Lead Opinion
OPINION
Thе question presented in this case is whether, consistent with United States Supreme Court precedent, juvenile adjudications can be used in calculating a defendant’s criminal history score when the fact of those adjudications has been determined by a judge, not a jury. The Supreme Court has said 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.’” Blakely v. Washington,
Richard Angelo McFee pleaded guilty to one count of making terroristic threats in violation of Minn.Stat. § 609.713, subd. 1 (2004). The charge arose from McFee’s threats to kill N.M., N.M.’s baby, and anyone residing in N.M.’s home. N.M. reported the threats to Maplewood pоlice on June 6, 2004, and McFee was subsequently arrested and charged.
Following completion of the PSI, the district court conducted a sentencing hearing. McFee claimed at the hearing that his Sixth Amendment right to trial by jury was violated by the use of a custody-status point and his prior juvenile record in calculating his criminal history score. McFee moved to amend the sentencing worksheet to exclude the custody-status point and the juvenile point frоm his criminal history score because those determinations did not arise from a jury trial. Following a continuance for briefing, the district court denied McFee’s motion.
Using a criminal history score of six, the district court sentenced McFee to 30 months in prison, the presumptive sentence for someone with six criminal history points who commits a severity level IV crime, such as terroristic threats. The court of appeals affirmed and we granted McFee’s petition for review.
McFee contends that judicial fact finding that he was adjudicated delinquent violates his Sixth Amendment right as defined in Apprendi and refined in Blakely. The state contends that calculations of criminal history scores do not fall within the Apprendi/Blakely rule. We employ a de novo standard of review when interpreting the constitution. State v. Shattuck,
I.
The Apprendi/Blakely rule requires that facts used to increase a defendant’s sentence beyond the statutory maximum provided for the offense must be found by a jury or admitted by the defendant. Blakely,
The prior conviction exception was first recognized in Almendarez-Torres v. United States,
The issue before the Court in Almenda-rez-Torres was whether the deportation based on the aggravated felony provision in the statute “defines a separate crime or simply authorizes an enhanced penalty.” Id. at 226,
In Jones v. United States, the Court referred to the “repeated emphasis on the distinctive significance of recidivism” in Almendarez-Torres.
In Apprendi v. New Jersey, the Court determined that it “need not revisit” Al-mendarez-Torres, characterizing it as “a narrow exception to the general rule” the Court laid out in Apprendi.
In Blakely v. Washington, the Court did not directly address the prior conviction exception to the Apprendi rule. The Court simply noted that the case before it “require[d][it] to apply the rule * * * expressed in [Apprendi].” Blakely,
Since Blakely we have had occasion to interpret and apply the prior conviction exception in three cases. In Allen we held that a jury was not constitutionally required to find the fact of a defendant’s probationary status.
We also examined the prior conviction exception in State v. Leake, where we noted that, “after Blakely, the prior conviction exception recognized in Apprendi retains vitality and it is constitutional for a defendant’s sentence to be increased based on a prior conviction without submitting the fact of the conviction to the jury.”
Finally, we examined the prior conviction exception in State v. Henderson,
In sum, the cases construing the prior conviction exception from the Supreme Court and from our court hold that the fact of recidivism does not have to be found by a jury in order to be used in sentencing. McFee contends, however, that his juvenile adjudications do not fall within the prior conviction exception because juvenile adjudications are not criminal convictions and because they do not come with a right to trial by jury. We analyze each of these issues in turn.
II.
McFee characterizes his juvenile cases as “quasi-civil, non-criminal, rehabilitative adjudications.” McFee and the dissent note that juvenile delinquents are not labeled “criminals]” and that juvenile adjudiсations are not to be deemed “conviction[s]” of crimes. Minn.Stat. § 260B.245, subd. 1(a) (2004).
The juvenile court system in Minnesota recently celebrated its 100-year anniversary. See Wright S. Walling & Stacia Walling Driver, 100 Years of Juvenile Court in Minnesota — A Historical Overview and Perspective, 32 Wm. Mitchell L.Rev. 883 (2006). The system at its outset was premised on protection and rehabilitation of juveniles. See Peterson v. McAuliffe,
In part because of the rehabilitative goals of juvenile courts, the Supreme Court found that there was no federal constitutional right to a jury trial in juvenile court. See McKeiver v. Pennsylvania,
Although the difference between the goals of the juvenile and criminal court systems was part of the reason for denying juveniles the right to jury trials in McKeiver, similarities between those two systems led the Court in other cases to apply other constitutional protections to juvenile court. See Barry C. Feld, The Constitutional Tension Between Apprendi and McKeiver: Sentence Enhancements Based on Delinquency Convictions and the Quality of Justice in Juvenile Courts, 38 Wake Forest L.Rev. 1111, 1140-43 (2003) (noting that similarities between criminal prosecutions and juvenile adjudications is what led Supreme Court to create procedural protections in Winship and Gault). For example, in In re Gault, the Court held that juveniles were entitled to
These cases reflect a change in thinking about the juvenile court system away from one premised solely upon rehabilitation. As one commentator notes, the Supreme Court in Gaiilt “shift[ed] the formal focus of juvenile courts from ‘real needs’ to legal guilt.” Barry C. Feld, The Transformation of the Juvenile Court, 75 Minn. L.Rev. 691, 695 (1991). Concerns over the juvenile crime rate also played a role in subsequent changes to the juvenile court system. See Stuart & Zaske, supra, at 924-26 (“Nationwide, the general trend in the past thirty years is toward stronger punishment and sentences for criminals, and away from rehabilitative ideals.”); Larsen, supra, at 845-48 (discussing national and Minnesota trends).
The Minnesota Legislature made changes tо the juvenile court system to reflect this shift in focus the commentators describe. Until 1980, the legislature’s stated purpose for the juvenile court system was “to secure for each minor under the jurisdiction of the court the care and guidance * * * as will serve the spiritual, emotional, mental and physical welfare of the minor and the best interests of the state * * ⅜.” Juvenile Court Act of 1959, ch. 685, § 1, 1959 Minn. Laws 1275, 1275 (codified at Minn.Stat. § 260.011, subd. 2 (1978)). In 1980, the legislature expressed a new and separate purpose for the juvenile delinquency portion of the juvenile justice system: “The purpose of the law relating to children alleged or adjudicated to be delinquent is to promote the public safety and reduce juvenile delinquency by maintaining the integrity of the substantive law prohibiting certain behavior and by developing individual responsibility for lawful behavior.” Act of Apr. 15, 1980, ch. 580, § 3, 1980 Minn. Laws 962, 966 (codified at MinmStat. § 260.011, subd. 2 (1998)).
In addition to the change in stated purpose, the legislature also changed how juvenile adjudications could be used. While
Finally with respect to legislative intent, the Sentencing Guidelines provide for the use of certain prior juvenile adjudications when calculating a criminal history score. Minn. Sent. Guidelines II.B.4. The legislature may modify the Guidelines, but it has taken no action tо cast doubt on the Guidelines’ inclusion of certain juvenile adjudications within the criminal history score. See Minn.Stat. § 244.09, subd. 11 (2004) (noting that modifications to the Guidelines shall be submitted annually to the legislature and that such modifications “shall be effective * * * unless the legislature by law provides otherwise”).
As commentators have noted, the enactments discussed above “exemplified the legislative change from a primarily rehabilitative model of juvenile justice to a more punitive system that was aimed at stopping career criminals in the making.” Stuart & Zaske, supra, at 928.
Our own jurisprudence has recognized that it is appropriate to consider prior criminal behavior committed by juvenile offenders when those offendеrs appear before the criminal court for sentencing as adults. The dissent’s contention that “McFee’s juvenile adjudications * * * do not fit into the traditional basis for increasing a sentence” cannot be squared with our precedent. Before the establishment of the Guidelines, we saw “nothing improper” when the district court took a juvenile’s prior record into account when imposing sentence. State v. Johnson,
The dissent argues that “[t]he distinction between juvenile court proceedings and criminal trials is supposed to wоrk to the child’s benefit.” That may be true in the abstract, but in this case, the goal the juvenile court had for McFee was not realized — he chose to continue to engage in felonious behavior on multiple occasions. The question presented here is whether his choice to recidivate is relevant to his sentence. We believe, as we have said before, that such behavior, even though committed by a juvenile, is appropriately considered when sentencing the offender as an adult. See Peterson,
Absent clear direction from the United States Supreme Court, we will not upset our precedent upholding the use of juvenile criminal behavior in sentencing and the carefully-balanced approach the legislature ratified in the Guidelines for use of juvenile adjudications in calculating criminal history score. In sum, we hold that it is not inconsistent with the legislature’s purpose in maintaining the juvenile justice system fоr sentencing courts to use prior juvenile adjudications in calculating criminal history under the Minnesota Sentencing Guidelines.
III.
Separate from his argument based on the nature of juvenile adjudications, McFee argues that his juvenile adjudications cannot fall within the prior conviction exception because they do not come with a right to a jury trial. While the United
These cases focus on reliability and due process concerns, and conclude that the prior conviction exception applies, not because the defendant had a right to a jury trial in the prior proceeding, but because the prior proceeding met all due process requirements that attached to that proceeding. Ultimately, according to the majority, “the question of whether juvenile adjudications should be exempt from Ap-prendi’s general rule should not turn on the narrow parsing of words, but on an examination of whether juvenile adjudications, like adult convictions, are so reliable that due process of law is not offended by such an exemption.” United States v. Smalley,
The supreme courts in Kansas and Indiana have concluded that the reliability and due process analysis in the Eighth, Third and Eleventh Circuits is persuasive. See State v. Hitt,
First, McFee received all of the protections to which he was constitutionally entitled when he was adjudicated delinquent. It is true that McFee did not receive a jury trial in the juvenile cases at issue. See Minn.Stat. § 260B.163, subd. 1 (2004) (“[H]earings on any matter shall be without a jury * * ⅜.”). But McFee does not
The dissent suggests that the prior conviction exception depends on a jury trial right and that therefore McFee’s juvenile adjudications cannot fall within the exception. The cases the dissent cites, including our decision in Allen, cannot be read to support the broad reading the dissent gives them. Those cases involved prior convictions that the constitution clothed with a jury trial right. Juvenile adjudications, by contrast, have no such constitutional right. See McKeiver,
Second, the role for a jury would be extremely limited in this context. McFee does not contend that he would be able to relitigate the issues determined in the juvenile cases in adult criminal court. He plainly could not use subsequent criminal proceedings to collaterally attack the validity of the juvenile court’s adjudications. Cf. State v. Cook,
Third, a defendant’s prior juvenile record is relevant to recidivism, and, as discussed above, recidivism is the foundation on which the prior conviction exception was created.
We hold that, in calculating a defendant’s criminal history score, a defendant does not have a Sixth Amendment right to a jury determination of the fact of a prior juvenile adjudication.
Affirmed.
Notes
. McFee was also charged with sale of marijuana in the fifth degree in a separate incident from October 7, 2003, and a jury found him guilty of that offense. McFee's appeal does not involve this charge.
. The parties agreed that the juvenile adjudications were not extended juvenile jurisdiсtion (EJJ) cases, and thus were not subject to a jury trial right. See Minn.Stat. § 260B.130, subd. 3 (2004) (providing jury trial right to juveniles who are subject to EJJ prosecution).
. Subsequent to the filing of McFee's petition, we decided State v. Allen,
.McFee argues that with the change in the composition of the Supreme Court the prior conviction exception will fall. See also Shepard v. United States,
. We described the exception as "the recidivism exception” in State v. Henderson,
. We note that the statute McFee and the dissent cite specifically provides that “an adjudication may later be used to determine a proper sentence.” Minn.Stat. § 260B.245, subd. 1(a) (2004).
. This court has impliedly indicated its agreement with McKeiver's holding. See In re K.A.A.,
. This stated purpose remains in the current version of the juvenile delinquency law. See Minn.Stat. § 260B.001, subd. 2 (2004).
. No discussion of the changes in the juvenile justice system in Minnesota would be complete without a reference to the establishment of the EJJ prosecutions. This extension of juvenile court jurisdiction grew out of the work of the Minnesota Supreme Court Advisory Task Force on the Juvenile Justice System. See Stuart & Zaske, supra, at 940 (discussing task force and EJJ enactment); see also Minnesota Supreme Court Advisory Task Force on the Juvenile Justice System: Final Report, 20 Wm. Mitchell L.Rev. 595 (1994). Because McFee was not prosecuted within EJJ, we will not discuss EJJ further.
. The dissent's focus on a rehabilitative goal for the juvenile justice system is inconsistent with the developments outlined above.
. The court of appeals also has determined that the use of juvenile adjudications to compute a defendant’s criminal history score does not violate the defendant's due process or equal protection rights. State v. Little,
. At the same time we note that juvenile felonious behavior is not treated the same under our system as adult behavior. The Minnesota Sentencing Guidelines reflect a balanced policy judgment to include certain prior juvenile adjudications in a defendant's criminal history score. Under the Guidelines, juvenile adjudications are counted in calculating criminal history score if the conduct would have been a felony had the offender been an adult at the time the offense was committed. Minn. Sent. Guidelines II.B.4. Juvenile offenses are not counted the same as felony convictions. Id. Juvenile adjudications are counted only if the offender was over 14 years old at the time of the offense and is less than 25 years old at the time of felony sentencing. Id. Two such juvenile adjudications are needed to accumulate one point and "generally, an offender may nоt receive more than one point on the basis of prior juvenile offenses." Id. cmt. II.B.405.
The commentary to the Guidelines notes that the Guidelines Commission conducted "several public hearings devoted to the issue of using juvenile records in the criminal history index.” Id. cmt. II.B.401. The result of those hearings was a balanced approach that takes into account prior felonious behavior to a more limited extent than if the offender were tried as an adult. See State v. Torgerson,
. See, e.g., United States v. Burge,
. Given the great weight of the authority in support of this result, we do not agree with the dissent’s characterization of the result reached here as somehow creating a "new rule."
. The dissent argues that we are "expressing a variant of Justice Breyer's dissenting argument in Apprendi [that was] rejected by the Court * * We disagree. Justice Breyer spoke in his dissent about "procedural compromises.”
. We have limited collateral attack of underlying convictions sought to be used as sentencing enhancements to " 'unique cases.’ ” State v. Warren,
. Similarly, verifying that the defendant was over 14 years old at the time of the juvenile offense and less than 25 years old at the time of adult sentencing, as required for use of adjudications under the Guidelines, see Minn. Sent. Guidelines II.B.4, can easily be done through examination of court records.
. The Guidelines include the juvenile record within the criminal history score to provide information about the very fact of recidivism. See Minn. Sent. Guidelines cmt. II.B.401 ("The juvenile history item is included in the criminal history index to identify those young adult felons whose criminal careers were preceded by repeated felony-type offenses committed as a juvenile.”).
.The dissent states that the result reached here "significantly expands Apprendi’s prior conviction exception in a way that is completely at odds with the Supreme Court's unwavering commitment to a narrow definition of a prior conviction.” We disagree. As noted above, the Supreme Court has not addressed the question before us. The Court has said, however, that the basis for the prior conviction exception is recidivism. Jones,
Dissenting Opinion
(dissenting).
DISSENT
I respectfully dissent. The district court used three adjudications of juvenile delinquency to increase McFee’s sentence beyond what would otherwise be authorized by the jury verdict or guilty plea alone. I would conclude that the use of juvenile adjudications to enhance McFee’s sentence violates his rights under the Sixth Amendment because juvenile adjudications do not fit into the “prior conviction exception” of Apprendi v. New Jersey and Blakely v. Washington.
The central question in this case is the meaning of the “prior conviction exception” as articulated by the United States Supreme Court and our court. The Supreme Court has made it clear that “ ‘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.’ ” Blakely v. Washington,
The prior conviction exception to the Apprendi rule arose out of the Supreme Court’s earlier decision in Almendarez-Torres v. United States,
The next year, the Supreme Court explained that Almendarez-Torres dealt with a very narrow fact question and described why prior convictions did not have to be submitted to a jury: “[Ujnlike virtually any other consideration used to enlarge the possible penalty for an offense, * * * a prior conviction must itself have been established through procedures satisfying the fair notice, reasonable doubt, and jury trial guarantees.” Jones v. United States,
In Apprendi, decided one term later, the Supreme Court stated that the prior con
Our court has endorsed the Supreme Court’s narrow exception to Apprendi We have stated in plain terms that “[t]he primary reason for excluding a prior conviction from the constitutional rule is that the prior conviction itself has been established by procedures that satisfy constitutional jury-trial and reasonable-doubt guarantees.” State v. Allen,
In this case, the use of McFee’s prior adult criminal activity was constitutional; the existence of those convictions did not have to be submitted to a jury because a jury trial right had attached to them and because they fit into the traditional basis for increasing a sentence. McFee’s juvenile adjudications, in contrast, had no jury trial right attached to them and as quasi-civil, rehabilitative adjudications, they do not fit into the traditional basis for increasing a sentence. Juvenile adjudications do not fit into the prior conviction exception.
Minnesota law plainly defines juvenile adjudications as fundamentally different from convictions. Our law provides that “[no] child [shall] be deemed criminal by reason of [a delinquency] adjudication, nor shall th[e ] adjudication be deemed a conviction of crime.” Minn.Stat. § 260B.245, subd. 1 (2002) (emphasis added). Juvenile adjudications are not crimes and juveniles do not serve sentences. The goal of juvenile court is to rehabilitate the child. See MinmStat. § 260B.198, subd. 1 (2002). By treating and rehabilitating children, the state is relieved of the responsibility to give children the right to a jury trial. See McKeiver v. Pennsylvania,
The majority asserts that cases and commentators have signaled a “change in thinking about the juvenile court system away from one premised solely upon rehabilitation.” In particular, the majority asserts that certain legislative action has “changed how juvenile adjudications could be used.” If what the majority suggests is true, that juvenile court is now more focused on punishment than rehabilitation and juvenile adjudications are more akin to convictions than they used to be, then it brings into serious question the vitality of McKeiver’s fundamental principle that the rehabilitation model for juvenile court justifies the denial of the right to a trial by jury. If juvenile adjudications are akin to convictions, then it follows that they are entitled to all of the procedural protections that accompany such a classification. As the Louisiana Supreme Court wrote: “If a juvenile adjudication, with its lack of a right to a jury trial which is afforded adult criminals, can then be [used to enhance an adult sentence] the same as a felony con-
The majority’s new rule significantly expands Apprendi’s prior conviction exception in a way that is completely at odds with the Supreme Court’s unwavering commitment to a narrow definition of a prior conviction. The majority’s new rule is that prior juvenile delinquency adjudication may be used to increase a defendant’s sentence for a later crime because the fact of a juvenile adjudication, like an adult conviction, is so “reliable” that due process of law is not violated. The majority essentially concludes that because a judge can “reliably” determine the fact of a juvenile adjudication, and because the juvenile adjudications “met all due process requirements that attached to that proceeding,” McFee does not have a Sixth Amendment right to a jury determination of the facts that increased his prison sentence. The majority borrows this “reliability” test from various courts around the country.
The first federal appeals court to consider the precise issue in this case was the Ninth Circuit Court of Appeals in United States v. Tighe,
State supreme courts are equally divided on whether the prior conviction exception should be extended to juvenile adjudications. Compare State v. Harris,
In each of the cases relied on by the majority in which a court determined that juvenile adjudications fit within the prior conviction exception, the opinions expressly or implicitly held that the jury trial “circuitbreaker in the State’s machinery of justice” is not integral to the prior conviction exception. See Blakely,
The proper inquiry under Apprendi is not whether McFee’s juvenile adjudications were “fairly” or “reliably” determined. The proper inquiry is whether the fact of McFee’s prior juvenile adjudications was ever determined by a jury. See Apprendi
Although the right to a jury trial provides fact reliability and due process guarantees, the “right is no mere procedural formality, but a fundamental reservation of power in our constitutional structure.” Blakely,
In summary, because a juvenile adjudication is not “the fact of a prior conviction,” it cannot be used to increase a defendant’s sentence beyond that otherwise authorized. I would reverse and remand for resentencing.
. As the majority notes, other circuit courts have not followed Tighe’s lead.
. See also Apprendi,
. The majority attempts to buttress its conclusions by noting that "the role for a jury would be extremely limited in" determining the fact of prior juvenile adjudications. In so doing, the majority presumes away the concern that motivated the adoption of the jury trial right in the first place — democratic control over a potentially corruptible judiciary. See Blakely,
Dissenting Opinion
(dissenting).
I join in the dissent of Justice Meyer.
