FOR PUBLICATION
ATTORNEY FOR APPELLANT
: ATTORNEYS FOR APPELLEE:
VICTORIA URSULSKIS KAREN M. FREEMAN-WILSON
Indianapolis, Indiana Attorney General of Indiana
EILEEN EUZEN
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
THOMAS ARMSTRONG, )
)
Appellant-Defendant, )
)
vs. ) No. 49A02-0005-CR-304
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE MARION SUPERIOR COURT
The Honorable Tanya Walton Pratt, Judge
Cause No. 49G01-9905-CF-74936
January 18, 2001
OPINION - FOR PUBLICATION
NAJAM, Judge
STATEMENT OF THE CASE
Thomas Armstrong was convicted following a jury trial of Reckless Homicide, a Class
C felony; three counts of Pointing a Firearm, as Class D felonies; and
Carrying a Handgun without a License, a Class A misdemeanor. He appeals,
presenting the following issues for our review:
1. Whether he could be charged with and convicted of multiple counts of pointing
a firearm arising out of a single incident in which he pointed a
handgun at three distinct individuals.
2. Whether his convictions for pointing a firearm, as Class D felonies, and carrying
a handgun without a license, a Class A misdemeanor, constitute multiple punishments for
the same offense in violation of the Indiana Double Jeopardy Clause.
3. Whether the trial court relied on improper aggravators to enhance Armstrongs sentence.
We affirm in part, reverse in part and remand for resentencing.
FACTS AND PROCEDURAL HISTORY
In the spring of 1999, Katina Currie ended her relationship with Armstrong and
told him to move out of the house. On May 2, 1999,
Armstrong went to Curries house with his sister, Gina Armstrong, and Curries brother,
Detreck Wilson, and forced his way inside the home. Armstrong saw Curries
new boyfriend, Melvin Franklin, sitting in the living room. Armstrong pulled out
a handgun from the waistband of his pants, cocked it, pointed it at
Franklin, and told Franklin to leave. Currie, Wilson, and Gina ran toward
Armstrong and attempted to take the gun away from him. When Currie
told Armstrong not to shoot because there were children in the house, Armstrong
pointed the gun at her and told her to get back. Record
at 305. He then shot a bullet into the living room wall.
Franklin ran into the kitchen and Armstrong chased after him. When
Wilson and Gina tried to stop Armstrong from shooting again, Armstrong pointed the
gun at each of them and told them to stand back. He
then shot Franklin in the back of the head as Franklin tried to
flee. Franklin died of the gunshot wound to his head.
The State charged Armstrong with murder, three counts of D felony pointing a
firearm,
See footnote and one count of A misdemeanor carrying a handgun without a license.
A jury found him guilty of the lesser included offense of reckless
homicide, a Class C felony, and of all the remaining handgun charges.
The trial court entered judgment of conviction and sentenced Armstrong to eight years
on the reckless homicide count, three years on each count of pointing a
firearm, and 365 days on the carrying a handgun without a license count.
The court ordered that the five sentences be served consecutively, for a
total executed sentence of eighteen years.
DISCUSSION AND DECISION
Issue One: Multiple Counts of Pointing a Firearm
Armstrong first argues that he cannot be held liable for the three counts
of pointing a firearm at Currie, Wilson, and Gina, because the charges stem
from a single incident. He analogizes the present circumstances to the case
of Armstead v. State, 549 N.E.2d 400, 402 (Ind. Ct. App. 1990), where
this court concluded that a single affray between a suspect and more than
one police officer could not lead to multiple charges and convictions for resisting
law enforcement. In so holding, we observed that resisting law enforcement was
not a crime against the person but instead, was an interference[] with governmental
operations constituting [an] offense[] against public administration. Id. at 401. Specifically:
A person who violates [the resisting law enforcement statute] harms the peace and
dignity of the State of Indiana and its law enforcement authority. The
harm caused by one incident is the same regardless of the number of
police officers resisted. It is the act of resisting duly constituted authority
which the statute prohibits, not resisting individual representatives of that authority. . .
. Accordingly, unless more than one incident occurs, there may be only
one charge.
Id. (emphasis added). We do not find Armstrongs analogy between resisting law
enforcement and pointing a firearm to be persuasive.
A firearm is a lethal weapon, and the potential for harm exists any
time a firearm is pointed at a person. State v. Meier, 422
N.W.2d 381, 385 (N.D. 1988) (emphasis added). We can envision no situation
in which pointing a loaded gun at another person does not create a
substantial risk of death or bodily injury to that person. Bracksieck v.
State, 691 N.E.2d 1273, 1275 (Ind. Ct. App. 1998) (holding that pointing a
firearm, as Class D felony, and criminal recklessness, as Class D felony, are
same offense for double jeopardy purposes). It is also common knowledge that
numerous persons are killed each year by guns which the handlers thereof did
not realize were loaded, or thought were unloaded, which were in fact loaded.
Meier, 422 N.W.2d at 385.
Indiana Code Section 35-47-4-3 proscribes in no uncertain terms the knowing or intentional
pointing of a firearm at another person[,] regardless of whether that firearm is
loaded. Ind. Code § 35-47-4-3(b) (emphasis added). It is the act
of pointing a firearm at an individual person which the statute prohibits, and,
in view of its clear and unambiguous language, we believe the statute was
intended to protect individuals from being placed in danger of death or bodily
injury from the discharge of a firearm. Cf. Armstead, 549 N.E.2d at
401. Unlike the harm caused by a single affray of resisting law
enforcement, the harm caused by a single incident of pointing a firearm is
not the same regardless of the number of persons at whom the defendant
points his weapon. Indeed, had the legislature intended to preclude multiple charges
and convictions under Indiana Code Section 35-47-4-3, as Armstrong suggests, that section would
read: A person who knowingly or intentionally points a firearm at another
person or persons commits a Class D felony.
Here, while all three of Armstrongs convictions for pointing a firearm stem from
a single incident, the evidence shows that he pointed a handgun at three
individuals: Currie, Wilson, and Gina. The record further supports an inference
that these were three separate and distinct pointings of a firearm rather than
one continuous action.
See footnote We therefore decline to reverse Armstrongs convictions.
We must nevertheless remand for resentencing. Indiana Code Section 35-50-1-2(c) limits the
total sentence that may be imposed for acts arising out of a single
episode of criminal conductSee footnote to the presumptive sentence for the next highest felony.
The presumptive sentence for a Class C felony, which is the next
highest felony in this case, is four years.
See Ind. Code §
35-50-2-6(a). Thus, Armstrongs sentence for his three convictions of pointing a firearm
should not have exceeded four years. Because the trial court sentenced Armstrong
to three years on each count of pointing a firearm, to be served
consecutively for an aggregate term of nine years, we reverse that part of
his total executed sentence and remand to the trial court with instructions to
resentence Armstrong accordingly.
Issue Two: Double Jeopardy
Armstrong further contends that his convictions for pointing a firearm, as Class D
felonies, and for carrying a handgun without a license, a Class A misdemeanor,
constitute multiple punishments for the same offense as proscribed by the Indiana Double
Jeopardy Clause. Two or more offenses are the same offense in violation
of Article I, Section 14 of the Indiana Constitution if, with respect to
either the statutory elements of the challenged crimes or the actual evidence used
to convict, the essential elements of one challenged offense also establish the essential
elements of another challenged offense. Ho v. State, 725 N.E.2d 988, 990-91
(Ind. Ct. App. 2000), trans. denied. Armstrong maintains that his convictions violate
double jeopardy under both the statutory elements test and the actual evidence test.
Under the statutory elements test, [e]ach offense must contain at least one element
which is separate and distinct from the other offense so that the same
evidence is not necessary to convict for both offenses. Richardson v. State,
717 N.E.2d 32, 52 (Ind. 1999). Indiana Code Section 35-47-4-3 provides that
[a] person who knowingly or intentionally points a firearm at another person commits
a Class D felony. However, the offense is a Class A misdemeanor
if the firearm is not loaded. The State charged Armstrong with knowingly
pointing a handgun at Currie, Wilson, and Gina. Thus, the essential elements
comprising the charged offenses of pointing a firearm are: (1) Armstrong (2)
pointed (3) a handgun (4) at Currie, Wilson, and Gina.
The second offense, carrying a handgun without a license, a Class A misdemeanor,
is defined in Indiana Code Section 35-47-2-1. That statute provides that a
person shall not carry a handgun in any vehicle or on or about
his person, except in his dwelling, on his property or fixed place of
business, without a license issued under this chapter being in his possession.
Ind. Code § 35-47-2-1. Once the State has established that a defendant
carried a handgun on or about his person, away from his residence or
place of business, the burden shifts to the defendant to demonstrate that he
possessed a valid license. Harris v. State, 716 N.E.2d 406, 411 (Ind.
1999). Thus, proof of the presence of a license to carry a
handgun is an exemption or exception to, and not an element of the
crime of carrying a handgun without a license. Elliot v. State, 435
N.E.2d 302, 304 (Ind. Ct. App. 1982). Here, the State alleged in
its charging information that Armstrong did, in a place not his dwelling, property,
or fixed place of business, carry a handgun on or about his person
or in a vehicle without a license therefor[.] Record at 29.
Thus, the essential elements comprising the charged offense of carrying a handgun without
a license are: (1) Armstrong (2) possessed (3) a handgun (4) in
a place that was not his dwelling, property, or fixed place of business.
In comparing the two challenged offenses, the essential elements of pointing a firearm
and the essential elements of carrying a handgun without a license are not
the same, as each requires proof of facts which the other does not.
The offense of carrying a handgun without a license requires mere possession
of the handgun, while the offense of pointing a firearm requires the additional
act of pointing the handgun at another person. Moreover, a conviction for
carrying a handgun without a license requires evidence that the possession occurred in
a location other than the defendants dwelling, property, or fixed place of business.
We therefore conclude that the challenged offenses in this case are not
the same under Indianas statutory elements test.
Our state double jeopardy analysis, however, does not end here. Even though
the crimes of pointing a firearm and carrying a handgun without a license
are not the same offense under the statutory elements test, we must apply
the following actual evidence test:
[T]he actual evidence presented at trial is examined to determine whether each challenged
offense was established by separate and distinct facts. To show that two
challenged offenses constitute the same offense in a claim of double jeopardy, a
defendant must demonstrate a reasonable possibility that the evidentiary facts used by the
fact-finder to establish the essential elements of one offense may also have been
used to establish the essential elements of a second challenged offense.
Richardson, 717 N.E.2d at 53.
To prove the crime of pointing a firearm, as a Class D felony,
the State presented evidence that Armstrong pointed a handgun at Currie, Wilson, and
Gina. To prove the crime of possession of a handgun without a
license, the State presented evidence that Armstrong possessed the handgun in a place
that was not his dwelling, property, or fixed place of business, namely, Curries
house. In addition, Armstrong failed to present evidence that he had a
license to carry the handgun that was found in his possession.
Accordingly, distinct evidentiary facts were used to prove that Armstrong pointed a handgun
at Currie, Wilson, and Gina, while a lack of evidentiary facts was used
to prove that [Armstrong] did not have a license to carry that handgun.
See Ho, 725 N.E.2d at 993 (finding no double jeopardy violation under
actual evidence test where defendant was convicted of robbery while armed with a
handgun and carrying a handgun without a license). Further, the jury was
required to find evidence that Armstrong was not in his home or business
when it determined him guilty of carrying a handgun without a license. Armstrong
has failed to demonstrate a reasonable possibility that the same evidentiary facts may
have been used to establish the essential elements of each challenged offense.
Therefore, we find no double jeopardy violation under Indianas actual evidence test and
conclude that Armstrongs convictions for pointing a firearm, as Class D felonies, and
for carrying a handgun without a license, a Class A misdemeanor, do not
constitute multiple punishments for the same offense in violation of the Indiana Double
Jeopardy Clause.
Issue Three: Sentence
Finally, sentencing determinations rest within the trial courts discretion and are governed by
Indiana Code Section 35-38-1-7.1.
See footnote
Bluck v. State, 716 N.E.2d 507, 511 (Ind.
Ct. App. 1999). When enhancing a presumptive sentence, the trial court must
identify all significant aggravating and mitigating factors, state why each is considered aggravating
or mitigating, and articulate the balancing process by which the court determined that
the aggravating factors outweighed the mitigating factors. Id. The same aggravating
circumstances may be used to enhance a presumptive sentence and to impose consecutive
sentences. Id.
At the sentencing hearing, the trial court here remarked as follows:
The Court considers as aggravating the fact that you have a history of
violent criminal offenses. You have a conviction out of Madison County for
aggravated batter[y] in 1992, wherein you shot someone with a handgun. You
have a conviction for criminal mischief out of Madison County on August the
19th of [1992]. . . . [T]he Courts going to consider your
arrest for criminal recklessness on January 13th of [1998], which involved your shooting
someone firing a handgun at someone in the shoulder, which was dismissed.
The Court will consider as aggravating the fact that you have a[n]
arrest on July 16th of [1999] and a case pending here in Marion
County, Criminal Court Seventeen for allegedly holding a gun to the head of
a female and threatening to shoot her and pushing her in the chest
. . . . Youre charged with criminal recklessness[,] pointing a firearm
and battery. The Court will consider as aggravating the fact that you
are in need of correctional rehabilitative treatment that can [be] best provided by
your commitment to a penal facility and that prior attempts at rehabilitation through
probation and . . . prison . . . have all failed to
rehabilitate you. The Court will consider as aggravating the circumstances surrounding the
offense and the nature of this offense. Your behavior that day was
reprehensible. You terrorized everyone in that home. . . . [T]here
was a household full of not only of adults but children.
You have a history of extreme violence. The Court considers you to
be a very dangerous person. The Court . . . will consider
as mitigating the remorse that youve stated today. But its a little
bit too late. The Court finds that the aggravating circumstances outweigh the
mitigators.
Record at 828-29. The court consequently enhanced Armstrongs sentence, imposing the maximum
terms allowable by statute.
See footnote Armstrong now argues that the trial court relied
on legally impermissible aggravating factors to enhance his sentence. Brief of Appellant
at 13. We address the validity of each of the aggravating factors
he challenges in turn.
1. Criminal History and Arrest Record
The trial court properly found that Armstrongs criminal history, and specifically, his prior
conviction for aggravated battery, as a Class B felony, and criminal mischief, as
a Class A misdemeanor, was an aggravating factor. See Ind. Code §
35-38-1-7.1(b)(2). Nevertheless, Armstrong urges that the trial court improperly considered Armstrongs record
of arrests and pending charges as part of his criminal history. Armstrong
is correct in stating that a record of arrests, without more, may not
be considered as an aggravator under Indiana Code Section 35-38-1-7.1(b)(2). See Tunstill
v. State, 568 N.E.2d 539, 544 (Ind. 1991). However, it may appropriately
be considered as an aggravator under Indiana Code Section 35-38-1-7.1(d), which gives a
sentencing court the flexibility to consider any factor which reflects on the defendants
character, good or bad, in addition to those expressly set out in the
rest of the statute when determining the appropriate sentence to impose on that
defendant. Id. at 545. As our supreme court stated in Tunstill:
While a record of arrests does not establish the historical fact of prior
criminal behavior, such a record does reveal to the court that subsequent antisocial
behavior on the part of the defendant has not been deterred even after
having been subject to the police authority of the State and made aware
of its oversight of the activities of its citizens. This information is
relevant to the courts assessment of the defendants character and the risk that
he will commit another crime and is therefore properly considered by a court
in determining sentence.
Id.
It is unclear from the instant sentencing statement whether the trial court considered
Armstrongs arrests and pending charges as part of his criminal history under Indiana
Code Section 35-38-1-7.1(b)(2) or merely as evidence of his character under Indiana Code
Section 35-38-1-7.1(d). It appears, however, that the trial court soundly utilized those
arrests and pending charges in making a character assessment that Armstrong was an
extremely violent and very dangerous person. Record at 829. Regardless, even
assuming the trial court improperly inferred that the arrests and pending charges constituted
historical facts that Armstrong had committed the crimes, any such error would be
harmless given his criminal history. See Johnson v. State, 725 N.E.2d 864,
868 (Ind. 2000) (concluding that inappropriate use of one aggravator did not make
sentence manifestly unreasonable, where only one valid aggravator was necessary to support enhanced
sentence).
2. Need for Correctional Treatment
We next address Armstrongs contention that the trial court did not sufficiently explain
why he required correctional treatment in a penal facility for a term in
excess of the presumptive sentence. It is well settled that the need
for correctional treatment best served by commitment to a penal facility is a
proper aggravator only when the trial court articulates why the specific defendant requires
treatment for a period of time in excess of the presumptive sentence.
Bluck, 716 N.E.2d at 512. Stated otherwise, to properly enhance the defendants
sentence by using Indiana Code Section 35-38-1-7.1(b)(3), the trial court must explain why
[the defendant] is in need of more correctional treatment. Ridenour v. State,
639 N.E.2d 288, 297 (Ind. Ct. App. 1994).
Contrary to Armstrongs assertion that the trial court did not make the necessary
articulation in concluding he was in need of more correctional treatment, the sentencing
statement reflects that the court based its conclusion on Armstrongs prior unsuccessful attempts
at rehabilitation through prison and probation. This was proper. See Johnson,
725 N.E.2d at 868 (holding that need for correctional treatment was proper aggravator
where defendant had previously and unsuccessfully been placed on juvenile probation and adult
probation, had been to prison, and was on parole when he committed present
offense).
3. Nature and Circumstances of the Crime
Armstrong further alleges that the trial courts consideration of the nature and circumstances
of the crimes he committed is so brief and conclusory that it is
impossible to determine whether the court [improperly relied on an element of the
offenses to enhance his sentence]. Reply Brief of Appellant at 8.
We acknowledge that a perfunctory recitation and conclusory listing of the factors mandated
by statute to be considered is not sufficient to afford an adequate review
of the appropriateness of the sentence imposed on a criminal defendant. Shackelford
v. State, 622 N.E.2d 1340, 1345 (Ind. Ct. App. 1993). In addition,
a fact which comprises a material element of the crime may not also
constitute an aggravating circumstance to support an enhanced sentence. Id. at 1346.
This notwithstanding, we disagree with Armstrongs contention.
Indiana Code Section 35-38-1-7.1(a)(2) provides that the nature and circumstances of a crime
shall be considered in determining what sentence to impose. The trial courts
sentencing statement adequately supported the finding of this aggravating factor by noting that
Armstrongs behavior . . . was reprehensible and that he terrorized . .
. a household full of . . . not only . . .
adults but children. Record at 829; see Jones v. State, 675 N.E.2d
1084, 1087 (Ind. 1996) (approving trial courts finding of aggravator that defendant committed
murder when there were others present, including children). The trial courts sentencing
statement makes clear that it was not the pointing or shooting of the
handgun that was the aggravating circumstance but the manner in which those offenses
were committed. This was a proper use of the nature and circumstances
of the crimes committed as an aggravating factor. See Adkins v. State,
561 N.E.2d 787, 789 (Ind. 1990).
In sum, the trial court sufficiently identified the aggravating and mitigating circumstances in
this case and articulated its balancing process when it determined that the aggravating
circumstances outweighed the single mitigator. See Bluck, 716 N.E.2d at 511.
Specifically, the trial courts remarks indicate that it did not give great weight
to Armstrongs remorse for committing the crimes and, indeed, that his remorse was
a little bit too late. Record at 829. It is within
a trial courts discretion to determine both the existence and weight of a
significant mitigating circumstance. Allen v. State, 722 N.E.2d 1246, 1251 (Ind. Ct.
App. 2000). The trial court did not abuse its discretion when it
enhanced Armstrongs sentence.
As discussed previously, however, we conclude that Armstrongs aggregate sentence for three counts
of pointing a firearm arising out of a single episode of criminal conduct
should not have exceeded the four-year presumptive sentence for a Class C felony.
See Ind. Code § 35-50-1-2(c); see also Discussion, Issue one. Accordingly,
we must reverse his nine-year sentence with respect to the pointing a firearm
offenses and remand to the trial court with instructions for resentencing consistent with
the principles set forth in this opinion. In all other respects, Armstrongs
sentence is affirmed.
Affirmed in part, reversed in part and remanded for resentencing.
SHARPNACK, C.J., and BROOK, J., concur.
Footnote:
The three separate counts represent charges of pointing a firearm at
Currie, Wilson, and Gina.
Footnote: We do not decide today the issue of whether a defendant
may be charged with and convicted of multiple counts of pointing a firearm
arising out of a single incident during which the defendant engages in one
continuous action of pointing a firearm, such as when a defendant waves a
gun indiscriminately toward a crowd of people. Those are not the facts
of this case.
Footnote: An episode of criminal conduct exists where the conduct is such
that a complete account of one charge cannot be related without referring to
the details of the other charge.
See Lockhart v. State, 671 N.E.2d
893, 904 (Ind. Ct. App. 1996).
Footnote:
That statute reads in part:
(a) In determining what sentence to impose for a crime, the court shall consider:
(1) the risk that the person will commit another crime;
(2) the nature and circumstances of the crime committed;
(3) the persons
(A) prior criminal record;
(B) character; and
(C) condition;
* * *
(b) The court may consider the following factors as aggravating circumstances or as favoring
imposing consecutive terms of imprisonment:
(1) The person has recently violated the conditions of any probation, parole, or pardon
granted to the person.
(2) The person has a history of criminal or delinquent activity.
(3) The person is in need of correctional or rehabilitative treatment that can best
be provided by commitment of the person to a penal facility.
(4) Imposition of a reduced sentence or suspension of the sentence and imposition of
probation would depreciate the seriousness of the crime.
* * *
(c) The court may consider the following factors as mitigating circumstances or as favoring
suspending the sentence and imposing probation:
* * *
(6) The person has no history of delinquency or criminal activity, or the person
has led a law-abiding life for a substantial period before commission of the
crime.
(7) The person is likely to respond affirmatively to probation or short term imprisonment.
(8) The character and attitudes of the person indicate that the person is unlikely
to commit another crime.
* * *
(d) The criteria listed in subsections (b) and (c) do not limit the matters
that the court may consider in determining the sentence.
Ind. Code § 35-38-1-7.1.
Footnote:
See Ind. Code § 35-50-2-6(a) (presumptive sentence for Class C felony
is four years, with not more than four years added for aggravating circumstances);
Ind. Code § 35-50-2-7 (presumptive sentence for Class D felony is one and
one-half years, with not more than one and one-half years added for aggravating
circumstances); Ind. Code § 35-50-3-2 (maximum sentence for Class A misdemeanor is one
year).