Lead Opinion
After a jury trial, Appellant Tavins Lee Adams was found guilty of child molestation, aggravated child molestation, aggravated sod
Adams appealed to the Court of Appeals contending, among other things, that the trial court impermissibly modified his sentence for aggravated sodomy because the new sentence of 30 years was more severe than the original sentence of 20 years. Adams v. State,
1. We granted certiorari to consider the appropriate analysis for determining whether a trial court’s resentencing of a defendant results in a more severe sentence under North Carolina v. Pearce, supra. In that case, the Supreme Court of the United States held that
[d]ue process of law . . . requires that vindictiveness against a defendant for having successfully attacked his first conviction must play no part in the sentence he receives after a new trial. . . . [Therefore,] whenever a judge imposes a more*515 severe sentence upon a defendant after a new trial, the reasons for his doing so must affirmatively appear.
North Carolina v. Pearce, supra at 725-726 (II) (C). Thus, the Court created a presumption of vindictiveness whenever a more severe sentence is imposed after a new trial, “which may be overcome only by objective information in the record justifying the increased sentence.” United States v. Goodwin,
In the present case, Adams, in a motion for new trial, requested the merger of the child molestation charge into the aggravated sodomy count for sentencing purposes. The trial court itself granted the merger request and ordered a new sentencing hearing, which resulted in the sentence now at issue. In Texas v. McCullough, supra, under similar facts, the Supreme Court of the United States held that the Pearce presumption was inapplicable. The Supreme Court stated that where the trial court itself concludes that an error has been made and grants a motion for new trial, there exists
no basis for a presumption of vindictiveness. . . . “(U)nlike the judge who has been reversed,” the trial judge here had “no motivation to engage in self-vindication.” [Cit.] ... In granting [the defendant’s] new trial motion, [the trial court] went on record as agreeing that his “claims” had merit. Presuming vindictiveness on this basis alone would be tantamount to presuming that a judge will be vindictive towards a defendant merely because he seeks an acquittal. . . . The presumption of Pearce does not apply in situations where the possibility of vindictiveness is this speculative, particularly since the presumption may often “operate in the absence of any proof of an improper motive and thus . . . block a legitimate response to criminal conduct,” [cit.].
Texas v. McCullough, supra at 138-139 (II). The dissent claims that the Supreme Court held the Pearce presumption inapplicable in Texas
In the present case, therefore, since the trial court itself ordered a new sentencing hearing upon a partial grant of the motion for new trial filed by Adams, the Pearce presumption is inapplicable. Compare Chambers v. State,
2. Although our holding above resolves the Pearce presumption analysis in the present case, we also address the question upon which we granted certiorari in this case, which was to consider the appropriate analysis for determining whether a trial court’s resentencing of a defendant results in a more severe sentence under North Carolina v. Pearce, supra. Although the Supreme Court of the United States has not spoken on this issue, a number of federal and state
One reason cited by the majority of courts that have adopted the aggregate approach is that this analysis “best reflects the realities faced by [trial] judges who sentence a defendant on related counts of an indictment.” United States v. Campbell, supra. “[W]hen a defendant is found guilty on a multicount indictment, there is a strong likelihood that the [trial] court will craft a disposition in which the sentences on the various counts form part of an overall plan.” United States v. Pimienta-Redondo, supra at 14 (II) (B). In Georgia, our statutory law and decisional jurisprudence permit a sentencing judge to consider all lawfully presented factors of the crimes committed and the characteristics of the defendant convicted so that the sentence assigned properly fits both the crime and the criminal. See OCGA § 17-10-2 (a) (1); Bishop v. State,
in no way decreased [Adams’] culpability or called into question the sentencing judge’s assessment of the scope of the necessary punishment. Rather, the deficiency in [Adams’] original... sentencing was purely formal and did not undermine the sentencing judge’s intentions.
State v. Martin, supra at 59 (I). Thus, in such a situation, a trial judge should have the power to thoroughly reconsider all of the relevant factors in order to effect its original sentencing intentions and to ensure that the punishment fits the crime and the criminal.
Moreover, the purpose underlying the Pearce presumption is not served in a case where the new sentence is the same or less severe than the initial sentence. The Pearce Court stated that the threat of imposing a heavier sentence upon reconviction or resentencing was that it “would, with respect to those still in prison, serve to ‘chill the exercise of basic constitutional rights.’ [Cits.]” North Carolina v. Pearce, supra at 724 (II) (C). Thus, “[t]he rule is a prophylactic one, addressed more to protect future litigants who appeal than to the injustice done in the actual case.” United States v. Campbell, supra at 67 (I) (A). Therefore, the Pearce presumption was meant to apply in those cases where the increase in punishment would serve as a deterrent to those seeking to appeal their own convictions, but fear an increased sentence in retaliation. A situation where the resentencing results in the same sentence or a lighter sentence in the aggregate would not serve as a deterrent to future litigants. Thus, the Pearce presumption is not applicable.
The dissent concludes that the count-by-count approach is the more appropriate method to determine when the Pearce presumption should apply. However, in reaching its conclusion, the dissent relies on wholly inapplicable authority and improperly utilizes a state statutory framework. For example, the dissent cites Anthony v. Hopper,
The dissent also mistakenly relies heavily on the reasoning in
The dissent’s references to various state statutes, such as the mandatory sentencing scheme in OCGA § 17-10-6.1 for an offense that amounts to a “serious violent felony,” and Georgia’s recidivist statute, OCGA § 17-10-7, are not relevant as the statutes have no constitutional implications in this context. In Monge v. California,
*520 The Double Jeopardy Clause “does not provide the defendant with the right to know at any specific moment in time what the exact limit of his punishment will turn out to be.” [Cit.] Consequently, it is a “well-established part of our constitutional jurisprudence” that the guarantee against double jeopardy... [does not restrict] the length of a sentence imposed upon retrial after a defendant’s successful appeal. [Cits.]
Monge v. California, supra at 729-730 (II).
Finally, the count-by-count approach would limit a trial court’s discretion in crafting just and proper sentences. Under this approach, the trial court must always be aware of the risk that part of its sentence on a multiple count indictment may be reversed or vacated and, thus, it will endeavor to ensure that each sentence on each count will, standing alone, effectuate its entire sentencing intention. Such concerns by the trial court will operate to tilt “the sentencing scales steeply in favor of concurrent sentences[,]” State v. Martin, supra, which will only constrain trial courts from fashioning appropriate sentences based on the facts of each crime and the characteristics of each offender. Furthermore, the defendant’s due process rights are sufficiently protected by the fact that he is entitled to have his new sentence vacated if he proves actual vindictiveness. Texas v. McCullough, supra at 138 (II).
Due to real world considerations and the minimal likelihood of vindictiveness, we hold that the Pearce presumption of vindictiveness is not triggered unless the new sentence, in the aggregate, is more severe. In the present case, Adams was sentenced for child molestation, aggravated sodomy, and enticing a child for indecent purposes. His initial sentence would have resulted in a total of 60 years in prison. After the grant of Adams’ own request to merge the conviction of child molestation into the conviction of aggravated sodomy, he was resentenced to a total of 50 years in prison. Under the aggregate approach, the new sentence was significantly less severe and, thus, the Pearce presumption does not arise. Therefore, Division 4 of the Court of Appeals’ opinion is correct for both reasons stated therein.
Judgment affirmed.
Dissenting Opinion
dissenting.
I respectfully dissent because the opinion of the majority endorses an analysis by the Court of Appeals which is diametrically opposed to the precedent of this Court and which is incompatible
We granted certiorari to the Court of Appeals in Adams v. State,
As noted by the majority, the defendant in this case, Tavins Lee Adams, was found guilty of child molestation, aggravated child molestation, aggravated sodomy, and enticing a child for indecent purposes. All charges arose from a single incident against the 11-year-old daughter of a friend. The trial court merged the conviction for aggravated child molestation into the conviction for aggravated sodomy for the purpose of punishment and sentenced Adams to 20 years in prison for each of the remaining three counts, a total of 60 years. The trial court granted, in part, Adams’s motion for new trial by merging, for the purpose of sentencing, his conviction for child molestation into his conviction for aggravated sodomy; Adams was resentenced to 30 years in prison for aggravated sodomy and 20 years for enticing a child for indecent purposes, a total of 50 years.
Adams appealed to the Court of Appeals, claiming, inter alia, that the trial court impermissibly increased his sentence for aggravated sodomy because the sentence imposed upon resentencing was more severe than his original sentence. Adams v. State, supra at 42 (4). The Court of Appeals recognized that, pursuant to North Carolina v. Pearce, a trial court is limited in its ability to increase a defendant’s sentence upon resentencing, and that a presumption of vindictiveness may apply when a more severe sentence is imposed on resentencing. Adams v. State, supra at 42 (4). Citing Alabama v. Smith,
in which there is a reasonable likelihood that the increase in sentence is the product of actual vindictiveness on the part of the sentencing authority. Where there is no such reasonable likelihood, the burden remains upon the defendant to prove actual vindictiveness.
. Thus, the threshold determination must be the severity of a defendant’s resentence relative to the original punishment imposed. The Court of Appeals found that the severity of Adams’s sentence was not increased because the trial court initially sentenced him to an aggregate of 60 years in prison and later resentenced him to an aggregate of 50 years in prison for counts arising out of the same indictment. Adams v. State, supra at 43 (4). The Court further stated that there was no reasonable likelihood that the sentence resulted from actual vindictiveness because, immediately before Adams’s resentencing, the trial court granted his request to merge his conviction for child molestation. Id. In utilizing the “aggregate approach,” the Court of Appeals acknowledged that in Anthony v. Hopper, this Court applied a “count-by-count” approach in determining that a defendant’s sentence had been increased in the situation in which the trial court had eliminated a three-year sentence on one count but added three years to the defendant’s sentence on another count. Adams v. State, supra at 43 (4). However, it attempted to distinguish that case by noting that in Anthony v. Hopper, the defendant had initially been sentenced for multiple counts arising out of two separate incidents, and that it had already determined in Blake v. State,
The analysis and conclusion of the Court of Appeals is fatally flawed. Yet, the majority follows its lead. First, the majority concludes that Adams’s resentence is “proper” and affirms the judgment of the Court of Appeals based upon its finding that the Pearce presumption of vindictiveness is inapplicable inasmuch as the trial court brought about the new sentence with its partial grant of a motion for new trial. To reach this conclusion, the majority relies upon Texas v. McCullough,
The majority glosses over the absence of the critical circumstances present in Texas v. McCullough, and thus deems them of no legal consequence, including the trial judge’s rationale for the increased sentence. But, the significance of such circumstances has been recognized by the Court of Appeals itself. See Chambers v. State,
In Anthony v. Hopper, the petitioner entered guilty pleas under two separate indictments, one charged him with two counts of the sale of heroin on August 3 and 8, 1972, and the other accused him of possession of heroin on August 3, 1972. He was sentenced to a five-year concurrent term for each of the sale counts and a five-year term for possession, to serve three years consecutive to the concurrent sentences, with the remaining two years suspended. Anthony v. Hopper, supra at 336. Consequently, the petitioner was sentenced to serve a total of eight years. Id. A habeas court determined that the
In Blake v. State, supra, the Court of Appeals recognized and applied this Court’s clear endorsement of the “count-by-count” methodology for the purpose of North Carolina v. Pearce. It expressly acknowledged that,
[t]he first question to be answered is whether [the defendant’s] sentence was, in fact, increased, because the Pearce presumption applies only when a judge imposes a more severe sentence on resentencing. [Cit.] The answer in this case turns on whether severity of the new sentence is judged on a count-by-count basis or in the aggregate on all counts.
In Anthony, the Supreme Court of Georgia held that even though Anthony’s new sentence was the same as the aggregate of his original sentence on multiple counts, where the sentence for an individual count had increased from five years to serve to eight years to serve, his sentence had been increased for the purpose of Pearce. [Cit.] Accordingly, under Anthony, we look to the individual counts to answer the question.
Blake v. State, supra at 403 (1) (citations and punctuation omitted). Nevertheless, the Court of Appeals then sought to justify the reasoning and results of two of its earlier cases, Alvarado v. State,
The states are split on the appropriate analysis in assessing the severity of a resentencing of a defendant, with, as the majority notes, a number of foreign jurisdictions and some of the federal courts adopting an “aggregate approach” or a variation thereof. But, sister states that have confirmed the appropriateness of the “count-by-count” assessment have done so out of deference to and in accord with their state statutory and case law.
The scrutiny of each criminal charge, in the context of multiple criminal charges, is crucial in assessing the concerns of placing an individual in jeopardy of life or liberty more than once for the same offense. See Ga. Const, of 1983, Art. I, Sec. I, Par. XVIII. The procedural and substantive bars against double jeopardy, respec
The concept of distinct and discreet consideration of criminal charges in imposing punishment resonates throughout our criminal code. As Adams points out, his case is a prime example of the important implications of the sentence levied for each criminal charge. A conviction for aggravated sodomy, by itself, now carries unique legal significance because the General Assembly has set such crime apart as a “serious violent felony,” subject to a mandatory sentencing scheme and probation and parole restrictions. See OCGA § 17-10-6.1 (a) (6), (b) (2) (D). The concept of the importance of assessing each criminal count for the purpose of sentencing is starkly evident when the crimes involved result in the defendant being subject to sentencing under Georgia’s recidivist statute. See OCGA § 17-10-7.
So too, this Court recently affirmed that for the purpose of an Eighth Amendment proportionality analysis, the focus must be on the sentence imposed for each specific crime, not on the cumulative sentence, noting that,
[i]f a proportionality review were to consider the cumulative effect of all the sentences imposed, the result would be the possibility that a defendant could generate an Eighth Amendment disproportionality claim simply because that defendant had engaged in repeated criminal activity. . . . [F]or purposes of the Eighth Amendment. . ., proportionality review should focus on individual sentences rather than on the cumulative impact of multiple sentences imposed consecutively.
Rooney v. State,
As noted in State v. Saxon, supra, an aggregate or “sentencing
The majority stresses the importance of an approach that best reflects the realities faced by trial judges. Such argument defeats rather than supports the adoption of an aggregate approach because while an aggregate analysis may comport with federal jurisprudence and that of some foreign states, our state trial judges must comply with the mandates of our state sentencing scheme, which unquestionably reflects the count-by-count analysis already adopted by this Court. Our State does not punish crimes in the aggregate, but holds a defendant accountable for each criminal conviction. The majority also makes much of the fact that the merger of offenses on resentencing did not decrease Adams’s culpability. But, insofar as that is relevant to this appeal, it did not increase his culpability either. And, that is why the significantly harsher sentence (30 years instead of 20) on the remaining charge at issue must be carefully examined on its own.
Finally, the count-by-count approach, which has well-served its purpose since its express adoption in Anthony v. Hopper, in no manner limits the trial court in crafting appropriate sentences as claimed by the majority. It is quite the contrary. What it does is help ensure that any resentencing of a defendant is as lawful and just as the original sanctions imposed. It is illogical and contrary to the intent of the General Assembly for this Court to endorse an analysis on review, which is contrary to the methodology that must be utilized by our State judges in originally meting out punishment. The judgment of the Court of Appeals should be reversed and the case remanded to that Court for its reconsideration.
I am authorized to state that Chief Justice Hunstein and Justice Benham join in this dissent.
Notes
See, e.g., Fasenmyer v. State, 457 So2d 1361 (Fla. 1984); People v. Sanders,
