WASHINGTON v. RECUENCO
No. 05-83
SUPREME COURT OF THE UNITED STATES
Argued April 17, 2006—Decided June 26, 2006
548 U.S. 212
Patricia A. Millett argued the cause for the United States as amicus curiae urging reversal. On the brief were Solicitor General Clement, Assistant Attorney General Fisher, Deputy Solicitor General Dreeben, and Kannon K. Shanmugam.
Gregory C. Link, by appointment of the Court, 546 U. S. 1087, argued the cause for respondent. With him on the brief were Thomas M. Kummerow and Jeffrey L. Fisher.*
JUSTICE THOMAS delivered the opinion of the Court.
Respondent Arturo Recuenco was convicted of assault in the second degree based on the jury‘s finding that he assaulted his wife “with a deadly weapon.” App. 13. The
I
On September 18, 1999, respondent fought with his wife, Amy Recuenco. After screaming at her and smashing their stove, he threatened her with a gun. Based on this incident, the State of Washington charged respondent with assault in the second degree, i. e., “intentiona[l] assault . . . with a deadly weapon, to-wit: a handgun.” App. 3. Defense counsel proposed, and the court accepted, a special verdict form that directed the jury to make a specific finding whether respondent was “armed with a deadly weapon at the time of the commission of the crime.” Id., at 13. A “firearm” qualifies as a “deadly weapon” under Washington law.
At sentencing, the State sought the low end of the standard range sentence for assault in the second degree (three months). It also sought a mandatory 3-year enhancement because respondent was armed with a “firearm,”
The State urged the Supreme Court of Washington to find the Blakely error harmless and, accordingly, to affirm the sentence. In State v. Hughes, 154 Wash. 2d 118, 110 P. 3d 192 (2005), however, decided the same day as the present case, the Supreme Court of Washington declared Blakely error to be “‘structural’ erro[r]” which “will always invalidate the conviction.” 154 Wash. 2d, at 142, 110 P. 3d, at 205 (quoting Sullivan v. Louisiana, 508 U. S. 275, 279 (1993)). As a result, the court refused to apply harmless-error analysis to the Blakely error infecting respondent‘s sentence. Instead, it vacated his sentence and remanded for sentencing based solely on the deadly weapon enhancement. 154 Wash. 2d, at 164, 110 P. 3d, at 192.
II
Before reaching the merits, we must address respondent‘s argument that we are without power to reverse the judgment of the Supreme Court of Washington because that
It is far from clear that respondent‘s interpretation of Washington law is correct. See State v. Pharr, 131 Wash. App. 119, 124–125, 126 P. 3d 66, 69 (2006) (affirming the trial court‘s imposition of a firearm enhancement when the jury‘s special verdict reflected a finding that the defendant was armed with a firearm). In Hughes, the Supreme Court of Washington carefully avoided reaching the conclusion respondent now advocates, instead expressly recognizing that “[w]e are presented only with the question of the appropriate remedy on remand—we do not decide here whether juries may be given special verdict forms or interrogatories to determine aggravating factors at trial.” 154 Wash. 2d, at 149, 110 P. 3d, at 208. Accordingly, Hughes does not appear to foreclose the possibility that an error could be found harmless because the jury which convicted the defendant would have concluded, if given the opportunity, that a defendant was armed with a firearm.
The correctness of respondent‘s interpretation of Washington law, however, is not determinative of the question that the Supreme Court of Washington decided and on which we granted review, i. e., whether Blakely error can ever be
III
We have repeatedly recognized that the commission of a constitutional error at trial alone does not entitle a defendant to automatic reversal. Instead, “‘most constitutional errors can be harmless.‘” Neder v. United States, 527 U. S. 1, 8 (1999) (quoting Arizona v. Fulminante, 499 U. S. 279, 306 (1991)). “‘[I]f the defendant had counsel and was tried by an impartial adjudicator, there is a strong presumption that any other [constitutional] errors that may have occurred are subject to harmless-error analysis.‘” 527 U. S., at 8 (quoting Rose v. Clark, 478 U. S. 570, 579 (1986)). Only in rare cases has this Court held that an error is structural, and thus requires automatic reversal.2 In such cases, the error “neces-
We recently considered whether an error similar to that which occurred here was structural in Neder, supra. Neder was charged with mail fraud, in violation of
Respondent attempts to distinguish Neder on the ground that, in that case, the jury returned a guilty verdict on the offense for which the defendant was sentenced. Here, in contrast, the jury returned a guilty verdict only on the offense of assault in the second degree, and an affirmative answer to the sentencing question whether respondent was armed with a deadly weapon. Accordingly, respondent ar-
We find this distinction unpersuasive. Certainly, in Neder, the jury purported to have convicted the defendant of the crimes with which he was charged and for which he was sentenced. However, the jury was precluded “from making a finding on the actual element of the offense.” 527 U. S., at 10. Because Neder‘s jury did not find him guilty of each of the elements of the offenses with which he was charged, its verdict is no more fairly described as a complete finding of guilt of the crimes for which the defendant was sentenced than is the verdict here. See id., at 31 (SCALIA, J., concurring in part and dissenting in part) (“[S]ince all crimes require proof of more than one element to establish guilt . . . it follows that trial by jury means determination by a jury that all elements were proved. The Court does not contest this“). Put another way, we concluded that the error in Neder was subject to harmless-error analysis, even though the District Court there not only failed to submit the question of materiality to the jury, but also mistakenly concluded that the jury‘s verdict was a complete verdict of guilt on the charges and imposed sentence accordingly. Thus, in order to find for respondent, we would have to conclude that harmless-error analysis would apply if Washington had a crime labeled “assault in the second degree while armed with a firearm,” and the trial court erroneously instructed the
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Failure to submit a sentencing factor to the jury, like failure to submit an element to the jury, is not structural error. Accordingly, we reverse the judgment of the Supreme Court of Washington and remand the case for further proceedings not inconsistent with this opinion.
It is so ordered.
JUSTICE KENNEDY, concurring.
The opinions for the Court in Apprendi v. New Jersey, 530 U. S. 466 (2000), Blakely v. Washington, 542 U. S. 296 (2004), and their progeny were accompanied by dissents. The Court does not revisit these cases today, and it describes their holdings accurately. On these premises, the Court‘s analysis is correct. Cf. Ring v. Arizona, 536 U. S. 584, 613 (2002) (KENNEDY, J., concurring). With these observations I join the Court‘s opinion.
Like Brigham City v. Stuart, 547 U. S. 398 (2006), and Kansas v. Marsh, ante, p. 163, this is a case in which the Court has granted review in order to make sure that a State‘s highest court has not granted its citizens any greater protection than the bare minimum required by the Federal Constitution. Ironically, the issue in this case is not whether respondent‘s federal constitutional rights were violated—that is admitted—it is whether the Washington Supreme Court‘s chosen remedy for the violation is mandated by federal law. As the discussion in Part II of the Court‘s opinion demonstrates, whether we even have jurisdiction to decide that question is not entirely clear. But even if our expansionist post-Michigan v. Long jurisprudence supports our jurisdiction to review the decision below, see 463 U. S. 1032 (1983), there was surely no need to reach out to decide this case. The Washington Supreme Court can, of course, reinstate the same judgment on remand, either for the reasons discussed in Part II of the Court‘s opinion, see ante, at 217–218, and n. 1, or because that court chooses, as a matter of state law, to adhere to its view that the proper remedy for Blakely errors, see Blakely v. Washington, 542 U. S. 296 (2004), is automatic reversal of the unconstitutional portion of a defendant‘s sentence. Moreover, because the Court does not address the strongest argument in respondent‘s favor—namely, that Blakely errors are structural because they deprive criminal defendants of sufficient notice regarding the charges they must defend against, see ante, at 220, n. 3—this decision will have a limited impact on other cases.
As I did in Brigham City and Marsh, I voted to deny certiorari in this case. Given the Court‘s decision to reach the merits, however, I would affirm for the reasons stated in JUSTICE GINSBURG‘s opinion, which I join.
Between trial and sentencing, respondent Arturo Recuenco‘s prosecutor switched gears. The information charged Recuenco with assault in the second degree, and further alleged that at the time of the assault, he was armed with a deadly weapon. App. 3. Without enhancement, the assault charge Recuenco faced carried a sentence of three to nine months, id., at 15;
Because the deadly weapon Recuenco held was in fact a handgun, the prosecutor might have charged, as an alternative to the deadly weapon enhancement, that at the time of the assault, Recuenco was “armed with a firearm.” That enhancement would have added three mandatory years to the assault sentence.
The prosecutor not only failed to charge Recuenco with assault while armed with a firearm and to request a special verdict tied to the firearm enhancement. He also informed the court, after the jury‘s verdict and in response to the defendant‘s motion to vacate: “The method under which the state is alleging and the jury found the assaul[t] committed was by use of a deadly weapon.” App. 35. Leaving no doubt, the prosecutor further clarified: “[I]n the crime charged and the enhancement the state alleged, there is no elemen[t] of a firearm. The element is assault with a deadly weapon.” Ibid. Recuenco was thus properly charged, tried, and convicted of second-degree assault while armed with a deadly weapon. It was a solid case; no gap was left to fill.
Nevertheless, at sentencing, the prosecutor requested, and the trial judge imposed, a three-year mandatory enhancement for use of a firearm. Ibid. Recuenco objected to imposition of the firearm enhancement “without notice . . . and a jury finding.” 154 Wash. 2d, at 161, 110 P. 3d, at 190. Determining that there was no warrant for elevation of the charge once the trial was over, the Washington Supreme Court “remand[ed] for resentencing based solely on the deadly weapon enhancement which is supported by the jury‘s special verdict.” Id., at 164, 110 P. 3d, at 192. I would affirm that judgment. No error marred the case presented at trial. The prosecutor charged, and the jury found Recuenco guilty of, a complete and clearly delineated offense: “assault in the second degree, being armed with a deadly weapon.” The “harmless-error” doctrine was not designed to allow dislodgment of that error-free jury determination.
I
Under Washington law and practice, assault with a deadly weapon and assault with a firearm are discrete charges, at-
Washington Pattern Jury Instructions, Criminal (WPIC) (West Supp. 2005), set out three instructions for cases in which “an enhanced sentence is sought on the basis that the defendant was armed with a ‘deadly weapon,‘” WPIC § 2.06 (note on use): Deadly Weapon—General, § 2.07; Deadly Weapon—Knife, § 2.07.01; Deadly Weapon—Firearm, § 2.07.02. When the prosecutor seeks an enhancement based on the charge that “the defendant was armed with a ‘firearm,‘” § 2.06, trial courts are directed to a different instruction, one keyed to the elevated enhancement, § 2.10.01.
Matching special verdict forms for trial-court use are also framed in the WPIC. When a “deadly weapon” charge is made, whether generally or with a knife or firearm, the pre-
In Recuenco‘s case, the jury was instructed, in line with the “deadly weapon” charge made by the prosecutor, App. 6–7, and the special verdict form given to the jury matched that instruction. The form read:
“We, the jury, return a special verdict by answering as follows:
“‘Was the defendant ARTURO R. RECUENCO armed with a deadly weapon at the time of the commission of the crime of Assault in the Second Degree?
“‘ANSWER: [YES] (Yes or No).‘” Id., at 13.
No “firearm” instruction, WPIC § 2.10.01 (West Supp. 2005), was given to Recuenco‘s jury, nor was the jury given the special verdict form matching that instruction, § 190.02; see supra, at 226, n. 2.
II
In the Court‘s view, “this case is indistinguishable from Neder [v. United States, 527 U. S. 1 (1999)].” Ante, at 220. In that case, the trial judge made a finding necessary to fill a gap in an incomplete jury verdict. One of the offenses involved was tax fraud; the element missing from the jury‘s instruction was the materiality of the defendant‘s alleged misstatements. Under the mistaken impression that materiality was a question reserved for the court, the trial judge made the finding himself. In fact in Neder, materiality was not in dispute. See 527 U. S., at 7; see also id., at 15 (Neder “d[id] not suggest that he would introduce any evidence bearing upon the issue of materiality if so allowed.“). “Reversal without any consideration of the effect of the error upon the verdict would [have] sen[t] the case back for re-
Here, in contrast to Neder, the charge, jury instructions, and special verdict contained no omissions; they set out completely all ingredients of the crime of second-degree assault with a deadly weapon. There is no occasion for any retrial, and no cause to displace the jury‘s entirely complete verdict with, in essence, a conviction on an uncharged greater offense.
III
The standard form judgment completed and signed by the trial judge in this case included the following segment:
”SPECIAL VERDICT or FINDING(S):
“(b) [ ] A special verdict/finding for being armed with a Firearm was rendered on Count(s) —.
“(c) [X] A special verdict/finding for being armed with a Deadly Weapon other than a firearm was rendered on Count(s) I.” App. 14.
Count I was identified on the judgment form as “ASSAULT IN THE 2ND DEGREE.” Ibid. Despite the “X” placed next to the “Deadly Weapon” special verdict/finding, and the blanks left unfilled in the “Firearm” special verdict/finding lines, the trial judge imposed a sentence of 39 months (3 months for the assault, 36 months as the enhancement).
Had the prosecutor alternatively charged both enhancements, and had the judge accurately and adequately instructed on both, giving the jury a special verdict form on each of the two enhancements, the jury would have had the prerogative to choose the lower enhancement. Specifically, the jury could have answered “Yes” (as it in fact did, see supra, at 227) to the “armed with a deadly weapon” inquiry while returning no response to the alternative “firearm” inquiry. See supra, at 226, and n. 2 (Washington‘s statutory
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In sum, Recuenco, charged with one crime (assault with a deadly weapon), was convicted of another (assault with a firearm), sans charge, jury instruction, or jury verdict. That disposition, I would hold, is incompatible with the Fifth and Sixth Amendments, made applicable to the States by the Fourteenth Amendment. I would therefore affirm the judgment of the Supreme Court of the State of Washington.
