Lead Opinion
Cоncluding the burglary statute in this state is not substantially similar to the burglary statute of a sister jurisdiction, the trial court dismissed two counts of an information charging the defendant as a serious violent felon. Reaching the opposite conclusion, we reverse the trial court’s judgment.
Although the underlying facts are not completely clear, the record shows that on October 6, 2014, the State charged Frank Hancock in a multi-count information with two counts of unlawful possession of a firearm by a serious violent felon—level 4 felonies; one count of escape as a level 5 felony; one count of corrupt business influence—a level 5 felony; one count of carrying a handgun without a license as a class A misdemeanor; one count of theft as a class A misdemeanor; and one count of possession of marijuana as a class A misdemeanor. The charges of unlawful possession of a firearm by a serious violent felon (SVF) were based on the State’s allegation that Hancock had prеviously been convicted of second degree burglary in the State of Ohio. As discussed in more detail below, the SVF statute requires substantial similarity between the elements of an Indiana offense and those of a foreign jurisdiction.
The case proceeded to trial on May 12, 2015. Following voir dire, the jury was sworn and excused for the day. The trial court then discussed with counsel the jury instructions for the SVF charges expressing concerns over whether the elements of Ohio’s second degree felony burglary statute and Indiana’s level 4 felony burglary statute were substantially similar. Ultimately, the trial court concluded “[t]he Ohio statute and Indiana statutes on Burglary are not similar as it relates to the elements of the offense.” Tr. at 12. The trial court thus dismissed the two counts charging Hancock as an SVF. Tr. at 12. The next day, as the parties prepared to proceed to trial on the remaining counts, the State orally moved for mistrial on grounds it believed Hancock could not now receive a fair trial because during voir dire the State made reference to the SVF counts which the trial court had sincе dismissed. Tr. at 18. Hancock joined in the motion which the trial court granted. Tr. at 18.
The State then appealed the dismissal of the two SVF counts
I.
Indiana Code section 35-47-4-5 prohibits the unlawful possession of a firearm by a serious violent felon. In relevant part the statute provides: “As used in this section, ‘serious violent felon’ means a person who has been convicted of: (1) committing a serious violent felony in: (A) Indiana; or (B) any other jurisdiction in which the elements of the crime for which the conviction was entered are substantially similar to thе elements of a serious violent felony[.]” Ind.Code § 35-47-4-5(a). The statute lists twenty-seven separate offenses. qualifying as a serious violent felony including “burglary (I.C. 35-43-2-1) as a: ... Level 1 felony, Level 2 felony, Level 3 felony, or Level 4 felony, for a crime committed after June 30, 2014.” I.C. § 35-47-4-5(b)(15)(B).
This case requires us to construe the meaning of “substantially similar” which is not defined by statute. We are thus presented with a question of statutory construction which is a matter of law we review de novo. Suggs v. State,
We are still left with the question of how do we evaluate these core characteristics. For example, elements may be substantially similar with respect to general characteristics such as wording and type of element. On the other hand, elements may be considered substantially similar with respect to specific characteristics such as the underlying conduct sought to be regulated. See, e.g., United States v. Thomas,
II.
Hancock pleaded guilty in the Hamilton County, Ohio Court of Common Pleas to two counts of second degree burglary under Ohio Rev.Code § 2911.12(A)(2) and
(A) No person, by force, stealth, or deception, shall do any of the following:
(2) Trespass in an occupied structure or in a separately secured or separately occupied portion of an occupied structure that is a permanent or temporary habitation of any person when any person other than аn accomplice of the offender is present or likely to be present, with purpose to commit in the habitation any criminal offense;
⅜ ⅜ ⅝
(C) ... A violation of division (A) ... (2) of this section is a felony of the second degree.
Ohio Rev.Code Ann. § 2911.12(A)(2), (C) (West 2003). Burglary in Indiana is defined in pertinent part as follows: “A person who breaks and enters the building or structure of another person, with intent to commit a felony or theft in it, commits burglary, a Level 5 felony. However, the offense is: (1) a Level 4 felony if the building or structure is a dwelling[.]” I.C. § 35-43-2-1(1).
For purрoses of comparison we align and number the elements of the two offenses. With respect to Ohio burglary as a second degree felony:
(I) With the purpose to commit any criminal offense
(II) A person trespasses by force, stealth, or deception
(III) In an occupied structure of any person
(IV) When any person other than the accomplice of the offender is present or is likely to be present.
Concerning Indiana burglary as a level 4 felony the comparable elements are as follows:
(I) With the intent to commit a felony or theft
(II) A person breaks and enters
(III) The building or structure of another person
(IV) Where the building or structure is a dwelling.
III.
At common law, burglary was defined as the “breaking and entering of the dwelling house of another in the nighttime with the intent to commit a felony.” W. LaFave, 3 Substantive Criminal Law § 21.1(a), at 205-206 (2003). However, “[o]nly a few States retain the common-law definition, or something closely resembling it. Most other States have expanded this definition to include entry without a ‘breaking,’ structures other than dwellings, offenses committed in the daytime, entry with intent to commit a crime other than a felony, etc.” Taylor v. U.S.,
Like Indiana there are no common-law crimes in the State of Ohio. See Knotts v, State,
In Indiana theft is a class A misdemean or. See I.C. § 35—43-4—2. The penalty for which is a maximum term of not more than one-year imprisonment. See I.C. § 35-50-3-2. The offense is elevated to level 5 and 6 felonies depending on additional facts. See I.C. § 35-43-4-2(a). Thus a level 4 burglary may be committed where the unlawful entry is done with the intent to commit a misdemeanor theft. Ohio has taken a similar approach. As the Ohio Supreme Court has observed:
In broadening the scope of the crime, the legislature has expanded the mens rea element from an intent to commit a felony to an intent to commit “any criminal offense,” which is the mental state required in the current version of R.C. 2911.11. Given the General Assembly’s use of the term “any” in the phrase “any criminal offense,” we presume that it intended to encompass “every” and “all” criminal offenses recognized by Ohio.
Gardner,
Ohio has categorizеd its offenses in part as follows: “Offenses include ... misdemeanors of the first, second, third, and fourth degree, minor misdemeanors, and offenses not specifically classified.” R.C. § 2901.02(A). The penalty range from first to fourth degree misdemeanors is “not more than one hundred eighty days” to “not more than thirty days.” See R.C. § 2929.24(A)(1), (4). A “minor misdemeanor” which includes traffic offenses, see State v. Mattachione,
Essentially, despite statutory language declaring entry may be accompanied by an intent to commit “any criminal offense,” Ohio case authority makes clear that absent a different inference, the reasonable inference is that the defendant did so with the intent to commit the offense of theft. And, we repeat for emphasis, in Indianа a burglary offense may be sustained where the underlying offense is a misdemeanor theft. It appears to us element I of the Ohio and Indiana statutes, while worded differently, display the high degree of likeness necessary to qualify as substantially similar within the meaning of the SVF statute.
As for element II—“break and enter” in Indiana and “trespass by force, stealth, or deception” in Ohio—we first observe the terms “force,” “stealth,” and “deception” in the Ohio statute are listed in the disjunctive and modify the term “trespass.” Thus, a trespass may be accomplished either by force or by stealth or by deception. See State v. Bell,
By comparison, in Indiana “a ‘breaking’ is proved by showing that even the slightest force was used to gain unauthorized entry.” Dupree v. State,
We see no discernable difference between an entry gained “without right” or “lawful authority” accomplished by “compulsion .., physically exerted” “against a person,” as required in Ohio, and the “slightest force” used against someone to gain unauthorized entry, as required in Indiana. True, Indiana’s burglary statute does not have a corresponding “stealth” or “deception” component. But the question is whether the “trespass by force, stealth, or deception” element displays not an exact but instead a high degree of likeness to the “break and enter” element. Or stated somewhat differently, the question is whether the two elements have common core characteristics. And the core characteristic here is the unlawful entry. In sum, we have no hesitancy concluding element II in Ohio’s burglary statute and element II in Indiana’s burglary statute are substantially similar.
Concerning element III, an “occupied structure of any person” in Ohio and “building or structure of another person” in Indiana also display a high degree of likeness. The Ohio second degree burglary statute provides, “[a]s used in this section, ‘occupied structure’ has the same meaning as in section 2909.01 of the Revised Code....” R.C. § 2911.12(C). And that section provides in relevant part that an “occupied structure” includes a “building” or “other structure” which, among other things, “is maintained as a permanent or temporary dwelling[.]” R.C. § 2909.1(C)(1).
Finally, with respect to element IV Indiana requires that “the building or structure is a dwelling.” I.C. § 35-43-2-1(1). And our сourts have long held that a dwelling does not lose its status as a person’s home or place of lodging simply because no one was staying in the home at the time of the unlawful entry. See Phillips v. State,
By comparison the State of Ohio takes a different approach. It requires that “any person other than an accomplice of the offender is present or likely to be present[.]” R.C. § 2911.12(A)(2). In State v. Anderson,
It is obvious that the General Assembly, in adopting the definition of ‘occupied structure’ found in R.C. 2909.01, intended to broaden the concept of the offense of burglary from one of an offense against the security of habitation, to one concerned with the serious risk of harm created by the actual or likely presence of a person in a structure of any nature.
Id. at 559 (alteration and quotation omitted). By requiring the actual or likely presence of a person, this element of the Ohio burglary statute—as a second degree felony—is more stringent than the corresponding element in the Indiana burglary statute. But this fact is not dispositive because the specific characteristic, namely the underlying conduct sought to be regulated, is comparable for both states. In short, the very same conduct violating the Ohio second degree burglary statute—the actual or likely presence of a person— would necessarily violate Indiana’s level 4 felony burglary statute as well. Thus, element IV of the Ohio and Indiana statutes are substantially similar within the meaning of the SVF statute.
Conclusion
A serious violent felon includes a person who has been convicted in another
Notes
. See Indiana Code section 35-38-4-2, which provides in relevant part: “Appeals to the supreme court or to the court of appeals, if the court rules so provide, may be taken by the state in the following cases: (1) From an order granting a motion to dismiss one (1) or more counts of an indictment or information.”
. In support the Court of Appeals noted the following hypothetical illustration which the trial court had advanced:
Let’s say a person goes to a home in Indiana and says they want to check your electricity, a typical theft thing in Indiana. It happens a lot. You let them in and while you’re there, they steal your jewelry. Is that a burglary in Indiana? It is certainly stealth in Ohio. It certainly would qualify for Burglary, Level 2 in Ohio, but in Indiana? I think not.
Hancock,
. Our citation to these authorities is informed by rules promulgated by the Ohio Supreme Court one of which dictates: "All opinions of the courts of appeals issued after May 1, 2002 may be cited as legal authority and weighted as deemed appropriate by the courts without regard to whether the opinion was published or in what form it was published," Ohio Rep. Op. R. 3.4. See also Cleveland v. Craig,
. With respect to “offenses not specifically classified,” R.C. § 2901.02 provides:
(E) Any offense not specifically classified is a felony if imprisonment for more than one year may be imposed as a penalty.
(F) Any оffense not specifically classified is a misdemeanor if imprisonment for not more than one year may be imposed as a penalty.
(G) Any offense not specifically classified is a minor misdemeanor if the only penalty that may be imposed is one of the following:
(1) For an offense committed prior to January 1, 2004, a fine not exceeding one hundred dollars;
(2) For an offense committed on or after January 1, 2004, a fine not exceeding one hundred fifty dollars....
5. In Ohio, theft is a "misdemeanor of the first degrеe” which is elevated to felonies of the “fifth degree” through the "first degree" depending on certain enumerated aggravating factors. See R.C. § 2913.02(B)(2).
. Prior to the adoption of Reporting Rule 3.4, the Ohio Supreme Court Rules for Reporting Opinions provided in relevant part: "Unofficially published opinions and unpublished opinions of the Courts of Appeals may be cited by any court ... [and] each unofficially published opinion or unpublished opinion shall be considered persuasive authority on a court[.]” Rep. Op. R. 2(G)(2) (Baldwin’s Rev. Ohio Code Ann. 1993). As the Ohio courts have explained; "These rules, by their plain language, allow any court or person to cite an
. Specifically, the Code provides:
(C) "Occupied Structure” means any house, building, outbuilding, watercraft, aircraft, railroad car, truck, trailer, tеnt, orother structure, vehicle, or shelter, or any portion thereof, to which any of the following applies:
(1) It is maintained as a permanent or temporary dwelling, even though it is temporarily unoccupied and whether or not any person is actually present,
(2) At the time, it is occupied as the permanent or temporary habitation of any person, whether or not any person is actually present.
(3) At the time, it is specially adapted for the overnight accommodation of any person, whether or not any person is actually present.
(4) At the time, any person is present or likely to be present in it.
. As we have discussed, assessing the "substantial similarity” of two offenses may include case law—from either jurisdiction—interpreting the offenses’ elements. But our longstanding presumption that "the trial judge is aware of and knows the law,” see, e.g., Dumas v. State,
Dissenting Opinion
dissenting.
While I appreciate Justice Rucker’s thoughtful majority opinion, I must rеspectfully dissent. In my view, the Ohio statute at issue is broader than the Indiana statute in that it employs the language “any criminal offense” as compared to the Indiana statute, which is limited to “a felony or theft.” I do not believe that it is merely an “academic possibility” that any variety of underlying misdemeanor offense may suffice to support a burglary in Ohio as the Ohio Supreme Court has stated that: “[gjiven the General Assembly’s use of the term ‘an/ in the phrase ‘any criminal offense,’ we presume that it intended to encompass ‘ever/ and ‘all’ criminal offenses recognized by Ohio.” State v. Gardner,
Even though we can reasonably infer that one who forcibly enters a structure is there to commit a theft offense, this may not always be the case. One could break into a home and commit a non-theft misdemeanor in Ohio (e.g., stalking) and be found guilty of burglary; however, this person would not be guilty of burglary under Indiana law. Because Indiana requires a higher showing to constitute a burglary; that is, a felony or theft, I do not believe that the two statutes are substantially similar. Accordingly, I believe we should affirm the trial court.
