FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
RODOLFO S. MONTERROSA, JR. STEVE CARTER
South Bend, Indiana Attorney General of Indiana
JUSTIN F. ROEBEL
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
JAMIE A. FREEZE, )
)
Appellant-Defendant, )
)
vs. ) No. 20A03-0412-CR-562
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE ELKHART SUPERIOR COURT
The Honorable George W. Biddlecome, Judge
Cause No. 20D03-0401-FA-1
May 18, 2005
OPINION - FOR PUBLICATION
BARNES, Judge
Case Summary
Jamie Freeze appeals the sentence imposed on his conviction for Class B felony
possession of methamphetamine. We reverse and remand for resentencing.
Issue
The sole issue before us is whether the manner in which the trial
court determined Freezes sentence was unconstitutional.
Facts
On January 6, 2004, the State filed an information charging Freeze with Class
A felony possession of methamphetamine with intent to deliver. The information and
probable cause affidavit alleged that Freeze was in possession of twenty-two grams of
methamphetamine. On March 11, 2004, Freeze pled guilty to Class B felony possession
of methamphetamine with intent to deliver, at which time Freeze expressly refused to
admit the amount of methamphetamine he had possessed.
The trial court conducted a sentencing hearing on April 8, 2004, during which
Freeze admitted he was on bond for another offense at the time he
committed the current crime; the trial court orally noted this as an aggravating
circumstance.
See footnote Additionally, the trial court noted Freezes criminal history, which consists of
two juvenile delinquency adjudications and four adult misdemeanor convictions, as well as one
previous probation violation finding. The trial court also noted as aggravating circumstances
the allegations that he possessed twenty-two grams of methamphetamine, and that he was
in possession of both a firearm and marijuana when he was arrested for
the offense. The trial court noted several mitigating circumstances, including Freezes expression
of remorse and acceptance of responsibility. It then imposed an enhanced sentence
of fifteen years, five years above the presumptive Class B felony sentence of
ten years but five years below the maximum possible.See footnote Freeze now appeals
the sentencing decision.
Analysis
Freeze argues that the trial courts reliance on facts not found by a
jury beyond a reasonable doubt to enhance his sentence violated his Sixth Amendment
right to trial by jury, as set out by
Blakely v. Washington, --
U.S. --, 124 S. Ct. 2531 (2004). Blakely held that every defendant
has the right under the Sixth Amendment to insist that the prosecutor prove
to a jury all facts legally essential to the punishment. Id. at
--, 124 S. Ct. at 2543. In doing so, the Supreme Court
followed and expanded on Apprendi v. New Jersey, 530 U.S. 466, 490, 120
S. Ct. 2348, 2362-63 (2000), which holds: 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 clarified 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. at 2537.
Our supreme court has held that Blakely impacts Indianas sentencing scheme and that
any facts, other than criminal history and those admitted by a defendant, used
to enhance a sentence above the presumptive must be found by a jury
beyond a reasonable doubt. See Smylie v. State, 823 N.E.2d 679, 683-85
(Ind. 2005). Additionally, we are to apply Blakely retroactively to all cases
on direct review at the time Blakely was announced and a defendant need
not have objected at trial in order to raise a Blakely claim on
appeal . . . . Id. at 690-91. We will, therefore,
address Freezes Blakely argument on the merits because that case was decided while
Freezes direct appeal was pending.
Here, the trial court relied upon Freezes two juvenile delinquency adjudications and several
adult misdemeanor convictions as an aggravating circumstance. As noted, a defendants criminal
history need not be found by a jury to be utilized by a
trial court as an aggravating circumstance.
See footnote
See Apprendi, 530 U.S. at 490,
120 S. Ct. at 2362-63. Additionally, Freeze admitted during the sentencing hearing
that he was on bond when he committed the current offense. Admissions
by a defendant are also exempt from the Apprendi/Blakely jury trial requirement.
See Blakely, -- U.S. at --, 124 S. Ct. at 2537. Also,
the commission of a crime while on bond for a similar offense, as
happened here, may properly be considered an aggravating circumstance. See Dudley v.
State, 480 N.E.2d 881, 905-06 (Ind. 1985). The trial court also assigned
aggravating weight to a finding that Freeze had once violated probation on one
of his misdemeanor convictions. Whether a probation violation finding also constitutes part
of Freezes criminal history is something we do not need to decide.
We find from the record that Freeze admitted this violation, when counsel told
the trial court during the sentencing hearing, with reference to the States position
on whether or not the defendant was successful with probation, we . .
. believe perhaps at that time he was young and stupid. Didnt
realize the importance of following through with these obligations as set out by
the Court. Tr. p. 41. This effectively constitutes an admission to
the probation violation, albeit an attempt to explain it away. Thus, the
trial court here properly relied on three aggravating circumstances in sentencing Freeze:
his criminal history, his being on bond when he committed the present offense,
and one probation violation.
The trial court also relied on the following circumstances as aggravating: the
amount of methamphetamine Freeze allegedly possessed (twenty-two grams on this count), the allegation
that he also possessed a firearm when he was arrested, and the allegation
that he also possessed marijuana when he was arrested. Freeze did not
admit to any of these facts. When he pled guilty to the
Class B felony offense, the trial court specifically clarified with Freeze that he
was not admitting that the amount of methamphetamine which you possessed with intent
to deliver was three grams or more. Tr. pp. 19-20. With
respect to the firearm allegation on this charge, counsel stated that Freeze was
not aware of that weapon, and at no point did he acknowledge any
possession of that item. Tr. p. 33. With respect to the
marijuana allegation, it is unclear where this information came from, but Freeze never
admitted to it. The trial courts use of these three circumstances as
aggravators, not found by a jury beyond a reasonable doubt nor admitted by
Freeze, violated Blakely and Smylie. See Blakely, -- U.S. --, 124 S.
Ct. at 2537; Smylie, 823 N.E.2d at 683-85.
Because the State argues harmless error in this case, we now address that
argument. We begin by observing that the question of harmless error in
the context of Blakely can become complicated. First, there is the question
of whether a trial courts improper reliance on non-criminal history aggravators neither found
by a jury nor admitted by a defendant is harmless, where other valid
aggravators exist. This court has indicated that in such a situation, the
question is whether this court can say, beyond a reasonable doubt, that the
trial court would have imposed an identical sentence relying strictly on the permissible
aggravators and ignoring the impermissible aggravators. See Holden v. State, 815 N.E.2d
1049, 1060 (Ind. Ct. App. 2004) (citing Chapman v. California, 386 U.S. 18,
24, 87 S. Ct. 824, 828 (1967)), trans. denied.
It has also been stated that even with respect to an aggravator neither
found by a jury nor admitted by a defendant, a trial courts reliance
on such an aggravator to enhance a sentence may be harmless, even where
no Blakely-valid aggravators exist, if a court on appeal can determine that the
evidence supporting the aggravator is so convincing that a jury could not have
found otherwise. See Averitte v. State, 2005 WL 793750 at *4 (Ind.
Ct. App. April 8, 2005). The Supreme Court in deciding Apprendi, Blakely,
or most recently Booker v. United States, -- U.S. --, 125 S. Ct.
738 (2005), did not address whether this would be a correct application of
the harmless error doctrine. The Court in Booker did say that in
cases not involving a Sixth Amendment violation, whether resentencing is warranted or whether
it will instead be sufficient to review a sentence for reasonableness may depend
upon application of the harmless-error doctrine. Id. at --, 125 S. Ct.
at 769 (emphasis added). In cases that do involve a Sixth Amendment
violation, the Court simply said it expected reviewing courts to apply ordinary prudential
doctrines, determining, for example, whether the issue was raised below and whether it
fails the plain-error test. Id.
See footnote
The test for harmless error enunciated in
Averitte is not without precedential support.
There are cases from the federal circuits, decided after Apprendi, that have
held a trial courts error in relying on an aggravator neither found by
a jury nor admitted by a defendant to be harmless if it is
clear beyond a reasonable doubt that a properly instructed jury would have found
the existence of the aggravating circumstance. See United States v. Mojica-Baez, 229
F.3d 292, 311-12 (1st Cir. 2000), cert. denied, 532 U.S. 1065, 121 S.
Ct. 2215 (2001); Campbell v. United States, 364 F.3d 727, 737 (6th Cir.
2004), cert. denied, -- U.S. --, 125 S. Ct. 987 (2005); United States
v. Trennell, 290 F.3d 881, 890 (7th Cir. 2002), cert. denied, 537 U.S.
1014, 123 S. Ct. 508; but see State v. Hughes, -- P.3d --,
2005 WL 851137 at *10-13 (Wash. Apr. 14, 2005) (holding that lack of
jury finding for aggravating circumstance is structural error and can never be harmless).
We believe we must tread cautiously if we are to attempt to determine
whether a jury surely would have found the existence of an aggravating circumstance
and, therefore, a trial courts reliance on such an aggravating circumstance was harmless.
The idea that a deprivation of the Sixth Amendment right to a
jury trial could ever be considered harmless is of recent and now-questionable vintage.
Specifically, we observe that in 1993, the Supreme Court held unequivocally that
the improper deprivation of the right to a jury trial was a structural
error, rather than mere trial error, and warranted automatic reversal of a conviction.
See Sullivan v. Louisiana, 508 U.S. 275, 280-81, 113 S. Ct. 2078,
2082-83 (1993). There, the Court, through Justice Scalia, said:
The most an appellate court can conclude is that a jury would surely
have found petitioner guilty beyond a reasonable doubt not that the jurys
actual finding of guilty beyond a reasonable doubt would surely not have been
different absent the constitutional error. That is not enough. The Sixth
Amendment requires more than appellate speculation about a hypothetical jurys action, or else
directed verdicts for the State would be sustainable on appeal; it requires an
actual jury finding of guilty.
Id. at 280, 113 S. Ct. at 2082.
The Supreme Court apparently discarded this structural error approach to the deprivation of
the right to a jury trial in Neder v. United States, 527 U.S.
1, 119 S. Ct. 1827 (1999). There, a five-justice majority held that
where a jury was not instructed on an element of an offense, and
thus there was no jury finding on that element, it was proper for
an appellate court to find the error harmless and affirm a conviction despite
deprivation of the Sixth Amendment right to a jury trial, if it is
clear beyond a reasonable doubt that a rational jury would have found the
defendant guilty despite the lack of an actual jury finding on that element.
Id. at 18, 119 S. Ct. at 1838. It is conceivable
that the existence or non-existence of an aggravating circumstance for sentencing purposes could
be analogized to the existence or non-existence of an element of an offense
that was necessary for a finding of guilt in the first place.
We believe the validity of Neder might be short-lived, in light of the
seismic shift in the Supreme Courts Sixth Amendment jurisprudence since 1999. Specifically,
Justice Scalia wrote a vigorous dissent in Neder, joined in part by Justice
Stevens and fully by Justices Ginsburg and Souter in other words, four
of the five members of the Blakely majority. Justice Thomas, the fifth
Blakely justice, was in the Neder majority. After Neder, and beginning at
least with Apprendi, he has repudiated a narrow interpretation of the Sixth Amendment
jury trial right and has joined Justice Scalias broad view of it.
See also Shepard v. United States, -- U.S. --, 125 S. Ct. 1254,
1264 (Thomas, J., concurring) (disavowing his concurring vote in Almanderez-Torres v. United States,
523 U.S. 224, 118 S. Ct. 1219 (1998), a five-four Sixth Amendment decision
upon which criminal history exception to Apprendi-Blakely rule is based). Additionally, Neder
itself cautions that safeguarding the jury guarantee will often require that a reviewing
court conduct a thorough examination of the record. If, at the end
of that examination, the court cannot conclude beyond a reasonable doubt that the
jury verdict would have been the same absent the error . . .
it should not find the error harmless. Neder, 527 U.S. at 19,
119 S. Ct. at 1838.
Even acknowledging Neders continued viability unless and until the Supreme Court expressly overrules
it, we would decline to find Neder-type harmless error in this case.
The issues of the amount of methamphetamine Freeze possessed and whether he also
possessed marijuana and a firearm at the time of his arrest were not
litigated, unlike the missing element in Neder and the aggravating circumstances in Averitte,
evidence of which apparently had been presented during trial. Averitte, 2005 WL
793750 at ** 4-5. We presume this information was reflected in the
police reports or probable cause affidavit, which are not in the record before
us, but Freeze did not admit these facts during his guilty plea hearing
or sentencing hearing, nor was any additional evidence presented to support such facts.
We decline, on such a record, to reach a conclusion that the
jury surely would have found the existence of these aggravators beyond a reasonable
doubt.
We now address the Chapman harmless error question i.e., whether the remaining
valid aggravators support Freezes enhanced sentence. We cannot conclude beyond a reasonable
doubt that the trial court would have imposed an identical fifteen-year sentence if
it had not considered the amount of methamphetamine Freeze allegedly possessed and the
allegations that he also possessed a firearm and marijuana at the time of
his arrest. Granted, the three remaining valid aggravators Freezes criminal history,
one prior probation violation, and the fact that he was on bond when
he committed this offense by themselves likely could justify a five-year enhancement
of Freezes sentence. Here, however, the trial court found several mitigating circumstances,
including Freezes expression of remorse, his taking of responsibility for his actions, his
assertion that he has worked to improve himself while incarcerated awaiting sentencing for
this offense, and his considerable support from family and friends.
See footnote Under the
circumstances, and giving Freeze the benefit of the (reasonable) doubt, we conclude it
is appropriate to remand for resentencing. At that time, the State may
elect to prove the three invalidated aggravating circumstances to a jury or to
have the trial court resentence Freeze in reliance only on the three valid
aggravating circumstances.
Cf. Smylie, 823 N.E.2d at 691.
Conclusion
We reverse Freezes fifteen-year sentence for Class B felony possession of methamphetamine and
remand for resentencing.
Reversed and remanded.
KIRSCH, C.J., and BAKER, J., concur.
Footnote:
Freeze also pled guilty to this prior offense, Class A felony possession
of methamphetamine with intent to deliver, and was sentenced for it during the
same April 8, 2004 sentencing hearing. A separate appeal regarding this sentence
is pending under cause number 20A03-0412-CR-564, but has not yet been fully briefed.
Footnote: Ind. Code § 35-50-2-5.
Footnote: Freeze makes no argument that his delinquency adjudications cannot be considered part
of his criminal history.
Footnote: The federal plain-error test is roughly equivalent to Indianas test for fundamental
error, not harmless error.
See Smylie, 823 N.E.2d at 689 n.16.
Smylie also made it clear that defendants who meet that cases criteria for
raising a Blakely issue on direct appeal will not have to establish fundamental
error in order to receive appellate review of their claim. Id.
Footnote:
The trial court also noted as possibly mitigating Freezes lack of any
prior adult felony conviction, his age (twenty-five), hardship to Freezes dependents, and his
addiction to illegal drugs, but stated that it gave little weight to these
factors or did not find them significant.