LARRY FARRIS, WILLIAM MEIER, and ROBERT DAWSON, Appellees, v. DAVID McKUNE, Warden of Lansing Correctional Facility, et al., Appellants.
No. 72,418, No. 72,666, No. 72,853
Supreme Court of Kansas
February 2, 1996.
911 P.2d 177
ABBOTT, J.
Timothy G. Madden, chief legal counsel, Kansas Department of Corrections, argued the cause and was on the briefs for the appellants.
Bruce C. Hedrick, of Legal Services for Prisoners, Inc., of Lansing, argued the cause for appellees and was on the brief for appellees Farris and Dawson.
Robert Dawson, appellee, was on the brief pro se.
The opinion of the court was delivered by
ABBOTT, J.: This is a consolidated appeal. All three offenders pled guilty or nolo contendere to their respective crimes. The offenders were convicted and sentenced prior to July 1, 1993, the effective date of the Kansas Sentencing Guidelines Act (KSGA),
To determine the age of the victims at the time the crimes were committed, KDOC relied on original complaints, amended informations, county/district attorney reports, affidavits of victims’ parents, and presentence investigation (PSI) reports. After determining the ages of the victims, KDOC notified each of the offenders that their pre-guidelines criminal behavior had been converted to a guidelines crime with a severity level of 3. An offender whose crime severity level is 3 is not eligible for retroactive application of the KSGA.
To challenge this determination, each offender brought a
Appellee Larry Farris pled nolo contendere to two counts of aggravated sexual battery. The dates of birth of the victims were clearly stated in the information. Prior to the effective date of the KSGA, aggravated sexual battery required that the victim be less than 16 years of age.
The KDOC admittedly made a mistake and sent Farris a notification that he was not eligible for retroactivity because his pre-guidelines offense corresponded to a guidelines offense of rape, in violation of
Appellee William Meier entered a plea of nolo contendere to two counts of aggravated incest. At that time, the age of the victim was not an element of the crime, but the date of birth of the victim was clearly stated in the information. The KDOC sent Meier a notification letter stating that his pre-guidelines offense corresponded to a guidelines offense in violation of
Appellee Robert Dawson pled guilty to aggravated incest in violation of
The KDOC relied on affidavits of the victim‘s parents and PSI reports to establish that the victim was under 14 years of age and that the offender possessed the necessary intent. The offender never challenged the age of the victim.
The trial court found that the KDOC relied on various “unsubstantiated documents which contain opinions and statements that were never made findings of fact by a court of law” in order to establish the elements of
This is a question of statutory interpretation and, thus, a question of law. The trial court‘s interpretation of the statute being a question of law, this court‘s scope of review is unlimited. See State v. Donlay, 253 Kan. 132, 133-34, 853 P.2d 680 (1993).
We believe this case is governed by State v. Fierro, 257 Kan. 639, 895 P.2d 186 (1995). Fierro involved an offender who, prior
In order to compute a guidelines sentence, it was necessary for the trial court to convert the offender‘s pre-guidelines offense to a comparable guidelines offense. In Fierro, this court analyzed how the trial court should convert the offender‘s pre-guidelines crime. 257 Kan. at 648. Fierro points out that the same procedure used by the trial court when it converts a crime should also be used by KDOC when it converts a crime of an offender who was both convicted and sentenced prior to July 1, 1993. As Fierro states:
“We concentrate on the rules governing offenders who committed crimes before July 1, 1993, but were not sentenced until after July 1, 1993, although the same rules would apply to persons sentenced before July 1, 1993, if the statutory elements of the crime or crimes they committed changed on or before July 1, 1993.” (Emphasis added.) 257 Kan. at 640.
“The reasoning of this appeal applies to all those crimes amended effective July 1, 1993, plus any crimes amended after a prisoner commenced serving a sentence, whether the amendment occurred before or after July 1, 1993. They are countless and involve a large number of prisoners.” 257 Kan. at 649.
In Fierro, this court explained how pre-guidelines crimes are to be converted to comparable guidelines crimes in order to determine an offender‘s severity level and eligibility for retroactivity. This rule is quoted below:
“The legislature clearly intended that the defendant‘s sentence be modified by comparison with the sentencing guidelines as if the ‘crime’ had been committed on or after July 1, 1993. In converting a sentence, the legislature intended that the Department of Corrections use records available to it to determine what the defendant did when the crime was committed and convert that crime to an analogous crime existing after July 1, 1993. This is reflected throughout the sentencing guidelines. See, for example,
K.S.A. 1993 Supp. 21-4707(b) ,(c)(1) , andK.S.A. 1993 Supp. 21-4711(e) .
“Here, Fierro pleaded guilty to crimes involving victims whose ages are not in dispute. The legislature has expressed great concern for criminal acts directed at young children as demonstrated by the number of new crimes involving sexual acts committed on minors and by increasing penalties for these crimes.
“We hold the legislature intended that the trial court compute the sentence under the sentencing guidelines by looking at actual conduct and by applying the actual acts committed to the comparable crime in effect after July 1, 1993.” (Emphasis added.) 257 Kan. at 650-51.
Fierro clarifies that KDOC may use all records which it has access to in order to determine the precise nature of the offender‘s pre-guidelines criminal behavior and to determine which guidelines crime is most analogous to the pre-guidelines behavior.
The appellees attempt to distinguish themselves from Fierro. In Fierro, the offender was convicted before July 1, 1993, but was not sentenced until after July 1, 1993. At Fierro‘s initial sentencing, the sentencing court, not KDOC, converted Fierro‘s crime to a guidelines crime by referring to verified facts which had been subjected to due process safeguards while the defendant was represented by counsel. Appellees contend that they were not provided the same protection which Fierro received. In the appellees’ retroactivity determinations, KDOC, not a sentencing court, acted as a factfinder and utilized unverified information which had never been determined by a trial court to be factual under a reasonable doubt standard. The appellees argue that a sentencing court, as in Fierro, is in a better position than KDOC to evaluate the actual conduct of the offender. Furthermore, the appellees contend that when the trial court determined Fierro‘s sentence, it computed his sentence “as the law existed prior to July 1, 1993,” pursuant to
The appellees are mistaken in their arguments. They misunderstand the purpose of
Thus, the case at issue and Fierro are not distinguishable. KDOC properly used records available to it to convert the offenders’ pre-guidelines criminal behavior into corresponding guidelines crimes which have severity levels of 3, thereby making the offenders ineligible for retroactivity. If the offenders object to the crime which KDOC converted them to, because KDOC relied upon documents with incorrect information, then the offenders have every right to contest the conversion in their respective sentencing courts under
Randall holds that an offender may contest a notification of findings in the sentencing court pursuant to
“It is important to remember the trial court [or KDOC] at this stage is not dealing with guilt or innocence of a defendant. The defendant has been convicted and sentenced for the crime in effect when the defendant committed the crime. The issue before the court is whether the defendant will have a sentence reduction based on the severity level set by the legislature for crimes in effect on or after July 1, 1993.” 257 Kan. at 651.
The Kansas Constitution does not require that the more lenient criminal sentences provided under the KSGA be applied retroactively. The legislature‘s grant of such retroactivity is an act of grace. See 257 Kan. at 649. As such, the retroactivity may be accompanied by any limiting procedure which the legislature provides, such as allowing the use of all documents available to KDOC when it determines an offender‘s eligibility for retroactivity. The State then points to two other circumstances in which the State‘s power to reduce an offender‘s sentence is restricted by limitations which do not violate an offender‘s due process rights—the Governor‘s pardon and the Secretary of Corrections’ right to recommend a reduction of a criminal penalty.
The appellees also contend that when KDOC relies on documents which an offender has not specifically pleaded guilty to, then KDOC, an executive agency, is acting as a judicial trier of fact in violation of the separation of powers doctrine. According to Dawson, once a conviction has been reached through a plea, the evidentiary process is complete. Thus, the only facts which the KDOC
Under
“In determining the criminal history classification, the department of corrections shall conduct a reasonable search of the inmate‘s file and available presentence report, and make a reasonable inquiry of the Kansas bureau of investigation and the federal bureau of investigation, for other records of criminal or juvenile convictions which would affect the criminal history classification.”
In Fierro, 257 Kan. at 650, this court supports its holding by specifically pointing out that the legislature allows KDOC to rely on all records available to determine an offender‘s criminal history. This court treats crime severity and criminal history analogously. Thus, it makes sense that if KDOC can use a broad range of doc-
However, the appellees point out that when KDOC determines an offender‘s criminal history for retroactivity purposes, the “[p]rior convictions of a crime defined by a statute which has since been repealed shall be scored using the classification assigned at the time of such conviction.”
While criminal history and crime severity are treated analogously, there is still a distinction between the two. When converting a crime to determine crime severity for retroactivity purposes, KDOC and/or the sentencing court have access to all the documents concerning the offender‘s conviction for that particular crime. Thus, KDOC or the sentencing court will be able to look back at these documents and this particular crime to determine the offender‘s “actual conduct and [apply] the actual acts committed to the comparable crime in effect after July 1, 1993.” Fierro, 257 Kan. at 651. The legislature also wanted KDOC to use whatever documents it had access to in order to determine an offender‘s criminal history.
Finally, according to Meier, even if this court allows KDOC to use all records available to it in a retroactivity determination and the offender contests KDOC‘s determination in the sentencing court, such challenge would be a nullity unless KDOC could prove beyond a reasonable doubt the facts it relied upon to convert the offender‘s crime. Meier is incorrect. It is not necessary for sentencing factors to be proven beyond a reasonable doubt. “Facts” established for use in sentencing require less evidentiary weight than facts asserted for conviction. See McMillan v. Pennsylvania, 477 U.S. 79, 91-92, 91 L. Ed. 2d 67, 106 S. Ct. 2411 (1986) (reasoning that the states may prescribe a burden of proof lower than beyond a reasonable doubt for sentencing factors).
In further support of the State‘s argument, Fierro specifically affirms State v. Colston, 20 Kan. App. 2d 107, 883 P.2d 1231 (1994). 257 Kan. at 651. In Colston, the offender pled no contest to aggravated incest with a child. KDOC converted Colston‘s pre-guidelines criminal behavior to the guidelines crime of aggravated incest, which has a severity level of 5. The State objected to KDOC‘s determination, contending that by reference to the charging instrument, plea transcript, trial transcript, and other documentation, Colston‘s criminal activity should be converted to the guidelines offense of aggravated criminal sodomy in violation of
“We agree with the State‘s argument and conclude that the legislative intent of
K.S.A. 1993 Supp. 21-4724(c)(1) is to look to the criminal acts committed priorto July 1, 1993, for which the defendant was convicted and then determine what crime those acts would constitute after July 1, 1993, and the appropriate severity level. “In this case, Colston pled nolo contendere, was found guilty, and was convicted of acts described in the amended information which, at the time of his plea, constituted the elements of aggravated incest contrary to
K.S.A. 21-3603 , but which acts constitute the elements of aggravated criminal sodomy after July 1, 1993, contrary toK.S.A. 1993 Supp. 21-3506 .“. . . Therefore, it was proper for the DOC and sentencing court to look to the well-pleaded facts of the information and to the journal entries to determine Colston‘s post-guidelines crime of conviction.” 20 Kan. App. 2d at 112-15.
Meier attempts to distinguish Colston with three arguments. First, Meier points out that the offender‘s behavior in Colston was converted to a severity level 5 crime; thus, both the offender and the sentencing court received guidelines reports concerning his eligibility for retroactivity. This is an irrelevant distinction. Meier may contest his notification of findings in the sentencing court just as Colston could have contested the guidelines report in the sentencing court. See State v. Randall, 257 Kan. at 486.
Secondly, Meier asserts that there was no question in Colston, as there is here, that Colston pled guilty to each of the elements in his converted guidelines offense. Meier concedes that if he had been charged after July 1, 1993, he may have been charged with the crime which KDOC now wishes to convert his crime to,
Meier is incorrect. As Colston point out, when an offender enters a plea of nolo contendere, as Meier did, then the offender admits to all of the well-pleaded facts of the information for purposes of the case. 20 Kan. App. 2d at 114 (citing Lott v. United States, 367 U.S. 421, 426, 6 L. Ed. 2d 940, 81 S. Ct. 1563 (1961); Lill v. State, 4 Kan. App. 2d 40, 42, 602 P.2d 129 (1979)). Meier‘s well-pleaded information contained the date of birth of the victim and the dates between which the offenses occurred. Thus, Meier admitted to committing the offenses during a time in which the victim was under 14 years of age. KDOC may rely on this document and Meier‘s accompanying admission to determine the actual criminal conduct which occurred and may convert Meier‘s crime to a guidelines crime which contains as an element that the victim be under 14 years of age. If Meier contests this conversion because the victim was not actually under 14 years of age when the offense occurred, then Meier may bring a challenge in the sentencing court.
Meier makes a third attempt to distinguish his situation from the Colston case. Meier contends that, when KDOC converted the offender‘s pre-guidelines crime in the Colston case, KDOC did not have various guidelines conversion crimes to choose from as it did in Meier‘s case. Meier contends that KDOC could have converted his pre-guidelines crime to several different guidelines crimes, some of which would have resulted in retroactivity and some of which would not result in retroactivity. For instance, according to Meier, KDOC could have converted his criminal behavior to
Instead of looking to the Colston case, Meier and Dawson suggest that this court look to State v. King, No. 71,448, unpublished Court of Appeals opinion filed December 16, 1994, as an analogous case. The parties improperly cite to an unpublished opinion, and it will not be considered. See Supreme Court Rule 7.04 (1995 Kan. Ct. R. Annot. 40).
We conclude by pointing to Fierro, which specifically states that “[i]n converting a sentence, the legislature intended that the Department of Corrections use records available to it to determine what the defendant did when the crime was committed and convert that crime to an analogous crime existing after July 1, 1993.” 257 Kan. at 650. As such, KDOC properly relied upon the Farris and Meier charging documents to prove the victims were under 14 years of age at the time of the offenses. However, Fierro did not limit the records which may be used by KDOC to the charging
The trial court is reversed and the case is remanded to the trial court to enter an order denying the
SIX, J., concurring: The majority opinion holds that the consolidated cases now before the court are controlled by State v. Fierro, 257 Kan. 639, 895 P. 2d 186 (1995). I agree. I wrote a concurring and dissenting opinion in Fierro, which was joined by only one other member of the court. I am obliged to follow the law as stated in Fierro.
