State v. Clapper
State v. Clapper
Opinion of the Court
After Joe R. Clapper pleaded guilty to third degree assault, the district court overruled Clapper’s demand for a jury trial and ordered him to pay restitution. In Blakely v. Washington,
We affirm. We determine that restitution does not increase a defendant’s sentence beyond what his or her conviction authorizes because the conviction itself authorizes the court to impose restitution.
In 2003, under a plea agreement, Clapper pled guilty to a reduced charge of third degree assault. The charges arose from a bizarre incident in which Clapper attempted suicide and the bullet ricocheted off his skull and struck his girlfriend in the chest. The court sentenced Clapper to 1 year in the county jail and ordered him to pay $18,862.72 in restitution to the victim for medical expenses. The Nebraska Court of Appeals, in an unpublished memorandum opinion, vacated the restitution order and remanded the cause for further proceedings.
On remand, in June 2004, Clapper filed an “Objection to Restitution Hearing,” alleging that the restitution statutes were unconstitutional under Neb. Const, art. VII, § 5(1). That provision states (with certain exceptions not applicable here) that “all fines, penalties, and license money arising under the general laws of the state . . . shall be appropriated exclusively to the use and support of the common schools in the respective subdivisions where the same may accrue.” After a hearing, the district court overruled Clapper’s motion to quash. It found that § 29-2280 provides for restitution as compensation only and therefore is not a penalty. The court then set a date for the restitution hearing.
Before the restitution hearing, Clapper moved for a jury trial. The State argued that Blakely
Clapper appealed the court’s order denying him a jury trial, but the Court of Appeals summarily dismissed the appeal for lack of jurisdiction under Neb. Ct. R. of Prac. 7(A)2 (rev. 2001).
ASSIGNMENTS OF ERROR
Clapper assigns, restated, that the district court erred in (1) ruling that restitution under § 29-2280 is not a penalty; (2) failing to conclude that under the federal and Nebraska Constitutions, he had a right to have a jury determine restitution as provided for in §§ 29-2280 to 29-2289; and (3) overruling his demand for a jury trial on the issue of restitution.
STANDARD OF REVIEW
Whether a criminal defendant has been denied a constitutional right to a jury trial presents a question of law.
ANALYSIS
Clapper argues that under Blakely,
Nebraska’s restitution statute provides in relevant part:
A sentencing court may order the defendant to make restitution for the actual . . . loss sustained by the victim as a direct result of the offense for which the defendant has been convicted. . . . Whenever the court believes that restitution may be a proper sentence ... the court shall order that the presentence investigation report include*754 documentation regarding the nature and amount of the actual damages sustained by the victim.9
In addition, “[t]o determine the amount of restitution, the court may hold a hearing at the time of sentencing.”
We agree with Clapper that restitution is criminal punishment in this jurisdiction. This court has held that when a court orders restitution to a crime victim under § 29-2280, restitution is a criminal penalty imposed as punishment and is part of the criminal sentence imposed by the sentencing court.
Sixth Amendment’s Jury Trial Requirement
Both the Sixth Amendment to the U.S. Constitution and article I, §§ 6 and 11, of the Nebraska Constitution guarantee a criminal defendant the right to trial by an impartial jury for serious offenses.
In Apprendi v. New Jersey,
Four years later, in Blakely,
the “statutory maximum” for Apprendi purposes is the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant. ... In other words, 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. When a judge inflicts punishment that the jury’s verdict alone does not allow, the jury has not found all the facts “which the law makes essential to the punishment” . . . and the judge exceeds his proper authority.17
Finally, in United States v. Booker,
In a separate, remedial opinion, a majority of the Court in Booker concluded it could preserve the federal sentencing guidelines by severing and deleting the statutory provision that made the guidelines mandatory.
But, in Cunningham v. California,
broad discretion to decide what facts may support an enhanced sentence, or to determine whether an enhanced sentence is warranted . . . does not shield a sentencing system from the force of our decisions. If the jury’s verdict alone does not authorize the sentence, if, instead, the judge must find an additional fact to impose the longer term, the Sixth Amendment requirement is not satisfied.
In Cunningham, the Court concluded that the defendant’s sentence violated the Sixth Amendment. The state court had sentenced him to the upper term of a three-tiered sentencing statute after it found the existence of aggravating circumstances.
Apprendi and Blakely did not involve restitution, and all federal courts of appeals have held that they do not apply to
The “hate crime” statute in Apprendi authorized an additional punishment if the sentencing court found there was racial animus, just as Nebraska’s restitution statute authorizes additional punishment if the sentencing court concludes that that sentence is proper.
The U.S. Supreme Court’s holdings in Apprendi, Blakely, and Booker focused on a defendant’s conduct or motivations, or other facts related to the crime, such as a victim’s vulnerability. The Court’s Sixth Amendment decisions responded to an increased emphasis on sentencing factors by legislatures. This has meant that for sentencing, the jury’s role in finding guilt is diminished.
In contrast, a court’s factfinding regarding restitution is limited to determining the victim’s actual damages and the defendant’s ability to pay. When a sentencing court concludes the punishment warrants restitution, it does so based only on the fact of conviction. As federal courts have noted, it is the conviction that authorizes restitution.
Section 29-2280 authorizes a court to order restitution for “actual. . . loss sustained by the victim as a direct result of the offense for which the defendant has been convicted.” (Emphasis supplied.) Therefore, the district court could properly order restitution because Clapper admitted that he had recklessly caused bodily injury to the victim.
Further, a sentencing court’s factfinding in determining restitution does not expose the defendant to any greater punishment than § 29-2280 authorizes, which is for the full amount of the victim’s actual damages.
CONCLUSION
We conclude that Clapper’s Sixth Amendment right to a jury trial was not violated by the district court’s order of restitution. We join the majority of courts which have considered this issue and conclude that the U.S. Supreme Court’s decision in Blakely v. Washington
Affirmed.
Blakely v. Washington, 542 U.S. 296, 124 S. Ct. 2531, 159 L. Ed. 2d 403 (2004).
Neb. Rev. Stat. §§ 29-2280 to 29-2289 (Reissue 1995).
State v. Clapper, 12 Neb. App. xxii (No. A-03-1308, June 14, 2004).
Blakely v. Washington, supra note 1.
State v. Clapper, 13 Neb. App. liv (No. A-05-075, Mar. 18, 2005).
See State v. Delgado, 269 Neb. 141, 690 N.W.2d 787 (2005).
See State v. Tompkins, 272 Neb. 547, 723 N.W.2d 344 (2006).
Blakely v. Washington, supra note 1.
§ 29-2280.
§ 29-2281.
State v. Dittoe, 269 Neb. 317, 693 N.W.2d 261 (2005); State v. Holecek, 260 Neb. 976, 621 N.W.2d 100 (2000).
State v. Cozzens, 241 Neb. 565, 490 N.W.2d 184 (1992). See, also, Blanton v. North Las Vegas, 489 U.S. 538, 109 S. Ct. 1289, 103 L. Ed. 2d 550 (1989).
Ring v. Arizona, 536 U.S. 584, 122 S. Ct. 2428, 153 L. Ed. 2d 556 (2002).
Apprendi v. New Jersey, 530 U.S. 466, 120 S. Ct. 2348, 147 L. Ed. 2d 435 (2000).
Blakely v. Washington, supra note 1.
Id., 542 U.S. at 303-04 (emphasis in original).
United States v. Booker, 543 U.S. 220, 125 S. Ct. 738, 160 L. Ed. 2d 621 (2005).
United States v. Booker, supra note 18.
Cunningham v. California, 549 U.S. 270, 290, 127 S. Ct. 856, 166 L. Ed. 2d 856 (2007), citing Blakely v. Washington, supra note 1.
See, U.S. v. Milkiewicz, 470 F.3d 390 (1st Cir. 2006); U.S. v. Reifler, 446 F.3d 65 (2d Cir. 2006); U.S. v. Leahy, 438 F.3d 328 (3d Cir. 2006) (en banc); U.S. v. Nichols, 149 Fed. Appx. 149 (4th Cir. 2005); U.S. v. Garza, 429 F.3d 165 (5th Cir. 2005); U.S. v. Sosebee, 419 F.3d 451 (6th Cir. 2005); U.S. v. Swanson, 394 F.3d 520 (7th Cir. 2005); U.S. v. Carruth, 418 F.3d 900 (8th Cir. 2005) (rehearing en banc denied); U.S. v. Bussell, 414 F.3d 1048 (9th Cir. 2005); U.S. v. Visinaiz, 428 F.3d 1300 (10th Cir. 2005); U.S. v. Williams, 445 F.3d 1302 (11th Cir. 2006).
See, U.S. v. George, 403 F.3d 470 (7th Cir. 2005); U.S. v. Carruth, supra note 23; U.S. v. Visinaiz, supra note 23.
See § 29-2280.
See § 29-2281.
See United States v. Booker, supra note 18.
See, U.S. v. Milkiewicz, supra note 23; U.S. v. Reifler, supra note 23; U.S. v. Leahy, supra note 23. •
See § 29-2281. See, also, U.S. v. Reifler, supra note 23; U.S. v. Leahy, supra note 23.
U.S. v. Leahy, supra note 23, 438 F.3d at 337.
Blakely v. Washington, supra note 1.
Dissenting Opinion
dissenting.
I concede that all federal courts of appeals have concluded that either Blakely v. Washington
Although the U.S. Supreme Court has not yet decided whether a defendant has a right to a jury trial to determine restitution,
Restitution under Neb. Rev. Stat. § 29-2280 (Reissue 1995) is a criminal penalty imposed as punishment for a crime and is part of the criminal sentence.
These factors indisputably require factfinding.
In contrast, some of the federal courts of appeals that have concluded Blakely does not require a jury to find the facts supporting restitution have reasoned that restitution is a civil remedy.
As the majority opinion states, the U.S. Supreme Court held in Apprendi v. New Jersey
In the wake of Apprendi, some circuit courts rejected challenges to a judge’s factfinding for determining restitution. They concluded that any statutory maximum must be found in the applicable restitution statute and that these statutes do not have a
After the U.S. Supreme Court decided Blakely
But as the dissent in Carruth concluded, the U.S. Supreme Court’s decision in Blakely meant that “the notion Apprendi
[T]he relevant “statutory maximum” [for Apprendi purposes] is not the maximum sentence a judge may impose after finding additional facts, but the maximum he may impose without any additional findings. When a judge inflicts punishment that the jury’s verdict alone does not allow, the jury has not found all the facts ‘which the law makes essential to the punishment.’. . .”28
“That right [to have the jury find the existence of any particular fact that the law makes essential to a defendant’s punishment] is implicated whenever a judge seeks to impose a sentence that is not solely based on ‘facts reflected in the-jury verdict or admitted by the defendant.’ ”
Under our case law, we do know this: There is no question that restitution is the infliction of punishment, nor is there any question under our statutes that a jury does not find the relevant facts regarding restitution. I conclude that other courts’ nuanced dances around Blakely are not persuasive.
First, I disagree with the observation made in U.S. v. Leahy that a distinction exists between restitution and prison sentences for Blakely purposes: “orders of restitution have little in common with the prison sentences challenged by the defendants in Jones,[
Before finishing, I note the U.S. Supreme Court has held that restitution imposed as a condition of probation in a criminal sentence may not be discharged as a debt in bankruptcy under a provision that preserves debts for criminal fines, penalties, and forfeiture:
The criminal justice system is not operated primarily for the benefit of victims, but for the benefit of society as a whole. . . . Although restitution does resemble a judgment “for the benefit of’ the victim ... the decision to impose restitution generally does not turn on the victim’s injury, but on the penal goals of the State and the situation of the defendant.34
Because the Court has equated restitution with criminal fines and penalties, it seems unlikely that it would exempt restitution under Blakely as a type of punishment that does not invoke a defendant’s right to a jury trial.
The relevant question under Blakely is whether the sentencing court has imposed punishment without making any findings in addition to those supported by the jury’s verdict or the defendant’s admissions. That question must be answered affirmatively when a court, on its own findings, imposes restitution, regardless of whether restitution is considered an enhancement to a term of imprisonment or is simply part of the sentence. Restitution is unquestionably punishment that is part of the defendant’s
Blakely v. Washington, 542 U.S. 296, 124 S. Ct. 2531, 159 L. Ed. 2d 403 (2004).
United States v. Booker, 543 U.S. 220, 125 S. Ct. 738, 160 L. Ed. 2d 621 (2005).
See, U.S. v. Milkiewicz, 470 F.3d 390 (1st Cir. 2006); U.S. v. Reifler, 446 F.3d 65 (2d Cir. 2006); U.S. v. Leahy, 438 F.3d 328 (3d Cir. 2006) (en banc); U.S. v. Nichols, 149 Fed. Appx. 149 (4th Cir. 2005); U.S. v. Garza, 429 F.3d 165 (5th Cir. 2005); U.S. v. Sosebee, 419 F.3d 451 (6th Cir. 2005); U.S. v. Swanson, 394 F.3d 520 (7th Cir. 2005); U.S. v. Carruth, 418 F.3d 900 (8th Cir. 2005) (rehearing en banc denied); U.S. v. Bussell, 414 F.3d 1048 (9th Cir. 2005); U.S. v. Visinaiz, 428 F.3d 1300 (10th Cir. 2005); U.S. v. Williams, 445 F.3d 1302 (11th Cir. 2006).
Blakely v. Washington, supra note 1, 542 U.S. at 304.
State v. Dittoe, 269 Neb. 317, 693 N.W.2d 261 (2005); State v. Holecek, 260 Neb. 976, 621 N.W.2d 100 (2000).
See, State v. Wells, 257 Neb. 332, 598 N.W.2d 30 (1999); State v. McLain, 238 Neb. 225, 469 N.W.2d 539 (1991); State v. Yost, 235 Neb. 325, 455 N.W.2d 162 (1990).
State v. Holecek, supra note 5, 260 Neb. at 981, 621 N.W.2d at 104, quoting State v. McGinnis, 2 Neb. App. 77, 507 N.W.2d 46 (1993).
See, U.S. v. George, 403 F.3d 470 (7th Cir. 2005); U.S. v. Carruth, supra note 3; U.S. v. Visinaiz, supra note 3.
See U.S. v. Carruth, supra note 3.
See U.S. v. Ross, 279 F.3d 600 (8th Cir. 2002).
U.S. v. Carruth, supra note 3, 418 F.3d at 905 (Bye, Circuit Judge, dissenting).
See Pasquantino v. United States, 544 U.S. 349, 125 S. Ct. 1766, 161 L. Ed. 2d 619 (2005).
Apprendi v. New Jersey, 530 U.S. 466, 120 S. Ct. 2348, 147 L. Ed. 2d 435 (2000).
See Blakely v. Washington, supra note 1.
See, e.g., U.S. v. Syme, 276 F.3d 131 (3d Cir. 2002); U.S. v. Bearden, 274 F.3d 1031 (6th Cir. 2001); U.S. v. Ross, supra note 11.
Blakely v. Washington, supra note 1.
United States v. Booker, supra note 2.
See, U.S. v. Milkiewicz, supra note 3; U.S. v. Nichols, supra note 3; U.S. v. Garza, supra note 3; U.S. v. Sosebee, supra note 3; U.S. v. Swanson, supra note 3; U.S. v. Carruth, supra note 3; U.S. v. Bussell, supra note 3; U.S. v. Williams, supra note 3.
See, U.S. v. Reifler, supra note 3; U.S. v. Leahy, supra note 3.
U.S. v. Carruth, supra note 3, 418 F.3d at 906 (Bye, Circuit Judge, dissenting).
Blakely v. Washington, supra note 1, 542 U.S. at 303-04 (emphasis in original).
United States v. Booker, supra note 2, 543 U.S. at 232, quoting Blakely v. Washington, supra note 1.
Jones v. United States, 526 U.S. 227, 119 S. Ct. 1215, 143 L. Ed. 2d 311 (1999).
U.S. v. Leahy, supra note 3, 438 F.3d at 338.
Pasquantino v. United States, supra note 14.
U.S. v. Leahy, supra note 3, 438 F.3d at 341 (McKee, Circuit Judge, concurring in part, and in part dissenting; Rendell, Ambro, Smith, and Becker, Circuit Judges, join).
Kelly v. Robinson, 479 U.S. 36, 52, 107 S. Ct. 353, 93 L. Ed. 2d 216 (1986).
Blakely v. Washington, supra note 1, 542 U.S. at 313 (emphasis in original).
Reference
- Full Case Name
- State of Nebraska, Appellee, v. Joe R. Clapper, Appellant
- Cited By
- 30 cases
- Status
- Published