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All opinions are subject to modification and technical correction prior to official publication in the North Carolina Reports and North Carolina Court of Appeals Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the North Carolina Reports and North Carolina Court of Appeals Reports, the latest print version is to be considered authoritative.
STATE OF NORTH CAROLINA v. LAWRENCE HANTON
NO. COA04-1279
Filed: 3 January 2006
1. Sentencing_out-of-state convictions_similarity to N.C. offenses_question of law
The issue of whether a conviction under an out-of-state statute is substantially similar to
an offense under North Carolina statutes is a question of law to be resolved by the trial court, and
the court here did not err by not requiring that the issue be proven to the jury beyond a reasonable
doubt.
2. Sentencing_out-of-state convictions_not alleged in indictment
The trial court did not err when sentencing defendant by considering out-of-state
convictions where the State had not alleged in the indictment that those convictions were
substantially similar to North Carolina offenses.
3. Sentencing_out-of-state conviction_assault_not similar to N.C. offense
The trial court erred by finding that the New York offense of second-degree assault was
substantially similar to North Carolina's assault inflicting serious injury, as opposed to simple
assault. The error was prejudicial because it raised defendant's record level, and he was
sentenced at the maximum for that level.
Judge McGEE concurring in part and dissenting in part.
Appeal by defendant from judgment entered 22 June 2004 by
Judge Richard D. Boner in Cleveland County Superior Court. Heard
in the Court of Appeals 7 June 2005.
Attorney General Roy Cooper, by William M. Polk, Director,
Victims and Citizens Services Section, for the State.
Appellate Defender Staples Hughes, by Assistant Appellate
Defender Anne M. Gomez, for defendant-appellant.
LEVINSON, Judge.
Lawrence Hanton (defendant) was convicted of second-degree
murder on 24 March 1999. The State presented the trial court with
a prior record level worksheet that included several prior
convictions of defendant in the State of New York. Based on theworksheet, the trial court found that defendant had a prior record
Level V. The trial court further found one aggravating factor and
one mitigating factor, concluding that the aggravating factor
outweighed the mitigating factor. Defendant was sentenced to an
aggravated term of 353 to 433 months imprisonment. Defendant
appealed to this Court. We remanded defendant's case for
resentencing, concluding that the trial court had erred in
sentencing defendant as a Level V offender when the State had not
shown by a preponderance of the evidence that the out-of-state
convictions were substantially similar to North Carolina offenses.
State v. Hanton, 140 N.C. App. 679, 690-91, 540 S.E.2d 376, 383
(2000) (hereinafter Hanton I).
Defendant was resentenced on 22 June 2004. The State
presented a prior record level worksheet in which three prior
convictions that occurred in New York were used to calculate
defendant's prior record level: (1) second-degree robbery, (2)
third-degree robbery, and (3) attempted assault in the second-
degree. The State presented the trial court with certified copies
of the these three felony convictions and with copies of the New
York statutes for robbery; defined, robbery in the third
degree, robbery in the second degree, and assault in the second
degree.
N.C. Gen. Stat. § 15A-1340.14(e) (2003) governs the
classification of prior convictions from other states for purposes
of determining a defendant's prior record level. Pursuant to this
statute, the trial court found defendant's New York convictions forsecond-degree robbery on 15 January 1985, and for third-degree
robbery on 3 March 1987, to be substantially similar to North
Carolina common law robbery. The trial court therefore classified
both of these New York robbery convictions as Class G felonies, and
assigned four record points to each offense. The trial court
further found that defendant's New York conviction for attempted
second-degree assault was substantially similar to North Carolina's
assault inflicting serious injury, which is a Class A1 misdemeanor,
carrying one point. Defendant was therefore assigned a total of
nine prior record points, which gave him a prior record Level IV.
Defendant presented evidence of mitigating factors to the trial
court, and the trial court sentenced defendant to 251 to 311 months
in prison, the statutory maximum sentence in the presumptive range.
Defendant appeals.
I.
[1] Defendant first argues that the trial court erred by
sentencing defendant to 251 to 311 months in prison where the State
did not prove to the jury beyond a reasonable doubt that
defendant's out-of-state convictions were substantially similar to
North Carolina offenses. Specifically, defendant asserts that he
is entitled to another resentencing in light of Blakely v.
Washington, 542 U.S. 296, 159 L. Ed. 2d 403 (2004), because the
issue as to whether the out-of-state felonies were substantially
similar to North Carolina offenses was not submitted to the jury
and had the effect of increasing the penalty for defendant's crime.
In Blakely, the United States Supreme Court held that'[o]ther 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, 542 U.S. at 296, 159 L. Ed. 2d at 409 (quoting
Apprendi v. New Jersey, 530 U.S. 466, 490, 147 L. Ed. 2d 435, 455
(2000)). The United States Supreme Court further stated that "the
relevant 'statutory maximum' is not the maximum sentence a judge
may impose after finding additional facts, but the maximum he may
impose without any additional findings. Blakely, 542 U.S. at 303,
159 L. Ed. 2d at 413-14. In applying Blakely to our structured
sentencing scheme, our Supreme Court determined that our
presumptive range is the equivalent of statutory maximum.
State v. Allen, 359 N.C. 425, 432, 615 S.E.2d 256, 262 (2005).
Thus, the rule of Blakely, as applied to North Carolina's
structured sentencing scheme, is: Other than the fact of a prior
conviction, any fact that increases the penalty for a crime beyond
the prescribed presumptive range must be submitted to a jury and
proved beyond a reasonable doubt. Allen, 359 N.C. at 437, 615
S.E.2d at 265 (emphasis added).
Although defendant was not sentenced beyond the presumptive
range for a Level IV offender, he argues that the trial court's
findings regarding the similarity between the New York offenses and
the North Carolina offenses increased defendant's prior record
level from Level III to Level IV. Defendant asserts that [b]ut
for the trial court's findings that the three out-of-state offenses
were to be classified as two Class G felonies and a Class A1misdemeanor, these three offenses would have been classified as
three Class I felonies under N.C.G.S. § 15A-1340.14(e).
Accordingly, defendant would have had only six prior record points
and would have been only a Level III offender. Defendant thereby
argues that he was sentenced in violation of Blakely because
without these findings by the trial court, the statutory maximum
sentence that defendant could have received was 220 to 273 months,
which is the maximum presumptive range sentence for a Level III
offender. See N.C. Gen. Stat. § 15A-1340.17(c) and (e) (2003).
Because of the trial court's findings of substantial similarity,
defendant was sentenced to an additional 31 to 38 months in prison.
Defendant concedes that Blakely exempts the fact of a prior
conviction from its requirement that facts that increase[] the
penalty for a crime beyond the prescribed statutory maximum must be
submitted to a jury. See Blakely, 542 U.S. at 328, 159 L. Ed. 2d
at 412. However, defendant does not argue that his convictions in
New York for the prior offenses should have been submitted to the
jury. Rather, defendant argues that the fact that the three New
York offenses were substantially similar to two Class G felonies
and a Class A1 misdemeanor in North Carolina were facts that
increase[d] the penalty for [the] crime beyond the statutory
maximum. Defendant accordingly argues that the question of
whether the New York convictions were substantially similar to
North Carolina offenses must [have been] submitted to a jury, and
proved beyond a reasonable doubt.
Defendant supports his argument by citing language in HantonI. In defendant's first appeal, he argued that the question of
substantial similarity is a legal issue that must be decided by
the trial court, and that a defendant could not stipulate to
whether an out-of-state offense was substantially similar to a
North Carolina offense. However, our Court stated: While we agree
[with the State] that a defendant might stipulate that out-of-state
offenses are substantially similar to corresponding North Carolina
felony offenses, we do not agree that defendant did so here.
Hanton I, 140 N.C. App. at 690, 540 S.E.2d at 383. Stipulations
as to questions of law are generally held invalid and ineffective,
and not binding upon the courts, either trial or appellate. . . .
This rule is more important in criminal cases, where the interests
of the public are involved. State v. Prevette, 39 N.C. App. 470,
472, 250 S.E.2d 682, 683 (citations omitted). Defendant argues
that because our Court stated in Hanton I that a defendant may
stipulate to the question of substantial similarity between out-of-
state and in-state offenses, the question must be one of fact and
not of law. Defendant further asserts that if the question of
substantial similarity were a question of law, then it would
violate public policy to allow a defendant to stipulate to it.
See Prevette, 39 N.C. App. at 472, 250 S.E.2d at 683 (The due
administration of the criminal law cannot be left to the
stipulations of the parties.).
However, contrary to defendant's argument, the language cited
by defendant that a defendant might stipulate that out-of-state
offenses are substantially similar to corresponding North Carolinafelony offenses, see Hanton I, 140 N.C. App. at 690, 540 S.E.2d at
383, is not controlling. In Hanton I, our Court addressed
defendant's contention that the State had not met its burden under
N.C.G.S. § 15A-1340.14(e) to show that defendant's New York
convictions should be classified as a higher class felony than
Class I. Hanton I, 140 N.C. App. at 689-90, 540 S.E.2d at 382-83.
The State had argued that defendant had stipulated to the fact that
the New York offenses were substantially similar to the North
Carolina offenses, but we found that defendant had not so
stipulated, and thus that the State had not met its burden under
N.C.G.S. § 15A-1340.14(e). Hanton I, 140 N.C. App. at 690, 540
S.E.2d at 383. Our statement that a defendant might stipulate
that out-of-state offenses are substantially similar to
corresponding North Carolina felony offenses was not necessary to
our decision to remand for resentencing. See id. Language in an
opinion not necessary to the decision is obiter dictum and later
decisions are not bound thereby. Trustees of Rowan Tech. v.
Hammond Assoc., 313 N.C. 230, 242, 328 S.E.2d 274, 281 (1985); see
also Kornegay v. Broadrick, 119 N.C. App. 326, 327, 458 S.E.2d 274,
275 (1995). In Hanton I, we did not consider the issue before us
in the present case, as to whether or not the question of
substantial similarity between out-of-state and in-state offenses
was a question of law. Therefore, our Court's statement in Hanton
I, that a defendant might stipulate to this question, is non-
binding dicta.
Upon examination of the issue, we conclude that whether anout-of-state offense is substantially similar to a North Carolina
offense is a question of law that must be determined by the trial
court, not the jury. Determining a defendant's prior record
involves a complicated calculation of rules and statutory
applications[.] State v. Van Buren, 98 P.3d 1235, 1241 (Wash. Ct.
App. 2004). This calculation is a mixed question of law and fact.
The 'fact' is the fact of the conviction, id., which under Blakely
is not a question for a jury. See Blakely, 542 U.S. at 301, 159 L.
Ed. 2d at 412. The law is the proper application of the law to
the fact of [a] defendant's criminal record[,] which often
involves, as the present case does, comparing the elements of a
defendant's prior convictions under the statutes of foreign
jurisdictions with the elements of crimes under [North Carolina]
statutes. Van Buren, 98 P.3d at 1241. The comparison of the
elements of an out-of-state criminal offense to those of a North
Carolina criminal offense does not require the resolution of
disputed facts. Id. Rather, it involves statutory
interpretation, which is a question of law. See Dare County Bd. of
Educ. v. Sakaria, 127 N.C. App. 585, 588, 492 S.E.2d 369, 371
(1997) (Statutory interpretation presents a question of law.).
Defendant argues that the United States Supreme Court's recent
decision in Shepard v. United States, __ U.S. ___, 161 L. Ed. 2d
205 (2005), supports defendant's argument that a jury must decide
the question of substantial similarity. However, our review of
Shepard shows that it is inapposite to the present case. The issue
before the United States Supreme Court in Shepard was the extent ofwhat a sentencing court, in the context of the enhanced sentencing
provisions of the Armed Career Criminals Act of 1986, 18 USC §
924(e), could review in determining whether a guilty plea of an
offense defined in a nongeneric statute necessarily admitted
elements of the generic offense. Id. at ___, 161 L. Ed. 2d at
218. The Supreme Court held that a sentencing court could not,
without violating the Sixth Amendment, look beyond the charging
document, the terms of a plea agreement, the plea colloquy, the
statutory definition, or any explicit finding of the trial judge to
which the defendant assented to determine a disputed fact about a
prior conviction. United States v. Collins, 412 F.3d 515, 521 (4th
Cir. 2005) (summarizing Shepard) (emphasis added); see also
Shepard, __ U.S. at ___ n.4 & ___, 161 L. Ed. 2d at 216 n.4 & 218.
Since the trial court in the present case is not looking beyond the
statutory definition of the New York offenses, and since the
present case does not involve comparing nongeneric statutory
offenses with generic offenses, Shepard has no bearing on the issue
before us.
We conclude that the question of whether a conviction under
an out-of-state statute is substantially similar to an offense
under North Carolina statutes is a question of law to be resolved
by the trial court. Furthermore, the question is so related to a
trial court's calculation of a prior record that it is covered by
the exception to the Blakely rule that the fact of a prior
conviction does not need to be proven to a jury beyond a
reasonable doubt. See Blakely, 542 U.S. at 301, 159 L. Ed. 2d at412. The trial court in the present case did not err in not
requiring that this issue be proven to the jury beyond a reasonable
doubt, and defendant is not entitled to another resentencing in
light of Blakely.
II.
[2] Defendant similarly argues that the trial court erred by
sentencing defendant to 251 to 311 months in prison where the State
did not allege in the indictment that defendant's out-of-state
convictions were substantially similar to North Carolina offenses.
Defendant asserts that our Supreme Court, in State v. Lucas, held
that any fact that increases the maximum penalty for a crime must
be alleged in an indictment. See Lucas, 353 N.C. 568, 548 S.E.2d
712 (2001), overruled in part by Allen, 359 N.C. at 437, 615 S.E.2d
at 265. However, defendant misstates the holding in Lucas, which
only referred to facts that would enhance a sentence under N.C.
Gen. Stat. § 15A-1340.16A, which allows for sentence enhancement
for carrying a firearm. See Lucas, 353 N.C. at 597-98, 548 S.E.2d
at 731 ([I]n every instance where the State seeks an enhanced
sentence pursuant to N.C.G.S. § 15A-1340.16A, it must allege the
statutory factors supporting the enhancement in an indictment[.]).
The evaluation of the elements in defendant's prior New York
convictions fell under N.C.G.S. § 15A-1340.14(e), and was thus part
of traditional sentencing. Defendant's sentence was enhanced
because of his prior felonies, not because of any aggravating
factors. Therefore, Lucas is inapplicable to the present case.
Moreover, the rule in Lucas cited by defendant was recentlyoverruled by our Supreme Court. Allen, 359 N.C. at 438, 615 S.E.2d
at 265 (overruling the language of Lucas, requiring sentencing
factors which might lead to a sentencing enhancement to be alleged
in an indictment). Furthermore, even before Allen, our Supreme
Court, in examining short-form indictments, recognized that the
Fifth Amendment's guarantee to indictment by a grand jury was not
applicable to the states, and [that] as such, 'all the elements or
facts which might increase the maximum punishment for a crime' do
not necessarily need to be listed in an indictment. State v.
Hunt, 357 N.C. 257, 272, 582 S.E.2d 593, 603 (quoting State v.
Wallace, 351 N.C. 481, 508, 528 S.E.2d 326, 343 (2000)), cert.
denied, 539 U.S. 985, 156 L. Ed. 2d 702 (2003). As such,
defendant's assignment of error is overruled.
III.
[3] Defendant next argues that the trial court erred by
finding that the New York offense of second-degree assault was
substantially similar to the North Carolina offense of assault
inflicting serious injury, when some of the acts that constitute
second-degree assault in New York would only amount to simple
assault in North Carolina. At defendant's resentencing hearing,
the State presented the trial court with the 1993 version of the
New York statute for second-degree assault. The trial court
determined that the statute had not been modified since defendant
had been convicted of second-degree assault in 1990. The statute
provides that a person is guilty of second-degree assault when:
1. With intent to cause serious physical
injury to another person, he causes suchinjury to such person or to a third person; or
2. With intent to cause physical injury to
another person, he causes such injury to such
person or to a third person by means of a
deadly weapon or a dangerous instrument; or
3. With intent to prevent a peace officer,
police officer, a fireman, including a fireman
acting as a paramedic or emergency medical
technician administering first aid in the
course of performance of duty as such fireman,
or an emergency medical service paramedic or
emergency medical service technician, from
performing a lawful duty, he causes physical
injury to such peace officer, police officer,
fireman, paramedic or technician; or
4. He recklessly causes serious physical
injury to another person by means of a deadly
weapon or a dangerous instrument; or
5. For a purpose other than lawful medical
or therapeutic treatment, he intentionally
causes stupor, unconsciousness or other
physical impairment or injury to another
person by administering to him, without his
consent, a drug, substance or preparation
capable of producing the same; or
6. In the course of and in furtherance of
the commission or attempted commission of a
felony, other than a felony defined in article
one hundred thirty which requires
corroboration for conviction, or of immediate
flight therefrom, he, or another participant
if there be any, causes physical injury to a
person other than one of the participants; or
7. Having been charged with or convicted of
a crime and while confined in a correctional
facility, as defined in subdivision three of
section forty of the correction law, pursuant
to such charge or conviction, with intent to
cause physical injury to another person, he
causes such injury to such person or to a
third person; or
8. Being eighteen years old or more and with
intent to cause physical injury to a person
less than eleven years old, the defendant
recklessly causes serious physical injury tosuch person.
NY CLS Penal § 120.05 (1993). The trial court in the present case
found that the elements of New York's second-degree assault were
substantially similar to North Carolina's assault inflicting
serious injury, which is an A1 misdemeanor under N.C. Gen. Stat. §
14-33(c) (2003), because both statutes require serious injury.
The trial court assigned defendant one point for the attempted
second-degree assault, which raised defendant's prior record level
from Level III to Level IV.
N.C. Gen. Stat. § 14-33(c) provides that any person who
commits any assault, assault and battery, or affray is guilty of a
Class A1 misdemeanor if, in the course of the assault, assault and
battery, or affray, that person [i]nflicts serious injury upon
another person or uses a deadly weapon[.] N.C. Gen. Stat. § 14-
33(c)(1) (2003). Defendant argues that the trial court erred in
finding NY CLS Penal § 120.05 to be substantially similar to
N.C.G.S. § 14-33(c) when at least two of the acts described in
the New York statute do not require the causation of serious
physical injury. Specifically, defendant asserts that paragraphs
six and seven of NY CLS Penal § 120.05 are not analogous to any
North Carolina offense, aside from simple assault under N.C. Gen.
Stat. § 14-33(a) (2003), which is a Class 2 misdemeanor.
Under paragraph six of NY CLS Penal § 120.05, a defendant is
guilty of second-degree assault if the defendant causes physical
injury to a person while committing another felony or while
fleeing from the commission of a felony. Because a defendant neednot cause serious injury under this section of New York's statute
on second-degree assault, this particular act does not correspond
with assault inflicting serious injury under N.C.G.S. § 14-
33(c)(1). Similarly, paragraph seven of NY CLS Penal § 120.05
provides that a defendant is guilty of second-degree assault if the
defendant intentionally causes physical injury to another person
while confined at a correctional facility. Again, absent the
requirement that a defendant cause serious injury, this section
of the New York offense does not correspond with N.C.G.S. § 14-
33(c).
Defendant argues, and we agree for the reasons that follow,
that because neither paragraphs six nor seven of NY CLS Penal §
120.05 require serious injury, the offense most substantially
similar to the New York offense on this record was simple assault.
N.C.G.S. § 15A-1340.14(e) provides that either the State or
the defendant may prove by a preponderance of evidence whether an
out-of-state offense is substantially similar to a North Carolina
offense. However, the statute does not instruct the trial court
how to determine which North Carolina offense is most substantially
similar to the out-of-state offense when the out-of-state offense
has elements that are similar to multiple North Carolina offenses.
In light of such an ambiguity in a criminal statute, the rule of
lenity requires us to interpret the statute in favor of defendant.
See State v. Boykin, 78 N.C. App. 572, 577, 337 S.E.2d 678, 681
(1985) ([T]he 'rule of lenity' forbids a court to interpret a
statute so as to increase the penalty that it places on anindividual when the Legislature has not clearly stated such an
intention.). As such, on this record, where the prosecuting
authority relied only on the statutory offenses themselves in
making its substantial similarity arguments, the New York second-
degree assault offense is most substantially similar to North
Carolina's offense of simple assault set forth in N.C.G.S. § 14-
33(a).
The State argues that our Court addressed this very issue in
State v. Rich, 130 N.C. App. 113, 502 S.E.2d 49 (1998), which the
State argues controls the present case. The defendant in Rich
argued that his conviction of 'assault with intent to cause
serious injury,' occurring in New York, should have been classified
by the trial court as a Class A1 misdemeanor rather than a Class I
felony for sentencing purposes. Id. at 117, 502 S.E.2d at 52.
However, we never reached the merits of this issue because the
defendant had failed to preserve the issue for appeal pursuant to
N.C.R. App. P. 10. Id. Therefore, Rich provides no authority
regarding defendant's assignment of error in the present case.
Thus, we conclude that the trial court erred in finding New
York's second-degree assault to be substantially similar to North
Carolina's assault inflicting serious injury, which is a Class A1
misdemeanor, as opposed to simple assault, which is a Class 2
misdemeanor. See N.C.G.S. § 14-33(a). Under N.C. Gen. Stat. § 14-
2.5 (2003), an attempt to commit a misdemeanor or a felony is
punishable under the next lower classification as the offense the
offender attempted to commit. Therefore, defendant's prior NewYork conviction for attempted second-degree assault should have
been treated as a Class 3 misdemeanor, which would have not had any
point value for prior record purposes. See N.C. Gen. Stat. § 15A-
1340.14(b)(5) (2003). Since the trial court erroneously determined
that defendant's New York conviction for attempted second-degree
assault was substantially similar to the North Carolina offense of
assault inflicting serious injury, defendant was improperly
assigned one prior record point for this offense. This one record
point raised defendant's prior record level from a Level III to a
Level IV. As noted above, the statutory maximum sentence that
defendant could have received was 220 to 273 months, which is the
maximum presumptive range sentence for a Level III offender. See
N.C. Gen. Stat. § 15A-1340.17(c) and (e) (2003). However,
defendant was sentenced to the maximum sentence for a Level IV
offender, and the trial court's error was therefore prejudicial.
We observe that the following issues are not presented by this
appeal: whether (1) G.S. § 15A-1340.14(e) authorizes a
determination of the underlying conduct giving rise to the out-of-
state conviction when making a substantial similarity conclusion;
and (2) if so, the extent to which Blakely may apply. Here, the
State relied only on an evaluation of the statutes in making its
substantial similarity arguments before the trial court, and we
limit our holding to these circumstances.
We reverse the trial court's order and judgment sentencing
defendant to 251 to 311 months imprisonment, and grant defendant a
new sentencing hearing.
Affirmed in part; reversed and remanded for resentencing.
Judge HUNTER concurs.
Judge McGEE concurs in part and dissents in part.
McGEE, Judge, concurring in part and dissenting in part.
I concur with the majority's determination of the second and
third issues, but respectfully dissent as to the first issue
because I disagree with the majority's overly broad conclusion that
"whether an out-of-state offense is substantially similar to a
North Carolina offense is a question of law that must be determined
by the trial court, not a jury." (emphasis added).
In the present case, it appears from the record that the trial
court solely conducted a comparison of the elements of the two
statutes and did not appear to undertake any type of factual
analysis of the circumstances underlying defendant's prior
conviction. The trial court relied only on the statutes in making
its determination, and therefore was within the bounds of Shepard.
However, the majority's conclusion that substantial similarity is
a question of law that a trial court, and not a jury, must
determine may lead a trial court into an inherent factual analysis
that Shepard and Blakely require be determined by a jury. Absent
guidance by N.C. Gen. Stat. § 15A-1340.14(e) (2003) on how a trial
court should determine substantial similarity, a trial court may
undertake an inherent factual inquiry into a defendant's conduct to
resolve whether the defendant would have been convicted under a
similar North Carolina law.
Under Blakely v. Washington, 542 U.S. ___, 159 L. Ed. 2d 403(2004), "'[o]ther 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, 542 U.S. at ___, 159 L. Ed. 2d at 412
(quoting Apprendi v. New Jersey, 530 U.S. 466, 490, 147 L. Ed. 2d
435, 455 (2000)). The rule of Blakely, as applied to North
Carolina's structured sentencing scheme through State v. Allen, is:
"Other than the fact of a prior conviction, any fact that increases
the penalty for a crime beyond the prescribed presumptive range
must be submitted to a jury and proved beyond a reasonable doubt."
Allen, 359 N.C. 425, 437, 615 S.E.2d 256, 265 (2005). After
Blakely, the North Carolina General Assembly enacted Session Law
2005-145 (the Blakely bill), which revised the Structured
Sentencing Act to conform with the Sixth Amendment protections
afforded a defendant at sentencing by Blakely. See 2005 N.C. Sess.
Laws ch. 145. However, the Blakely bill did not amend N.C.G.S. §
15A-1340.14(e), thus leaving trial courts without guidance as to
how Blakely might affect a determination of substantial similarity
under that statute. See 2005 N.C. Sess. Laws ch. 145.
Defendant contends that a determination of substantial
similarity under N.C.G.S. § 15A-1340.14(e) involves a fact other
than that of a prior conviction, and thereby meets the first part
of the Blakely/Allen guarantee of the right to a jury trial. The
majority overrules defendant's argument by holding that the
determination of substantial similarity involves statutory
interpretation, which is a question of law, and that the"comparison of the elements of an out-of-state criminal offense to
those of a North Carolina criminal offense 'does not require the
resolution of disputed facts.'" (quoting State v. Van Buren, 98
P.3d 1235, 1241 (Wash. Ct. App. 2004)). I cannot agree that this
is always the case.
In Shepard, the Supreme Court reasoned that, while the
disputed fact of whether a prior conviction was violent could "be
described as a fact about a prior conviction, it [was] too far
removed from the conclusive significance of a prior judicial
record, and too much like the findings subject to Jones and
Apprendi, to say that Almendarez-Torres clearly authorize[d] a
[trial court] to resolve the dispute." Shepard v. United States,
544 U.S. ___, ___, 161 L. Ed. 2d 205, 217. In light of Shepard,
the question for our Court is whether a finding of substantial
similarity under N.C.G.S. § 15A-1340.14(e) is "too far removed from
the conclusive significance of a prior judicial record, and too
much like the findings subject to Jones and Apprendi, to say that
Almandarez-Torres clearly authorizes a [trial court] to resolve the
dispute." Id. Findings of fact subject to Jones and Apprendi are
those findings "[o]ther than the fact of a prior conviction."
Apprendi, 530 U.S. at 490, 147 L. Ed. 2d at 455; see also Blakely,
542 U.S. at ___, 159 L. Ed. 2d at 412; Allen, 359 N.C. at 437, 615
S.E.2d at 265. I conclude that a finding of substantial similarity
is not close enough to the fact of a prior conviction to say that
a trial court must always make the determination.
In deciding Shepard, the Supreme Court built upon therationale of its earlier Sixth Amendment case, Taylor v. United
States, 495 U.S. 575, 109 L. Ed. 2d 607 (1990), in which the Court
interpreted ACCA to require a trial court to examine "only [] the
fact of conviction and the statutory definition of the prior
offense" to determine whether a defendant's prior conviction could
be characterized as a "burglary" under the enhancement statute.
Taylor, 495 U.S. at 602, 109 L. Ed. 2d at 629. In so holding, the
Court anticipated that allowing a broader evidentiary inquiry by a
trial court might raise issues of violation of a defendant's right
to a jury trial. Id. at 601, 109 L. Ed. 2d at 629. Following this
concern, the Supreme Court later imposed the rule, in Jones and
Apprendi, that any fact other than a prior conviction must be found
by the jury. See Apprendi, 530 U.S. at 490, 147 L. Ed. 2d at 455;
see also Jones, 526 U.S. 227, 243 n.6, 143 L. Ed. 2d 311, 326 n.6
(1999).
The Supreme Court in both Taylor and Shepard read the ACCA
recidivism statute as a categorical approach to establishing the
fact of a prior conviction. "[T]he enhancement provision always
has embodied a categorical approach to the designation of predicate
offenses. . . . Congress intended that the enhancement provision
be triggered by crimes having certain specified elements[.]"
Taylor, 495 U.S. at 588, 109 L. Ed. 2d at 620-21; see also Shepard,
544 U.S. at ___, 161 L. Ed. 2d at 213-14. The Supreme Court
explained that ACCA referred to predicate offenses "in terms not of
prior conduct but of prior 'convictions.'" Shepard, 544 U.S. at
___, 161 L. Ed. 2d at 213-14 (quoting Taylor, 495 U.S. at 600-01,109 L. Ed. 2d 607, 628). Like ACCA, N.C.G.S. § 15A-1340.14(e)
purports to rely on prior convictions, not on the precise conduct
that led to the convictions. However, unlike ACCA, our sentencing
statute does not define which categories of crimes trigger
enhancement. As such, a trial court's determination under N.C.G.S.
§ 15A-1340.14(e) is not necessarily one of mere statutory
interpretation. Rather, a trial court might actually be
undertaking a determination of the disputed fact of whether conduct
underlying a conviction for an out-of-state crime renders the
offense similar to a North Carolina crime.
In State v. Poore, 172 N.C. App. 839, 616 S.E.2d 639 (2005),
our Court recently decided that a determination by a trial court,
rather than a jury, that all elements of a defendant's current
offense were included in a prior offense, for purposes of
determining a defendant's prior record level, did not violate
Blakely. We held that "neither Blakely nor Allen preclude the
trial court from assigning a point in the calculation of one's
prior record level where 'all the elements of the present offense
are included in [a] prior offense.'" Poore, 172 N.C. App. at 840,
616 S.E.2d at 642 (quoting N.C. Gen. Stat. § 15A-1340.14(b)(6)
(2003)). "The exercise of assigning a point for the reason set
forth in G.S. § 15A-1340.14(b)(6) is akin to the trial court's
determination that [the] defendant had in fact been convicted of
certain prior offenses, and is not something that increases the
'statutory maximum' within the meaning of Blakely or Allen."
Poore, 172 N.C. App. at 843, 616 S.E.2d at 642; see also State v.Jordan, 174 N.C. App. ___, 621 S.E.2d 229 (2005) (holding that
Blakely and Allen were not implicated where a trial court
determined that the defendant had prior North Carolina convictions,
raising the defendant from Level I to Level II). However, a
determination of substantial similarity under N.C.G.S. § 15A-
1340.14(e) is not as akin to the fact of a prior conviction, nor is
it always necessarily a question of law. Rather, a determination
under N.C.G.S. § 15A-1340.14(e) has the potential to lead a trial
court beyond the statutory elements of a crime and into fact-
finding that is the proper province of a jury. See Blakely, 542
U.S. at ___, 159 L. Ed. 2d at 417 ("[T]he Sixth Amendment by its
terms is not a limitation on judicial power, but a reservation of
jury power. It limits judicial power only to the extent that the
claimed judicial power infringes on the province of the jury.");
see also State v. Wissink, 172 N.C. App. 829, ___, 617 S.E.2d 319,
325 (2005) (recognizing that while "the fact of a defendant's
probationary status is analagous to and not far-removed from the
fact of a prior conviction[,]" our Court was "bound by the language
in Blakely, Apprendi and Allen that states that only the fact of a
prior conviction is exempt from being proven to a jury beyond a
reasonable doubt").
The Fourth Circuit Court of Appeals recently considered
Shepard in the case of United States v. Washington, 404 F.3d 834
(4th Cir.2005). Although the Fourth Circuit's decision rests on
federal law rather than state law, its analysis is instructive. In
Washington, the trial court concluded, after fact-finding, that thedefendant's prior conviction of breaking and entering was a
"violent" offense under the federal sentencing guidelines, because
the trial court found that the prior offense "'otherwise involve[d]
conduct that presents a serious potential risk of physical injury
to another.'" Washington at 838 (quoting USSG § 4B1.2(a)(2)). In
making its determination, the trial court relied on extra-
indictment evidence, namely a memorandum prepared by the State and
the questioning of counsel about the specifics of the prior
offense. The Fourth Circuit held that under the line of cases
following Apprendi, the trial court's determination that the
defendant's prior conviction presented a serious potential risk of
physical injury "involved more than the 'fact of a prior
conviction' exempted by Apprendi from Sixth Amendment protection."
Washington, 404 F.3d at 841. The Fourth Circuit held that the
determination was a disputed fact "'about a prior conviction'" to
which Sixth Amendment protections apply. Washington at 842
(quoting Shepard, 544 U.S. at ___, 161 L. Ed. 2d at 217) (emphasis
in Washington). The Fourth Circuit continued:
In these circumstances, the sentencing court
relied on facts outside of the prior
indictment and resolved a disputed fact "about
a prior conviction," _ namely, that the prior
conviction was one which "otherwise involve[d]
conduct that presents a serious potential risk
of physical injury to another." These
findings are "too far removed from the
conclusive significance of a prior judicial
record," and "too much like the findings
subject to Jones and Apprendi[] to say that
Almandarez-Torres clearly authorizes a judge
to resolve the dispute[.]" This process and
its results thus raise the very "risk"
identified in Shepard, that Sixth Amendment
error occurred.
Washington, 404 F.3d at 842 (internal citations omitted).
Particularly where, as in the present case, the elements of a
foreign conviction are broader than those of a North Carolina
offense, a trial court may very well undertake an inherent factual
inquiry into defendant's conduct to resolve whether defendant would
have been convicted under a similar North Carolina law. Such an
inquiry is not merely a question of law, as determined by the
majority opinion, and is "'too far removed from the conclusive
significance of a prior judicial record,' and 'too much like the
findings subject to Jones and Apprendi[] to say that
Almandarez-Torres clearly authorizes a judge to resolve the
dispute[.]'" Id. Such an inquiry and its results thus present the
risk identified in Shepard, a violation of a defendant's Sixth
Amendment right to a jury trial under Blakely, and would require
the jury, not the trial court, to determine substantial similarity.
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