)) (citations omitted).
We note that three of the issues presented by Nuckles, i.e., the attempted murder
instruction, the imposition of consecutive sentences, and the trial court's ex parte
communication with the jury, are subject to waiver. Nuckles seeks to escape waiver by
invoking the fundamental error doctrine, which permits review of an improperly raised error
if the reviewing court finds that the error was so prejudicial to the rights of the defendant that
he could not have had a fair trial. Cossel v. State, 675 N.E.2d 355 (Ind. Ct. App. 1996).
However, our supreme court recently observed that the fundamental error exception is "an
extremely narrow one." Canaan v. State, 683 N.E.2d 227, 235 n.6 (Ind. 1997). The court
further clarified that, in the post-conviction setting, the exception is generally limited to
"[D]eprivation of the Sixth Amendment right to effective assistance of counsel, or ... an issue
demonstrably unavailable to the petitioner at the time of his [or her] trial and direct appeal."
Id. at 236 n.6 (quoting Bailey v. State, 472 N.E.2d 1260, 1263 (Ind. 1985)). Therefore, if the
issues in question were available at the time of trial or direct appeal, we may address them
only in the context of claims of ineffective assistance of counsel.
Cooper v. State, No. 84S00-9610-CR-648 (Ind. November 25, 1997), slip op. at 4.
(b) If, after being arrested for one (1) crime, a person commits another crime:
(1) before the date the person is discharged from probation, parole, or
a term of imprisonment imposed for the first crime; or
(2) while the person is released:
(A) upon the person's own recognizance; or
(B) on bond;
the terms of imprisonment for the crimes shall be served consecutively,
regardless of the order in which the crimes are tried and sentences are
imposed.
Ind. Code Ann. § 35-50-1-2 (West 1988) (since amended).
At the time Nuckles was sentenced, the imposition of consecutive sentences such as
the trial court ordered was not contrary to then-existing legal authority. Approximately six
months after Nuckles's sentencing, however, our supreme court decided a case that arguably
could have been interpreted as prohibiting the imposition of consecutive sentences except in
those instances when the court was simultaneously imposing two or more sentences. See
Kendrick v. State, 529 N.E.2d 1311 (Ind. 1988). The court later clarified that such was
indeed the meaning of the holding in Kendrick. See Weaver v. State, 664 N.E.2d 1169 (Ind.
1996). Therefore, as later clarified in Kendrick and Weaver, the trial court erred in ordering
that the sentences for the instant offenses be served consecutively to the sentence imposed
for the prior offenses. Appellate counsel's failure to present the issue was of constitutional
proportions because this court has determined that "fundamental error ... include[s] illegal
sentences in violation of express statutory authority or an erroneous interpretation of a
penalty provision." Thompson v. State, 634 N.E.2d 775, 777 (Ind. Ct. App. 1994) (emphasis
in original).
Because the error in imposing consecutive sentences constituted fundamental error
not subject to waiver, appellate counsel's failure to present the issue constituted ineffective
assistance of counsel.
rendered ineffective assistance in failing to present the issue of the court's ex parte
communication with the jury
Nuckles claims that the trial court committed fundamental error in this regard by
failing to follow the procedure set out in Ind. Code Ann. § 34-1-21-6 (West 1983) when
responding to the jury's request. IC § 34-1-21-6 states:
After the jury have retired for deliberation, if there is a disagreement between
them as to any part of the testimony, or if they desire to be informed as to any
point of law arising in the case, they may request the officer to conduct them
into court, where the information required shall be given in the presence of, or
after notice to, the parties or their attorneys.
The foregoing provision has generated a divergence of views among different panels of this court. When triggered, the statute requires that the trial court grant the jury's request and conduct the jury into open court to review the evidence or receive further instruction or clarification from the court, as the case may be. Some panels of this court have held that IC § 34-1-21-6 is triggered whenever the jury makes a request during deliberations. See Brownlee v. State, 555 N.E.2d 505 (Ind. Ct. App. 1990); see also State v. Winters, 678 N.E.2d 405 (Ind. Ct. App. 1997). Other panels have held that the statute is not triggered when a jury requests to review evidence or testimony unless, in so doing, the jury manifests disagreement. See, e.g., Dowdy v. State, 672 N.E.2d 948 (Ind. Ct. App. 1996), trans. denied; Grayson v. State, 593 N.E.2d 1200 (Ind. Ct. App. 1992). We believe that the latter cases, requiring manifest disagreement, represent the better view. We must therefore examine whether the jury's request stemmed from a disagreement among jurors.
Nuckles acknowledges that the request itself did not reflect disagreement among the
jurors, but argues that the failure to inform him of the request at the time deprived him of the
opportunity to ascertain whether it arose from disagreement. Although this argument was
embraced in Brownlee v. State, 555 N.E.2d 505, we reject it and conclude that the statute's
applicability is determined at the time the jury makes its request. Johnson v. State, 674
N.E.2d 180 (Ind. Ct. App. 1996), trans. denied. In other words, if the request itself does not
manifest disagreement, the statute simply does not apply. Because the request did not
manifest disagreement, the statute was not triggered and no fundamental error resulted.
Moreover, in view of the unsettled nature of the law on this point, we cannot say that
appellate counsel's failure to present the issue upon direct appeal constituted ineffective
assistance of counsel.
The imposition of consecutive sentences is reversed and this cause is remanded with
instructions to adjust the sentence consistent with the principles set out in this opinion. In
all other respects, the decision of the post-conviction court is affirmed.
Judgment affirmed in part and reversed in part and remanded.
KIRSCH, J., concurs in result with separate opinion.
BARTEAU, J., concurs in part and dissents in part with separate opinion.
MICHAEL NUCKLES, )
)
Appellant-Petitioner, )
)
vs. ) No. 49A02-9705-PC-279
)
STATE OF INDIANA, )
)
Appellee-Respondent. )
KIRSCH, Judge, concurring in result.
Although I agree with the result reached by the majority, I reach that result in a very
different way.
First, I do not believe that appellate counsel was ineffective for failing to raise the
issue of consecutive sentences in Nuckles' direct appeal. As stated by the majority, "[A]n
ineffective assistance claim cannot be based on counsel's failure to argue the legal reasoning
of cases not yet decided at the time." Slip opinion at 6 (quoting Shaffer v. State, 674 N.E.2d
1, 7 (Ind.Ct.App. 1996)). The proposition the majority relies upon from Kendrick v. State,
529 N.E.2d 1311 (Ind. 1988), is contained in dicta. See id. at 1312 (Pivarnik, J., concurring).
For this reason, counsel should not be deemed ineffective for failing to argue that
consecutive sentences were improperly imposed. Moreover, if, as the majority concludes,
the error was fundamental, the error was not waived, and it is unnecessary to reach the
question of effectiveness of counsel.
Second, as the author of State v. Winters, 678 N.E.2d 405 (Ind.Ct.App. 1997) cited
by the majority, I do not believe that cases holding to the contrary "represent the better
view." Slip opinion at 9.
IN THE
COURT OF APPEALS OF INDIANA
MICHAEL NUCKLES, )
)
Appellant-Defendant, )
)
vs. ) No. 49A02-9705-PC-279
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
BARTEAU, Judge, concurring in part and dissenting in part with opinion
I do not believe that Nuckles was denied the effective assistance of appellate counsel,
and I therefore dissent from Section 4b of the majority's opinion.
The majority concludes that Nuckles was denied the effective assistance of counsel
because his appellate attorney failed to challenge the trial court's imposition of consecutive
sentences. The majority indicates that Nuckles' appellate attorney could have made such a
challenge by arguing from Kendrick v. State, 529 N.E.2d 1311 (Ind. 1988).
In Kendrick, the defendant pled guilty to a charge which was pending against him in
Division One of the Marion County Superior Court. As a result of his guilty plea, the
defendant received a prison sentence of eight years. After this, the defendant pled guilty to
other charges which were pending against him in another division of the court. As a result
of this second guilty plea, the defendant received two prison sentences which were ordered
to be served consecutive to the eight year sentence he had received pursuant to his first guilty
plea. The defendant then filed a petition for post-conviction relief, seeking to withdraw the
guilty plea he made in Division One. He claimed that his guilty plea should be withdrawn
because the Division One court did not advise him "that as a consequence of the plea he
would face the possibility that later sentences in the other division of the Superior Court
could be ordered served consecutive to the one he would then be serving." Id.
The defendant's petition was denied by the post-conviction court. The supreme court
affirmed this denial, holding that:
In the case on appeal, the Division One sentencing court was imposing
a single sentence upon a plea of guilty to one of several counts, upon a plea
agreement which called for a single sentence. There was therefore no occasion
for the exercise of the general authority to order consecutive sentences granted
by I.C. § 35-50-1-2(a).
Id. at 1312. The court concluded that:
[The post-conviction court] was correct in concluding as a matter of law
that there was no possibility of consecutive sentences arising as a result of
appellant's plea of guilty while other charges pended against him.
Consequently the lack of an advisement of such non-existent possibility could
not impact the decision to plead guilty.
Id.
Although the analysis set forth above fully disposes of the issue raised by the
defendant, the court provided additional commentary on the interpretation of Indiana Code
Section 35-50-1-2(a). The court stated that "[t]he language employed in Section (a) . . . is
restrictive. The general authority is limited to those occasions when a court is meting out
two or more terms of imprisonment." Id. This statement seems to provide a basis for the
court's subsequent assertion that "there would at a later time in the future, when sentencing
upon the [defendant's] other pending charges, in the absence of some agreement between the
defense and prosecution, be no occasion for the exercise of that same authority." Id.
"In appellate opinions, statements not necessary in the determination of the issues
presented are obiter dictum. They are not binding and do not become the law." Koske v.
Townsend Engineering Co., 551 N.E.2d 437, 443 (Ind. 1990). Because the court's additional
commentary on the interpretation of Section (a) was not necessary in the determination of
the issue presented by the defendant, it was obiter dictum.
The question, then, is whether ineffective assistance of counsel may be found simply
because an appellate attorney fails to raise an issue whose foundation is obiter dictum. I
answer this question in the negative. I would hold that, under our standard of review for
ineffective assistance claims, an appellate attorney who fails to raise an issue grounded in
obiter dictum does not exhibit deficient professional performance.
Even if Kendrick's commentary on the interpretation of Section (a) were not obiter
dictum, I would nevertheless be unable to find ineffective assistance here. "Failure to raise
an issue on appeal does not, alone, demonstrate incompetent counsel." Talley v. State, 442
N.E.2d 721, 724 (Ind. Ct. App. 1982). I would therefore affirm the judgment of the post-
conviction court in all respects.
a question of identity, as was the case in Swallows. However, neither did Nuckles claim that he shot Clark in self-defense, which clearly would render inapplicable the principle applied in Swallows. Viewed as a whole, Nuckles's theory of defense amounted to a denial that he inflicted any injury at all upon Clark. In this circumstance, Nuckles's intent in wounding Clark was not an issue, and the error in instructing the jury on the intent element did not result in harm to Nuckles.
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