Lead Opinion
Section 558.021.2, RSMo 1994,
FACTS
In 1994, Teer was involved in an alcohol-related automobile accident that resulted in the death of four people and injury to a fifth person. A jury found Teer guilty of four counts of involuntary manslaughter, section 565.024, and one count of second degree assault, section 565.060.1(4). Prior to the end of the trial, the state moved to amend the information to charge Teer as a prior offender due to a previous felony stealing conviction. The circuit court sustained this motion after the case was submitted to the jury but before the verdict. When the jury returned its verdict, it recommended ten months in the county jail for the four counts of involuntary manslaughter and eight months in the county jail for the one count of second-degree assault. The circuit court then found that Teer was a prior offender and sentenced him to consecutive terms of four years imprisonment for each count.
The convictions were affirmed on direct appeal, State v. Teer,
Teer’s sole point on appeal is that the trial court violated section 558.021.2 by allowing the state to amend its information to charge him as a prior offender after the case was submitted to the jury. The state argues that Rule 23.08 authorized the amended information and that any error was harmless.
ANALYSIS
Procedural errors in prior offender hearings require reversal only if the defendant is shown to have been prejudiced. State v. Wynn,
Section 558.021.1 sets forth the factual prerequisites for establishing prior offender status.
Section 558.021.2 unequivocally provides that the prior offender status “shall” be pleaded and proven prior to the case being submitted to the jury. The word “shall” generally prescribes a mandatory duty. Bauer v. Transitional School District of City of St. Louis,
Section 558.021.2 is one of the statutes that provide a means for enhancing sentences based upon prior offenses. As such, section 558.021.2 implicates a defendant’s liberty and, like other criminal statutes, should not be extended by judicial interpretation so as to embrace persons and acts not specifically and unambiguously brought within its terms. State v. Lloyd,
The plain language of section 558.021.2 imposes a mandate requiring that prior offender status be pleaded and proven pri- or to the case being submitted to the jury. When the plain language of section
The state asserts that this case is controlled by Rule 23.08, not section 558.021.2. Rule 23.08 provides that an “information may be amended ... at any time before verdict or finding if: (a) no additional or different offense is charged, and (b) a defendant’s substantial rights are not thereby prejudiced.” Rule 23.08 simply provides a procedural mechanism for filing an amended information. The rule does not authorize the circuit court to make factual findings in violation of the specific directive of section 558.021.2. Rule 23.08 may allow the state to plead prior offender status after the case is submitted to the jury, but section 558.021.2 specifically requires that that proof of pri- or offender status must be proven prior to the case being submitted to the jury. This case is governed by section 558.021.2, not Rule 23.08.
The state also argues that even if the statute was violated, Teer cannot establish prejudice because he is, in fact, a prior offender and is not entitled to jury sentencing. The state is correct that a number of cases under section 558.021 have held that when a defendant is found to be a prior or persistent offender after the case is submitted to the jury, the failure to timely prove and find the defendant’s prior or persistent offender status is not reversible error. See e.g., State v. Golatt,
In this case, Teer was prejudiced. The jury determined that a maximum sentence of four years of incarceration in the county jail was an appropriate sentence while the circuit court sentenced Teer to a total of 20 years imprisonment in the Missouri Department of Corrections. The failure to follow section 558.021.2 resulted in Teer being subjected to a much longer sentence than that recommended by a jury of his peers. Consequently, the error was prejudicial and requires reversal of Teer’s sentence and a remand for sentencing in accordance with the jury’s initial recommendation.
The judgment as to Teer’s sentence is reversed, and the case is remanded. On remand, the court shall impose sentence consistent with the jury’s recommendation and free from sentence enhancement that would result if Teer were a prior or persistent offender. See State v. Emery,
Notes
. All statutory references are to RSMo 1994.
. When the state pleads and proves that a defendant is a prior offender, the court, not the jury, imposes the sentence. Section 557.036.2(2).
. Section 558.021.1 provides:
The court shall find the defendant to be a prior offender, persistent offender, or dangerous offender, if:
(1) The indictment or information, original or amended, or the information in lieu of an indictment pleads all essential facts warranting a finding that the defendant is a prior offender, persistent offender, or dangerous offender; and (2) evidence is introduced that establishes sufficient facts pleaded to warrant a finding beyond a reasonable doubt that the defendant is a prior offender, persistent offender, or dangerous offender and (3) the court makes findings of fact that warrant a finding beyond a reasonable doubt by the court that the defendant is a prior offender, persistent offender, or dangerous offender.
. Section 558.021.2 provides:
In a jury trial, the facts shall be pleaded, established and found prior to submission to the jury outside of its hearing, except the facts required by subdivision (1) of subsection 4 of section 558.016 may be established and found at a later time, but prior to sentencing, and may be established by judicial notice of prior testimony before the jury.
Concurrence Opinion
CONCURRING OPINION
I concur in the result of the principal opinion. I write separately to express my views more completely about certain aspects of this case and in particular to encourage courts to restrain from judicial emasculation of legislative direction.
In McMillan v. Pennsylvania,
The language in section 558.021 is unambiguous when it states that to be classified as a prior offender, thereby removing jury sentencing, the prior offender status “shall be pleaded, established and found prior to submission to the jury....” One primary purpose of having the prior offender status pled and proven before submission to the jury is because the status of the defendant removes the defendant’s statutory right to jury sentencing. Section 557.036.2. Absent prior or persistent offender status, section 557.036.2 provides the jury the opportunity to set a sentence lower than the maximum sentence. The jury’s function is to provide a ceiling on the sentence the defendant will receive. A judge can impose a lesser punishment but cannot exceed the punishment recommended by the jury unless the jury’s recommendation is below the legal limit. Rules 29.05 and 29.06; Emery,
As a practical matter, when should the attorneys and litigants know whether sentencing is being tried to the judge or the jury? Before trial begins would seem to be a sensible time for both sides to know whether the sentencing is being done by the jury or the judge. The first instruction given after the jury is sworn in a criminal case advises the jury if it will be assessing punishment, including sentencing. MAI-CR 300.06. The jury was instructed in this case if it found the defendant guilty, there would be a second stage where it would determine the punishment to be assessed.
The removal of jury sentencing by amendment to pleadings and presentation of proof after submission to the jury is implicitly prejudicial. The prejudice to the defendant in this case is that the rules of the game were changed after the game was over. As the dissenting opinion notes, defense counsel objected to the State’s late request to amend the information because had he known there would not be jury sentencing, he would have employed a different trial strategy.
It is undisputed in this case that the defendant’s status as a prior offender was not pled or established until after the ease
The result in this case is controlled by this Court’s unanimous opinion in Emery. In Emery, the trial court sentenced the defendant as a prior and persistent offender despite the State’s failure to offer any evidence of the defendant’s prior or persistent offender status prior to submission to the jury.
Moreover, the State’s argument that the general language of Rule 23.08 regarding amendment of an information should be controlling over the specific language of section 558.021.2 lacks merit. This particular legislative mandate governs not only the pleading in this type of case, but also the order of proof in this type of case and what must be established prior to submission to the jury. “Where the legislature has enacted a statute pertaining to a procedural matter [that] is not addressed by or inconsistent with any supreme court rule, the statute must be enforced.” State ex rel. Kinsky v. Pratte,
The only question remaining would be why the decisions in State v. Golatt,
The legislature’s decision in a single statutory scheme to remove jury sentencing from prior and persistent offenders only in cases where the prior or persistent offender status has been pleaded and proven prior to submitting the case to the jury is no more nor no less important than the legislature’s decision to extend the length of sentences of prior and persistent offenders. The courts of this state should declare the law accordingly; therefore, I would give proper deference to the legislature and specifically overturn Jennings, McGowan, Tincher, Hinkle, Wynn, and Golatt.
. All statutory citations are to RSMo 1994.
. The dissenting opinion rationalizes that "the legislature cannot have intended its scheme of extended term sentencing for prior offenders be rendered a nullity by trial court mistakes that are not unfair to the defendant.” This statement ignores basic principles of judicial philosophy and the primary rule to give effect to the legislative intent as reflected in the plain language of the statute. State ex rel. Selimanovic v. Dierker,
. The dissenting opinion mischaracterizes this Court's opinion in Emery regarding the mandatory pleading and proof requirements of section 558.021.2. In this case, and in Emery, it is undisputed that there was no evidence of prior convictions prior to submission of the case to the jury, which is the operative requirement of the statute. In Emery, the prior convictions were pled in the original information, but not proven prior to submission to the jury. In this case, the prior convictions were not pled or proven prior to submission to the jury. This Court in Emety did not remand the case for the defendant to be sentenced by the jury, as stated by the dissent, but rather remanded the case to the trial court to sentence the defendant on what was pled and established prior to submission of the case to the jury.
Dissenting Opinion
DISSENTING OPINION
I respectfully dissent. I find nothing in the record of this case or the case law of this State mandating reversal of the sentence imposed on drunk driver Michael Teer (“Defendant”) for cutting short the lives of four innocent persons and injuring a fifth.
The majority and concurring opinions correctly highlight that Defendant’s sentences require reversal if he can show that he was prejudiced by the trial court’s decision to permit the State to untimely amend its information to charge him as a prior offender. But I disagree with the majority and concurring opinions’ findings that Defendant was prejudiced because the State failed to expressly follow the provisions of section 558.021.2, RSMo 2000.
Everyone agrees that the trial court should have followed section 558.021.2’s directive that Defendant be found a prior offender before his ease was submitted to the jury. But contrary to the majority’s view, I do not believe that the provisions of section 558.021.2 are mandatory, as nothing in the statute provides a remedy for a defendant who is sentenced as a prior offender subsequent to a trial court error related to this statute.
The test for reversible prejudice is not simply a test of whether the challenged error produced an unfavorable result for the defendant. Reversal of trial court error is required only if an error “more-likely-than-not prejudice^] the entire proceeding against the defendant.”
Testing for substantively prejudicial errors is consistent with Missouri’s “no harm, no foul” statute, section 545.030.1(18), which outlines that a judgment should not be affected by a “defect or imperfection which does not tend to the prejudice of the substantial rights of the defendant upon the merits.” Missouri has a longstanding rule that judgments against criminal defendants should not be affected by errors committed in their favor. See State v. Leisure,
Further, I see no reason to use Defendant’s case to overturn the numerous Missouri cases that have determined that it is harmless error to permit the State to prove belatedly prior or persistent offender status under section 558.021.2. See, e.g., State v. Kilgore,
In Wynn, the court of appeals addressed a similar case in which the court belatedly determined that a defendant was a persistent offender.
Wynn wisely noted:
It is difficult to see how defendant suffered any actual prejudice by reason of the fact that the persistent offender hearing was conducted after instead of prior to submission to the jury. The central fact of importance and substance is that defendant is a persistent offender, as was amply demonstrated, in which case the Court, not the jury, determines punishment upon a finding of guilt.... The State, by failing to introduce the persistent offender evidence at the prescribed time did not thereby waive its right to make proof thereof before sentencing. Nor was the State estopped to do so by reason of the manner in which the matter was handled. Defendant ac*268 quired no vested right to have the jury assess the punishment by reason of the failure to conduct the hearing at the prescribed time. It is true that if the proof had never been made the conviction would have to be set aside; in that event the failure to submit the question of punishment to the jury would have been fatal to the verdict; but it was made, even if tardily.
Id. at 864-65.
Like the defendant in Wynn, Defendant does not contest that he is a prior offender but in effect asserts that he cannot be sentenced as a prior offender if errors are made pursuant to section 558.021.2. The legislature cannot have intended its scheme of extended term sentencing for prior offenders be rendered a nullity by trial court mistakes that do not prejudice the defendant. This must be particularly true where, as here, the trial court’s mistake was made after Defendant’s suggestion that he otherwise would be prejudiced.
Defendant cannot assert persuasively that he was sentenced unfairly because his sentence ultimately was imposed by the court instead of the jury. He had no right to be sentenced by the jury.
Because I do not believe that Defendant has suffered substantive prejudice requiring reversal, I would affirm his sentences.
. All statutory references in this opinion are to RSMo 2000.
. Generally a statute is held to be directory and not mandatory where it specifies a time within which an official act is to be performed with a view merely to the proper, orderly, and prompt conduct of the business and where it does not provide what results follow a failure to comply with its terms. State v. Wynn,
.In the past, this Court has stated that remedying violations of mandatory directives usually should be left in the hands of the trial court. State v. Kilgore,
. This big-picture determination of prejudicial error is beneficial in limiting this Court's power to undo or replicate the work of the lower courts, which are capable of crafting fair and workable solutions to potential issues and errors before they yield reversible prejudice.
. "Substantive law” addresses ”[t]he part of the law that creates, defines, and regulates the rights, duties, and powers of parties." Black's Law Dictionary 676 (2d Pocket Ed.2001).
. In this case, Defendant essentially invited the alleged error about which he now complains, as he urged the court against permitting the State to timely amend its information.
Defendant's counsel also complained that the State should not be permitted to amend the information because he would have employed a different trial strategy had he known that prior offender status would be an issue. Nothing in section 558.021.2, however, indicates that prior offender status must be pleaded and proved before evidence is introduced at trial, as the statute merely provides that the offender's status should be established before submitting the case to the juiy.
Under this Court’s Rule 23.08, which allows amendment of an information at any time prior to a verdict or finding, the test for whether a defendant’s substantial rights wrongly are prejudiced by the amendment looks at (1) whether a defense to the charge as originally made is equally available post-amendment and (2) whether the defendant’s evidence would be equally applicable after the amendment. State v. Messa,
. Sentencing authority in the hands of judges, rather than juries, is important to reduce sentence disparity for prior offenders. See Hon. Randall R. Jackson, Missouri's Jury Sentencing Law: A Relic The Legislature Should Lay To Rest, 55 J. Mo. B. 14, 16-17 (Jan./Feb. 1999) (urging judge sentencing in all non-capital criminal cases).
. The concurring opinion relies on State v. Emery, a case in which this Court found that a prior offender was entitled to be sentenced by a jury where the State had failed to prove his alleged prior offenses as required by section 558.021.2.
