Opinion ID: 855412
Heading Depth: 2
Heading Rank: 3

Heading: Guilty pleas and aggravating factors

Text: The critical issue before us is whether the trial court erred by treating the victim’s injury as an aggravating factor when the injury was an element of the burglary charge that was dismissed pursuant to his plea agreement. Bethea cites Farmer v. State, 772 N.E.2d 1025 (Ind. Ct. App. 2002), and Roney v. State, 872 N.E.2d 192 (Ind. Ct. App. 2007) in support of his argument that the injury to the victim can’t be used as an aggravating factor, since it is an essential element of a dismissed charge. The legal basis for this line of case law begins with Hammons v. State, 493 N.E.2d 1250 (Ind. 1986). Hammons was tried for murder, but found guilty by jury for the lesser included offense of voluntary manslaughter. During sentencing, the trial court repeatedly declared the error of the jury verdict, and that Hammons had in fact committed murder.1 The trial court imposed the maximum penalty for manslaughter. We reversed, holding the trial court’s sentencing was not merely an act of skepticism with the jury verdict, but was more like an act of compensation to make up for the jury verdict, which was tantamount to sentencing the defendant for the crime for which he was acquitted. Id. at 1253. 1 At the first sentencing hearing in Hammons, the trial court made the following statement: As indicated, I was the trial Judge on this matter and while the jury did return a verdict of a lesser included on Count One, Manslaughter, rather than the Murder count, I feel there is ample evidence to justify a finding on the murder count itself. Therefore, Mr. Hammons, the Court is going to sentence you at this time to the custody of the Indiana Department of Correction on Count One, finding aggravation by reason that a reduced or the presumptive sentence would depreciate the seriousness of this particular offense, a period of twenty years. Hammons, 493 N.E.2d at 1251 8 Out of Hammons arose a line of Court of Appeals cases which attempted to interpret and apply Hammons, the first being Conwell v. State, 542 N.E.2d 1024 (Ind. Ct. App. 1989). Conwell had been charged with burglary as a Class B felony, but pled guilty, pursuant to a plea agreement, to burglary as a Class C felony, and left sentencing to be decided by the court. [Conwell Record p. 50.] The trial court sentenced Conwell to a term of eight years in the Indiana Department of Correction, with five years executed and three years suspended to probation. [Conwell Record p. 54.] Conwell argued the trial court improperly considered as an aggravator that Conwell burglarized a dwelling, the distinguishing element between the Class C and Class B felony burglary. [Conwell Record p. 54.] The Court of Appeals held that the sentencing judge could not find as an aggravator the fact that the burglary had occurred at a residence because that was the distinguishing element between the Class B and Class C offenses of burglary. Id. at 1025. In other words, the Court of Appeals found that since defendant did not plead guilty to the offense which included that element, the element could not be utilized to enhance the sentence of the lesser included offense. Carlson v. State, 716 N.E.2d 469 (Ind. Ct. App. 1999) is the next case in this progeny. Carlson is yet another case involving a plea agreement, and involves a defendant charged with dealing in cocaine. Carlson was charged in Count I with Class A felony dealing in cocaine, alleging possession with intent to deliver cocaine. Count II was charged as a Class B felony alleging actual delivery. Id. at 470. Pursuant to a plea agreement, the State dismissed the Class A felony and agreed to a sentence cap of fifteen years. Id. At sentencing, the trial court identified the amount of cocaine that Carlson possessed as an aggravating factor. The presentence investigation conducted by probation was entered into evidence, as was a sentencing memo prepared by defendant’s counsel. [Carlson Record p. 410–12.] The State presented evidence in the form of calling one of the investigative police officers to testify about his investigation. [Carlson Record p. 415–458.] The Court of Appeals held that the trial court may not attempt to sentence a defendant as if he had pled guilty to the greater offense by using the distinguishing fact as an aggravating factor. Id. at 473. The Court of Appeals analysis did not so much as discuss the Hammons case, merely citing to it in a string cite of the Conwell opinion it relied upon for its holding. 9 Farmer was the next case considered, and it involved a defendant who was charged with attempted murder, burglary resulting in bodily injury, intimidation, and resisting law enforcement. Farmer, 772 N.E.2d at 1026. The factual basis Farmer pled guilty to included the facts that Farmer entered the victim’s home and got into an argument. Farmer struck the victim from behind in the head several times and then began to strangle the victim to the point the victim turned blue in the face. Officers arrived, and ordered Farmer to stop choking the victim, but he did not until he was kicked twice in the face by officers. As Farmer was being restrained, he twice said he was still going to get the victim, and that this was not over. [Farmer Record p. 13–14.] Farmer pled guilty to attempted murder, and the State dismissed the remaining charges. At sentencing, the trial court considered the presentence investigation report, as well as testimony from the victim and the defendant, each of whom testified about the incident. In sentencing Farmer, the trial court found as aggravators that the offense occurred in the victim’s home, that he threatened the victim, and that he disobeyed an officer’s command. The Court of Appeals held the facts that Farmer entered the victim’s home without permission, disobeyed the officer’s command to stop choking the victim, and threatened the victim are facts comprising the dismissed charges. The Court of Appeals held that if Farmer “were sentenced more harshly in reliance upon these facts, he would not receive the full benefit of his plea agreement.” Farmer, 772 N.E.2d at 1027. Roney is the most recent case that traces its roots back to Hammons. It involved a robbery and murder. Roney pled guilty to murder, and the State agreed to dismiss the felony murder charge and not to file any additional charges relating to the incident. Roney, 872 N.E.2d at 197. The factual basis establishing Roney’s convictions included himself and three other friends driving to the victim’s apartment and waiting for him to return. They broke into the victim’s apartment and broke into his safe. Later, the victim came home and after wrestling, a gun went off, striking the victim. The victim was eventually tied up, and Roney hit the victim in the head with a fire extinguisher, leading to his death. [Roney Record p. 1–30.] At sentencing, the Court heard evidence from the Presentence Investigation Report, the victim’s mother, multiple statements from family, and finally a statement from Roney. [Roney Record p. 30–40.] Among the aggravating factors the trial court found were that Roney could have been charged with several additional offenses, such as robbery and criminal confinement. The Court of Appeals held that the trial court had effectively circumvented the plea agreement by considering 10 uncharged conduct when the State had agreed to not file additional charges. Roney, 872 N.E.2d at 201. Again, Hammons was not cited, but Farmer and Carlson, relying on Hammons, were cited for this proposition. The time has come for us to review this historical application of Hammons and determine whether or not Hammons was intended to apply or should apply in guilty plea cases. “A criminal defendant has no constitutional right to engage in plea bargaining.” Coker v. State, 499 N.E.2d 1135, 1138 (Ind. 1986). The State has no duty to plea bargain. Id. Furthermore, a defendant’s acceptance of a proposed plea bargain does not create a constitutional right to have the plea bargain specifically enforced. Id. However, a plea agreement is a contract, “an explicit agreement between the State and defendant,” which, if accepted by the trial court, is binding upon all parties. Griffin v. State, 756 N.E.2d 572, 574 (Ind. Ct. App. 2001) (citing Smith v. State, 717 N.E.2d 239, 241 (Ind. Ct. App. 1999)). Each party bargains to include or exclude certain terms and each party receives substantial benefits by arriving at an agreement. Wright v. State, 700 N.E.2d 1153, 1155 (Ind. Ct. App. 1998). “When a plea agreement rests in any significant degree on a promise by the prosecutor, so that the promise can be said to be part of the inducement or consideration for the plea, such promise must be fulfilled.” Id. “Because important due process rights are involved, plea negotiations must accord a defendant requisite fairness and be attended by adequate safeguards which insure the defendant what is reasonably due in the circumstances.” Epperson v. State, 530 N.E.2d 743, 745 (Ind. Ct. App. 1988). “Promises which induce guilty pleas must be fulfilled in order to satisfy the voluntariness of the guilty plea standard.” Ryan v. State, 479 N.E.2d 517, 519 (Ind. 1985). The State’s failure to adhere to a promise that induced a guilty plea would constitute a breach of the plea agreement. Epperson, 530 N.E.2d at 745. Bethea bargained for the dismissal of seven of the nine counts with which he was charged. He bargained to avoid a trial and the risk of seven potential guilty convictions on his record. Bethea, together with his counsel, made a risk assessment, balancing the evidence likely to be presented as well as the possibility of being found guilty on all nine charges with the sentencing possibilities accompanying such convictions. This included a Class A felony count of burglary resulting in bodily injury, three Class B felonies, two Class C felonies, and one Class D 11 felony. The State bargained to ensure a certain conviction on two Class B felonies, Armed Robbery and Criminal Confinement. Once this plea agreement was accepted by the trial court, the four corners of this plea agreement encapsulated the defendant’s degree of criminal liability for which he could be convicted. This particular bargain set forth the crimes for which Bethea could be convicted and the maximum sentence he could receive. The written plea agreement did not limit what the State could offer as aggravating factors or what the defendant could submit as mitigating factors. In other words, it did not limit the sentencing evidence, only the maximum sentence. The State could have bargained for a conviction on the Class A felony of burglary resulting in bodily injury and dismissed the remaining eight counts. The term of imprisonment for such a conviction would have been between twenty and fifty years, with an advisory sentence of thirty years. Ind. Code § 35-50-2-4. Instead, the Defendant received the benefit of pleading guilty to two Class B felonies with dismissal of the remaining seven counts. The Class B felony sentence has a range of between six and twenty years, with an advisory term of ten years. Id. § 35-50-2-5. As Senior Judge Shepard wrote recently, “a defendant receives the full benefit of his bargain when multiple charges are dismissed in accordance with the agreement.” Sexton v. State, 968 N.E.2d 837, 841 (Ind. Ct. App. 2012). Our opinion today seeks to clarify this issue for trial courts, and to eliminate the application to guilty pleas with plea agreements. Hammons was uniquely different than the cases decided by the Court of Appeals that followed in that Hammons did not involve a guilty plea. Our opinion today does not foreclose the possibility of the Defendant bargaining as to what can and cannot be potential aggravating and mitigating factors. It is well within the purview of contract law, and consequentially, as mentioned above, the law as it relates to plea bargains, for the Defendant to bargain and the State to accept a plea bargain that forecloses the possibility of the trial court using enhancements from the underlying charges that were dismissed, or from the original charges from which a lesser included plea is taken. However, if a plea bargain lacks such language, we hold it is not necessary for a trial court to turn a blind eye to the facts of the incident that brought the defendant before them. As we stated in Anglemyer v. State, “the nature and circumstances of the crime as well as the manner in which the crime is committed” is a valid aggravating factor. Anglemyer v. State, 868 N.E.2d at 492. 12 In this case, the court did not err by giving significant weight to the facts presented to it relating to the burglary and other dismissed charges. Although these facts share a relation with the elements of the dismissed Class A felony Burglary Resulting in Bodily Injury, the State’s obligations under the plea agreement were fulfilled upon dismissal of the seven remaining counts and it owed the Defendant no further duty to omit these facts from the aggravating circumstances consideration. Both the State and Defendant agreed to this plea bargain. “[S]entencing is principally a discretionary function in which the trial court’s judgment should receive considerable deference.” Cardwell v. State, 895 N.E.2d 1219, 1222 (Ind. 2008) (citing Morgan v. State, 675 N.E.2d 1067, 1072 (Ind. 1996)). “Indiana has never adopted a mechanical approach to sentencing.” Id. at 1224. Our holding today is in line with our history, and the spirit of Hammons. It has always been the case that [W]hether we regard a sentence as appropriate at the end of the day turns on our sense of the culpability of the defendant, the severity of the crime, the damage done to others, and myriad other factors that come to light in a given case. Individual judgments as to the proper balance to be struck among these considerations will necessarily vary from person to person, and judges, whether they sit on trial or appellate benches, are no exception. There is thus no right answer as to the proper sentence in any given case. Cardwell, 895 N.E.2d at 1224. We therefore do not find ineffective assistance of appellate counsel. Bethea has not demonstrated clear error, and we are not left with a firm conviction that a mistake has been made.2 Ben-Yisrayl, 729 N.E.2d at 106.