Alberto Baiza Rodriguez v. State of Indiana
Alberto Baiza Rodriguez v. State of Indiana
Opinion
We granted transfer in this case and a related case,
State of Indiana v. Pebble Stafford
,
Facts and Procedural History
In March 2015, Defendant Alberto Rodriguez was charged with class A misdemeanor operating while intoxicated ("OWI") and class C misdemeanor operating a vehicle with an alcohol concentration equivalent of .08 or more. Due to prior OWI convictions, Rodriguez was also charged with level 6 felony OWI with a prior conviction and with being a habitual vehicular substance offender ("HVSO").
Rodriguez entered into a plea agreement on January 6, 2016. In exchange for dismissal of the class C misdemeanor charge, Rodriguez pled guilty to the class A misdemeanor OWI, level 6 felony OWI with a prior conviction, and HVSO charges. The trial court accepted the plea agreement and sentenced Rodriguez according to the plea agreement's terms: thirty months in Elkhart County work release for merged level 6 felony OWI with a prior conviction and class A misdemeanor OWI charges and an additional forty-two months on work release for the HVSO charge. A hand-written notation on the plea agreement read, "Agreed all time to Work Release no discretion to change ." (Appellant's App. Vol. II at 13) (emphasis in original). This note was incorporated into the trial court's sentencing order. 1
On January 12, 2017, Rodriguez petitioned to modify his sentence under Indiana Code section 35-38-1-17(e). 2 At the modification hearing, Rodriguez argued that recent changes to the modification statute-combined with his positive report from work release and his need to be present for his son-supported the court's ability to modify his sentence. The State opposed Rodriguez's petition, arguing that courts have no power to modify a sentence once the court has accepted a binding stipulated plea agreement.
The trial court denied Rodriguez's motion to modify his sentence. The court relied on Indiana Code section 35-38-1-17(l) (2016), which read:
A person may not waive the right to sentence modification under this section as part of a plea agreement. Any purported waiver of the right to sentence modification under this section in a plea agreement is invalid and unenforceable as against public policy. This subsection does not prohibit the finding of a waiver of the right to sentence modification for any other reason , including failure to comply with the provisions of this section.
(Emphasis altered from court's order). Applying the above emphasized language to the specific terms of Rodriguez's plea agreement, the court found that a defendant who "enter[s] into a binding plea agreement waives the right to seek or receive a modification of [his or her] sentence." (Appellant's App. Vol. II at 22.) Thus, the trial court held that it had no authority to modify Rodriguez's sentence. Rodriguez appealed.
In a split decision, the Court of Appeals reversed, holding that "modification of Rodriguez's sentence is permissible under Section 35-38-1-17(l)..."
Rodriguez v. State
,
Senior Judge Rucker dissented, finding that "[a]lthough Indiana Code section 35-38-1-17(l) prohibits a plea agreement from containing express language waiving the right to sentence modification, the statute does not prohibit a finding of waiver on other grounds."
Rodriguez I
,
The State sought transfer, which we granted.
Rodriguez v. State
,
On remand, the Court of Appeals reaffirmed its original holding in
Rodriguez I
, finding that the retroactive application of 2018 amendments to the sentence modification statute violated the contract clause of the Federal Constitution.
Rodriguez v. State
,
The State sought transfer, which we granted, thereby vacating the Court of Appeals opinion. Ind. Appellate Rule 58(A).
Standard of Review
Matters of statutory interpretation present pure questions of law; as such, these questions are reviewed
de novo
.
Nicoson v. State
,
Discussion and Decision
The genesis of these proceedings came as a result of the legislature's 2014 amendments to Indiana Code section 35-38-1-17. Combined with subsequent amendments to the same statutory scheme in 2016 and 2018, courts and practitioners alike were thrown into uncertain territory over whether defendants who entered into a fixed-term plea agreement could now petition for sentence modification despite the terms of their agreement. Our own Court of Appeals in Rodriguez II and Stafford II charted no less than four possible paths forward to interpret the same statutory provisions.
We resolve this split in interpretations today and conclude that the legislature's amendments did not change course from the previously accepted view of sentence modification in Indiana. As demonstrated below, this conclusion flows from our Court's precedent and the canons of statutory interpretation.
I. Historically, courts were bound by the terms of the plea agreement.
The State's primary argument in this case is that the legislature never intended to change course from the well-established policy in Indiana that trial courts have no authority to reduce or suspend a sentence in a way that would violate the terms of a valid plea agreement. Applying that rule to this case, the State argues that Rodriguez could not petition for sentence modification because his plea agreement reserved no discretion for the trial court to change his work release placement.
Generally speaking, "[a] criminal defendant has no constitutional right to engage in plea bargaining."
Bethea v. State
,
Trial courts enjoy considerable discretion in deciding whether to accept or reject a proposed plea agreement.
See
Pannarale
,
In contrast, "[a] 'fixed' plea is one which specifies the exact number of years to be imposed for sentencing."
Allen v. State
,
No matter the type of plea bargained for by the defendant and the State, plea agreements are contractual in nature.
Lee v. State
,
These underlying principles formed the basis for this Court's earlier decisions in
Goldsmith
and
Pannarale
. Those opinions found that once an agreement is accepted by the court, "a deal is a deal" and "the sentencing court possesses only that degree of discretion provided in the plea agreement with regard to imposing an initial sentence
or altering it later
."
Pannarale
,
The logical application of this rule-that a defendant may not petition for modification of a fixed-plea sentence because the plea agreement authorized the court to
only impose a specific sentence-has been reinforced by
Pannarale
and its progeny for several decades leading up to the present challenge.
See, e.g.,
II. Although the General Assembly amended the sentence modification statutes, the changes did not alter the general rule regarding modification.
It was against this backdrop that the General Assembly began its revisions of the sentence modification statute. The relevant amendments came in three waves: first in 2014, second in 2015, and finally in 2018.
4
The primary point of conflict in the present action stems from the 2014 amendments to Indiana Code section 35-38-1-17. These amendments were part of a comprehensive bill that touched many aspects of the criminal code,
see
H.E.A. 1006 (2014);
Specifically, the legislature added a new subsection in 2014 to Indiana Code section 35-38-1-17, which provided:
A person may not waive the right to sentence modification under this section as part of a plea agreement. Any purported waiver of the right to sentence modification under this section in a plea agreement is invalid and unenforceable as against public policy. This subsection does not prohibit the finding of a waiver of the right to sentence modification for any other reason, including failure to comply with the provisions of this section.
Then, in 2015, the legislature moved this aforementioned subsection to its current location at Indiana Code section 35-38-1-17(l).
See
In 2018-after the Court of Appeals handed down Stafford I and Rodriguez I -the legislature clarified two relevant provisions. First, subsection (e) was amended to provide:
At any time after:
(1) a convicted person begins serving the person's sentence; and
(2) the court obtains a report from the department of correction concerning the convicted person's conduct while imprisoned;
the court may reduce or suspend the sentence and impose a sentence that the court was authorized to impose at the time of sentencing. However, if the convicted person was sentenced under the terms of a plea agreement, the court may not, without the consent of the prosecuting attorney, reduce or suspend the sentence and impose a sentence not authorized by the plea agreement. The court must incorporate its reasons in the record.
A person may not waive the right to sentence modification under this section as part of a plea agreement. Any purported waiver of the right to sentence modification under this section in a plea agreement is invalid and unenforceable as against public policy. This subsection does not prohibit the finding of a waiver of the right to:
(1) have a court modify a sentence and impose a sentence not authorized by the plea agreement, as described under subsection (e); or
(2) sentence modification for any other reason, including failure to comply with the provisions of this section.
Because these amendments created considerable confusion amongst courts and practitioners, we must provide a cognizable path forward to interpret these provisions. Stated plainly, the legislature either intended to allow defendants to petition for sentence modification regardless of the terms of a plea agreement or it didn't. Rodriguez argues that Indiana Code section 35-35-3-3(e), which provides "[i]f a court accepts a plea agreement, it shall be bound by its terms," can no longer be given a plain reading in light of the legislature's recent amendments to Indiana Code section 35-38-1-17(l). The State urges the opposite, believing that these provisions can be harmonized to show the General Assembly never intended to allow modification of fixed plea agreements.
When interpreting a statute, "our primary goal is to determine and give effect to the intent of the legislature."
Daniels v. FanDuel, Inc.
,
Here, we are asked to construe two seemingly conflicting provisions. Accordingly, before applying any other rule of statutory construction, we "should attempt to give effect to both [statutes] and
must
attempt to harmonize any inconsistencies or conflicts...."
Moryl
,
The language of Indiana Code section 35-35-3-3(e) is straightforward: a court is bound by the terms of the plea agreement at the time it accepts the plea.
This provision is implicitly recognized in the language of Indiana Code section 35-38-1-17(e) (2016), 6 which only allows a court to reduce or suspend a sentence in a way in which it was authorized at the time of sentencing . These two provisions are easily harmonized in light of our discussion in part one of this opinion. Simply stated, if the terms of the plea agreement-to which the State, defendant, and court are bound-allowed any sentencing discretion by the trial court at the time the sentence was imposed, the trial court only possesses the degree of discretion to modify a sentence that was contemplated by the terms of the original plea agreement.
We do not think the waiver language of subsection (l) casts irreconcilable doubt on this interpretation. By its terms, the provision prohibits a defendant from "waiv[ing] the right to sentence modification ... as part of a plea agreement" and declares "[a]ny purported waiver of the right to sentence modification ... in a plea agreement is invalid and unenforceable as against public policy."
But the legislature placed important qualifiers in this same subsection that suggest any purported right to modification is potentially limited by other unenumerated factors. The subsection itself "does not prohibit the finding of a waiver of the right to sentence modification
for any other reason
, including failure to comply with the provisions of this section."
We think a reasonable harmonization of these provisions is that the legislature sought only to ban the explicit waiver of the right to sentence modification
within the text of the written plea agreement
. This interpretation comes directly from the plain language of subsection (l). When referencing waiver of the right to sentence modification, the legislature used language like "
as part of
a plea agreement" and "
in a
plea agreement."
See
This view also reinforces the well-established principle that plea agreements are contractual in nature.
See
Lee
,
Conclusion
Understanding that the legislature's amendments did not alter the settled law of Pannarale and its progeny, the trial court appropriately found it had no discretion to modify Rodriguez's sentence because it was bound by the terms of the valid plea agreement.
The judgment of the trial court is affirmed.
Rush, C.J., and Massa, Slaughter, and Goff, JJ., concur.
Rodriguez did, however, reserve the right to request a modification of sentence-with the State's consent-if he was incarcerated.
Indiana Code section 35-38-1-17(e) (2016) reads:
At any time after:
(1) a convicted person begins serving the person's sentence; and
(2) the court obtains a report from the department of correction concerning the convicted person's conduct while imprisoned;
the court may reduce or suspend the sentence and impose a sentence that the court was authorized to impose at the time of sentencing. The court must incorporate its reasons in the record.
IC 35-35-3-3(e) states, "If the court accepts a plea agreement, it shall be bound by its terms."
There was a fourth amendment to the statute in 2016, but the changes are not relevant to our current analysis.
See
Subsection (e) went through several other changes over the years that are not particularly relevant to today's analysis.
See
,
e.g.
As previously mentioned, this provision originated before the 2014 amendments,
see
Reference
- Full Case Name
- Alberto Baiza RODRIGUEZ, Appellant, v. STATE of Indiana, Appellee.
- Cited By
- 25 cases
- Status
- Published