Bailey v. State
Bailey v. State
Opinion
Donald Eugene Bailey was convicted by a jury in the Circuit Court for Prince George's County of driving while impaired by alcohol, reckless driving, negligent driving, and failure to control speed to avoid a collision. At sentencing, the circuit court enhanced Mr. Bailey's sentence as a subsequent offender of § 21-902(b)(1) of the Transportation Article (hereinafter "TR") of the Maryland Code. Prior to trial, the State served Mr. Bailey with a notice of his subsequent offender status as required by Maryland Rule 4-245. However, this notice was sent ten days prior to trial in the circuit court which was five days less than required by Maryland Rule 4-245. At no point did Mr. Bailey object to the punishment enhancement. Now, we consider whether this belated notice resulted in an illegal sentence requiring correction, or instead, whether the late notice was a procedural deficiency subject to harmless error review.
BACKGROUND
The facts underlying Mr. Bailey's conviction are not essential to review in order for us to consider the merits of Mr. Bailey's appeal. However, in order to provide context, we note the following as to the underlying offense. Mr. Bailey was driving on the Capital Beltway, Maryland Interstate 495, in Prince George's County, when his vehicle crashed into the rear of another vehicle on March 4, 2017. A police officer was nearby and heard the crash. As the police officer was investigating the crash, he noticed Mr. Bailey showed signs of intoxication. Mr. Bailey performed field sobriety tests but refused to consent to a breathalyzer or a blood test. Mr. Bailey was arrested and charged with various traffic offenses, including driving while impaired by alcohol in violation of TR § 21-902(b)(1).
Mr. Bailey prayed a jury trial in the District Court of Maryland sitting in Prince George's County on June 16, 2017. Thus, his jury trial prayer transferred jurisdiction to the Circuit Court for Prince George's County. The trial was scheduled on the circuit court docket for October 16, 2017. Subsequently, Mr. Bailey filed a consent motion with the State to continue the trial date. The trial was reset for December 11, 2017.
The State served its notice of increased penalty as a subsequent offender to Mr. Bailey on December 1, 2017. However, the notice was sent five days later than required by Maryland Rule 4-245. The enhanced penalty was available under the subsequent offender statute because Mr. Bailey had a prior conviction for driving under the influence on January 24, 2017, in the District of Columbia.
A two-day jury trial in the circuit court commenced on December 11, 2017. The jury found Mr. Bailey guilty of driving while impaired and other related offenses. Mr. Bailey was sentenced in February 2018 to one year of incarceration with all but eight weekends suspended plus two years of probation. As a subsequent offender, Mr. Bailey's potential exposure to incarceration increased by ten months. During the trial and sentencing hearing, Mr. Bailey did not object to the imposition of the subsequent offender enhancement.
Then, Mr. Bailey timely appealed his sentence to the Court of Special Appeals. In an unreported opinion, the court split by a 2-1 vote to affirm the sentence of the circuit court. The majority opinion concluded that even though the "failure to give any notice before trial is substantive and gives rise to an illegal sentence," in this case the "failure to give
timely
notice is a procedural error ... subject to harmless error analysis" and, in fact, did "not give rise to an illegal sentence."
Bailey v. State
, No. 2503, Sept. Term, 2017,
In reaching their conclusion, the majority applied
King v. State
,
The dissenting opinion in the Court of Special Appeals concluded that this case should be controlled by
Carter v. State
,
We granted Mr. Bailey's petition for writ of certiorari on March 5, 2019.
Bailey v. State
,
(1) Did the Court of Special Appeals err in holding that the trial court did not illegally impose an enhanced sentence after the State failed to serve timely notice under Maryland Rule 4-245(b) ?
(2) If Mr. Bailey's sentence was not illegal, did the Court of Special Appeals misapply the test for determining whether Mr. Bailey received ineffective assistance of counsel? 1
With regard to the first question, we hold that the State's belated notice did not result in the trial court imposing an illegally enhanced sentence. Instead, the State's belated notice to Mr. Bailey was a procedural deficiency subject to preservation requirements and not an illegal sentence that may be challenged pursuant to Maryland Rule 4-345(a). As a result, we review for harmless error Mr. Bailey's claim and hold that Mr. Bailey was not prejudiced by the belated notice. As for the ineffective assistance of counsel claim, we decline to review that issue on direct appeal. Instead, Mr. Bailey's ineffective assistance of counsel claim should be considered within a post-conviction proceeding. Therefore, we affirm the judgment of the Court of Special Appeals.
DISCUSSION
I. Sentence enhancement pursuant to Maryland Rule 4-245(b)
The primary question in this case is whether enhancement of a subsequent offender's sentence is legal when the State files a belated notice of the enhancement that did not comply with Maryland Rule 4-245(b). Mr. Bailey was convicted of driving while impaired by alcohol in violation of TR § 21-902(b)(1). As a first-time offender, Mr. Bailey would have been subjected to "imprisonment not exceeding 2 months or a fine not exceeding $500 or both." TR § 21-902(b)(1)(ii)(1). However, as a subsequent offender, Mr. Bailey's potential exposure under the enhanced sentence increased to "imprisonment not exceeding 1 year or a fine not exceeding $500 or both." TR § 21-902(b)(1)(ii)(2).
Maryland Rule 4-245 articulates procedures the State is required to follow in order to potentially subject a defendant to an enhanced penalty as a subsequent offender. In relevant part, this rule provides:
(a) Definition. A subsequent offender is a defendant who, because of a prior conviction, is subject to additional or mandatory statutory punishment for the offense charged.
(b) Required Notice of Additional Penalties. When the law permits but does not mandate additional penalties because of a specified previous conviction, the court shall not sentence the defendant as a subsequent offender unless the State's Attorney serves notice of the alleged prior conviction on the defendant or counsel before the acceptance of a plea of guilty or nolo contendere or at least 15 days before trial in circuit court or five days before trial in the District Court, whichever is earlier.
(c) Required Notice of Mandatory Penalties. When the law prescribes a mandatory sentence because of a specified previous conviction, the State's Attorney shall serve a notice of the alleged prior conviction on the defendant or counsel at least 15 days before sentencing in the circuit court or five days before sentencing in the District Court. If the State's Attorney fails to give timely notice, the court shall postpone sentencing at least 15 days unless the defendant waives the notice requirement.
* * *
(e) Determination. Before sentencing and after giving the defendant an opportunity to be heard, the court shall determine whether the defendant is a subsequent offender as specified in the notice of the State's Attorney.
Mr. Bailey acknowledges that he would qualify as a subsequent offender under the statute. As TR § 21-902(b)(1)(i) did not require the court to impose an enhanced sentence-i.e., the enhancement was not mandatory, the State was required to send notice to Mr. Bailey pursuant to Maryland Rule 4-245(b). However, the State's notice was five days late. In this appeal, the State concedes that the notice was not timely pursuant to the Rule.
Mr. Bailey contends before this Court that under Maryland Rule 4-245(b), the sentencing judge had no discretion to enhance Mr. Bailey's sentence as a subsequent offender because of the State's failure to serve timely notice of the enhanced penalty. Further, under Maryland Rule 4-345(a), if a trial court has no discretion to impose the sentence, then the imposed sentence is illegal. Therefore, Mr. Bailey asserts that his sentence was illegal because the trial court did not have discretion to impose the enhanced penalty and thus must be vacated under Maryland Rule 4-345(a).
The State contends that the Court of Special Appeals correctly concluded that Mr. Bailey's enhanced sentence for driving while impaired was not an illegal sentence for purposes of Maryland Rule 4-345(a). The State posits that non-compliance with the notice requirement was a procedural error that was subject to preservation and waiver. Moreover, Mr. Bailey did not adequately preserve his objection and this matter is subject to harmless error review. The State argues the belated notice amounted to harmless error because Mr. Bailey has not alleged any prejudice from the belated notice.
i. Review of Mr. Bailey's sentence pursuant to Maryland Rule 4-345(a)
As a threshold question, we must determine whether the circuit court's application of the enhancement after the State's belated notice was an imposition of an "illegal" sentence under Maryland Rule 4-345(a). Pursuant to Maryland Rule 4-345(a), "[t]he court may correct an illegal sentence at any time." If the sentence is illegal, it is not subject to preservation requirements and may be corrected even if: "(1) no objection was made when the sentence was imposed, (2) the defendant purported to consent to it, or (3) the sentence was not challenged in a timely-filed direct appeal."
Chaney v. State
,
The legality of a sentence under Maryland Rule 4-345(a) is a question of law reviewed de novo.
State v. Crawley
,
Based on the review of our precedent, the imposition of a sentence enhancement despite the State's failure to timely serve the notice for the enhanced sentence does not qualify as an illegal sentence pursuant to Maryland Rule 4-345(a). We decline to expand our prior interpretation of an "illegal" sentence to include cases such as this one. We have previously stated that "[t]he scope of this privilege, allowing collateral and belated attacks on the sentence and excluding waiver as a bar to relief, is
narrow."
Chaney v. State
,
ii. Review of State's failure to provide timely notice
Mr. Bailey is precluded from challenging his sentence pursuant to Maryland Rule 4-345(a) and he failed to object to the sentencing enhancement as a subsequent offender after the State's deficient notice. Maryland Rule 8-131(a) prescribes that "[o]rdinarily, the appellate court will not decide any other issue unless it plainly appears by the record to have been raised in or decided by the trial court, but the Court may decide such an issue if necessary or desirable to guide the trial court or to avoid the expense and delay of another appeal." Therefore, defendants are required to object
and raise any issue so that it may be decided by the trial court.
Nalls v. State
,
In rare instances, pursuant to Maryland Rule 8-131(a), we may exercise our discretion to review an unpreserved issue. In
Lewis v. State
,
We usually elect to review an unpreserved issue only after it has been thoroughly briefed and argued, and where a decision would (1) help correct a recurring error, (2) provide guidance when there is likely to be a new trial, or (3) offer assistance if there is a subsequent collateral attack on the conviction.
In this matter, we choose to exercise our discretion to review the unpreserved issue. The issue has been thoroughly briefed and argued. Further, we believe this decision will help trial courts to apply
King v. State
,
In reviewing the effect of the State's deficient notice in this matter, we note two cases in which we have previously discussed the notice requirement of Maryland Rule 4-245(b), namely
King v. State
,
In
King
, the State sought to increase the defendant's punishment for unlawful possession and transportation of a handgun.
Id. at 220,
In reviewing the imposition of the enhancement, the Court of Appeals examined the history behind the notice requirement.
Even though the notice was undoubtedly deficient, under the facts before the Court in
King
, we determined the error was harmless beyond a reasonable doubt.
Given that there was full knowledge of the nature and circumstances of the prior conviction despite the inadequate notice, the appellant was not in any way hampered in his ability either to decide whether to plead guilty or proceed to trial, or having elected a jury trial, in presenting and preparing his defense.
Within
King
, we cited to and adopted the reasoning of
Arnold v. United States
,
After
King
, this Court issued its opinion in
Carter v. State
,
We conclude
King
governs this matter. We also note that
King
and
Carter
can be reconciled. In fact, contrary to the assertions of the dissent in the Court of Special Appeals' opinion,
Carter
reaffirms
King
.
Carter,
In reviewing the circumstances of this case, we conclude the error was harmless beyond a reasonable doubt. When reviewing for harmless error, we follow the standard set forth in Dorsey v. State :
[W]hen an appellant, in a criminal case, establishes error, unless a reviewing court, upon its own independent review of the record, is able to declare a belief, beyond a reasonable doubt, that the error in no way influenced the verdict, such error cannot be deemed "harmless" and a reversal is mandated.
II. Ineffective Assistance of Counsel Claim
We disagree with the Court of Special Appeals' assertion that Mr. Bailey's ineffective assistance of counsel claim is moot. Mr. Bailey was given two years of probation after the completion of his eight weekends of incarceration that started on February 2, 2018, and a portion of his sentence was suspended. Therefore, he is currently on probation. However, even though this matter is not moot, we agree with the Court of Special Appeals that any claim Mr. Bailey has of ineffective assistance of counsel is best heard within the post-conviction setting.
To succeed on an ineffective assistance of counsel claim, the defendant must show: (1) that his or her counsel's performance was deficient, and (2) that he or she suffered prejudice because of the deficient performance.
Strickland v. Washington
,
We have previously stated that we rarely consider ineffective assistance of counsel claims on direct appeal. However this rule is "not absolute and, where the critical facts are not in dispute and the record is sufficiently developed to permit a fair evaluation of the claim, there is no need for a collateral fact-finding proceeding, and review on direct appeal may be appropriate and desirable."
In re Parris W.
,
This Court addressed whether to consider a direct appeal of an ineffective assistance of counsel claim in
Mosley v. State
,
This Court reviewed in part whether an ineffective assistance of counsel claim could be addressed on direct appeal. We acknowledged that it is possible, however, "[p]ost-conviction proceedings are preferred with respect to ineffective assistance of counsel claims because the trial record rarely reveals why counsel acted or omitted to act, and such proceedings allow for fact-finding and the introduction of testimony and evidence directly related to allegations of the counsel's ineffectiveness."
In
Mosley
, we could not conclude that the evidence was insufficient to sustain the defendant's conviction, and thus, could not determine whether his counsel was ineffective.
Likewise, in this case, the trial record does not "clearly illuminate" why counsel's actions were ineffective.
See
CONCLUSION
The State's belated notice did not result in the trial court imposing an illegally enhanced sentence. Instead, the State's belated notice to Mr. Bailey was a procedural deficiency subject to preservation requirements. As a result, we review Mr. Bailey's claims for harmless error. We conclude that Mr. Bailey was not prejudiced beyond a reasonable doubt due to the belated notice. As for the ineffective assistance of counsel claim, Mr. Bailey's claim is best heard within a post-conviction posture. Therefore, we affirm the judgment of the Court of Special Appeals.
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONER.
Hotten, J., concurs and dissents.
Concurring and Dissenting Opinion by Hotten, J.
Respectfully, I dissent with the Majority on the first issue, but concur regarding the Majority's conclusion as to the second question. As such, my focus will be limited accordingly.
The Majority affirmed the decision of the Court of Special Appeals, holding that "[t]he State's imperfect compliance [with the timely notice provision specified in Maryland Rule 4-245(b) ] created a procedural deficiency in the sentence[,]" opinion at 697-98, 212 A.3d at 918-19, that does not equate to an "inherently illegal sentence" pursuant to Maryland Rule ("Rule") 4-345(a). However, I believe that the notice provision in Rule 4-245(b) serves as a condition precedent to the trial court's sentencing authority. In acting contrary to the parameters of its authority, the trial court imposed an "inherently illegal" sentence that can only be remedied by vacating Petitioner's sentence. Furthermore, our case law supports the proposition that violation of the express notice requirements in Rule 4-245(b) requires vacating Petitioner's sentence. I explain more fully, infra.
"INHERENTLY ILLEGAL" SENTENCES VERSUS "PROCEDURALLY ILLEGAL" SENTENCES 1
Pursuant to Rule 4-345(a), "[t]he court may correct an
illegal sentence
at any time." (emphasis added). The case law of this State distinguishes between "inherently" illegal sentences-subject to correction at any time under Rule 4-345(a) -and "procedurally" illegal sentences-"subject to ordinary review and procedural limitations[.]"
Bryant v. State
,
The illegality inheres in Petitioner's sentence because the trial court lacked the requisite authority to impose the enhanced sentence.
An illegal sentence, for purposes of Rule 4-345(a), is one in which the illegality inheres in the sentence itself ; i.e. , there either has been no conviction warranting any sentence for the particular offense or the sentence is not a permitted one for the conviction upon which it was imposed and, for either reason, is intrinsically and substantively unlawful.
Colvin v. State
,
Holmes v. State,
Rule 4-245(b) imposed a mandatory condition that the State had to fulfill before the trial court could impose Petitioner's enhanced sentence. Rule 4-245(b) provides that:
When the law permits but does not mandate additional penalties because of a specified previous conviction, the court shall not sentence the defendant as a subsequent offender unless the State's Attorney serves notice of the alleged prior conviction on the defendant or counsel before the acceptance of a plea of guilty or [ nolo contendere ] or at least 15 days before trial in circuit court or five days before trial in District Court, whichever is earlier. [ 2 ]
(emphasis added). In the instant case, the State sought to sentence Petitioner as a subsequent offender, relying on an earlier January 24, 2017 conviction for driving under the influence. The State was obligated to serve notice "at least 15 days before trial in circuit court[,]" but provided notice only ten days before Petitioner's trial. Given the express language of Rule 4-245(b), which operates as a condition precedent to the trial court's imposition of an enhanced sentence, the trial court lacked the requisite authority to impose Petitioner's sentence. No doubt, Rule 4-245(b) creates a procedural notice requirement. However, the procedural nature of the Rule creates an express condition that must be satisfied prior to the trial court's exercise of its sentencing authority. As mandated by Rule 4-245(b), the trial court "shall not sentence the defendant as a subsequent offender" unless the State meets the express notice requirements. See Rule 1-201(a) (stating that "[w]hen a rule, by the word 'shall' [ ] mandates or prohibits conduct, the consequences of noncompliance are those proscribed by these rules or by statute."). The court's determination to impose an enhanced sentence was not merely an abuse of its discretion; it was inherently illegal.
In the concurrence/dissent authored by Judge Harrell in State v. Wilkins , he offered the following explanation of an inherently illegal sentence:
A sentencing judge commits error if he or she refuses to acknowledge his or her power .... [I]f made manifest on the record, the judge's refusal to recognize his or her power ... results in an illegal sentence because the deficiency inheres in the sentence [itself].
* * *
The notion of an 'illegal sentence' ... deals with substantive law, not procedural law. It has obvious reference to a sentence which is beyond the statutorily [ 3 ] granted power of the judge to impose.
State v. Wilkins
,
CASE PRECEDENT SUPPORTS THE PROPOSITION THAT VIOLATION OF THE EXPRESS NOTICE REQUIREMENTS IN RULE 4-245(b) REQUIRES VACATING PETITIONER'S SENTENCE
Carter v. State
,
If an enhanced penalty statute is of the "permissive-but-not-mandatory" type, then, unless and until the State complies with Rule 4-245(b), a "court shall not sentence" a defendant as a subsequent offender. In other words, until the State complies with Rule 4-245(b), a defendant is ineligible to receive such an enhanced sentence.
In contrast, we held that the State provided sufficient notice for enhanced sentencing in
King v. State
,
[N]o defendant shall be sentenced as a subsequent offender unless prior to acceptance of a plea of guilty or [ nolo contendere ] or at least 15 days prior to trial, whichever is earlier, the State's Attorney serves a notice on the defendant or his counsel that the State will seek increased punishment as authorized by law. The notice shall set forth each prior conviction to be relied upon.
Furthermore, the construction of Rule 734 b is telling: the first sentence of the rule provided that if the State failed to abide by the notice period, then a defendant "shall [not] be sentenced as a subsequent offender[.]" However, the second sentence of the rule, providing that "notice shall set forth each prior conviction[,]" did not provide any express consequences for the State's failure to abide by the provision. Therefore, the holding in King relied upon the second sentence, which was silent on the consequence of the State's failure to provide prior conviction information. In contrast, the instant case relies upon the express provision in the first sentence-the trial court has no authority to impose an enhanced sentence if the State fails to abide by the explicit notice periods. 5
King does not govern the instant case. Any contention that King should guide our analysis neglects the previous iteration of Rule 4-245(b) and overlooks the significant distinction between the sufficiency and timeliness of notice. 6
CONCLUSION
The trial court lacked the authority to impose the sentence Petitioner received and executed an inherently illegal sentence, which is subject to correction. See Rule 4-345(a). Our case law supports the proposition that violation of the express notice requirements in Rule 4-245(b) requires vacating Petitioner's sentence and remanding to the trial court for resentencing without enhancement.
For these reasons, I respectfully dissent with the Majority's opinion on the first issue, but concur as to the second issue.
As to the second question, Mr. Bailey specifically posed in his petition for writ of certiorari:
2. Assuming, arguendo , that Petitioner's sentence was not illegal, did the Court of Special Appeals misapply the test for determining whether he received ineffective assistance of counsel?
Rule 734(b) is the predecessor to Maryland Rule 4-245.
The District of Columbia Statute and the Federal statutes served as models for Maryland Rule 734, which is the predecessor of Maryland Rule 4-245(b).
See
King
,
We also acknowledge that a procedural defect could implicate due process. By way of example, if a defendant receives the notice the day before trial, the defendant may not have sufficient time to determine how to proceed. However, in this instance, Mr. Bailey had sufficient notice to determine how to proceed with his case and we do not find a due process violation in this matter.
Further, in order to preserve this issue for review in the future, defendants should object to the untimeliness or incompleteness of the State's notice at sentencing. This will permit the Court to weigh any prejudice from the State's insufficient compliance and preserve the issue for future review. When no notice is provided, the defendant's prejudice is obvious and the sentence may not be enhanced.
Our case law uses the terms "inherently illegal" and "substantively illegal" interchangeably. For consistency, I use the term "inherently illegal" throughout this dissent.
Md. Rule 4-245(b) applies to permitted, but not mandated, additional penalties for subsequent convictions.
In contrast, Md. Rule 4-245(c) applies to mandated additional penalties for subsequent convictions and states:
When the law prescribes a mandatory sentence because of a specified previous conviction, the State's Attorney shall serve a notice of the alleged prior conviction on the defendant or counsel at least 15 days before sentencing in circuit court or five days before sentencing in District Court. If the State's Attorney fails to give timely notice, the court shall postpone sentencing at least 15 days unless the defendant waives the notice requirement.
(emphasis added). In contrast to the plain language of 4-245(b), subsection (c) provides that even if the State fails to provide timely notice, the enhanced sentencing provisions remain. The remedy for the defendant under Rule 4-245(c) is the postponement of sentencing.
In Maryland, a trial court's sentencing authority is limited not only by statute, but also by rule.
See
Matthews v. State
,
The facts of
Carter
are distinct from those of
Swinson v. State
,
With regards to the Majority's analysis of
Arnold v. United States
,
The State cites
Lee v. State
,
Reference
- Full Case Name
- Donald Eugene BAILEY v. STATE of Maryland
- Cited By
- 22 cases
- Status
- Published