Lead Opinion
delivered the Opinion of the Court.
I. Introduction
We granted certiorari to review the court of appeals' decision affirming the trial court's sentence of Emanuel Villanueva to a term of confinement in the aggravated range based on Villanueva's admission to violating a condition of probation during a probation revocation hearing. People v. Villanueva, --- P.3d , No. 05CA2542,
In 2002, Villanueva pled guilty to attempted sexual assault on a child and was sentenced to a term of two years probation. He subsequently contacted the victim, violating a condition of his probation. At the revocation hearing, Villanueva confessed the contact and admitted it violated a term of his probation. The trial court determined the admission was an extraordinary aggravating cireumstance under section 18-1.3-401(6), C.R.S. (2008), permitting a sentence over the presumptive range. The court therefore sentenced Villa-nueva to an aggravated range term of five years in the Department of Corrections (“DOC”).
In order for a defendant's admission to be used to impose a sentence over the presumptive range, he must waive his Sixth and Fourteenth Amendment rights to have the facts used to aggravate his sentence be proved to a jury beyond a reasonable doubt. Because Villanueva was not advised of, and did not waive, his right to have aggravating facts proved beyond a reasonable doubt to a jury, he could not be sentenced beyond the presumptive range. Thus, we reverse the court of appeals and remand for resentencing consistent with this opinion.
II. Facts and Procedural History
On October 19, 2001 Emanuel Villanueva was charged with sexual assault on a child-pattern of abuse
At the providency hearing, the trial court advised Villanueva that he could be sentenced to the DOC for the presumptive period of one to three years or for an extraordinary mitigated or aggravated period of six months to six years. The court also informed Villanueva that by pleading guilty he was "giving up various rights," including the right to have a jury determine "all issues of guilt beyond a reasonable doubt." The court further advised him that by waiving his right to a jury trial he would be "subjecting [him]self to a potential penalty within the ranges" outlined by the court. Villanueva stated he understood his rights. The prosecution recommended probation, and the court imposed a sentence of two years of probation with the condition that Villanueva complete offense specific therapy. To enroll in the required therapy, Villanueva was required to agree to certain conditions, including no contact with the victim.
At Villanueva's September 2005 probation revocation hearing, the court advised him pursuant to section 16-11-206(1), C.R.S. (2008), of his right to have the violation proved by a preponderance of the evidence to the court. Villanueva then admitted he violated the condition of his probation prohibiting contact with the vietim.
At resentencing the following month, the prosecution requested a sentence in the aggravated range under section 18-1.3-103(6), C.R.S. (2008), arguing Villanueva's admission was a factor the court could properly consider to impose a sentence over the presumptive range. The court agreed, and found the admission constituted a proper "aggravated fact" justifying a sentence beyond the presumptive range. Based on that fact, Villa-nueva was sentenced to serve an aggravated range term of five years in the DOC plus two years of mandatory parole.
Villanueva appealed, arguing the trial court erred in using the probation violation admission as an aggravating factor. He argued this was improper because he did not knowingly, voluntarily, and - intelligently waive his Sixth and Fourteenth Amendment rights to have a jury determine the facts used to support his aggravated sentence. The court of appeals rejected this argument and concluded Villanueva's admission "to the relevant facts rendered them Blakely-compli-ant [and] the [trial] court could properly use them to increase his sentence even if he did not first effectuate a waiver of his Blakely rights." People v. Villanueva, - P.3d --, --, No. 05CA2542, slip op. at 5,
IHL. - Standard of Review
A trial court has broad discretion over sentencing decisions. People v. Watkins,
The People argue Villanueva did not preserve a Blakely-based challenge because he did not expressly object to the aggravated sentence or the trial court's use of his admission as an aggravating fact. Prior to announcing the aggravated sentence, the trial court and counsel engaged in a discussion of this court's holding in Lopez v. People. In Lopez we discussed the cireumstances that, under Blakely, a trial court could consider when aggravating a sentence.
In arguing for an aggravated sentence, the prosecution stated "under [Lopez ], your hon- or, prior criminality is only one of the four areas on which the Court can look to on
The People argue Villanueva's statement regarding the admission was ambiguous and not sufficient to preserve a Blakely challenge. It is true that, viewed in isolation, defense counsel's statement is vague. However, in the context of the court's discussion of Lopez, which addressed when admissions are Blakely-compliant, it is sufficiently clear the defense took the position that the admission was not Blakely-compliant. Moreover, it is beyond dispute that the issue of whether Villanueva's statement was Blakely-compli-ant and could be used as an aggravating factor was squarely before the court. In the Lopez discussion, the court stated it considered the admission to be a fact it could properly consider for purposes of aggravation. Thus, the court was not only aware of the restrictions Blakely and Lopez: imposed on a trial court's use of certain facts for purposes of aggravation, but the court actually considered these restrictions and nonetheless found the admission to be proper. Accordingly, the issue was properly preserved and we review the matter de novo.
IV. Analysis
- Courts cannot use a defendant's admissions to sentence him to an aggravated range term under section 18-1.3-401(6) unless he knowingly, voluntarily, and intelligently waives his right to have a jury determine beyond a reasonable doubt all facts that support the aggravated sentence. People v. Isaacks,
The principles that guide us today were established by the United States Supreme Court in Apprendi v. New Jersey,
Apprendi appealed, and the Supreme Court held the sentence violated his jury trial and due process rights. The Court reasoned, just as a criminal defendant is entitled to a "jury determination that he is guilty of every element of the crime with which he is charged beyond a reasonable doubt," he is also entitled to have a jury determine every fact used to aggravate a sentence beyond the statutory maximum. Id. at 477, 490,
Two years later, in Blakely, the Supreme Court specifically held the jury determination requirement includes admissions made by the defendant.
In Blakely, the defendant pled guilty to a charge of kidnapping.
Following the Apprendi and Blakely decisions, this court addressed judicially determined sentence enhancements in Lopez v. People,
The next year, in Isaacks, we specifically addressed when a judge may enhance a sentence beyond the presumptive range based on a defendant's admission.
In Isaacks, the defendant pled guilty to one count of conspiracy to commit felony menacing. Id. at 1191. Isaacks signed the Petition to Enter a Plea of Guilty which stated the signatory understood the judge could sentence him to an aggravated term beyond the presumptive range and agreed to waive "all rights to trial by jury." Id. However, Isaacks was not advised of, and did not waive, his right to a jury trial on facts used to form the basis of an aggravated sentence. Therefore, while Isaacks waived his right to a jury trial on the issue of guilt by agreeing to plead guilty, he never waived the right to a jury determination of aggravating facts.
At the sentencing hearing, the trial judge relied on a presentence report to determine aggravating facts. Id. When asked, Isaacks did not make corrections or additions to the presentence report. Id. Based on the information contained in the report, the judge aggravated Isaacks's sentence and he was sentenced to twice the presumptive maximum range. Id. at 1192.
On appeal, we held Isaacks's failure to object to the facts contained in the presen-tence report did not constitute a waiver of his right to a jury determination of aggravating facts because it was not given pursuant to an advisement of these rights. Therefore, the statements in the presentence report could not be considered a Blakely-compliant admission. Id. We acknowledged that under Ap-prendi and Blakely, a trial court can use a defendant's factual admissions to aggravate his sentence. Id. at 1195. However, we determined that, "like the right to a 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." Id. (emphasis added).
We therefore held longstanding principles of Sixth and Fourteenth Amendment jurisprudence "compel[] the conclusion that Blakely does not permit a sentencing court to use a defendant's factual admissions to
In sum, the maximum imposable sentence is not the "sentence a judge may impose after finding additional facts, but the maximum he may impose without any additional findings." Blakely,
The People argue, in light of the Colorado statute governing probation revocation hearings,
The People contend when Villanueva admitted to contacting the victim and threatening to kill her, he knowingly, voluntarily, and intelligently waived all available rights. They argue the trial court's advisement regarding Villanueva's right to a hearing at which it would find facts by a preponderance of the evidence, is a proper statement of the law, and as such, he had no right to a jury determination of the aggravating facts as was required in Isaacks.
It is true that under the probation revocation statute a jury is not available at a probation revocation hearing. § 16-11-206(1). However, the Colorado probation revocation statute cannot abrogate a defendant's constitutional right to have a jury determine all facts used to aggravate his sentence beyond the presumptive range. While the trial court's advisement to Villanueva in the present case may have been a proper statement of the statutory probation revocation scheme, it was not a proper advisement of rights under Blakely and Isaacks. Pursuant to Isaacks, a court may only use a defendant's admission to aggravate a sentence beyond the presumptive range if it is given after a proper waiver of the right to have a jury determine the facts supporting the aggravation.
Accordingly, for the People's argument to succeed, we would have to conclude a defendant's right to a jury determination of facts used to aggravate his sentence does not extend to resentencing after a probation revocation. We find no principled basis for doing so.
The analytical foundation underlying the Apprendi and Blakely decisions is that, if a court uses a fact to aggravate a sentence beyond the presumptive range, regardless of whether the fact is termed a "sentencing factor" or an "element," a jury must determine it beyond &a reasonable doubt. A
In Isaacks, we addressed a situation very similar to that before us today. There, the court sentenced the defendant to a period of incarceration. exceeding the statutory maximum range based on an admission. We set that sentence aside because the admission was not the product of a knowing, voluntary, and intelligent waiver of the right to have a jury determine all aggravating facts. Our decision in Isaacks was not limited to implied admissions, but applied to admissions generally.
The Blakely majority articulated this concept in response to Justice Breyer's concern that the rule enunciated by the Court deprives defendants who plead guilty of the opportunity to argue sentencing factors to the trial judge.
Here, the court sentenced Villanueva to a period of confinement beyond the statutory maximum based on facts he admitted; However, Villanueva did not waive his right to a jury determination with respect to the facts admitted. The only difference between the present case and the factual situation in Isaacks is that, here, the admission and aggravation occurred after probation revocation. It is true that probation revocation proceedings are different from proceedings conducted prior to the imposition of probation. See Morrissey v. Brewer,
Because a jury is not statutorily available at a probation revocation hearing, if a court has not previously obtained a waiver, a defendant cannot be sentenced to an aggravated period of confinement based on his admission. Therefore, on resentencing after
Here, the trial court sentenced Villanueva to an aggravated range term based on facts he admitted at the probation revocation hearing. He was not advised of, and did not waive, his right to have a jury determine whether the probation violation occurred. Therefore, the admission cannot be used to aggravate the sentence beyond the presumptive range. Because the sentence was based solely on the admission, Villanueva should have been sentenced within the presumptive range. .
Alternatively, the People argue Villanueva "implicitly" stipulated to judicial fact finding when he requested probation because, by that act, he accepted the trial court's continuing jurisdiction. This argument is contrary to the well-established tenet that a waiver is an intentional relinquishment of a known right or privilege. See, e.g., Johnson v. Zerbst,
Similarly, the court's advisement of Villa-nueva at the providencey hearing did not provide him with notice of his right to a jury determination of the facts used to aggravate his sentence. For an advisement at original sentencing to be sufficient, it must specifically inform the defendant he has a right to have any facts used to aggravate his sentence proven to a jury. The advisement in the present case did not inform Villanueva of the right to have facts used to exceed the statutory maximum sentence tried to a jury. The trial court advised Villanueva that he would be giving up "various rights" by deciding to plead guilty, including the right to have a jury determine all issues of guilt beyond a reasonable doubt. The court also informed him he could face a six-year term of incarceration if it found aggravating factors. In order for an advisement and concomitant waiver at an original sentencing to be proper, a court should inform the defendant of his right to have a jury determine aggravating facts beyond a reasonable doubt. The advisement must specifically inform the defendant of this right, not merely of the right to a jury trial on the issue of guilt. Because Villanueva was not sufficiently advised of, and did not waive, his right to have a jury determine all facts used to aggravate his sentence, his admission cannot be used to justify the aggravated sentence. Although Villanueva did not waive his constitutional rights, neither Blakely nor Isaacks prevent a defendant who admits facts at a probation revocation hearing from doing so.
Accordingly, while Villanueva was not statutorily entitled to a jury trial during his revocation hearing, absent a waiver, he was constitutionally entitled to a jury determination of the facts used to aggravate his sentence. See Apprendi,
The People argue we should affirm Villa-nueva's aggravated sentence because he was convicted of attempted stalking after the re-sentencing at issue in this appeal. They contend that Villanueva has now been convicted of a crime resulting from the same conduct the trial court considered when it aggravated Villanueva's sentence, and this conviction constitutes a Blakely-compliant fact we may now consider. They further argue that if this court remands to the district court for resentencing, the new sentence would not be limited to the presumptive range because the trial court could consider the subsequent conviction. Villanueva disagrees, and states that because the attempted stalking charge was not filed until after the sentencing proceeding at issue here, we cannot now consider it. Relying on North Carolina v. Pearce,
After the resentencing at issue here, in a separate proceeding, Villanueva was charged with stalking resulting from contact he had with the victim in the present case. Villa-nueva pled guilty to attempted stalking, a class six felony, and in July 2007, he was sentenced to serve one year of confinement. The People state the conduct which led to the attempted stalking conviction was the same conduct as that which led to the admission to the probation violation.
Villanueva's argument that consideration of the subsequent conviction would punish him for exercising his right to appeal fails. In Pearce, the United States Supreme Court held that a court may not resentence a defendant to an increased term simply because the defendant chose to exercise his right of appeal or for no reason at all.
Further, the trial court is not prevented from considering the subsequent conviction-resulting from conduct Villa-nueva engaged in while on probation-based on Blakely's concern for protecting the jury trial rights. While a defendant is on probation, a court may consider his actions while on probation in determining the appropriate sentence after probation has been revoked. Byrd v. People,
In contrast to convictions, other facts must be Blakely-compliant to be considered for purposes of aggravation. Other facts cannot become Blakely-compliant and be considered on resentencing because juries are not available at resentencing hearings. See Lopez,
Here, if the same facts that gave rise to the attempted stalking conviction also formed the basis of the probation revocation complaint, we could conclude that, while use of the admission by the trial court was improper, the sentence can stand as the admitted conduct was subsequently established by the Blakely-exempt conviction.
In their briefs, the People and Villanueva state the incident which led to the probation revocation occurred on August 9, 2005. However, the date reflected in the register of actions for the attempted stalking charge is August 26, 2008. If the information provided to us is correct, the conduct which gave rise to the probation revocation complaint and the conduct that led to the attempted stalking conviction occurred at different times. It does not appear the admitted conduct that formed the basis of the probation violation complaint-the conduct the judge considered in aggravating Villanueva's sentence-later gave rise to the attempted stalking convietion. We therefore cannot affirm the aggravated range sentence on this basis.
It is within the trial court's broad sentencing discretion to determine whether Villanueva should be sentenced to an aggravated range term, and if so, what specific sentence it will impose within the aggravated range. We will not presume what sentence the trial court will impose if it chooses to consider the attempted stalking conviction. To do so would be to usurp the trial court's sentencing authority. Decisions of whether to impose an aggravated sentence and what facts warrant that sentence are left to the sound discretion of the trial court. People v. Beatty,
When a defendant is on probation, his behavior and actions while on probation are ordinarily appropriate factors for a court to consider on resentencing. Because Villa nueva's subsequent conviction resulted from his behavior while on probation, the trial court is not prevented from considering it upon resentencing on the basis that to do so would be punitive or on the basis that Villa-nueva's jury trial rights were not adequately protected.
VI. Conclusion
In sum, we hold that to use a defendant's probation violation admission to aggravate his sentence beyond the presumptive range, the defendant must knowingly, voluntarily, and intelligently waive his constitutional right to have a jury determine, beyond a reasonable doubt, that the violation occurred. This is true even though he has no statutory right in Colorado to have a jury at a probation revocation proceeding. If such a waiver is not obtained from the defendant, the admission may not form the basis of an aggravated sentence. Absent a different Blakely-compliant or -exempt factor, the defendant may not be sentenced to an aggravated range term of confinement. Because Villa nueva was sentenced to an aggravated range term based on his admission to a probation violation when he did not waive his right to a jury trial with respect to the admission, we reverse the court of appeals' decision and remand with instructions to return the case
Notes
. § 18-3-405(1), (2)(d), C.R.S. (2008).
. § 18-3-405(1), C.R.S. (2008).
. §§ 18-2-101, 18-3-405, C.R.S. (2008).
. The issue on which we granted certiorari is "[wJhether the court of appeals properly affirmed the trial court's decision to aggravate the defendant's sentence based on the advisement given to him at his providencey hearing and his admission during his probation revocation hearing."
. § 16-11-206, C.R.S. (2008).
. The issue for which we granted certiorari in Isaacks was "whether a defendant's failure to make corrections or additions to a presentence report when asked by the courts constitutes an admission of information not related to the elements of the crime permits an aggravated sentence under Blakely v. Washington and Lopez v. People."
. In their answer brief, the People state "[the nature of this offense, its commission against the same victim, and the timing of the charge, all suggest the defendant's conviction is based on the same conduct that supported probation revocation-contacting [the victim] and threatening to kill her." Villanueva does not address the issue.
. Under section 16-11-206(5), if probation is revoked, the trial court may impose any sentence that "might originally have been imposed or granted." The possible penalty for attempted sexual assault on a child, sections 18-2-101, 18-3-405, a class four felony, is a presumptive range of one to three years imprisonment, with an extraordinary mitigated range of not less than six months and an aggravated range not to exceed six years imprisonment. § 18-1.3-401(1)(a)(V)(A), (6), C.R.S. (2008).
Concurrence Opinion
concurring in part and dissenting in part.
Although I agree that the defendant's admission to a probation violation was not a "Blakely-compliant" fact, capable of justifying a sentence beyond the statutory maximum or, as we have held with regard to our own felony sentencing scheme, see Lopez v. People,
In reliance on Blakely v. Washington,
In Almendarez-Torres v. United States,
In this jurisdiction, we have long acknowledged traditional principles of criminal responsibility prohibiting the state from converting a less serious charge into a more serious one on the basis of something occurring after the charge. Largely in reliance on this very principle, we long ago concluded that our own habitual criminal statute did not permit an enhanced sentence on the basis of a conviction incurred after commission of the offense for which the defendant was being sentenced. See People v. Nees,
Unlike so-called "real offense" sentencing, see Williams v. New York,
If it were not clear enough, however, that Supreme Court jurisprudence would not sanction an increased penalty range as the result of facts occurring after the defendant's guilty plea, the General Assembly has limited the sentencing options available upon revocation of probation. Section 16-11-206, C.R.S. (2008), expressly permits a revoked probationer to be sentenced to any sentence "which might originally have been imposed," but no more. In the absence of a waiver or some Blakely-compliant or Blakely-exempt fact expanding the statutory maximum to include the extraordinarily aggravated range, by at least the time of the defendant's sentence to probation, it seems clear that a sentence in that range could not have originally been imposed.
Because I believe that a conviction sustained after the defendant was originally sentenced cannot statutorily or constitutionally support a sentence beyond the statutory maximum on resentencing, I respectfully dissent from that portion of the majority opinion.
Dissenting Opinion
dissenting.
Villanueva admitted at his probation revocation hearing that he contacted the victim in violation of a condition of his probation, and his sentence was increased beyond the presumptive range based on that admitted probation violation. Blakely and its progeny permit a judge to sentence a defendant beyond the presumptive range based on facts admitted by the defendant. Here, the increase in sentence complied with Blakely because it was based on Villanueva's own admission. Because the majority concludes otherwise, I respectfully dissent.
Under Blakely, "every defendant has the right to insist that the prosecutor prove to a jury all facts legally essential to the punishment" of the crime charged. Blakely v. Washington,
The majority mistakenly finds that the result it reaches is required by People v. Isaacks,
Moreover, our concern in Isaacks with an implied admission simply is not present here. In Isaacks, the People argued that the defendant had impliedly admitted facts contained in a presentence report by not objecting to the report.
The majority requires that, before an admission can ever be used as the basis for a sentence in the aggravated range, the defendant must specifically be informed-prior to making any admissions-of his right to have a jury determine the facts necessary for an aggravated sentence. See maj. op. at 12834. Where that has not happened, according to the majority, the admission must be ignored. Id. In this case, the majority sets aside Villa-nueva's admission on this ground even though Villanueva waived his right at sentencing "to a jury of 12 people on all issues of guilt," was informed at probation revocation that he had the right to a hearing at which "the district attorney would have to prove by a preponderance of the evidence" that he had violated a condition of his probation, and was found to have understood "his right to a hearing and ... knowingly and voluntarily admitted to violation of probation."
While there may be dicta in Isaacks suggesting such an across-the-board requirement of a specific warning, I would not read the case so broadly. The fact that the pre-sentence report in Isaacks contained statements that could be read as implied admissions may have justified a cautious approach toward those statements; there is nothing of similar concern here.
In sum, Blakely and Isaacks addressed instances in which aggravating facts were proven through evidence beyond the defendants' own admissions. By contrast, Villa-nueva's aggravated sentence was based solely on his own admission. Because I would find his sentence proper under Blakely and Isaacks, I respectfully dissent.
