STATE ex rel Conrad R. ENGWEILER, Petitioner on Review, v. Aaron FELTON, Chairperson of the Board of Parole and Post-Prison Supervision, Respondent on Review; STATE ex rel Shane I. SOPHER, Petitioner on Review, v. Michael WASHINGTON, Chairperson of the Oregon Board of Parole and Post-Prison Supervision, Respondent on Review; Shane I. SOPHER, Petitioner on Review, v. BOARD OF PAROLE AND POST-PRISON SUPERVISION, Respondent on Review.
SC S058311; SC S058373; SC S058327
Supreme Court of Oregon
September 1, 2011
260 P.3d 448
Argued and submitted December 1, 2010. CC 07C18859; CA A139059; CC 06C14844; CA A134157; CA A128108. Decision of the Court of Appeals in Sopher v. Board of Parole, 233 Or App 178, 225 P3d 836 (2010) reversed; decision of Court of Appeals in State ex rel Engweiler v. Powers, 232 Or App 214, 221 P3d 818 (2009) reversed and trial court‘s issuance of writ affirmed; decision of Court of Appeals in State ex rel Sopher v. Washington, 233 Or App 228, 225 P3d 142 (2010) affirmed in part and vacated in part.
Argued and submitted December 1, 2010, decision of the Court of Appeals in Sopher v. Board of Parole, 233 Or App 178, 225 P3d 836 (2010) reversed; decision of Court of Appeals in State ex rel Engweiler v. Powers, 232 Or App 214, 221 P3d 818 (2009) reversed and trial court‘s issuance of writ affirmed; decision of Court of Appeals in State ex rel Sopher v. Washington, 233 Or App 228, 225 P3d 142 (2010) affirmed in part and vacated in part September 1, 2011
Jeremy C. Rice, Assistant Attorney General, Salem, argued the cause for respondents on review Aaron Felton, Chairperson of the Board of Parole and Post-Prison Supervision; Michael Washington, Chairperson of the Oregon Board of Parole and Post-Prison Supervision; and Oregon Board of Parole and Post-Prison Supervision. With him on the briefs were John R. Kroger, Attorney General, and Mary H. Williams, Solicitor General.
Before, De Muniz, Chief Justice, and Durham, Balmer, Kistler, Walters, and Linder, Justices.**
DE MUNIZ, C. J.
Linder, J., dissented and filed an opinion in which Kistler, J., joined.
DE MUNIZ, C. J.
These three cases, which we have consolidated for purposes of argument and opinion, involve one administrative rule challenge (
In the rule challenge brought by petitioner Sopher, he contends that the board exceeded its statutory authority when it promulgated administrative rules (the juvenile aggravated murder, or JAM, rules) that provide for a parole review hearing (rather than a parole hearing for the purpose of setting an initial parole release date) after no fewer than 20 years of incarceration, at which time a person convicted of juvenile aggravated murder may attempt to establish his or her suitability for eventual parole. In Sopher‘s rule challenge case, the Court of Appeals concluded that the board did not exceed its statutory authority in promulgating those rules, because
In the two mandamus cases, relators Engweiler and Sopher each contend that the board was required under
The common denominator in the three cases is the applicability to juvenile aggravated murderers of
I. BACKGROUND
We briefly summarize the factual and procedural background of each of the petitioners’ cases. Engweiler committed aggravated murder in 1990, when he was 15 years old. He was tried as an adult, and, on his conviction, the trial court imposed a life sentence with a 30-year mandatory minimum term of imprisonment under
Sopher committed aggravated murder in 1992, when he was 16 years old. He, too, was remanded from the juvenile court and tried as an adult. Upon his aggravated murder conviction, the trial court imposed a sentence of life in prison.
In State ex rel Engweiler v. Cook, 340 Or 373, 380-81, 133 P3d 904 (2006) (Engweiler IV), this court explained that, at the time Engweiler committed his crime, a sentence of life in prison was:
“an indeterminate sentence [which] state[s] only a maximum term to be served under the jurisdiction of the Department of Corrections. Such a sentence did not establish the length of time that a defendant was to be incarcerated.”
And, with regard to an indeterminate sentence, the legislature had granted authority
Oregon had an indeterminate sentencing scheme before 1989 and used a parole matrix system for establishing the actual term of imprisonment for most felony offenders. 340 Or at 831. In 1989, the legislature replaced that scheme with a new “guidelines” sentencing scheme, under which the Judicial Branch (judges) are required to impose determinate sentences—defined presumptive punishments, based on sentencing guidelines that were created by the State Sentencing Guidelines Board and later approved by the state legislature—for most felony convictions. Under the guidelines scheme, judges have little discretion to deviate from the guidelines ranges and criminal defendants subject to guidelines sentencing are not eligible for release on parole. Id.; Engweiler v. Board of Parole, 343 Or 536, 540-41, 175 P3d 408 (2007) (Engweiler V).
However, juvenile aggravated murderers like Engweiler and Sopher continued to receive life sentences until 1995. Engweiler IV, 340 Or at 381-82 (inmates who committed aggravated murder after November 1, 1989, but who were juveniles at the time of their crimes continued to receive indeterminate sentences and the board set their terms of incarceration); Engweiler V, 343 Or at 545 (juvenile aggravated murderers are entitled to the possibility of parole).
Although juvenile aggravated murderers were entitled to the possibility of parole after 1989, the board had no rules governing parole decisions for them. See Engweiler V, 343 Or at 548 (board rules “contained a void” with respect to juvenile aggravated murderers). In 1999, to address that situation, the board promulgated a set of administrative rules to be applied to determine whether and when to grant parole release to juvenile aggravated murderers. Those rules are known as the JAM rules. As this court explained in Engweiler V,
“[T]he JAM rules require the board to hold an initial ‘prison term hearing’ for juveniles convicted of murder who were under age 17 at the time of the offense. OAR 255-032-0005(4) (1999). At that hearing, the board sets ‘a review date * * * rather than a projected parole release date.’ Id. Alternatively, the board may ‘deny parole’ altogether. OAR 255-032-0011(2) (1999). If the board opts to set a review date, it does so based on a parole release matrix that it adopted specifically for juvenile aggravated murderers who are eligible for parole consideration. Id. (cross-referencing Exhibit P-III). Essentially, that matrix establishes ranges of time periods that dictate whether and when a juvenile aggravated murderer will be reviewed for parole eligibility and will receive a parole release date. At the low end, the matrix can result in a review date between 240 and 300 months. Id. At the high end, it can result in a ‘life’ term, which is a denial of parole. Id. The review date then triggers a schedule for further board review of the inmate‘s institutional conduct and rehabilitation efforts, after which the board may establish a parole release date under the matrix or may set another review date at which it will further review the inmate‘s conduct and rehabilitation efforts. OAR 255-032-0011(6)-(7) (1999); see also State ex rel Engweiler, 340 Or at 383 (so concluding). If the board denies parole, the inmate is not totally foreclosed from future parole consideration. Rather, after 480 months, the inmate may petition the board for further review, and then may continue to do so periodically. OAR 255-032-0011(5), (7) (1999).”
343 Or at 549. Pursuant to the JAM rules, the board conducted a prison term hearing for Engweiler in June 1999 and set a review date for him in 2030, after 480 months (40 years) of incarceration. The board conducted a prison term hearing for Sopher in August 1999, and set a review date for him in 2025, after 400 months (33 years and 4 months) of incarceration.
Subsequently, both Engweiler and Sopher petitioned for judicial review of the board orders setting their review dates. In each case, the Court of Appeals held that the
Engweiler petitioned for review, and this court affirmed the Court of Appeals decision in his case. Engweiler v. Board of Parole, 340 Or 361, 133 P3d 910 (2006) (Engweiler III).
Sopher took a different tack. In 2005, he initiated a rule challenge in the Court of Appeals under
While that rule challenge was pending in the Court of Appeals, both Engweiler and Sopher also brought the instant mandamus actions to compel the board to conduct hearings and establish initial release dates for both of them under
In his mandamus action, Engweiler argued that
“Within six months of the admission of a prisoner to any Department of Corrections institution, with the exception of those prisoners sentenced to a term of imprisonment for life or for more than five years, the board shall conduct a parole hearing to interview the prisoner and set the initial date of release on parole pursuant to subsection (2) of this section. For those prisoners sentenced to a term of imprisonment for more than five years but less than 15 years, the board shall conduct the parole hearing and set the initial date of release within eight months following admission of the prisoner to the institution. For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution. Release shall be contingent upon satisfaction of the requirements of
ORS 144.125 .”
The board appealed that ruling to the Court of Appeals. On appeal, the board repeated its argument that the 1991 version of
The Court of Appeals reversed. That court did not address whether the 1991 or 1989 version of
The Court of Appeals observed that ”
“Notwithstanding the provisions of
ORS 144.120 [relating to parole hearings and the setting of initial parole release dates] and144.780 [directing the board to promulgate rules establishing the parole matrix]:“*****
“(b) The board shall not release a prisoner on parole who has been convicted of murder defined as aggravated murder under the provisions of
ORS 163.095 , except as provided inORS 163.105 .”
“Notwithstanding the provisions of
ORS chapter 144 [relating generally to parole and work release],ORS 421.165 [relating to temporary leave] andORS 421.450 to421.490 [relating to forest and work camps]:“(1) When a defendant is convicted of aggravated murder as defined by
ORS 163.095 , the defendant shall be sentenced, pursuant toORS 163.150 , to death, life imprisonment without the possibility of release or parole or life imprisonment.“*****
“(c) If sentenced to life imprisonment, the court shall order that the defendant shall be confined for a minimum of 30 years without possibility of parole, release on work release or any form of temporary leave or employment at a forest or work camp.
“(2) At any time after 20 years from the date of imposition of a minimum period of confinement pursuant to paragraph (c) of subsection (1) of this section, the State Board of Parole and Post-Prison Supervision, upon the petition of
a prisoner so confined, shall hold a hearing to determine if the prisoner is likely to be rehabilitated within a reasonable period of time. The sole issue shall be whether or not the prisoner is likely to be rehabilitated within a reasonable period of time. * * *.
“(3) If, upon hearing all of the evidence, the board, upon a unanimous vote of all five members, finds that the prisoner is capable of rehabilitation and that the terms of the prisoner‘s confinement should be changed to life imprisonment with the possibility of parole, or work release, it shall enter an order to that effect and the order shall convert the terms of the prisoner‘s confinement to life imprisonment with the possibility of parole or work release. Otherwise, the board shall deny the relief sought in the petition.
“(4) Not less than two years after the denial of the relief sought in a petition under this section, the prisoner may petition again for a change in the terms of confinement. Further petitions for a change may be filed at intervals of not less than two years thereafter.”
The Court of Appeals noted that, on its face,
However, the court acknowledged,
“Notwithstanding any other provision of law, a sentence imposed upon any person remanded from the juvenile court under [former]
ORS 419.533 [(1989)] shall not include any sentence of death or life imprisonment without the possibility of release or parole nor imposition of any mandatory minimum sentence except that a mandatory minimum sentence underORS 163.105(1)(c) shall be imposed where the person was 17 years of age at the time of the offense.”
Engweiler had argued that that statute irreconcilably conflicted with the application of
“[That statute] said nothing, however, about the authority of the board to implement the remaining portions of the statute concerning release decisions, as set out in
ORS 163.105(2) to(4) (1989). *** In other words, merely because a court may not impose a particular sentence mentioned inORS 163.105(1) does not necessarily require the conclusion that the board does not remain subject to the requirements of the balance of the statute with respect to juvenile aggravated murderers.”
Engweiler VI, 232 Or App at 227 (emphasis in original). According to the Court of Appeals, the parts of
Finally,
“An assumption implicit in [Engweiler‘s] argument is that the existence of some measure of redundancy in one or more statutes necessarily establishes an irreconcilable conflict
between them. The assumption simply is not consistent with relevant case law. *** Particularly—as in this case—when the alternative to accepting a measure of redundancy in legislation is to hold that some portion of a statute simply does not mean what it says, the courts routinely hold in favor of allowing for the redundancy.”
Id. at 228. The Court of Appeals concluded that the focus of
As noted, Sopher also sought a writ of mandamus to compel the board to conduct a hearing and set an initial release date for him. In Sopher‘s case, the 1991 version of the statute clearly applied. The trial court in his case concluded that the board had no duty under that statute to set a parole release date, because the 1991 version of the statute expressly excluded offenders convicted of aggravated murder. Sopher appealed, and the Court of Appeals affirmed the trial court‘s ruling. That court agreed that
In Sopher‘s rule challenge, the Court of Appeals rejected Sopher‘s argument that the board exceeded its statutory authority in promulgating the JAM rules, for the same reasons that it rejected Engweiler‘s arguments in Engweiler
VI. That is, the court stated that it held in Engweiler VI that, “consistently with
II. DISCUSSION
At the outset, we believe it is important to keep in mind, as we have set out above, that this court is not writing on a clean slate. As noted, this court has addressed issues regarding Engweiler‘s sentence and incarceration on three previous occasions. Thus, with regard to Engweiler directly, and with regard to Sopher as a matter of precedent, the following legal principles are already established.
First, in Engweiler IV, this court described Engweiler‘s sentence as “life imprisonment with the possibility of release or parole” and observed that Engweiler was in the same position as an inmate serving an indeterminate sentence before the adoption of the guidelines sentencing scheme: The board is responsible for determining the actual
Second, in Engweiler V, this court concluded that the “[n]otwithstanding any other provision of law” clause at the beginning of the text of
“that the terms of
ORS 161.620 (1989) prevailed over ‘any other provision of law.’ In other words, the notwithstanding clause ‘ma[kes] it irrelevant thatORS 144.110(2)(b) (1989) andORS 163.105(1) (1989) each mandated a minimum sentence of 30 years without the possibility of parole for any person convicted of aggravated murder and made no exception for persons who were juveniles under the age of 17 when they committed [aggravated murder].’
Third, in Engweiler V, the court also observed, as it had earlier in Engweiler IV, that juvenile aggravated murderers are “a small class of inmates who continued to receive indeterminate sentences,” Engweiler IV, 340 Or at 381, and who are entitled to parole consideration:
”
ORS 161.620 (1989) trumped [ORS 144.110(2)(b) (1989) andORS 163.105(1) (1989)] by precluding imposition of the 30-year mandatory minimum sentence otherwise authorized byORS 163.105(1) (1989) for juveniles who were under age 17 when they committed aggravated murder. Consequently, petitioners must be entitled to the possibility of parole.”
Engweiler V, 343 Or at 545 (emphasis added).
Finally, in Engweiler V, this court observed that when Engweiler committed his crime, “none of the board‘s existing rules provided either procedural or substantive mechanisms to determine whether and when to parole juvenile aggravated murderers.” Id. at 546.
Based on the foregoing, to resolve the rule challenge and the mandamus cases, this court must decide two questions with regard to each inmate: To what extent has the legislature granted the board authority to make parole release decisions in the case of juvenile aggravated murderers like these inmates? And, if the legislature has granted the board authority to make parole release decisions in these cases, what release procedures and criteria did the legislature intend for the board to apply with regard to each inmate?
To answer those questions, we first examine
“Notwithstanding the provisions of
ORS chapter 144 [relating to parole and work release],ORS 421.165 [relating to temporary leave] andORS 421.450 to421.490 [relating to forest and work camps]:“(1) When a defendant is convicted of aggravated murder as defined by
ORS 163.095 , the defendant shall be sentenced, pursuant toORS 163.150 , to death, life imprisonment without the possibility of release or parole or life imprisonment.“*****
“(c) If sentenced to life imprisonment, the court shall order that the defendant shall be confined for a minimum of 30 years without possibility of parole, release on work release or any form of temporary leave or employment at a forest or work camp.
“(2) At any time after 20 years from the date of imposition of a minimum period of confinement pursuant to paragraph (c) of subsection (1) of this section, the State Board of Parole and Post-Prison Supervision, upon the petition of a prisoner so confined, shall hold a hearing to determine if the prisoner is likely to be rehabilitated
within a reasonable period of time. The sole issue shall be whether or not the prisoner is likely to be rehabilitated within a reasonable period of time. * * *. “(3) If, upon hearing all of the evidence, the board, upon a unanimous vote of all five members, finds that the prisoner is capable of rehabilitation and that the terms of the prisoner‘s confinement should be changed to life imprisonment with the possibility of parole, or work release, it shall enter an order to that effect and the order shall convert the terms of the prisoner‘s confinement to life imprisonment with the possibility of parole or work release. Otherwise, the board shall deny the relief sought in the petition.
“(4) Not less than two years after the denial of the relief sought in a petition under this section, the prisoner may petition again for a change in the terms of confinement. Further petitions for a change may be filed at intervals of not less than two years thereafter.”
Subsection (1) of
As we already have discussed, at the time that Engweiler and Sopher committed their crimes, those sentencing options applied only to adult aggravated murderers. That is so, because another statute,
“Notwithstanding any other provision of law, a sentence imposed upon any person remanded from the juvenile court under [former]
ORS 419.533 [(1989)] shall not include any sentence of death or life imprisonment without the possibility of release or parole nor imposition of any mandatory minimum sentence except that a mandatory minimum sentence underORS 163.105(1)(c) shall be imposed where the person was 17 years of age at the time of the offense.”
(Emphasis added.) Also, as explained earlier, this court has stated that the “notwithstanding” clause in that statute means that the terms of
The remaining subsections of
As the wording of those subsections make plain, they have no applicability to a prisoner who is not serving a mandatory minimum sentence. First, as this court stated in Severy/Wilson v. Board of Parole, 349 Or 461, 475, 245 P3d 119 (2010):
“[u]nder the plain words of [
ORS 163.105(2) ], the trigger for the rehabilitation hearing is the ‘imposition’ of [a] minimum period of confinement. Only a court ‘imposes’ a sentence in a criminal case.”
Thus, for juvenile aggravated murderers, the “trigger” for the rehabilitation hearing never occurred;
possibility of parole. See Severy/Wilson, 349 Or at 477 (in requiring board to convert terms of prisoner‘s confinement to life with the possibility of parole,
“Not less than two years after the denial of the relief sought in a petition under this section, the prisoner may petition again for a change in the terms of confinement.”
It is clear from the foregoing that the relief that the prisoner seeks in demonstrating rehabilitation at a hearing under
“(1) In any felony case, the court may impose a minimum term of imprisonment of up to one-half of the sentence it imposes.
“(2) Notwithstanding the provisions of
ORS 144.120 [dealing with release on parole according to matrix] and144.780 [directing board to adopt rules establishing matrix]:“(a) The board shall not release a prisoner on parole who has been sentenced under subsection (1) of this section until the minimum term has been served, except upon affirmative vote of at least four members of the board.
“(b) The board shall not release a prisoner on parole who has been convicted of murder defined as aggravated murder under the provisions of
ORS 163.095 , except as provided inORS 163.105 .”
That statute “deals with restrictions on paroling persons who have been sentenced to minimum terms.” Janowski/Fleming, 349 Or at 443. As this court explained in Janowski/Fleming,
“set out two processes for effectively overriding those mandatory minimum sentences. The processes were parallel, a fact demonstrated by their use of identical wording in paragraphs (2)(a) and (2)(b), viz., ‘The board shall not release a prisoner on parole *** except ***.’ Under paragraph (2)(a), in cases in which the court had imposed mandatory minimum sentences for felonies other than aggravated murder, the board had the authority to override those mandatory minimum sentences if four of the five board members agreed. Paragraph (2)(b), which prohibited the board from releasing on parole a prisoner who had been convicted of aggravated murder ‘except as provided in
ORS 163.105 ,’ gave the board similar authority, albeit with more onerous preconditions: In the case of prisoners convicted of aggravated murder, the prisoner was not permitted to seek a rehabilitation hearing thatmight lead to an override of the prisoner‘s judicially imposed sentence until he already had been incarcerated for 20 years, the burden was on the prisoner to convince the board that he was likely to be rehabilitated within a reasonable time, and the board was required to agree with the prisoner unanimously rather than by a four-of-five member vote. ORS 163.105(2) , (3).”
Janowski/Fleming, 349 Or at 443-44 (footnote omitted). In context, and read together with
Our conclusions respecting the applicability of
As discussed above, in a rule challenge under
“limited to an examination of:
“(a) [t]he rule under review;
“(b) [t]he statutory provisions authorizing the rule; and
“(c) [c]opies of all documents necessary to demonstrate compliance with applicable rulemaking procedures.”
“only if it finds that the rule:
“(a) [v]iolates constitutional provisions;
“(b) [e]xceeds the statutory authority of the agency; or
“(c) [w]as adopted without compliance with applicable rulemaking procedures.”
The JAM rules consist of the 1999 amendments to OAR 255-032-0005, OAR 255-032-0010, OAR 255-032-0015, and OAR 255-032-0020, as well as the then-newly adopted OAR 255-032-0011 and certain exhibits setting out the matrix ranges for juvenile aggravated murderers. OAR 255-032-0005, OAR 255-032-0010, OAR 255-032-0015, and OAR 255-032-0020 were amended to add the word “adult” in various places, to clarify when juveniles were excluded from the review process outlines in those rules. In addition, OAR 255-032-0005 was amended to include the following:
“(4) Inmates, who were juveniles and waived to the adult court pursuant to
ORS 419C.340 through419C.364 , and were under the age of 17 years at the time of their crime(s), and were convicted of Aggravated Murder, perORS 163.095 , and whosecrimes were committed after October 31, 1989 and prior to April 1, 1995, shall receive a prison term hearing. At the hearing, the Board shall set a review date consistent with the terms set forth in OAR 255-032-0011, rather than a projected parole release date.”
OAR 255-032-0011 provides:
“(1) The Board shall conduct a hearing pursuant to OAR 255-030-0013, 255-030-0015, 255-030-0021, 255-030-0023 and 255-030-0025 through 255-030-0055.
“(2) The Board shall set a review date pursuant to Exhibit P-III, or deny parole, pursuant to OAR 255-035-0030.
“(3) The method established by sections (1) to (3) of OAR 255-035-0021 shall not apply to inmates described in 255-032-0005(4). To determine the unified range for inmates described in OAR 255-032-0005(4) with consecutive sentences for aggravated murder, the Board shall establish the matrix range for each crime by using the inmate‘s history/risk score pursuant to Exhibit P-III. The unified range shall be the sum of the ranges established under this section.
“(4) The Board may depart from the appropriate matrix range for inmates described in OAR 255-032-0005(4) only upon making a specific finding that there is aggravation or mitigation which justifies departure from the range pursuant to Exhibits E-1 and E-2. The Board shall clearly state on the record the facts and specific reasons for its finding. The Board may give items of aggravation and mitigation different weight and not necessarily balance them one for one. Exhibit D does not apply to inmates described in 255-032-0005(4). The Board cannot apply aggravating or mitigating factors to adjust an inmate‘s matrix range more than one level up or down. Mitigating factors cannot reduce an inmate‘s matrix range below the lowest possible range on the matrix.
“(5) If the Board denies parole, the inmate may petition for review after 480 months from the adjusted inception date. If the Board determines, following a review of the inmate‘s petition and institutional record, there is reasonable grounds to believe that rehabilitation may have occurred and that the possibility of parole should be considered, a review hearing shall be scheduled.
“(6) If the Board sets a review date pursuant to Exhibit P-III, the Board shall conduct a progress review five years prior to the established review date. The progress review does not require a hearing with the inmate; however, the inmate may submit materials to be considered. The purpose of the progress review is to determine the inmate‘s institutional conduct and rehabilitation efforts since the prison term hearing.
“(7) The Board may determine a parole release date or future review dates any time after the established review date. The Board may order a psychological evaluation. Refusal to submit to an evaluation if one is ordered will be grounds for automatic deferral of the hearing for up to five years or a lesser time if deemed appropriate by the Board. If parole was previously denied, that decision will remain in effect and further petitions for review will not be considered at less than two (2) year intervals.
“(8) At the review hearing, the Board will consider, but is not limited to, the following:
“[various indicia of rehabilitation] * * *
“The decision for the Board shall be whether there are significant indications of reformation and rehabilitation such that the offender does not represent a risk to the community and that it is in the offender‘s and the community‘s best interest that he/she be released to the community under conditions of supervision.
“If the Board does not make the above finding, the Board shall set a subsequent review hearing date not to exceed five (5) years from the present review.”
Exhibit P-III, referred to in the foregoing rule, sets out the juvenile aggravated murder matrix.
Again as noted, in promulgating the JAM rules, the board cited four sources of statutory authority:
Sopher also argues that neither
At the same time, Sopher argues,
“Within six months of the admission of a prisoner to any Department of Corrections institution, with the exception of those prisoners sentenced to a term of imprisonment for life or for more than five years, the board shall conduct a parole hearing to interview the prisoner and set the initial date of release on parole pursuant to subsection (2) of this section. For those prisoners sentenced to a term of imprisonment for more than five years but less than 15 years, the board shall conduct the parole hearing and set the initial date of release within eight months following admission of the prisoner to the institution. For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution. Release shall be contingent upon satisfaction of the requirements of
ORS 144.125 .”
(Emphasis added.)
We conclude that that statute required the board to conduct a parole hearing for offenders sentenced to life in prison within one year after an offender‘s admission to prison, even if the offender had been convicted of aggravated murder. The statute uses the mandatory word “shall” and contains no exceptions depending on the nature of the crime committed.17 Therefore, we conclude that the JAM rule requirement that a juvenile
However, in 1991, before Sopher committed his crime, the legislature added a phrase to
“For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, with the exception of those sentenced for aggravated murder, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution.”
Or Laws 1991, ch 126, § 6 (emphasis added). As noted, the trial court in Sopher‘s mandamus case, and the Court of Appeals in Sopher III, concluded that that wording meant that, after 1991, aggravated murderers were not entitled to a parole hearing.18
Sopher argues, to the contrary, that the exception for aggravated murderers added to
In interpreting a statute, our task is to attempt to discern the intent of the legislature. State v. Gaines, 346 Or 160, 171, 206 P3d 1042 (2009) (discerning the intent of the legislature is the court‘s “paramount goal” in statutory interpretation). We begin by considering the text and context of the statute. Id. We then turn to any pertinent legislative history that the parties have offered. Id. at 172.
We agree that the text of
The first contextual clue is in the legislative note that follows
“Section 28, chapter 790, Oregon Laws 1989 provides:
“Sec. 28. The provisions of ORS 144.110 ,144.120 ,144.122 ,144.125 ,144.130 ,144.135 ,144.185 ,144.223 ,144.245 ,144.270 and144.305 apply only to offenders convicted of a crime committed prior to November 1, 1989, and to offenders convicted of aggravated murder or murder regardless of the date of the crime.”
That note explicitly provides that
(1991) that specifically addresses aggravated murderers is the disputed provision in
Likewise,
Finally, we find further contextual support for our interpretation of
Legislative history suggests that the legislature contemplated that practical concern when it adopted the 1991 amendment. That amendment was enacted from House Bill 2603. When the House Subcommittee on Criminal Law and Corrections met to consider that bill, Representative Rod Johnson asked the then-Chairman of the Board of Parole, Vern Faatz, the purpose of the amendment. Faatz replied:
“There are three categories for aggravated murder: aggravated murder with the death penalty (the Board has no function with that); aggravated murder without parole (the Board has no function with that); and then aggravated murder with parole. The Board has no real up front prison term setting responsibility. We have, at the end of 20 years, a requirement of a review and consideration of parole, if it‘s determined the person can be rehabilitated at a future date[.]”
Tape Recording, House Committee on Judiciary, Subcommittee on Criminal Law and Corrections, HB 2603, Mar 5, 1991, Tape 40, Side A (statement of Vern Faatz). That statement suggests that the legislature viewed its purpose in amending
Considering all of the foregoing together, we conclude that the legislature intended that
To summarize, we find nothing in the statutes that the board has cited as authority for the JAM rules that can be read to authorize the board to require juvenile aggravated murderers to undergo an intermediate hearing process before they become eligible for parole consideration.
We turn now to the mandamus cases. A writ of mandamus may be issued “to any inferior court, corporation, board, officer or person, to compel the performance of an act which the law specifically enjoins, as a duty resulting from an office, trust, or station * * *.”
The question remaining to be answered in these mandamus cases is whether
Engweiler committed his crime in 1989, although he was resentenced in 1994. Engweiler always has contended that the 1989 version of
“For those prisoners sentenced to a term of imprisonment for life * * *, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution.”
By its plain terms,
Engweiler also argues that the board must set a release date for him at that hearing. However,
“Notwithstanding subsection (1) of this section, in the case of a prisoner whose offense included particularly violent or otherwise dangerous criminal conduct or whose offense was preceded by two or more convictions for a Class A or Class B felony or whose record includes a psychiatric or psychological diagnosis of severe emotional disturbance such as to constitute a danger to the health or safety of the community, the board may choose not to set a parole date.”
Given the existence of subsection (4), we cannot say that Engweiler has a “plain and complete” legal right to compel the board to set a release date for him. We can say, however, that the board has a legal duty under
However, we reach a different conclusion with regard to Sopher. Sopher is entitled to a parole hearing under
“For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, with the exception of those sentenced for aggravated murder, the board shall conduct the parole hearing, and shall set the release date, within one year following admission of the prisoner to the institution.”
As we have explained, the foregoing means that prisoners sentenced for aggravated murder are entitled to a parole hearing at which the board must either set a release date or explain why it has chosen not to do so. The question in Sopher‘s case is when does that legal duty on the board‘s part arise? In other words, does the board presently have a clear legal duty to conduct a parole hearing in Sopher‘s case, such that the extraordinary remedy of mandamus is warranted?
As we have explained, although Sopher was eligible for parole consideration from the time he commenced serving his sentence, the board did not have an obligation under
Because no statute or rule directs the board to conduct a parole hearing for Sopher at any particular time, the timing of the hearing is within the board‘s discretion. Accordingly, the trial court and the Court of Appeals were correct in declining to issue a peremptory writ of mandamus.22
In summary, we hold that the board exceeded its statutory authority when it promulgated the JAM rules, requiring juvenile aggravated murderers to undergo the intermediate review process described in
in Engweiler‘s mandamus action; however, we affirm the Court of Appeals decision affirming the trial court‘s dismissal of Sopher‘s mandamus action.
The decision of the Court of Appeals in Sopher v. Board of Parole, 233 Or App 178, 225 P3d 836 (2010) is reversed. The decision of the Court of Appeals in State ex rel Engweiler v. Powers, 232 Or App 214, 221 P3d 818 (2009) is reversed and the trial court‘s issuance of the writ is affirmed. The decision of the Court of Appeals in State ex rel Sopher v. Washington, 233 Or App 228, 225 P3d 142 (2010) is affirmed in part and vacated in part.
LINDER, J., dissenting.
The issue in this case is a narrow one. It is not whether the State Board of Parole and Post-Prison Supervision has general authority to adopt rules to determine whether and when to parole juvenile aggravated murderers. Against an earlier challenge by one of these petitioners, we have already determined that the board has authority to do so. Engweiler v. Board of Parole, 343 Or 536, 548, 175 P3d 408 (2007). We also determined that the board appropriately exercised that authority by promulgating special rules for juvenile aggravated murderers, because the rules that the board promulgated for adult aggravated murderers did not apply. Id. The challenge in these consolidated cases is directed to only one aspect of the procedures that the board has adopted. Specifically, that narrow issue is whether the board was legally obligated, shortly after these juvenile aggravated murderers were sentenced to life imprisonment, to set an actual parole release date for them, or whether the board has authority to choose instead to first determine if the inmate is susceptible to rehabilitation in the foreseeable future, and set a binding release date only if the board decides that the answer is yes.
To resolve that issue, we should first look to the board‘s powers and responsibilities, and in particular the extent to which the legislature has delegated to the board the responsibility to decide the policies and procedures for paroling juvenile aggravated murderers. Like other executive branch agencies, the Board of Parole is a creation of the legislature. The board has no general jurisdiction or inherent authority to exercise any particular power of any kind. See Ochoco Const. v. DLCD, 295 Or 422, 426, 667 P2d 499 (1983) (agencies have no inherent power, but only power and authority conferred on them by organic legislation); see generally Sunshine Dairy v. Peterson, 183 Or 305, 326-27, 193 P2d 543 (1948) (in construing statutes, agency power to act must be expressly conferred by legislature). Instead, the board derives its authority from the enabling legislation that mandates the board‘s functions and grants the board the powers needed to carry out those functions. See 1000 Friends of Oregon v. LCDC, 301 Or 622, 627, 724 P2d 805 (1986) (unless constitutional provision establishes agency‘s function and authority, executive branch agency derives authority principally from the enabling legislation that mandates particular agency‘s function and grants it power). Thus, like other executive agencies, the board‘s powers and responsibilities are limited to those that the legislature has expressly authorized. The board can exercise implied authority only to the extent that such authority is necessary to effectuate the board‘s expressly granted powers. See Ochoco Const., 295 Or at 433-39 (court would not imply agency authority except to effectuate expressly granted power, regardless of policy arguments in favor of such implication); Cabell v. City of Cottage Grove, 170 Or 256, 272, 130 P2d 1013 (1943) (agency authority may be implied as “reasonably and necessarily incident to those expressly granted“); Lee, Inc. v. Pac. Tel. & Tel. Co., 154 Or 272, 279, 59 P2d 683 (1936) (same principle applies to executive branch officials).1
any particular group or class of inmates is eligible for parole before the expiration of their court-imposed sentences and, if so, which branch of government will be responsible for making their parole decisions and on what terms. Id. Any examination of the board‘s authority in this case, consequently, should begin with the enabling legislation that confers authority on the board to parole juvenile aggravated murderers.
Identifying that authority is not, however, a straightforward exercise. As I will outline, only one statute serves as the potential source for the board‘s power to parole any aggravated murderer, adult or juvenile. That statute is
To provide some context for that analysis, it is helpful to briefly examine the board‘s parole authority more generally, from past to present.2 The board‘s power to grant parole, and to adopt the policies and procedures for doing so, is of relatively recent vintage. That power did not reside in the board until approximately 1939. Before then, although a
state parole board existed, the power to parole persons committed to the custody of the state prison system resided only in the governor and in the court that had sentenced an inmate. See generally Anderson, 191 Or at 420-21 (describing former scheme).3 The board‘s role in granting parole was investigatory and advisory—it provided information pertinent to the decision, and it could initiate a parole decision by recommending that the governor parole an inmate. Id.; see also Fehl v. Martin, 155 Or 455, 455-56, 64 P2d 631 (1937) (quoting then-effective statutes providing for governor‘s power to parole inmates on governor‘s motion, or on recommendation of parole board). The board, however, had no parole power of its own.
The legislature dramatically changed that structure in 1939 when it created a statewide parole and probation system. See generally Or Laws 1939, ch 266 (creating state parole and probation system). With that change, the legislature vested authority in the parole board to make parole release decisions and simultaneously divested sentencing courts and the governor of that parole power. See generally Anderson, 191 Or at 420-21 (describing the legislative changes). In doing so, the legislature gave the board broad general
remained constant during that time: Subject to other applicable laws, the board had the power to parole “any” inmate committed to the custody of the Department of Corrections and “to establish rules applicable to parole.”
In 1989, however, the board‘s authority again underwent dramatic change. That year, the legislature adopted the so-called “sentencing guidelines” system, which resulted in determinate sentences for most offenders, with no eligibility for parole. See generally State ex rel Engweiler v. Cook, 340 Or 373, 380-82, 133 P3d 904 (2006) (discussing former parole matrix system and current sentencing guidelines scheme). In accord with that change, the legislature amended
“Subject to applicable laws, the State Board of Parole and Post-Prison Supervision may authorize any inmate, who is committed to the legal and physical custody of the Department of Corrections for an offense committed prior to November 1, 1989, to go upon parole subject to being arrested and detained under written order of the board or as provided in
ORS 144.350 . The state board may establish rules applicable to parole.”
If there were no other source of board authority to release any group or class of inmates on parole, this case would end with that statute. The conclusion would have to be that, assuming that the legislature intended juvenile aggravated murderers to be eligible for parole, and thus to not necessarily serve their entire life sentence, the legislature had not yet provided for any entity to exercise parole release authority as to that class of offenders.
But one other relevant statute does exist:
juvenile aggravated murderers are not wrong. But the majority‘s conclusion that
I do not, however, agree that the misfit between the terms of
“We agree with relator that the fit between all the relevant statutes is not a comfortable one. See Engweiler IV, 343 Or [536,] 543, 543 n 7, [175 P3d 408 (2007)] (noting that, ‘at least at first blush,’ the 1989 versions of
ORS 144.110(2)(b) ,ORS 163.105(1) , andORS 161.620 were ‘potentially inconsistent‘). Nevertheless, we conclude that he too quickly seizes on apparent tensions between the statutes in reaching the conclusion that they irreconcilably conflict, ignoring the obligation of the courts to search for a construction that gives effect to all relevant provisions. SeeORS 174.010 (‘where there are several provisions or particulars such construction is, if possible, to be adopted as will give effect to all‘); Liles v. Damon Corp., 345 Or 420, 424, 198 P.3d 926 (2008) (noting obligation of the courts ‘to give meaning to all parts of those statutes’ in issue). Such a harmonizing construction is possible; the key, in our view, is discerning the difference between the authority of a court to impose a sentence and the authority of the board to implement it.“As we have noted,
ORS 161.620 (1989) precluded the ‘imposition’ on juvenile aggravated murderers of a 30-year ‘mandatory minimum sentence,’ that is, a 30-year term of confinement without possibility of parole as provided inORS 163.105(1)(c) . Ordinarily, the terms ‘imposition’ and ‘mandatory minimum sentence’ refer to those aspects of a criminal offender‘s sanction that are effectuated by a sentencing court, as opposed to those aspects of the sanction—such as parole release—that are implemented by an administrative agency such as the board. See Engweiler IV, 343 Or at 552-53 (explaining that the phrase ‘mandatory minimum sentence’ inORS 161.620 (1989) ‘mean[s] a minimum period of incarceration that a trial court, by statute, is required to impose as part of an offender‘s sentence’ (citing State v. Jones, 315 Or 225, 230, 844 P2d 188 (1992))); see also Gaynor v. Board of Parole, 165 Or App 609, 614-15, 996 P2d 1020 (2000) (distinguishing between authority of sentencing court to impose sentence and authority of Board of Parole and Post-Prison Supervision under ORS chapter 144 to implement sentence).”
ORS 163.105 (1989) itself expressly recognizes that distinction by prohibiting the board and DOC from paroling or releasing (for example, on work release or other forms of temporary leave) an offender sentenced by a trial court to life without possibility of parole,ORS 163.105(1)(b) , and by conferring on the board the authority to carry out procedures applicable to persons sentenced to life with the possibility of parole. Indeed, in Engweiler IV, in answering a certified question from the federal district court—whether the 1989 versions ofORS 144.110(2)(b) ,ORS 163.105(1) , andORS 161.620 ‘combined to create a situation in which certain juveniles * * * convicted of aggravated murder were not entitled to the possibility of parole,’ 343 Or at 543 (footnote omitted)—the Supreme Court limited its analysis entirely to the effect ofORS 161.620 (1989) on subsection (1) ofORS 163.105 (1989) and did not so much as mention any other subsections of the latter statute.“Thus, when
ORS 161.620 (1989) stated that ‘the sentence imposed’ upon a juvenile convicted of aggravated murder may not include any mandatory minimum sentence, that directive precluded a sentencing court from imposing an aspect of the sentence set out in subsection (1)(c) ofORS 163.105 (1989). It said nothing, however, about the authority of the board to implement the remaining portions of the statute concerning release decisions, as set out inORS 163.105(2) to (4) (1989). Cf. State v. Walker, 192 Or App 535, 547, 86 P3d 690, rev den, 337 Or 327 (2004) (where numerous statutes demonstrated that the legislature knew how to refer to a particular administrative agency, the fact that it did not do so in the statute at issue made it unlikely that it intended the latter statute to encompass that agency). In other words, merely because a court may not impose a particular sentence mentioned inORS 163.105(1) does not necessarily require the conclusion that the board does not remain subject to the requirements of the balance of the statute with respect to juvenile aggravated murderers.”
State ex rel Engweiler v. Powers, 232 Or App 214, 225-27, 221 P3d 818 (2009) (footnote omitted) (emphasis in original).
In short, the inconsistencies that exist between the procedures required by
For that reason, the board not only was authorized to promulgate the rules that petitioner challenges, it arguably was obligated to do so. Under those rules, the board holds a prison term hearing at which it determines a future date (no fewer than 20 years of incarceration) to review the juvenile offender‘s suitability for eventual parole; the board does not, at that initial hearing, set a binding parole release date.7 OAR 255-032-0005(4) (1999) (provision for “prison term hearing“); OAR 255-032-0011(2) (1999) (board may set review date rather than projected release date at prison term hearing, or may deny parole). At the future review, the board considers the inmate‘s institutional conduct and rehabilitation efforts, after which the board may establish a parole release date or may set another review date, at which it will further review the inmate‘s conduct and rehabilitation efforts. OAR 255-032-0011(6)-(7) (1999). Those rules, and the procedures they require, are entirely consonant with those procedures of
terms of
Because the board‘s only authority to parole any person convicted of aggravated murder (including a juvenile) arises under
For the above reasons, I dissent.
Kistler, J., joins in this dissent.
Notes
- State v. Engweiler, 118 Or App 132, 846 P2d 1163, rev den, 317 Or 486 (1993) (Engweiler I).
- Engweiler v. Board of Parole, 197 Or App 43, 103 P3d 1201 (2005) (Engweiler II).
- Engweiler v. Board of Parole, 340 Or 361, 133 P3d 910 (2006) (Engweiler III).
- State ex rel Engweiler v. Cook, 340 Or 373, 133 P3d 904 (2006) (Engweiler IV).
- Engweiler v. Board of Parole, 343 Or 536, 175 P3d 408 (2007) (Engweiler V).
- State ex rel Engweiler v. Powers, 232 Or App 214, 221 P3d 818 (2009) (Engweiler VI). After Engweiler filed his petition for review of the Court of Appeals decision in Engweiler VI, the Court of Appeals granted the board‘s motion to amend the case caption to reflect that Aaron Felton is now the board‘s chairman.
The majority expresses its disagreement with this analysis in a footnote. See 350 Or at 615-16 n 14. As part of its response, the majority asserts that“(1) The validity of any rule may be determined upon a petition by any person to the Court of Appeals in the manner provided for review of orders in contested cases. The court shall have jurisdiction to review the validity of the rule whether or not the petitioner has first requested the agency to pass upon the validity of the rule in question, but not when the petitioner is a party to an order or a contested case in which the validity of the rule may be determined by a court.
“*****
“(3) Judicial review of a rule shall be limited to an examination of:
“(a) The rule under review;
“(b) The statutory provisions authorizing the rule; and
“(c) Copies of all documents necessary to demonstrate compliance with applicable rulemaking procedures.
“(4) The court shall declare the rule invalid only if it finds that the rule:
“(a) Violates constitutional provisions;
“(b) Exceeds the statutory authority of the agency; or
“(c) Was adopted without compliance with applicable rulemaking procedures.”
Or Laws 1991, ch 126, § 6 (emphasis added). When the board sets an actual release date, it is legally obligated to release the inmate on that date, subject to limited exceptions. See“For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, with the exception of those sentenced for aggravated murder, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution.”
In addition, Sopher made certain other arguments in the Court of Appeals revolving around a central claim that the board‘s refusal to give him a hearing under
We disagree. Prisoners with indeterminate sentences generally were eligible for parole consideration soon after their admission to prison. See
The dissent errs in two ways. First,
Our conclusion that
As a preliminary matter, we acknowledge, as the board has pointed out, that this court considered, in Engweiler V, whether the board had exceeded its statutory authority in promulgating the JAM rules. In that case, Engweiler argued that the JAM rules exceed the board‘s authority because they ran afoul of
340 Or at 368-69. Those statements in Engweiler III were dicta, because Engweiler had argued that the version that was in effect when he committed his crime—the 1989 version—was the version that applied in his case, and the board conceded that point for purposes of argument there. In summarizing“under that [1991] version of
ORS 144.120(1)(a) ***, the board was not required to set an initial release date for prisoners who, like petitioner, had been sentenced to aggravated murder. *** [N]o *** statute required the board to set an initial release date for persons like petitioner.”
“(1)(a) Within six months of the admission of a prisoner to any Department of Corrections institution, with the exception of those prisoners sentenced to a term of imprisonment for life or for more than five years, the board shall conduct a parole hearing to interview the prisoner and set the initial date of release on parole pursuant to subsection (2) of this section. For those prisoners sentenced to a term of imprisonment for more than five years but less than 15 years, the board shall conduct the parole hearing and set the initial date of release within eight months following admission of the prisoner to the institution. For those prisoners sentenced to a term of imprisonment for life or for 15 years or more, with the exception of those sentenced for aggravated murder, the board shall conduct the parole hearing, and shall set the initial release date, within one year following admission of the prisoner to the institution. Release shall be contingent upon satisfaction of the requirements of
ORS 144.125 .“(b) Those prisoners sentenced to a term of imprisonment for less than 15 years for commission of an offense designated by rule by the board as a non person-to-person offense may waive their rights to the parole hearing. When a prisoner waives the parole hearing, the initial date of release on parole may be set administratively by the board pursuant to subsections (2) to (6) of this section. If the board is not satisfied that the waiver was made knowingly or intelligently or if it believes more information is necessary before making its decision, it may order a hearing.
“(2) In setting the initial parole release date for a prisoner pursuant to subsection (1) of this section, the board shall apply the appropriate range established pursuant to
ORS 144.780 . Variations from the range shall be in accordance withORS 144.785 .“(3) In setting the initial parole release date for a prisoner pursuant to subsection (1) of this section, the board shall consider the presentence investigation report specified in [former]
ORS 144.790 or, if no such report has been prepared, a report of similar content prepared by the Department of Corrections.“(4) Notwithstanding subsection (1) of this section, in the case of a prisoner whose offense included particularly violent or otherwise dangerous criminal conduct or whose offense was preceded by two or more convictions for a Class A or Class B felony or whose record includes a psychiatric or psychological diagnosis of severe emotional disturbance such as to constitute a danger to the health or safety of the community, the board may choose not to set a parole date.
“(5) After the expiration of six months after the admission of the prisoner to any Department of Corrections institution, the board may defer setting the initial parole release date for the prisoner for a period not to exceed 90 additional days pending receipt of psychiatric or psychological reports, criminal records or other information essential to formulating the release decision.
“(6) When the board has set the initial parole release date for a prisoner, it shall inform the sentencing court of the date.
“(7) The State Board of Parole and Post-Prison Supervision must attempt to notify the victim, if the victim requests to be notified and furnishes the board a current address, and the district attorney of the committing county at least 30 days before all hearings by sending written notice to the current addresses of both. The victim, personally or by counsel, and the district attorney from the committing jurisdiction shall have the right to appear at any hearing or, in their discretion, to submit a written statement adequately and reasonably expressing any views concerning the crime and the person responsible. The victim and the district attorney shall be given access to the information that the board or division will rely upon and shall be given adequate time to rebut the information. Both the victim and the district attorney may present information or evidence at any hearing, subject to such reasonable rules as may be imposed by the officers conducting the hearing. For the purpose of this subsection, ‘victim’ includes the actual victim, a representative selected by the victim, the victim‘s next of kin.”
