Dancer v. StateDancer v. State
- Reporters:
- ,
- Before:
- Singleton
OPINION
SINGLETON, Judge.
Nick J. Dancer pled guilty and was convicted of one count of sexual abuse of a minor in the first degree, an unclassified felony.
Dancer has mounted an extensive constitutional attack on presumptive sentencing. Each of his arguments will be addressed in turn. There are, however, certain themes basic to his entire argument which we discuss in an introductory section.
INTRODUCTION
The Alaska Revised Criminal Code became law when it was signed by the governor on July 22, 1978, with an effective date of July 1, 1980. Stern, History of the Alaska Criminal Code Revision, Criminal Code Manual, Alaska Department of Law, Criminal Division, at 10 (June 1979). As part of the Revised Code, the legislature enacted a system of presumptive sentencing which departed from previous practice in a number of ways. See generally Stern, Presumptive Sentencing in Alaska, 2 Alaska L.Rev. 227 (1985). We are guided in our interpretation of the presumptive sentencing system by the tentative drafts to the current statutes and the Report of the Twentieth Century Fund Task Force on Criminal Sentencing, Fair and Certain Punishment (1976) (hereafter Fair and Certain Punishment), upon which the Revision Committee and legislature relied.
One of Dancer’s basic arguments is that the weight of learned opinion opposes presumptive sentencing. Dancer finds such opposition expressed in treatises and law review articles and incorporated into the various provisions of the ABA Standards for Criminal Justice, Sentencing Alternatives and Procedures (Vol. Ill, 2d ed. 1980 & Supp.1982). Dancer points out that some of those who originally favored a presumptive system have become opponents because of perceived abuses where such systems have been enacted. In making this argument, Dancer misperceives the role of appellate courts in reviewing constitutional challenges to legislation. We may not concern ourselves with the wisdom of legislation. Our role is much more modest. We evaluate the legislation to determine whether it contravenes any prohibitions in the constitution. If it does not, we must uphold the legislation. Policy arguments advocating changes to constitutional legislation must be addressed to the legislature, not the courts.
A second pervasive theme in Dancer’s various arguments is the assertion that sentences under the presumptive scheme are fundamentally unfair, when compared to sentences imposed before enactment of presumptive sentencing. Presumptive sentencing, in Dancer’s view, does not have the flexibility to carry out the constitutional mandate that sentencing should reflect the twin goals of reforming the defendant and protecting the community.
1
In
Smith,
we recognized that the legislature intended that
While we did not make the connection explicit, the second prong of the “manifest injustice” standard, as refined in Lloyd, is similar to the “clearly mistaken” standard adopted by the Alaska Supreme Court for sentence review in McClain v. State, 519 P.2d 811 (Alaska 1974). In order to apply this standard, the trial court must compare the presumptive sentence with sentences generally received for similar conduct. Pears v. State, 698 P.2d 1198, 1202-04 (Alaska 1985). Decisions of the Alaska Supreme Court evaluating sentences under McClain would be particularly helpful in determining whether, in view of the totality of the circumstances, a presumptive sentence adjusted for statutory aggravating and mitigating factors is manifestly unjust in a particular case. If a sentence equal to the presumptive term would have been found “clearly mistaken” on review under former law, it will probably be “manifestly unjust” under current law. Furthermore, a complete analysis will also require consideration of the appropriate sentence for any lesser-included offenses which defendant’s conduct most nearly approximates. AS 12.-55.155(d)(9); Braaten v. State, 705 P.2d 1311, 1324-26 (Alaska App.1985) (Singleton, J., concurring). See also Heathcock v. State, 670 P.2d 1155, 1160-61 (Alaska App.1983) (equating the proportionality-review approach to cruel and unusual punishment analysis in recent cases with the determination of “manifest injustice”) (Singleton, J., concurring in part and dissenting in part). 2
The Task Force recommends that the legislature, or the body it designates, also define specific aggravating or mitigating factors, again based on frequently recurring characteristics of the crime and the criminal_
In imposing sentences, judges normally consider a wide variety of factors. Some of these, such as the defendant’s race, appearance, or sex are clearly improper; others, such as whether the defendant pleaded guilty or “cooperated” with the authorities, are debatable. It is the view of the Task Force, based on its own experience and on what it has learned about the system as a whole, that different judges — acting without legislative or appellate court guidance— have different views as to whether a given factor is appropriately considered in sentencing. It is our conclusion that these issues should be openly debated, that, in situations where the factors are fairly typical and frequently recurring, the legislature (or delegated body) should decide whether these factors should be considered in sentencing.
Only in truly extraordinary and unanticipated circumstances would the judge be permitted to deviate from the presumptive sentence beyond the narrow range permitted by an ordinary finding of aggravating or mitigating factors. Any deviation would have to be justified in a reasoned opinion subject to a searching review on appeal. Absolute maximum or minimum sentences available to a judge in such extraordinary cases should also be established by the legislature.
Fair and Certain Punishment, at 20-21 (emphasis in original).
This two-fold analysis under AS 12.55.-165, which we adopted in
Smith,
711 P.2d 561, was anticipated in the Task Force report and foreshadowed in the tentative draft. Alaska Revised Criminal Code, Part VI, commentary at 71-74 (Tentative Draft 1978). It appears that the legislature, in adopting
The foregoing discussion of the function of the three-judge panel as the “safety valve” for our presumptive sentencing scheme is a response to Dancer’s general complaints about the statutory system and explains our rejection of those general complaints. In the remainder of this opinion we address each of Dancer’s specific constitutional challenges to Alaska’s presumptive sentencing scheme.
SEPARATION OF POWERS
Dancer argues that the separation of powers, implicit in the Alaska State Constitution, provides Alaska trial courts with inherent power to suspend legislatively established sentences and place convicted persons on probation during the suspended period. Dancer reasons that any legislative attempt to interfere with this power by establishing flat-time sentences, minimum sentences, or presumptive sentences is therefore void unless the legislation expressly provides or can be interpreted to provide the trial court with discretion to suspend the sentences established. Dancer relies primarily on State v. McCoy, 94 Idaho 236, 486 P.2d 247 (1971), and State v. Lindquist, 99 Idaho 766, 589 P.2d 101 (1979). He also finds support in Chief Justice Bird’s concurring and dissenting opinions in People v. Tanner, 23 Cal.3d 16, 151 Cal.Rptr. 299, 587 P.2d 1112 (1978) (Bird, C.J., concurring and dissenting), vacated on rehearing, 24 Cal.3d 514, 156 Cal.Rptr. 450, 480, 596 P.2d 328, 358 (1979) (Bird, C.J., concurring and dissenting) and decisions of the North Carolina, New York, Michigan and New Jersey courts. See People v. Stickle, 156 Mich. 557, 121 N.W. 497, 499 (1909); State ex. rel. Gehrmann v. Osborne, 79 N.J.Eq. 430, 82 A. 424, 428 (1912); People ex rel. Galea v. McCoy, 27 Misc.2d 850, 209 N.Y.S.2d 205, 206 (1960) rev’d on other grounds, 14 A.D.2d 979, 221 N.Y.S.2d 417 (1961); State v. Simmington, 235 N.C. 612, 70 S.E.2d 842, 844 (1952). See generally Note, Separation of Powers — The Suspended Sentence, 51 N.C.L. Rev. 184 (1972); Annot. 100 A.L.R.3d 431, § 6 (1980 & Supp.1985).
The Alaska Supreme Court has consistently held that our trial courts have no inherent authority to suspend sentences; the power exists only when conferred upon the judiciary by the legislature. See, e.g., Pete v. State, 379 P.2d 625 (Alaska 1963); but cf. Wright v. Anchorage, 590 P.2d 425 (Alaska 1979); Kodiak v. Jackson, 584 P.2d 1130 (Alaska 1978) (mandatory minimum sentences created by city ordinance are invalid when in conflict with state law authorizing trial courts to suspend sentences). The Alaska Supreme Court has consistently held that the power to determine an appropriate punishment for an offense is vested exclusively in the legislature. See, e.g., Rust v. State, 582 P.2d 134, 136-37 (Alaska 1978); B.A.M. v. State, 528 P.2d 437 (Alaska 1974); Faulkner v. State, 445 P.2d 815, 818 (Alaska 1968). Cf. Thomas v. State, 566 P.2d 630, 637-38 (Alaska 1977); Speas v. State, 511 P.2d 130 (Alaska 1973). 4 In reliance on this authority, we have previously sustained Alaska’s presumptive sentencing statute against challenges similar to those raised by Dancer. See, e.g., Koteles v. State, 660 P.2d 1199, 1200 (Alaska App.1983); Wright v. State, 656 P.2d 1226, 1227-28 (Alaska App.1983); Nell v. State, 642 P.2d 1361, 1368-70 (Alaska App.1982). See also Martin v. State, 664 P.2d 612, 620 (Alaska App.1983) (twenty-year minimum sentence for conviction of first-degree murder does not violate constitution), cert. denied, 465 U.S. 1007, 104 S.Ct. 1001, 79 L.Ed.2d 234 (1984).
Dancer acknowledges the existence of these cases and recognizes that they are in conformity with the majority view in the United States. He argues, however, that
Nell
and its progeny apply only to repeat offenders and contends that the constitutional position of a first offender is worthy
DUE PROCESS AND EQUAL PROTECTION
Dancer next argues that to the extent that presumptive sentencing denies him individualized consideration and the opportunity to have his rehabilitation advanced by a suspended sentence, it denies him his constitutional right to due process and equal protection.
In Green v. State, 390 P.2d 433, 435 (Alaska 1964), this court articulated the following test for determining whether a particular punishment constitutes cruel and unusual punishment:
Only those punishments which are cruel and unusual in the sense that they are inhuman or barbarous, or so disproportionate to the offense committed as to be completely arbitrary and shocking to the sense of justice may be stricken as violating the due process [and cruel and unusual punishment] clauses....
566 P.2d at 635 (footnote omitted). The United States Supreme Court recently phrased a different constitutional test for cruel and unusual punishment, stating: “[W]e hold as a matter of principle that a criminal sentence must be proportionate to the crime for which the defendant has been convicted.”
Solem v. Helm,
463 U.S. 277, 290, 103 S.Ct. 3001, 3009, 77 L.Ed.2d 637, 649 (1983).
6
The Court went on to explain
Reviewing courts, of course, should grant substantial deference to the broad authority that legislatures necessarily possess in determining the types and limits of punishments for crimes, as well as to discretion that trial courts possess in sentencing convicted criminals. [Footnote omitted.]
463 U.S. at 290, 103 S.Ct. at 3009, 77 L.Ed.2d at 649. The footnote states, in part:
In view of the substantial deference that must be accorded legislatures and sentencing courts, a reviewing court rarely will be required to engage in extended analysis to determine that a sentence is not constitutionally disproportionate.
463 U.S. at 290 n. 16, 103 S.Ct. at 3009 n. 16, 77 L.Ed.2d at 649 n. 16.
A sentence of eight years imposed upon a first offender convicted of genital intercourse with an eleven-year-old child is not so disproportionate to the offense committed as to warrant a finding of cruel and unusual punishment. See State v. Andrews, 707 P.2d 900, 911-17 (Alaska App.1985) (evaluating typical sentences for sexual assault on children under prior law), petition for hearing granted (Alaska, December 6, 1985). Since the Alaska Supreme Court has established the same test for cruel and unusual punishment and violations of substantive due process, it necessarily follows that a presumptive sentence of eight years does not violate substantive due process.
Dancer contends that the imposition of a presumptive sentence, which can only be modified by recourse to statutorily established aggravating and mitigating factors, denies him the individualized consideration and respect for his rehabilitation which are available to trial courts sentencing those not subject to a presumptive term. Therefore, he claims his right to the equal protection of the law is violated. In
Stiegele v. State,
685 P.2d 1255, 1257 (Alaska App.1984), we noted that the Alaska Supreme Court has interpreted our state equal protection and due process provisions more broadly than the federal courts have construed the comparable federal provisions. Consequently, if a statute passes muster under the Alaska constitutional provisions, it will be valid under the federal constitution. To withstand an equal protection challenge, a legislative classification need not be perfect, it “must be reasonable, not arbitrary, and must rest upon some ground of difference having a fair and substantial relation to the object of the legislation, so that all persons similarly circumstanced shall be treated alike.” 685 P.2d at 1257, quoting
Griffith v. State,
641 P.2d 228, 233 (Alaska App.1982). In
Stiegele,
we upheld a statute denying bail on appeal to those convicted of unclassified felonies and class A felonies. We noted that the effect of the statute was to deny bail to those convicted of the most serious crimes, which carry the most serious penalties, and we found that to be a reasonable- legislative classification in light of the purposes of bail,
i.e.,
assurance of continued appearance and protection of the community. 685 P.2d at 1257-58. The class addressed in
Stiegele
was the class of those convicted of an unclassified felony or a class A felony. Here, we consider the class of first felony offenders who are subject to presumptive sentences,
i.e.,
those who are convicted of a class A or unclassified felony. Presumptive sentencing serves the legislative goal of ensuring uniformity and limiting disparity in sentencing. Presumptive sentencing is appropriate for this limited class of first offenders because the risk of disparity in sentencing is greatest where the maximum penalty is the greatest. Similarly, a class comprised of class A felons and unclassified felons is the group most likely to be dangerous to the community. We stress that in determining whether a legislative classification violates equal protection, we
PRINCIPLE OF REFORMATION
Dancer next argues that applying presumptive sentencing to first felony offenders violates Article I, Section 12 of the Alaska Constitution which provides in pertinent part:
Penal administration shall be based upon the principle of reformation and upon the need for protecting the public.
We rejected the argument that presumptive sentencing violates this constitutional provision in Nell, 642 P.2d at 1369-70. The constitutional provision addresses penal administration as a system. Necessarily, its scope differs as it is applied to sentencing by judges and to treatment after sentencing by correctional officials. It is not necessary for us to address its impact on corrections in this case. It addresses criminal sentencing by requiring that a criminal sentence must serve one of two goals. It must either provide for the defendant’s rehabilitation, or if that is not feasible, it must serve to protect the public. Koteles v. State, 660 P.2d at 1202 (Singleton, J., concurring). A severe sentence of imprisonment is not necessarily inconsistent with the rehabilitation of a first felony offender convicted of sexual assault. State v. Lancaster, 550 P.2d 1257, 1259 (Alaska 1976). As we noted in Nell, presumptive sentencing serves the legislative goal of eliminating unjustified disparity in sentences and obtaining reasonable uniformity in sentences. 642 P.2d at 1369. The legislature could also reasonably conclude that those who commit class A felonies and unclassified felonies or are repeat offenders present a sufficient risk of danger to the public so that a presumptive sentence that emphasizes special and general deterrence, the isolation of repeat offenders who cannot be deterred or reformed, and the affirmation of community norms, should be given preference over rehabilitation. Such a determination does not violate Article I, Section 12 of the state constitution.
EXECUTIVE CLEMENCY AND PAROLE POWER
Finally, Dancer argues that legislation making those presumptively sentenced ineligible for parole violates Article III, Section 21 of the state constitution, which provides:
Executive Clemency. Subject to the procedure prescribed by law, the governor may grant pardons, commutations, and reprieves, and may suspend and remit fines and forfeitures. This power shall not extend to impeachment. A parole system shall be provided by law.
Dancer realizes that the phrase “shall be provided by law” means by the legislature.
See
REFERRAL TO THE THREE-JUDGE PANEL
Dancer requested the trial court to refer his case to the three-judge panel. The trial court apparently found that an eight-year sentence for Dancer would be manifestly unjust indicating that he would never impose such a sentence for Dancer if he had any discretion, but based on his experience with the three-judge panel concluded that referral would be futile. Dancer did not assign this ruling as error. Consequentially, we may only address it if it constitutes plain error.
The trial court’s decision that presumptive sentencing is constitutional is AFFIRMED. The sentence of the superior court is VACATED, and this case is REMANDED to the superior court with directions to enter an order referring the matter to the three-judge panel established pursuant to
Notes
. Criticism of former sentencing law pinpointed the personality of the sentencing judge as the paramount factor in determining the length of sentences. Some judges were known to be lenient and some to be severe. Stern, 2 Alaska L.Rev. at 228-29. In part, current law has been structured to eliminate the benefit of a lenient judge and the detriment of a severe judge. Functionally, this is the primary shift between the old and the new sentencing codes. To the extent that Dancer is arguing that he has a constitutional right to the opportunity to a random assignment of a lenient judge for sentencing, the argument is frivolous.
. We do not suggest that the “clearly mistaken” standard under former law and the “manifestly unjust” standard under current law are identical. Certainly, a legislative presumptive sentence must be treated more deferentially than a single judge’s sentencing decision. As we have indicated, referral to the three-judge panel will be relatively rare. Walsh v. State, 677 P.2d 912, 918-19 (Alaska App.1984). The functional similarity between the two standards is that both involve review of a sentence by a panel of judges. The supreme court rarely overturned trial court sentences under the McClain standard. Likewise, the majority of a panel of judges must concur if any deviation from the presumptive term is to be allowed. AS 12.55.-175(d). It is likely that a panel will just as rarely overturn a presumptive sentence based upon a finding that it is manifestly unjust. In neither case, does the rarity of a decision disap proving a sentence establish a lack of meaningful sentence review.
. The three-judge panel’s authority to establish new aggravating and mitigating factors constitutes a legislative recognition of the court‘s common law power to develop the law subject to legislative and constitutional limitations.
See
. The only constitutional limitations on the legislature’s power to prescribe punishments which the supreme court has previously recognized are the due process and cruel and unusual punishment clauses of the state and federal constitutions. Faulkner v. State, 445 P.2d at 818.
. In Smith, 711 P.2d 561, the trial court proposed that the three-judge panel adopt a new mitigating factor that would enable the court to consider favorable information pertaining to a youthful first offender’s potential for rehabilitation. As envisioned by Superior Court Judge Ripley, this factor could be applied only to youthful first offenders whose criminal acts were out of character and whose background, education, and experience established that they could be rehabilitated without danger to the public by a sentence substantially shorter than the presumptive sentence. The three-judge panel rejected this proposed factor without considering its merits because it concluded that the factor, if established, would not warrant substantial reduction in the presumptive sentence. We reversed, holding that the factor should have been considered on its merits. This factor, if generally applied, would enable the trial courts to differentiate between first offenders whose felony involved characteristic conduct, evidenced by previous unchanged activities or misdemeanor and juvenile convictions, and those whose felony conviction involved conduct which was truly impulsive and out of character. General recognition of this mitigating factor, where appropriate, would undercut the force of most of Dancer’s policy arguments about presumptive sentencing as it applies to first offenders.
. In Green, the Supreme Court of Alaska noted that our constitution, unlike those in some sister states, has no specific provision requiring that penalties shall be proportioned to the nature of the offense. 390 P.2d at 435. Nevertheless, Solem requires our courts to consider proportionality; the three-judge panel provides an additional check to correct any sentence that might otherwise run afoul of Solem. See Heath cock v. State, 670 P.2d 1155, 1160-61 (Alaska App.1983) (Singleton, J. concurring in part and dissenting in part).