Lead Opinion
I. Facts and Procedural History
On December 10, 2002, Respondent, Nathaniel C. Isaacks, was involved in an altercation in his home with his mother, brother, and father. This altercation led Isaacks’s father to call the police, who came to the house and arrested Isaacks. According to the Affidavit in Support of Warrantless Arrest, the altercation started when Isaacks began to throw objects across the room. Isaacks’s brother started to leave the home, but stayed when he saw Isaacks holding a spoon to his mother’s chest and threatening to kill her. When Isaaeks’s brother approached, Isaacks attacked him and the two began to fight. At one point during the fight, Isaacks held a two-foot log over his head and threatened to kill his brother. Later in the altercation, Isaacks threw a different log across the room at his father. Eventually, Isaacks’s brother and father managed to restrain him, and they kept him restrained until the police arrived. The Affidavit further alleged that Isaacks had bitten both his mother and his brother while his family attempted to restrain him.
Isaacks was charged with one count' of felony menacing, section 18 — 3—206(l)(a), (b), C.R.S. (2005), and two counts of third-degree assault, section 18-3-204.
On March 3, 2003, a plea hearing was held at which Isaacks pleaded guilty to the conspiracy charge. The Petition to Enter a Plea of Guilty, which Isaacks signed in the presence of his lawyer, stated that Isaacks had been advised of and understood his constitutional rights, including the right to remain silent and the right to have a jury determine his guilt beyond a reasonable doubt. The Petition also listed the elements of conspiracy to commit felony menacing, and acknowledged that
[i]f the Court accepts my plea I may be sentenced to the Department of Corrections for a definite term of between 1 year and 18 months .... If the Court finds extraordinary aggravating circumstances ... it may sentence me for a term greater than the presumptive range ... to double the maximum term, making a term as long as 3 years.
Finally, the petition stated that “I expressly waive my right to trial by jury on all issues.”
On April 8, 2003, Issacks appeared for the sentencing hearing. The trial judged announced that he had reviewed Isaacks’s pre-sentence report and asked the parties if they had any additions or corrections to the report. Isaacks’s lawyer replied, “Judge, we do have a couple of additions — I guess — or corrections.” He continued, stating that Isaacks disagreed with the assertion in the report that the reason for his being removed from a treatment program was that he had punched a wall. The second objection was that “Mr. Isaacks tells me that the statement in here that he’s resistant to treatment is not correct; that he’s very interested and motivated to get himself back into treatment and that’s something that he wants to do.”
Next, the trial judge heard sentencing recommendations from each of the parties. Is-sacks’s counsel urged the court to sentence Isaacks to probation rather than prison. In making this argument, counsel argued that
The trial judge sentenced Isaacks to three years in the Department of Corrections. This sentence amounted to twice the maximum in the presumptive range for the offense of conspiracy to commit felony menacing.
Blakely was decided while Isaacks’s case was on direct appeal. In supplemental briefing in response to Blakely, Isaacks argued that “the trial court violated Blakely v. Washington by imposing a sentence in the aggravated range longer than that authorized by his guilty plea alone.” People v. Isaacks, No. 03CA0967, slip op. at 3,
II. Analysis
In Lopez v. People,
We conclude that a sentencing court may not usé a defendant’s admissions to sentence him in the aggravated range unless the defendant knowingly, voluntarily and intelligently waives his Sixth Amendment right to have a jury find the facts that support the aggravated sentence. Applying this rule to the instant case, we hold that a defendant’s failure to object to facts in a presentence report does not constitute an admission for purposes of Blakely and Lopez unless the defendant makes a constitutionally sufficient waiver of his right to a jury trial on the facts contained in the report. Because Isaacks did not waive his Blakely rights with respect to the facts in the presentence report that the court used to aggravate his sentence, the sentence must be vacated.
This opinion proceeds as follows. First, we explain the scope of the Blakely jury-trial right by identifying the facts to which it applies. Second, we set forth the procedures that must accompany a sentencing court’s use of the defendant’s factual admissions for sentencing in the aggravated range. Third, we apply our conclusions to the facts of Isaacks’s case. Finally, we set forth the appropriate relief for a sentence that violates the dictates of Blakely.
A. To Which Facts Does the Blakely Jury-Trial Right Apply?
Blakely v. Washington holds that criminal defendants have the right to a jury
In Apprendi, the Court considered the sentence of a New Jersey man who pleaded guilty to two counts of possession of a firearm for an unlawful purpose after he fired several bullets into the home of an African-American family that had recently moved into a previously all-white neighborhood.
The Apprendi Court struck down the increased sentence, holding that “[ojther 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.”
‘The law threatens certain pains if you do certain things _’ New Jersey threatened Apprendi with certain pains if he unlawfully possessed a weapon and with additional pains if he selected his victims with a purpose to intimidate them because of them race. As a matter of simple justice, it seems obvious that the procedural safeguards designed to protect Apprendi from unwarranted pains should apply equally to the two acts that New Jersey has singled out for punishment.
Id. at 476,
Four years later, in Blakely, the Court applied the Apprendi rule to the State of Washington’s statutory sentencing scheme, which provided a sentencing ceiling for each of several classes of felonies and further specified a “standard range” of sentences for particular offenses within each class.
Following the defendant’s plea, the trial court sentenced him to 90 months’ imprisonment, which was below the sentencing ceiling for class B felonies, but above the “standard range” for second-degree kidnaping with a firearm. Blakely,
Apprendi and Blakely provide a clear answer to the question of what facts are covered by the jury-trial right: The Blakely right extends to all facts that are not reflected in a jury verdict or, in the case of a plea bargain, to all facts beyond those that establish the elements of the charged offense.
We note that this conclusion is consistent with the holdings of several other courts that have considered the issue. See State v. Brown,
B. What Procedure Is Required Before a Sentencing Court May Use a Defendant’s Factual Admissions for Sentencing in the Aggravated Range?
Having determined that Blakely provides defendants the right to jury trial on all facts that are not included in a jury verdict or essential to a guilty plea, we turn to the procedures necessary to protect this right. Specifically, we must determine what procedural protections are required in order for a sentencing court to use a defendant’s factual admissions for purposes of aggravated sentencing. We are guided in this analysis by the Court’s conclusions in Apprendi and by several familiar principles of Sixth Amendment law.
The Apprendi Court observed that the Fourteenth and Sixth Amendments “indisputably entitle a criminal defendant to ‘a jury determination that [he] is guilty of every element of the crime with which he is charged, beyond a reasonable doubt.’ ” Apprendi,
From these statements in Appren-di it is not difficult to extrapolate the rule that, like the right to jury trial generally, the right to have a jury determine the facts that form the basis for aggravated sentencing under section 18-1.3-401(6) is a fundamental right that can only be waived knowingly, voluntarily and intelligently. See Boykin v. Alabama,
We are aware that certain language in Apprendi and Blakely could be read to permit trial courts to use a defendant’s factual admissions to increase his sentence in the absence of a Blakely waiver. See Apprendi,
We are persuaded, however, that Blakely does not permit sentencing courts to use “facts ... admitted by the defendant,” Blakely,
Finally, express language in Blakely appears to require a constitutionally sufficient waiver before the sentencing court can consider any fact beyond the facts that establish the elements of the offense for a plea bargain. In explaining its holding, the majority responded to Justice Breyer’s argument that the Blakely rule would “work to the detriment of criminal defendants who plead guilty by depriving them of the opportunity to argue sentencing factors to a judge.” Blakely,
nothing prevents a defendant from waiving his Apprendi rights. When a defendant pleads guilty, the State is free to seek judicial sentence enhancements so long as the defendant either stipulates to the relevant facts or consents to judicial factfind-ing. If appropriate waivers are procured, States may continue to offer judicial fact-finding as a matter of course to all defendants who plead guilty.
Id. at 310,
There is no evidence in the record that Isaacks knowingly, voluntarily, and intelligently waived his right to have a jury determine the facts in the presentence report that the trial court used to sentence him in the aggravated range. Indeed, Isaacks was sentenced a full year before the Supreme Court handed down Blakely, so he could not possibly have knowingly, voluntarily, and intelligently waived his Blakely rights. See People v. Curtis,
D. Remedy
The proper procedure for an appellate court to follow upon finding Blakely error is to remand the case to the trial court for resentencing within the presumptive range. See, e.g. State v. Hughes,
The People suggest that the proper remedy “is to allow the prosecution to withdraw its consent to the plea agreement.” We disagree. In Keller v. People,
Neither of Keller’s, two circumstances is present in the instant case. First, the parties have not “entered into a plea agreement that provides for an illegal sentence.” In fact, neither party made any sentencing concessions as part of the plea agreement. Second, Isaacks has not breached the plea agreement in any way. He upheld his end of the plea bargain when he pleaded guilty to the conspiracy charge. We therefore find no basis for allowing the government to withdraw from the plea agreement.
III. Conclusion
For the foregoing reasons, we affirm the decision of the court of appeals vacating Isaacks’s sentence and remand to the trial court for resentencing within the presumptive range.
Notes
. Unless otherwise noted, the statutes cited in this opinion have not changed in any relevant way between the date of the commission of the offense and the present date. Therefore, except where otherwise noted, we cite to the 2005 version of the Colorado Code.
. The court relied on section 18-1-105(6), C.R.S. (2002), the predecessor to section 18-1.3-401(6), which authorizes trial judges to increase sentences beyond the presumptive range based on "aggravating circumstances." For ease of reference, throughout this opinion, we cite to the 2005 version of section 18-1.3-401(6).
. We note that Apprendi and Blakely do not render it "impermissible for judges to exercise discretion — taking into consideration various factors relating both to offense and offender — in imposing a judgment within the range prescribed by statute.” Apprendi,
Dissenting Opinion
dissenting.
While I agree that a defendant must voluntarily and intelligently waive his right to have a jury find any fact that increases his sentence beyond the statutory maximum, other than a prior conviction, I strongly disagree with the majority’s apparent understanding of what such a waiver entails. The record in this case is literally awash with evidence that the defendant calculatedly bargained for this precise plea, fully understanding and agreeing to this precise sentencing range, in order to avoid the risk of more serious consequences; and now, with deal in hand, he continues to haggle with the Court in hopes of gaining some additional advantage. Although the actual difference in sentences at issue here is relatively small, the majority applies a standard for waiver so exacting as to be out of reach for any pre-Blakely sentence. Because I believe the standard suggested by the majority is not only without legal support, but will also impact a substantial number of sentences, I respectfully dissent.
After reasoning that a voluntary, knowing, and intelligent waiver of jury sentencing is required, the majority summarily concludes that no evidence in the record supports an effective waiver by the defendant, and in fact, that a defendant sentenced before the United Supreme Court’s holding in Blakely v. Wash
The United States Supreme Court has long held that an effective plea does not require that a ritualistic litany of the formal legal elements of an offense be read to the defendant. Henderson v. Morgan,
As the majority notes, the record in this case included not only a providency hearing but also a written plea petition, signed by the defendant in the presence of his counsel. The plea was entered pursuant to an agreement presented to the court. In exchange for pleading guilty to an added, lesser, class 6 felony, the defendant benefited by the dismissal of all pending charges, including a class 5 felony, with a potential six-year sentence, and two class 1 misdemeanors, with potential two-year sentences. In order to make possible a mutually acceptable plea, the defendant waived a factual basis for the added offense,' contrived for purposes of the plea. He therefore clearly was on notice of the critical elements of that charge.
The record indicates that the defendant was advised that by entering his plea he was giving up his right to a jury trial. He was advised of the elements of the offense and the possible penalties. Not only did the defendant, with the advice of counsel, expressly waive his right to a jury trial, but in his written petition, he expressly indicated his understanding and agreement that the court could sentence him to a term as long as 3 years, if it found extraordinary aggravating circumstances. While the defendant may have hoped for a lesser sentence, he clearly found it advantageous to accept conviction of a class 6 felony and a sentence as great as 3 years, in exchange for the dismissal of all of his other charges.
Although it offers no real explanation or support, the majority implicitly holds that admissions by the defendant of extraordinary aggravating facts or his accession to judicial fact-finding in sentencing could not be effective unless he knew of the jury trial right articulated in Blakely, and he understood the full extent of the right he was waiving. As already noted, an' understanding of such technical distinctions between the responsibilities of the jury and those of the court has never been required for an effective guilty plea. But with regard to future developments in the law in particular, the Supreme Court has warned against reallocation of the risks bargained for by the parties, solely because of their failure to anticipate those changes. Brady v. United States,
With regard to a failure to disclose potential impeachment evidence, the Supreme Court has noted that the Constitution “does not require complete knowledge of the relevant circumstances, but permits a court to accept a guilty plea, with its accompanying waiver of various constitutional rights, despite various forms of misapprehension under which a defendant might labor.” United States v. Ruiz,
Even though Isaacks may not have been able to anticipate that the law would soon entitle him to a jury determination of the easily established (and apparently undisputed) facts relied on by the sentencing court, such as the extent of his erratic behavior, the number of therapists he had seen and medications they had prescribed without success, and his history of drug abuse, that fact was inconsequential to his decision. There can be no doubt that he understood the charge to which he pled guilty and the penalty to which he was subjecting himself, and he voluntarily and intelligently bargained for those consequences because he considered them to his advantage. He clearly got the benefit of his bargain.
Because I believe the majority misapprehends the requirements of an intelligent guilty plea in this context and misapplies them to the record in this case, I respectfully dissent.
