People v. BrownPeople v. Brown
delivered the judgment of the court, with opinion.
Chief Justice Thomas and Justices Freeman, Fitzgerald, Kilbride, Garman, and Karmeier concurred in the judgment and opinion.
OPINION
Defendant, Robert D. Brown, was sentenced to natural life imprisonment after he was adjudged an habitual criminal pursuant to section 33B — 1 of the Criminal Code of 1961 (the Habitual Criminal Act or the Act) (
For the reasons that follow, we affirm the appellate court judgment upholding defendant’s sentence.
BACKGROUND
On April 14, 2004, defendant was found guilty of home invasion (
Later, at defendant’s sentencing hearing, the State entered into evidence the certified statements of defendant’s two рrior convictions, as well as a presentence investigation report that established the dates on which defendant was arrested for committing the offenses which led to his two prior convictions. In addition, the State presented argument in support of its motion, stating:
“Judge, it’s interesting to note that this defendant was on parole for criminal sexual assault. He commits home invasion. He is on parole for home invasion. He commits another home invasion. It’s our belief this defendant is a sociopath, and a natural life sentence is entirely appropriate in this case.”
Defendant made no objection to the State’s evidence at his sentencing hearing. In fact, when asked by the court whether there were any deficiencies in the certification or anything he wanted to bring to the court’s attention, defense counsel replied, “No, I believe he’s complied with the certification, I believe he’s complied with what the law is.” Further, in response to the State’s motion, one argument posited by defense counsel was that defendant’s prior
After hearing the arguments of counsel and in light of the certified statements of conviction and the presentence investigation report, the trial court found defendant to be an habitual criminal and sentenced him to natural life imprisonment.
Defendant filed a “Motion to Reconsider Sentence,” in which he challenged the constitutionality of the habitual criminal statute, but raised no claim with respect to the sufficiency of the State’s evidence concerning his prior convictions. It was not until his appeal that defendant questioned whether the evidence presented at his sentencing hearing supported the circuit court’s imposition of a natural life sentence under the Act. On appeal, defendant argued for the first time that at sentencing the State presented no direct evidence to establish the date on which he committed his second prior offense and, consequently, failed to show that the commission of this second offense came after his conviction for his first prior offense — a requirement for habitual criminal sentencing pursuant to section 33B— 1(d)(4) of the Act (
The appellate court affirmed defendant’s sentence, with one justice dissenting.
The dissenting justice disagreed, stating that the
We granted defendant’s petition for leave to appeal. 210 Ill. 2d R 315.
ANALYSIS
We note at the outset that defendant does not contend in his brief before this court that he is not an habitual criminal because the timing and sequence of his prior convictions dо not actually satisfy the chronological requirements of the habitual criminal statute. Rather, he maintains, as he did in the appellate court below, that the State has the burden of proving a person eligible for habitual criminal sentencing by a preponderance of the evidence and, to do so, the State must present sufficient evidence to establish not only that the person committed the requisite three qualifying offenses, but that those convictions satisfy the chronological requirements set forth in
The State disagrees. Interpreting the provisions of the Habitual Criminal Act, the State contends that to prove a defendant eligible for habitual criminal sentencing it has the burden of proving that the defendant has the requisite three convictions for qualifying offenses. Thus, after a defendant has been convicted of his third offense, the State must submit evidence of the defendant’s prior convictions at his sentencing hearing. Certified records of conviction cоnstitute prima facie evidence of such convictions and, if produced by the State, will satisfy the State’s burden of production. Thus, once the State has produced prima facie evidence of the defendant’s prior convictions, a presumption is created that defendant is eligible for habitual criminal sentencing. The onus is then shifted to the defendant to rebut the presumption of eligibility by demonstrating at his sentencing hearing that his prior convictions come within one of the exceptions set forth in
Interpreting the Act in this manner, the State maintains that, in the case at bar, defendant’s eligibility for sentencing as an habitual criminal was established. The State contends that it met its burden of production at defendant’s sentencing hearing by introducing certified copies of defendant’s prior convictions. Further, the State maintains that, because defendant did not object to the State’s evidence at his sentencing hearing, he forfeited his right to challenge his habitual criminal sentence on appeal pursuant to
The State further claims that, even without the
Finally, the State argues that defendant is an habitual criminal because the timing and sequence of his prior offenses and convictions actually satisfy the chronological requirements of the habitual criminal statute and, as a result, any failure of proof on this matter is harmless error. Accordingly, the State argues that no new sentencing hearing is necessary.
Our resolution of the issues raised in this appeal requires us to interpret and apply the statutory provisions concerning habitual criminals under the circumstances present here. Our review, therefore, is de novo. See In re Jaime P,
Turning to the Act, we see that it mandates a life sentence be imposed on anyone “who has been twice convicted in any state or federal court of an offense that contаins the same elements as an offense now classified in Illinois as a Class X felony, criminal sexual assault, aggravated kidnapping or first degree murder, and is thereafter convicted of [one of the above], committed after the 2 prior convictions.”
Pursuant to this provision, a defendant’s eligibility for sentencing as an habitual criminal is determined at the time of sentencing rather than at trial. Accordingly, a defendant’s status as an habitual criminal is a sentencing fаctor and not an element of the underlying offense for which he is being sentenced. See Apprendi v. New Jersey,
In People v. Robinson,
We recognized, however, that the Act “provides certain evidentiary and procedural safeguards” and, therefore, the habitual criminal sentencing process is “more formalistic than sentencing under our general sentencing provision.” Levin,
We find the State’s interpretation of the Act to be the correct one. Paragraph (b) of
“In the criminal context, prima facie evidence is in the nature of a presumption, more accurately described as an instructed inference. (See M. Graham, Cleary & Graham’s Handbook of Illinois Evidence §304.1, at 114-16 (5th ed. 1990).) Prima facie evidence may be defined as a quantum of evidence sufficient to satisfy the burden of production concerning a basic fact that allows an inference of a presumed fact. (See M. Graham, Cleary & Graham’s Handbook of Illinois Evidence §302.8, at 102 (5th ed. 1990).) Where the burden of production is satisfied, the trier of fact is permitted but not rеquired to find the presumed fact. See M. Graham, Cleary & Graham’s Handbook of Illinois Evidence §304.1, at 115-16 (5th ed. 1990).
Even where the State satisfies the burden of production concerning a basic fact, a defendant bears no actual burden to produce evidence to prevent operation of the inference. However, where the State satisfies the burden of production concerning a basic fact, a defendant does face the risk of nonpersuasion concerning the presumed fact. As a practical matter, the risk of nonpersuasion is greatly increased where a defendant submits no evidence to prеvent operation of the inference.
*** Once the burden of production is satisfied, the judge is permitted but not required to find the burden of persuasion satisfied depending on the judge’s consideration of all the evidence. The defendant’s introduction of contradictory evidence does not diminish the prima facie evidence, but such evidence is considered by the trial judge in determining whether the State has satisfied the burden of persuasion.”
We continue to adhere to our holding in Robinson that
We conclude, also, that because the presumption is contained in a sentencing statute which deals, not with guilt or innocence, but with a defendant’s eligibility to be sentenced as an habitual criminal, the legislature is free to impose on defendant the burden of producing some evidence to contradict the presumption created by the State’s introduction of prima facie evidence. See People v. Beltran,
In light of the above and reading
If the State meets its burden of production and defendant doеs not present some evidence of a defect or discrepancy in the State’s evidence, the sentencing court may look to all of the evidence presented by the State to determine whether it has met its burden of persuasion. As long as the State’s evidence does not affirmatively demonstrate that the prior convictions do not satisfy all of the requirements of
This interpretation of the Act is reinforced by the forfeiture provision found in
“Any claim that a previous conviction offered by the prosecution is not a formerconviction of an offense set forth in Section 33B — 1 because of the existence of any exceptions described in this Act, is waived unless duly raised at the hearing on such conviction, or unless the prosecution’s proof shows the existence of such exceptions described in this Act.”720 ILCS 5/33B — 2(c) (West 2002). This section makes clear that “a previous conviction offered by the prosecution” will be presumed “a former conviction of an offense set forth inSection 33B — 1 ,” that is, a conviction which meets all of the requirements of the Act, unless defendant produces some evidence to contradict the inference. Further, if defendant fails to rebut the presumption of his eligibility at his sentencing hearing, he will have forfeited the right to do so on direct appeal.
The forfeiture provision allows for one exception. A defendant will not forfeit the right to challenge the presumption of eligibility for habitual criminal sentencing on appeal if the State’s own evidence affirmatively “shows the existence of such exceptions described in this Act.”
An example of this exception is found in People v. Eaglin,
The certified statеments regarding the 1978 convictions showed that defendant did have two prior convictions for armed robbery. However, the additional evidence submitted by the State showed that these convictions did not satisfy the additional requirements of section 33B— 1(d) — the evidence produced by the State indicated that defendant was convicted for both prior offenses on the same date and, thus, these convictions could not have satisfied the time and sequence requirements of
Applying our interpretation of the Habitual Criminal Act to the case at bar, we find that defendant has forfeited the right to challenge his habitual criminal sentence on appeal. The record shows that, at defendant’s sentencing hearing following his conviction for the felony offense of home invasion, the State submitted certified
The certified records created the inference or rebut-table presumption that defendant was eligible for habitual criminal sentencing. Defendant offered no evidence to rebut this presumption and, in fact, admitted eligibility for habitual criminal sentencing. Thus, we must conclude that, pursuant to
The exception to forfeiture does not apply here because the State’s evidence does not affirmatively show that the requirements of the Act were not met. Defendant’s first prior conviction occurred on March 20, 1992, and his second prior conviction occurred more than 18 months later, on October 19, 1993. In addition, the prosecutor informеd the court that defendant had been on parole for his first conviction when he committed his second offense. The State’s evidence, on its face, does not “show[ ] the existence of such exceptions described in this Act.” Thus, in the absence of any contradictory evidence offered by defendant, the sentencing court was authorized to find that the State had met its burden of persuasion and the habitual criminal sentence imposed by the court is not void. For the foregoing reasons, we affirm the appellate court majority’s determination that, pursuant to
Because we find that under the circumstances presented here the sentencing court was authorized to find defendant eligible for habitual criminal sentencing, we need not consider the State’s harmless-error argument, nor do we find it necessary to address the State’s contention that defendant also would be prevented from challenging his natural life sentence under general principles of forfeiture.
Finally, we point out that defendant does not allege that his prior convictions do not, in fact, satisfy the requirements of the Act. If, however, defendant could make such a claim, our resolution of his appeal here today would not leave him without a remedy. In that situation, the appropriate avenue would be for defendant to file a petition under the Post-Conviction Hearing Act (
CONCLUSION
For the reasons stated, we affirm the appellate court’s judgment upholding defendant’s life sentence.
Appellate court judgment affirmed.
Notes
The Act provides in
“(a) Every person who has been twice convicted in any state or federal court of an offense that contains the same elements as an offense now classified in Illinois as a Class X felony, criminal sexual assault, aggravated kidnapping or first degree murder, and is thereafter convicted of a Class X felony,
* # *
(e) Except when the death penalty is imposed, anyone adjudged an habitual criminal shall be sentenced to life imprisonment. ’ ’
“(b) A duly authenticated copy of the record of any alleged former conviction of an offense set forth in Section 33B — lshall be prima facie evidence of such former conviction ***.”
“This Article shall not apply unless each of the following requirements are satisfied:
(1) the third offense was committed after the effective date of this Act;
(2) the third offense was committed within 20 years of the date that judgment was entered on the first conviction, provided, however, that time spent in custody shall not be counted;
(3) the third offense was committed after conviction on the second offense;
(4) the second offense was committed after conviction on the first offense.”
“Any claim that a previous conviction offered by the prosecution is not a former conviction of an offense set forth in
We note, as an aside, that defendant does not argue that either Apprendi v. New Jersey,