THE PEOPLE OF THE STATE OF ILLINOIS, Plaintiff-Appellant, v. CASEY L. HAMMOND, Defendant-Appellee.—THE PEOPLE OF THE STATE OF ILLINOIS, Plaintiff-Appellant, v. CHRISTOPHER L. GAITHER, Defendant-Appellee.—THE PEOPLE OF THE STATE OF ILLINOIS, Plaintiff-Appellant, v. KELLY A. DONAHUE, Defendant-Appellee.
Nos. 4—08—0651, 4—08—0652, 4—09—0214 cons.
Fourth District
December 21, 2009
Modified on denial of rehearing February 22, 2010
342 Ill. App. 3d 342
Michael J. Pelletier, Gary R. Peterson, and Catherine K. Hart, all of State Appellate Defender‘s Office, of Springfield, for appellees.
JUSTICE APPLETON delivered the opinion of the court:
In three cases, People v. Hammond, No. 06—CF—50 (Cir. Ct. Livingston Co.); People v. Gaither, No. 05—CF—289 (Cir. Ct. Livingston Co.); and People v. Donahue, No. 07—CF—134 (Cir. Ct. Livingston County), the State petitioned for the revocation of probation. Defendants, Casey L. Hammond, Christopher L. Gaither, and Kelly A. Donahue, moved for dismissal of the petitions on the authority of section 5—6—4(i) of the Unified Code of Corrections (Code) (
I. BACKGROUND
A. People v. Hammond
On May 24, 2006, Hammond entered an open plea of guilty to four counts: unlawful possession of a controlled substance (less than 15 grams of a substance containing heroin) (
On July 12, 2006, the trial court sentenced Hammond to probation for two years. The probation was subject to his compliance with a list of conditions. For example, he had to serve 180 days in jail (with credit for the 66 days he had already served). He had to pay restitution, fines, and fees (minus incarceration credit). He had to refrain from violating any criminal statute.
On May 12, 2008, the State filed a petition to revoke probation. The petition alleged that on or about March 1, 2008, Hammond used marijuana and thereby violated a criminal statute.
On July 8, 2008, Hammond filed a motion to dismiss the State‘s petition to revoke his probation. He alleged that before the State filed its petition, the probation office offered him an “[a]dministrative [s]anction *** in lieu of a [p]etition to [r]evoke [p]robation being filed“; he had accepted the sanction and completed all its requirements; and, therefore, section 5—6—4(i) of the Code (
On July 9, 2008, the State filed a memorandum opposing the motion for dismissal. The State did not dispute the factual basis of the motion, i.e., that before the filing of the petition to revoke probation, Hammond accepted and complied with intermediate sanctions. Instead, the State raised a constitutional objection. The State argued that interpreting section 5—6—4(i) as requiring dismissal of the State‘s petition for revocation of probation in any case in which the probation office had offered intermediate sanctions and the defendant had accepted them and complied with them would abrogate the authority of the State‘s Attorney to prosecute violations of probation and thus would violate the doctrine of separation of powers (
On July 10, 2008, the trial court held a hearing on Hammond‘s motion for dismissal. Judge Frobish asked the assistant State‘s Attorney, Corey J. Luckman, if he was challenging the constitutionality of section 5—6—4(i). Luckman answered that if section 5—6—4(i) meant what defense counsel said it meant—i.e., that “the administrative sanction process [was] exclusive“—then a “constitutional issue” did arise.
Judge Frobish remarked that this case presented “a unique factual situation. With the Hammond family, one boy [was] dead. Another
On August 14, 2008, the hearing on Hammond‘s motion for dismissal resumed. This time, a different judge was presiding, Judge Bauknecht. Luckman reiterated his constitutional argument. He said: “[W]hen one invokes this concept of exclusivity“—i.e., the exclusive power of the probation office to determine, through the offering or nonoffering of intermediate sanctions, whether a nonfelonious violation of probation will result in a possible revocation of probation (see
Judge Bauknecht granted Hammond‘s motion to dismiss the State‘s petition for revocation of probation. She said: “[T]he basis for my *** decision would be the statute; and I guess I‘ll leave it to the [a]ppellate [c]ourt to determine whether it‘s constitutional. I‘m not prepared to declare that today.”
B. People v. Gaither
On March 6, 2006, Gaither entered an open plea of guilty to two counts of unlawful delivery of a controlled substance (more than 1 gram but less than 15 grams of a substance containing cocaine) (
On May 2, 2006, the trial court sentenced him to probation for 3 years, subject to his fulfilling several conditions, including serving 180 days in jail (with credit for 1 day), not using or possessing any alcoholic beverage or entering any place where the sale of alcohol was the principal business, not violating any criminal statute, and submitting to a breath test whenever his probation officer requested him to do so.
On May 14, 2007, Gaither‘s probation officer, Erik S. Mund, filed a report of violation. According to the report, on May 11, 2007, Gaither
On June 29, 2007, the trial court arraigned Gaither on the petition for revocation. The court inquired whether Gaither was eligible for “administrative sanction.” Mund answered he had already filed a report of violation and the State had already decided to petition for the revocation of probation. Luckman explained to the court that Gaither would have been eligible for an administrative sanction but before the probation office offered him one, the State filed its petition for revocation of probation—indeed, it was at the behest of the probation office that the State did so. Mund observed that this was Gaither‘s first violation of probation.
In a status hearing on September 20, 2007, defense counsel requested that “this matter be handled by administrative sanction” pursuant to section 5—6—1(a) of the Code (
Judge Bauknecht told the probation officer: “Mr. Mund, you are directed to offer an administrative sanction to Mr. Gaither following this hearing today ***.” The court gave Gaither permission to file a motion to dismiss the petition for revocation of probation. In the hearing on that motion, the court would address the constitutionality of the legislation creating the administrative sanction.
On November 21, 2007, Gaither filed a motion to dismiss the State‘s petition to revoke his probation. The ground of the motion was his compliance with intermediate sanctions. He alleged that after the State filed its petition, the probation department offered him an administrative sanction. He had accepted the sanction and done everything the sanction required. He argued that section 5—6—4(i) (
On March 13, 2008, in the hearing on Gaither‘s motion for dismissal, Luckman argued that construing section 5—6—4(i) so as to make the State‘s petition for revocation of probation subject to dismissal on the basis of defendant‘s completion of intermediate sanctions would make the statute unconstitutional. He argued that, correctly interpreted, the statute allowed the State‘s Attorney, upon
Judge Bauknecht responded:
“THE COURT: But the statute would have no meaning. It would all boil down to the State[,] then.
MR. LUCKMAN: In the end[,] it does.
THE COURT: That‘s what you are suggesting?
MR. LUCKMAN: That‘s the constitution. The State‘s Attorney. That‘s where the real discretion lies. It creates an avenue that the prosecut—
THE COURT: The State has to be willing to exercise the discretion it‘s given, and the State does not exercise discretion. We do this, that, and this. But I don‘t see too much discretion going on.
We‘re going to take this up on appeal because this person over 21 years of age has been successfully on a term of probation for a term of [2] years and he does the stupidest thing ever and goes into a bar. He violated his probation order. He violated his probation order. He should be sanctioned. He was sanctioned.
That‘s the whole—[t]o me, this case is exactly why we have administrative sanctions[,] because I have now spent how many hearings because he was stupid enough to go into a bar when he was told by the [c]ourt not to be into a bar[,] when he violated no other law. He wasn‘t accused of any other crimes. It‘s a technical violation that has taken my time, your time, Mr. Smith‘s time, and probation‘s time[—and] for what?
MR. LUCKMAN: Because—
THE COURT: Because the State wants to do it that way.”
Judge Bauknecht granted Gaither‘s motion to dismiss the State‘s petition to revoke his probation.
C. People v. Donahue
On July 30, 2007, Donahue entered a negotiated plea of guilty to unlawful use of a credit card number (
On November 17, 2008, Donahue filed a motion to dismiss the amended petition for revocation of probation. She pleaded that before the State filed its petition, the probation department offered her “an administrative sanction *** in lieu of a [p]etition to [r]evoke.” She had accepted the sanction and fulfilled its requirements. Therefore, she concluded, section 5—6—4(i) mandated the dismissal of the amended petition to revoke her probation.
On December 8, 2008, the trial court held a hearing on Donahue‘s motion for dismissal. Luckman argued that “notice [of intermediate sanctions] after the fact [was] a pretty useless thing if the State‘s Attorney [was to have] any function and a role.” He read the statute as “intend[ing] a notice in time to say[,] [‘N]o, we‘re filing a petition[‘]; not a notice after [it was] a fait accompli.” He reasserted the constitutional argument he had made in the other cases.
The trial court stated:
“It‘s nice to know that the [S]tate‘s [A]ttorney‘s office has so much time to deal with somebody moving and then coming back and not reporting and then reporting when we‘ve got other matters to be dealing with ***.
*** [T]he motion to dismiss is granted. This [c]ourt believes that the statute provides that this [c]ourt cannot revoke probation upon the successful completion of a sanction. And clearly Miss Donahue has successfully completed the sanction.
There was no report of probation filed requesting that a petition to revoke be filed. This is set forth in the statute very clearly. There is nothing in the statute that requires the notice of sanctions be filed before, during[,] or after the sanction. So I believe that the method with which the [c]ourt [s]ervices [d]epartment is notifying the State‘s Attorney‘s office at this time is compliant with the statute, and so I do not think that the [c]ourt has authority pursuant to the statute to revoke probation upon the successful completion of the sanction.”
II. ANALYSIS
A. Hammond‘s Case
1. The Correct Interpretation of Section 5—6—4(i)
The State contends that the trial court‘s interpretation of section 5—6—4(i) of the Code (
Before deciding whether the trial court‘s interpretation of section 5—6—4(i) violates the doctrine of separation of powers, we must be sure that the court is correct in its interpretation. The statute provides as follows:
“(i) Instead of filing a violation of probation ***, an agent or employee of the supervising agency[,] with the concurrence of his or her supervisor[,] may serve on the defendant a [n]otice of [i]ntermediate [s]anctions. The [n]otice shall contain the technical violation or violations involved, the date or dates of the violation or violations, and the intermediate sanctions to be imposed. Upon receipt of the [n]otice, the defendant shall immediately accept or reject the intermediate sanctions. If the sanctions are accepted, they shall be imposed immediately. If the intermediate sanctions are rejected or the defendant does not respond to the [n]otice, a violation of probation *** shall be immediately filed with the court. The State‘s Attorney and the sentencing court shall be notified of the [n]otice of [s]anctions. Upon successful completion of the intermediate sanctions, a court may not revoke probation *** or impose additional sanctions for the same violation. A notice of intermediate sanctions may not be issued for any violation of probation *** which could warrant an additional, separate felony charge. The intermediate sanctions shall include a term of home detention *** for multiple or repeat violations of the terms and conditions of a sentence of probation ***.”
730 ILCS 5/5—6—4(i) (West 2008).
Hammond seems to agree with the State‘s interpretation of section 5—6—4(i). He says: “Where the statute is followed correctly[,] and the defendant is offered sanctions and the State and [c]ourt noticed at that time, no objection is made and the sanctions are accepted and completed, the State cannot thereafter file a petition to revoke probation.” (Emphasis added.) Thus, in Hammond‘s view, the efficacy of the intermediate sanctions depends on the lack of an objection by the State‘s Attorney.
The parties are imposing a significant qualification on section 5—6—4(i) that has no basis in the statutory text. From the mere
Also, making the State‘s Attorney‘s approval an implied condition of valid intermediate sanctions would turn section 5—6—4(i) into a procedural mess. For example, the statute says that if the defendant means to accept the proposed sanctions, he or she must do so immediately upon receiving the notice, and then the sanctions go into effect immediately upon the defendant‘s acceptance.
If we take the statute at face value, as the trial court did, we end up with a coherent procedure. Here is what happens. When the defendant commits a technical violation of probation, the probation officer may either file a report of violation or, with the approval of his or her supervisor, serve on the defendant a notice of intermediate sanctions. If the probation officer serves upon the defendant a notice of sanctions, the defendant must make a choice then and there: yes or no to the sanctions. If the defendant rejects the sanctions, the probation officer files a report of violation with the circuit court. If the defendant
2. Separation of Powers
The State argues that if the trial court was correct in holding that section 5—6—4(i) mandated the dismissal of the petition to revoke Hammond‘s probation even though the State‘s Attorney never approved the offer of sanctions, the statute violates the doctrine of separation of powers because a probation department, by serving a notice of sanctions on the defendant, can effectively prevent the State‘s Attorney from filing a petition for revocation (assuming the defendant accepts the sanctions and completes them). The State argues that by enacting section 5—6—4(i), the legislature unduly infringed on the executive branch (of which the State‘s Attorney is an officer) by transferring an essential function of the executive branch to the judicial branch, namely, the function of deciding whether to prosecute a technical violation of the conditions of probation.
Because the issue, as the State frames it, is whether the judicial branch infringed on the executive branch (at the direction of the legislative branch), it does not matter which member of the judicial branch actually accomplished the alleged infringement. A probation officer is a judicial employee (
Essentially, the State‘s objection is not that the judicial branch has “exert[ed] a substantial power belonging to” the State‘s Attorney but
B. Gaither‘s Case
1. Separation of Powers
The State argues that by ordering Mund to offer Gaither intermediate sanctions after the State had already filed a petition for revocation of probation, the trial court “effectively direct[ed] the probation officer to veto, to invalidate, the [S]tate‘s [A]ttorney‘s action of filing the petition to revoke probation.” The State maintains that if the court correctly interpreted section 5—6—4(i) of the Code (
Actually, section 5—6—4(i) does not give the probation officer and his or her supervisor the power, by themselves, to forestall a revocation of probation. The defendant also must “immediately accept” the offer of intermediate sanctions and successfully complete the sanctions.
In Gaither‘s case, moreover, the probation officer did not exercise any power at all, other than deciding what the intermediate sanctions would be. The offer of intermediate sanctions originated with the trial court. The court ordered Mund to offer intermediate sanctions to Gaither. After Gaither accepted the intermediate sanctions and completed them, the court denied the State‘s petition for revocation of probation—or dismissed it, which comes to the same thing.
Ever since probation first became available in Illinois in 1911, the judicial branch has had the power to grant or deny a petition to revoke probation. E.g.,
2. Failure To Follow Statutory Procedures
Alternatively, the State argues that if section 5—6—4(i), as interpreted by the trial court, is constitutionally valid, the offer of intermediate sanctions to Gaither was “void” because the court and probation department failed to follow the procedure in that statute. The statutory procedure is like a forked path, giving the probation department a choice between filing a report of violation or offering the defendant intermediate sanctions. See
Gaither argues the State has forfeited this procedural objection by failing to make the objection during the hearing on September 20, 2007, when the trial court ordered Mund to offer intermediate sanctions. In that hearing, Luckman objected to intermediate sanctions on the ground of separation of powers but not on the ground of failure to follow statutory procedures. The State disagrees it has forfeited this procedural issue. The State says: “The court had entertained some argument on the issue and made its decision. The State‘s stating, ‘I object,’ would [have] be[en] superfluous. It need not have done so to avoid either waiver or forfeiture.” This excuse is unconvincing. In the hearing of September 20, when defense counsel requested that “this matter be handled by administrative sanction,” nothing prevented the State from saying, “Wait a minute, Your Honor. Offering intermediate sanctions at this point would violate section 5—6—4(i), because the probation department already has filed a report of violation and the State already has filed a petition for revocation of probation.” The procedural objection is forfeited. See People v. Vasquez, 388 Ill. App. 3d 532, 553, 902 N.E.2d 1194, 1212 (2009).
C. Donahue‘s Case
In Donahue‘s case, we need not address the question of whether section 5—6—4(i), as interpreted by the trial court, violates the doctrine of separation of powers (although we already have addressed that question in Hammond‘s and Gaither‘s cases), for, in Donahue‘s case, the State‘s argument fails on its own terms. See In re E.H., 224 Ill. 2d 172, 178, 863 N.E.2d 231, 234 (2006) (“Cases should be decided on nonconstitutional grounds whenever possible, reaching constitutional issues only as a last resort“). The State neglected to respond promptly to the notice of sanctions, as the State, in its brief, concedes it must do. The State agrees with Donahue‘s position that once the State‘s Attorney receives a notice of sanctions, the State‘s Attorney must communicate a timely objection, if any, or else a petition to revoke probation will be barred. If, merely for the sake of argument, we assume the correctness of the State‘s view that, by a timely objection, the State‘s Attorney could have invalidated the sanctions the probation officer offered to Donahue, the State‘s Attorney acquiesced to the sanctions by his delay.
On appeal, the State offers three excuses for the delay. First, the State characterizes the minutes as too enigmatic to function as a fair “notif[ication] of the [n]otice of [s]anctions.”
Second, the State maintains that the intermediate sanctions were invalid because they required Donahue to do the types of things the probation order already required her to do, namely, report to her probation officer, and undergo substance-abuse treatment, as her probation officer directed. Nevertheless, section 5—6—4(i) says nothing about intermediate sanctions being different in nature from the preexisting conditions of probation. A defendant would experience a genuine sanction by having to perform the same tasks more often or for a longer time than the probation officer otherwise would have required.
Third, the State contends that in order for a notification of notice of sanctions to serve its purpose, the probation department had to serve the notification upon the State‘s Attorney before, rather than after, the sanctions commenced. The text of the statute affords no support for this contention. Section 5—6—4(i) says: “The State‘s Attorney and the sentencing court shall be notified of the [n]otice of [s]anctions.”
The problem with such delay is that for every day that goes by, the defendant could be devoting time, labor, and money to the fulfillment of the sanctions. For example, Donahue went into debt to obtain extra
This equitable principle applies with full force to the remaining argument the State makes on appeal in Donahue‘s case: that the lack of home detention made the intermediate sanctions invalid and ineffectual. According to section 5—6—4(i) (
Contrary to the State‘s suggestion, the lack of home detention does not make the trial court‘s judgment in this case comparable to a statutorily unauthorized—and therefore void—sentence that is challengeable at any time, as in People v. Gregory, 379 Ill. App. 3d 414, 422, 883 N.E.2d 762, 769 (2008). No statute required the court to revoke Donahue‘s probation. If, as the State also argues, the omission of home detention made the contract between the probation department and Donahue illegal and therefore void, we are aware of no rule of law exempting that argument from procedural forfeiture, either.
D. Infringement on the Judicial Branch
In all three appeals, in the midst of the “Argument” section of its briefs, the State introduces an additional theory as to why section 5—6—4(i) violates the doctrine of separation of powers: by forcing circuit courts to delegate their judicial discretion to probation officers in cases of a technical violation of the conditions of probation, the statute unduly infringes on the judicial branch in its determination of a sentence. For two reasons, we conclude that this theory is not properly before us. First, it does not appear, from our review of the record and from the recitation of facts in the State‘s briefs, that the State urged this theory in the proceedings below. Instead, the State argued that the statute infringed on the executive branch. See People ex rel. Madigan v. Leavell, 388 Ill. App. 3d 283, 290, 905 N.E.2d 849, 856 (2009) (“A party may not raise constitutional issues for the first time on appeal, and a reviewing court will deem such issues forfeited“). Second, at the beginning of its briefs, under the heading “Issues Presented,” the State frames the issue, with respect to separation of powers, as whether section 5—6—4(i) infringes on the Attorney General, not the court. We do not want to run the risk that defendants would be confused or blindsided by a new theory that the State slipped into the body of its argument. See
III. CONCLUSION
For the foregoing reasons, we affirm the trial court‘s judgment in the three cases.
No. 4—08—0651, Affirmed.
No. 4—08—0652, Affirmed.
No. 4—09—0214, Affirmed.
McCULLOUGH, J., concurs.
Specially Concurring Opinion Upon Denial of Rehearing
PRESIDING JUSTICE MYERSCOUGH, specially concurring:
I specially concur. I also would affirm. In all three cases, defendants had completed their sanctions at the time of hearing so the court could not revoke probation.
However, I respectfully disagree with the majority that the State‘s Attorney has no authority to object timely to the issuance of sanctions in lieu of revocation. Both the court and State‘s Attorney are entitled to notice of sanctions, and both may object to sanctions and either seek or issue a revocation upon proper notice to defendants. Probation‘s issuance of the notice does not deprive the State‘s Attorney or court of the authority over defendants’ probation.
