Lead Opinion
OPINION
In sentencing, district courts have a great deal of discretion. Rarely do we hold that it has been abused. But rarely is not never. This is such a rare case.
Appellant Jose Soto pleaded guilty to first-degree criminal sexual conduct for a ■violent rape. The Minnesota Sentencing Guidelines called for an executed sentence of 12 years in prison. Instead, the district court stayed Soto’s prison sentence and put him on supervised probation. The State appealed. The court of appeals reversed and remanded for execution of the 12-year sentence. State v. Soto, No. A13-0997,
I.
Late one night in May 2012, M.F. left a bonfire with Soto and two of Soto’s friends. They all had been drinking and went to an apartment nearby. M.F. thought they were stopping at the apartment briefly. At the apartment, one of Soto’s friends continued drinking and eventually passed out. Soto and the other friend, Ismael Hernandez, began making sexual comments to M.F., touching her, and trying to lift her dress. Soto pushed M.F. into a bedroom. Hernandez followed them and shut the door.
According to M.F., Soto and Hernandez then took off her clothes and forced her onto the bed. One of the two held her down while the other penetrated her anally. Soto then told Hernandez to leave because M.F. “was [Soto’s] for the rest of the night.”
After Hernandez left, Soto penetrated M.F. vaginally and orally, slapped her face, and choked her. The sexual assault lasted about 2 hours. The next morning, M.F. went to the emergency room and reported the assault. The examining nurse observed bruises, scrapes, a swollen cheek, cut lips, and a torn anus.
The State charged Soto with one count of first-degree criminal sexual conduct. See Minn.Stat. § 609.342, subd. l(e)(i) (2012). Soto agreed to plead guilty in return for the State recommending the presumptive sentence under the Minnesota Sentencing Guidelines — 12 years executed, see Minn. Sent. ■ Guidelines 4.B — and not seeking an aggravated departure. The State acknowledged that Soto could seek a downward departure but did not agree to acquiesce if Soto did so.
At the plea hearing, Soto did not admit to assaulting M.F. but conceded that the evidence was sufficient for a jury to find him guilty. He also claimed that he could not remember everything that had happened because he had been intoxicated. See generally North Carolina v. Alford,
In preparation for the sentencing hearing, an agent for Tri-County Community Corrections conducted a presentence investigation and filed a report with the district court. Noting that Soto “has minimized his actions and blames the victim without taking any responsibility,” the agent submitted a transcription of Soto’s version of the incident:
I had consensual sex with a female who was cheating on her boyfriend and to get out of it she said I raped her! I am not a violent person and do feel as [if] the woman I had sex with is a liar and a coward and I do not deserve to be in jail for something I didn’t do!
The agent concluded that Soto “is a high risk to the community” and that “[c]ommu-
Soto also underwent a diagnostic assessment at the Upper Mississippi Mental Health Center. Soto completed the Sexual Adjustment Inventory, a test that measures sexually deviant behaviors, and the results indicated that he “engages in denial and minimization of the sexual offense.” The assessor noted that Soto “did not express any remorse or regrets about the sexual offense ... and was quick to point out that the contact was consensual and the victim made allegations against him out of fear that this would cаuse conflicts in her relationship.” Nonetheless, and without explanation, the assessor concluded that Soto “appears to be an appropriate candidate for participation in the outpatient Sexual Abuse Treatment program.” The assessor did not identify the characteristics that made Soto suitable for outpatient treatment and did not indicate that outpatient treatment was more appropriate than incarceration.
At the sentencing hearing, Soto’s attorney argued for a stayed sentence and the State argued for the presumptive executed sentence. After the attorneys made their arguments, Soto personally apologized to M.F. and asked for a stayed sentence. The district сourt confirmed that it accepted Soto’s plea, found him guilty, and convicted him. The district court sentenced Soto to 12 years in prison, but stayed the sentence and put Soto on supervised probation for 30 years.
The district court called this “the most difficult case of this nature that the Court has considered” and acknowledged that Soto had minimized his culpability and blamed M.F. According to the district court, the “sole reason” for departing from the presumptive disposition was Soto’s “amenability to probation.” A significant factor in the district court’s conclusion that Soto was amenable to probation was the statement in the Upper Mississippi Mental Health Center’s diagnostic assessment that Soto was an “appropriate candidate” for its outpatient treatment program.
Telling Soto that he would have an opportunity to correct his behavior, the district court emphasized that Soto was “only 87 years of age,” that he did not have many serious crimes in his record, and that it was “primarily alcohol that night [that] was the problem.” The district court also remarked that Soto’s attitude in court was “largely ... respectful” and that “this particular type of event seems largely out of character.” Finally, the district court noted that Soto “seem[ed] to have some family support” and that focusing on his 10-year-old son might motivate him to correct his behavior. The district court did not say anything about Soto’s culpability in sexually assaulting M.F. or whether putting Soto on supervised probation would protect public safety.
The State appealed. In an unpublished opinion, the court of appeals reversed and remanded for execution of the presumptive 12-year prison sentence. Soto, No. A13-0997,
II.
We “afford the trial court great discretion in the imposition of sentences” and reverse sentencing decisions only for
A.
The Sentencing Guidelines contain a “nonexсlusive list” of mitigating circumstances that can justify a downward departure — that is, a reduction in the severity of a sentence. Minn. Sent. Guidelines 2.D.3.a. In this case, the district court’s “sole reason” for staying Soto’s sentence was Soto’s “amenability to probation,” which is not on the list. Id. We note at the outset that Soto’s mere “amenability to probation,” as articulated by the district court, does not rise to the level of what we have previously held to justify a departure from the guidelines. To be sure, we have held that “a defendant’s particular amenability to individualized treatment in a probationary setting will justify departure in the form of a stay of execution of a presumptively executed sentence.” State v. Trog,
Our consistent use of the words “particular” and “particularly” in this context is not accidental. “Particular” means “exceptional” or “[distinctive among others of the same group,” and “particularly” means “especially” or “specifically.” The American Heritage Dictionary of the English Language 1285-86 (5th ed.2011); cf. Tucker v. State,
B.
Having confirmed that when we say particularly amenable to probation, we mean just that, we turn to consider whether the record in this case justified staying Soto’s presumptively executed sentence.
1.
One of the district court’s “primary reasons” for deciding that Soto was amenable to probation was the statement in the diagnostic assessment from the Upper Mississippi Mental Health Center that Soto was an “appropriate candidate” for its outpatient treatment. We recognize that such assessments, like presentence investigations, cаn contain useful information for determining whether a defendant is particularly amenable to probation. See, e.g., State v. Park,
What is more, the diagnostic assessment did not actually recommend probation for Soto. Indeed, the assessment did not draw any conclusions about whether it would be better for Soto to receive treatment while on probation than while incarcerated, or compare Soto’s amenability to probation to that of others convicted of sexual assault. Rather, as the court of appeals observed, thе assessment “said only that [Soto] would be an appropriate candidate for treatment, not that such treatment would be best or even appropriately delivered in a probationary setting.”
2.
We have recognized several other factors that can be relevant to determining if a defendant is particularly amenable to probation, including “thе defendant’s age, his prior record, his remorse, his cooperation, his attitude while in court, and the support of friends and/or family.” Id. Of course, these are not the only factors that can bear on a defendant’s amenability to probation, and they may not all be relevant in any given case. But they provide a useful framework for approaching this issue, cf. King,
The district court supported its conclusion that Soto was amenable to probation by noting that he was “only 37 years of age.” The court of appeals disagreed that Soto’s age was entitled to weight, Soto, No. A13-0997,
But, we reject the district court’s conclusion that Soto’s age made him amenable to probation. The district court’s only explanation for its conclusion was that Soto was young enough that he still “ha[d] an opportunity to correct [his] behavior.” But if that reasoning applies to a 37-year-old, it is difficult to see which defendants it would not reach, except the most elderly or infirm. Further, at 37, Soto was older than 60 percent оf defendants convicted of criminal sexual conduct in 2012 (the last year for which data are available). See Minn. Sentencing Guidelines Comm’n, Sentencing Practices: Criminal Sexual Conduct Offenses Sentenced in 2012 12 (2013). We cannot see how being “only” 37 years old could make Soto particularly amenable to probation relative to other defendants.
The district court also considered Soto amenable to probation because Soto “d[id]n’t have a lot of serious crimes” in his record. The court of appeals held that the district court should not have considered Soto’s criminal record, reasoning that the presumptive sentence under the guidelines was based in part on Soto’s criminal-history score of zero, so the fact that Soto had not committed many serious crimes was already accounted for and should not be double-counted. Soto, No. A13-0997,
In this case, however, we conclude that Soto’s record provides very little, if any, support for the conclusion that he was particularly amenable to probation. Soto did not have a clean record; he had been convicted of two counts of possessing drug paraphernalia, two counts of driving with a suspended license, and one count of simple assault against the mother of his son. We do not see anything in Soto’s criminal history that would set him apart and make him particularly amenable to probation on a conviction of first-dеgree sexual conduct.
The district court did not mention Soto’s remorse when it decided that he was amenable to probation, but the court of appeals held that staying Soto’s sentence was necessarily an abuse of discretion because “[his] lack of remorse is impossible to reconcile with a dispositional departure.”
The State acknowledges Soto’s apology, but argues that “[b]rutally raping a person, assaulting them, degrading them, and then calling them ‘a liar and a coward’ is not accepting responsibility or showing remorse, even if the words ‘apology’ and ‘sorry1 are uttered at the time of sentencing.” The State’s position seems to be that the brutality of the crime and Soto’s repeated denials of responsibility entirely negate his later apology. The State is incorreсt, although whether Soto’s apology was genuine or should be given much weight were matters for the district court to decide. In any event, the district court’s decision not to mention Soto’s apology suggests that, appropriately, it did not give the apology much, if any, weight in concluding that Soto was amenable to probation.
The district court did note that “[Soto’s] attitude when [he] presented himself before the Court ha[d] largely been respectful,” but the court of appeals suggested that this factor, standing alone, did not support the departure, see Soto, No. A13-0997,
Finally, the district court found that Soto “seem[ed] to have some family support” and suggested that thinking about his son might help Soto correct his behavior. The court of appeals, based on its own rеview of the record, concluded that the support from Soto’s family did not make him amenable to probation. Soto, No. Al3-0997,
In sum, a few of the factors that we have recognized as potentially relevant might suggest that Sоto could be amenable to probation. But those factors, individually and collectively, provide very little support for the further conclusion that Soto had any particular amenability to probation relative to other defendants.
C.
We now reach the ultimate issue in this case: whether the district court abused its discretion by departing from the Sentencing Guidelines and staying Soto’s sentence. The use of an abuse-of-discretion standard in our review of sentencing decisions, while deferential, “is not a limitless grant of power to the trial court.” State v. Warren,
For example, we have overturned a district court’s decision to impose concurrent rather than consecutive sentences for multiple counts of first-degree murder involving multiple victims because running the sentences concurrently “understate^] [the defendant’s] criminality and d[id] not comport with sentences imposed on other offenders for similar offenses.” Warren,
Applying those principles to the current record in this case, we conclude that the district court abused its discretion in this case of first-degree criminal sexual conduct. Soto committed a forcible and violent assault against an intoxicated and thus particularly vulnerable person. The assault lasted approximately 2 hours and the victim was repeatedly subjected to multiple penetrations by two men. Soto slapped the victim’s face, choked her, and caused several injuries. The Legislature and the Sentencing Guidelines Commission have determined that a sentence of 12 years in prison is “presumed to be appropriate” for someone with Soto’s criminal history who commits such a crime. Minn. Sent. Guidelines 2.D.1; 4.B. But cf. id. 2.D.3.b(1) (listing particular vulnerability of the victim as an aggravating factor that can justify a more severe sentehce); State v. Van Gorden,
We note in particular that the record contains no findings regarding either Soto’s culpability in the assault or whether public safety would be served by placing Soto on supervised probation. Although we have not always addressed these factors before affirming a decision to depart based on a defendant’s particular amenability to probation, see, e.g., King,
For example, in our first case addressing a defendant’s particular amenability to probation, the district court had found that the defendant “does not sеem to be a menace as long as he will receive the type of outpatient treatment which will be structured for him.” Wright,
Our determination that Soto’s stayed sentence is inaрpropriate and disproportionate is also informed by reference to the sentences that other offenders have received for similar crimes. See Minn.Stat. § 244.11, subd. 2(b) (authorizing review of whether a stayed sentence is “unjustifiably disparate”); cf., e.g., Warren,
Accordingly, we conclude thаt on the current record, the district court’s decision to depart from the presumptive disposition under the Sentencing Guidelines and to stay Soto’s sentence was an abuse of discretion. When we first recognized that a defendant’s particular amenability to probation could justify staying a presumptively executed sentence, we acknowledged the “danger that such a justification could be loosely applied.” Wright,
III.
Therefore, we conclude that this is the exceptional case in which the district court abused its discretion in departing from the Sentencing Guidelines. We thus vacate
Vacated and remanded.
Notes
. The State urges us to change our approach and apply different standards of review to different parts of the district court’s decision to depart. The question of the proper standard of review for sentencing departures was not raised in the court of appeals or in the petition for review, so we decline to address it. We do observe, however, that the abuse-of-discretion standard appears to be entirely consistent with the thrust of the State’s argument, which is that a decision to depart from the sentencing guidelines sometimes involves questions of law, which we usually review de novo. As we have recognized, "[a] court abuses its discretion whеn its decision is based on an erroneous view of the law.” Riley v. State,
. The court of appeals concluded that Soto had not expressed remorse becausе he had not admitted sexually assaulting M.F. when he pleaded guilty and had not taken responsibility for the crime during the presentence investigation or diagnostic assessment. Soto, No. A13-0997,
. The court of appeals reversed Soto’s sentence and instructed the district court to impose the presumptive sentence on remand. Because we allow the district court to conduct further fact-finding before resentencing
Dissenting Opinion
(dissenting).
I disagree with the court that the trial court abused its discretion by departing from the presumptive sentence under the Minnesota Sentencing Guidelines and staying appellant’s 12-year prison sentence for first-degree criminal sexual conduct.
“We afford the trial court great discretion in the imposition of sentences and we cannot simply substitute our judgment for that of the trial court.” State v. Spain,
We have previously held that “a defendant’s particular amenability to individualized treatment in a probationary setting will justify departure in the form of a stay of execution of a presumptively executed sentence.” State v. Trog,
The court also does not suggest that the factors considered by the trial court in assessing Soto’s amenability to probation were impermissible or irrelevant. A significant factor in the trial court’s determination that Soto was amenable to probation was the diagnostic assessment from the Upper Mississippi Mental Health Cen
The trial court also considered Soto’s age, criminal history, attitude while in court, and family support. As we previously recognized in Trog, and as the court recognizes here, such factors are relevant to a defendant’s amenability to probation.
In sum, the trial court relied on factors that had a basis in the record and that are recognized by this court as permissible, “potentially relevant” considerations in determining that Soto was sufficiently amenable to probation to justify a dispositional departure. The fact that members of our court would have placed different weight on these factors individually or collectively, and would have considered additional factors previously deemed relevant but not required,
For these reasons, I respectfully dissent.
. In assessing whether the trial court abused its discretion by departing from the guidelines, the court "note[s] in particular that the record contains no findings regarding either Soto’s culpability in the assault or whether public safety would be served by putting Soto on supervised probation.” As the court recognizes, we have not previously required that a trial court address these factors in determining whether a dispositional departure is justified, but have only indicated that such factors are relevant considerations. See, e.g., State v. Heywood,
Dissenting Opinion
(dissenting).
I join in the dissent of Justice Page.
Dissenting Opinion
(dissenting).
I join in the dissent of Justice Page.
