Lead Opinion
INTRODUCTION
11 In this case, we consider whether the court of appeals correctly construed Utah Code section 76-3-401,
BACKGROUND
T2 On December 4, 2008, David Scott Anderson pled guilty to one third degree felony count of theft. The district court judge imposed a sentence under Utah's indeterminate sentencing of zero to five years in prison. The judge suspended the prison commitment and placed Mr. Anderson on probation for eighteen months.
13 Several months later while on probation for theft, Mr. Anderson pled guilty to two first degree felony counts of aggravated robbery. A second judge sentenced Mr. Anderson to two indeterminate terms of not less than six years in prison on each count. The second judge ordered the sentences to run concurrent with one another but made no mention of whether these sentences would run concurrent or consecutive to Mr. Anderson's earlier theft sentence.
T4 During this time, Adult Probation and Parole filed an affidavit and an Order to Show Cause with a third judge, who had replaced the first judge who had sentenced Mr. Anderson for theft, which stated that Mr. Anderson's probation should be revoked. The affidavit averred that Mr. Anderson had been convicted of two first degree felony counts of aggravated robbery and would soon be sentenced for those offenses. Several months after the second judge sentenced Mr. Anderson for his crimes of aggravated robbery, the third judge revoked Mr. Anderson's probation and executed the suspended sen
15 A divided panel of the court of appeals affirmed. State v. Anderson,
STANDARD OF REVIEW
16 "On certiorari, we review the decision of the court of appeals and not that of the district court." State v. Brake,
ANALYSIS
T7 The majority of the court of appeals held that probation does not fall within the definition of a sentence being served as meant by the phrase "'any other sentences the defendant is already serving." State v. Anderson,
18 We agree with the dissenting judge of the court of appeals and hold that probation is a sentence that a defendant serves as used in section 76-8-401(1)(b).
I. THE THIRD JUDGE DID NOT HAVE THE AUTHORITY TO MAKE A CONSECUTIVE OR CONCURRENT SENTENCING DETERMINATION
T9 The determination to run Mr. Anderson's previously suspended theft sentence consecutive to the sentences imposed and executed by the second judge was beyond the third judge's authority. Once probation has been revoked, a district court judge has the authority to execute only the previously imposed sentence. Utah Code Ann. § 77-18-1(12)(e)(iii) (2008) ("If probation is revoked, ... the sentence previously imposed shall be executed."); see also Salt
[10 The third judge overstepped his authority when he determined that the sentence for theft was to run consecutively to the sentences for the two counts of aggravated robbery. In view of this clear limited grant of authority, we are puzzled by the court of appeals' pronouncement that "the cireumstances presented to Judge Reese [the third judge] required him to make the concurrent/consecutive determination at the probation revocation hearing in which he sought to impose and execute the previously suspended sentence." State v. Anderson,
111 The Jaramillo court was faced with the issue of a district court judge imposing consecutive sentencing for simultaneously imposed sentences at the time of probation revocation. The court held that under section 76-3-401(1) "the determination of whether two simultaneously imposed sentences are to be served concurrently or consecutively is to be made at the time of sentencing, and may not be made for the first time upon the revocation of probation." Id. §16. We agree with this holding and hold that section 76-3-401(1) applies not only to simultaneously imposed sentences but also to "sentences the defendant is already serving," Utah Code Ann. § 76-8-401(1)(b)
[12 Because Mr. Anderson was convicted for only one count of theft, there was no need for the first judge to make a concurrent or consecutive sentencing determination when he imposed the sentence. The third judge, therefore, was limited to executing only the previously imposed sentence. It is inappropriate for a judge to make a concurrent or consecutive sentencing determination based on future crimes that were not committed at the time the sentence was imposed.
II. THE SECOND JUDGE WHO SENTENCED MR. ANDERSON FOR HIS AGGRAVATED ROBBERY CONVICTIONS WAS THE ONLY JUDGE WITH STATUTORY AUTHORITY TO DETERMINE CONCURRENT OR CONSECUTIVE SENTENCING FOR THE PREVIOUSLY IMPOSED THEFT SENTENCE
118 Pursuant to Utah Code section 76-3-401(1) (2008), the decision whether sen
1 14 For reasons we will speak of shortly, we conclude that probation is a sentence and therefore the second judge had the authority pursuant to section 76-3-401(1) to have considered Mr. Anderson's earlier conviction when determining whether the aggravated robbery sentences ought to be concurrent or consecutive to the theft sentence.
A. Probation Is Both a Sentence and a Court-Appointed Placement After the Suspension of a Harsher Sentence
115 Probation has two roles under Utah law. It is both a sentence and an alternative sanction to be imposed after the suspension of a harsher sentence. First, since 19783, Utah law has stated that probation is a sentence. Section 76-3-201(2) states that "a court may sentence a person convicted of an offense to ... probation."
1 16 The court of appeals interpreted Utah Code section 76-8-401(1)(b) to exclude probation based on the view that the legislature used "served" throughout the statute only in reference to incarceration. See Anderson,
1 18 Having demonstrated that section 76-3-401 does not use "serve" in a manner that limits its definition to incarceration, we turn to the second component of the majority opinion's argument: the impracticality of including probation within the definition of sentences a defendant is already serving. We again conclude that the court of appeals' dissent presents the better case when it articulates the practical difficulties created by the majority's interpretation. For example, the court of appeals' dissent correctly points out that
under the majority's view, a sentence that includes jail time as a condition of probation would implicate section 76-38-401(1)(b), but a sentence of probation with other conditions would not.... Thus, under the majority approach, it is difficult to know under just what cireumstances section 76-3-401(1)(b) would be implicated: A sentence that includes community service? A sentence of confinement with work release? A sentence of confinement to jail and not the Utah state prison?
1 17 We disagree with the majority's textual analysis of section 76-3-401. The majority concluded that the term "served" consistently and exclusively means "incarcerated" when used in section 76-3-401. The majority makes its case for this proposition with sufficient persuasiveness that it cannot be dismissed out of hand. It is an argument, however, that rejects the premise that probation is a sentence that can be served. Above we have explained why probation is a sentence and why a defendant, whose liberty is constrained by the terms of probation, is serving a sentence. While it is true that when "served" is used in section 76-8-401 the word may be construed to mean incarcerated, its use also suggests that it may include probation. "Serve" or a variation of it appears five times in section 76-8-401. That "served" means "incarcerated" in section 76-3-401(10) is only apparent because of the modifier "actually." Section 76-3-401(10)
Anderson,
19 Moreover, under the majority's interpretation, a defendant who had served jail time as a condition of probation would not be implicated under section 76-3-401(1)(b) because in its view "already serving" means incarcerated at the time the concurrent or consecutive determination is made.
120 The court of appeals' majority also held that section 76-3-401 would be internally inconsistent if subsection (1)(b) were to
T21 Thus we hold that probation is a sentence and that it is applicable to the phrase "any other sentences the defendant is already serving" as found in section 76-3-401(1)(b).
C. Serving Probation Is a Sufficiently Definite Event for the Commencement of a Consecutive Sentence
122 The centerpiece of the impracticality of the application component of the majority opinion is the assertion that if a defendant is considered to be serving a suspended sentence, it is impossible to make a rational consecutive sentencing determination because there has not yet been a "sufficiently definite event for commencement of a consecutive order because it was not clear when or if the suspended sentence would be executed." Anderson,
23 The majority relies on State v. DeChenne, an Oregon Court of Appeals opinion to support this proposition.
'I 24 Idaho, on the other hand, agrees with our position concerning concurrent or consecutive sentencing. In State v. Cisneros-Gonzalez,
126 The application of these principles in this case would have resulted in assigning the concurrent or consecutive determination to the second judge who sentenced Mr. Anderson on his robbery convictions. That judge would have had, therefore, reason to acquire information, typically contained in the presentence report, concerning Mr. Anderson's criminal history before sentencing. A presentence report allows a judge, prior to making a concurrent or consecutive sentencing determination, to take into account several factors including "the history, character, and rehabilitative needs of the defendant." Utah Code Ann. § 76-38-4010).
CONCLUSION
127 In conclusion, we hold that a judge must impose concurrent or consecutive sentencing determinations at the time of final judgment and not at the revocation of probation. A judge who revokes a defendant's probation is limited by law to executing the original sentence and does not have the authority to rule on whether sentences should be concurrent or consecutive. Additionally, we hold that probation is a sentence being served as used in section 76-3-401 for the purposes of determining concurrent or consecutive sentencing. We reverse the court of appeals' decision and vacate Mr. Anderson's consecutive sentence as ordered by the third judge, Judge Reese. Because this case comes to us from a writ of certiorari, reviewing an appeal of Judge Reese's ruling and not the second judge, there is no authority to remand the case to the second judge for a determination of concurrent or consecutive sentencing. We note, however, that based on our opinion in State v. Yazzie,
1 28 Associate Chief Justice DURRANT and Justice PARRISH concur in Justice NEHRINGS opinion.
Notes
. The legislature amended Title 76 of the Utah Code in 2008. Because there were no substantive changes made to section 76-3-401, we cite to the 2008 version.
. The legislature reqaumbered Utah Code section 78A-3-102 in 2008. This section was previously numbered as 78-2-2. No substantive changes were made, and we therefore cite to the newly renumbered section.
. The legislature amended section 77-18-1 in 2008. The subsections referenced in this opinion, however, remain unchanged from the 2003 version in effect during the time Mr. Anderson committed his crimes. We therefore cite to the 2008 version.
. We recognize that the court of appeals in this case attempted to differentiate section 76-3-401(1)(a), which deals with simultaneously imposed sentences, from section 76-3-401(1)(b), which deals with previously imposed sentences. The court of appeals held that under subsection (b) determinations of concurrent or consecutive sentencing could be made at a later date rather than being indicated in the final order. The court of appeals was mistaken on this matter. Rather, as was argued by the court of appeals' dissent, both "subsections (a) and (b) are merely descriptive of the circumstances under which the statute may be implicated." Anderson,
. Under Utah Code section 76-3-401(1), the district court when imposing concurrent or consecutive sentences must state its determination "on the record and ... indicate [the determination] in the order of judgment and commitment." By requiring concurrent or consecutive sentencing determinations to be made at the time of the final judgment, a defendant also receives finality of judgment and can then appeal if he chooses to do so. See State v. Bowers,
. Utah is not alone in this. Federal law states that a defendant "may be sentenced to a term of probation." 18 U.S.C. § 3561 (2000); see also United States v. Granderson,
. The legislature amended section 76-3-201 in 2008. Subsection (2), however, was unchanged from the 2003 version in effect during the time Mr. Anderson committed his crimes. We therefore cite to the 2008 version.
. Section 77-18-1(12)(e)(iii) also states that if probation is revoked, the judge may sentence the defendant. This situation would only occur if the defendant had been previously sentenced to probation and there had been no suspension of a prison sentence. This issue, however, is not before us.
. We mention only briefly the State's argument that once a probation violation report is filed, the defendant is no longer on probation. The State bases this argument on section 77-18-1(11)(b) which states that "[the running of the probation period is tolled upon the filing of a violation report...." Utah Code Ann. § 77-18-1(11)(b). The State's argument that a defendant is no longer serving probation or any sentence during this period leads to the illogical result that once a violation report is filed, the defendant is free of any state constraints. It seems to us that, while the probation period is tolled between the filing of a violation report and the issuance of an order to show cause, the defendant is still subject to the conditions imposed by his probation and hence on probation. The only difference is that the time may or may not count toward completion of his sentence of probation.
Dissenting Opinion
dissenting:
29 I respectfully dissent. I believe that another statutory interpretation reflects both the intent of the legislature when it revoked the default presumption in consecutive/concurrent sentencing, and the true nature of probation.
I depart from the majority in its determination that probation constitutes a "sentence" being served within the meaning of the relevant statutes. Therefore, I conclude that the first court to execute a prison sentence for a defendant who is already incarcerated is the court that should determine whether its sentence is to run concurrent with or consecutive to the prison sentence already being served. In other words, where a defendant who, while on probation supervised by court A, commits another crime for which court B sentences him to prison, it should be court A that determines, when revoking probation, that the prison sentence thus executed will run consecutively to or concurrently with the prison sentence the defendant is already serving.
T32 Utah Code section 76-8-401(1)(b) (2008) provides,
A court shall determine, if a defendant has been adjudged guilty of more than one felony offense, whether to impose concurrent or consecutive sentences for the offenses. The court shall state on the record and shall indicate in the order of judgment and commitment: ... if the sentences before the court are to run concurrently or consecutively with any other sentences the defendant is already serving.
In the context of this statute, "already serving" means a defendant who is serving a prison sentence and not a defendant who is on probation. Probation is defined in the statutes as "anm act of grace by the court suspending the imposition or execution of a convicted offender's sentence upon prescribed conditions." Utah Code Ann. § 77-27-1(10) (emphasis added). Probation is not a sentence that a defendant is already serving. The continuing jurisdiction of trial courts over defendants on probation supports this view. "The court has continuing jurisdiction over all probationers," Utah Code Ann. § 77-18-1(2)(b)(i}), and only loses jurisdiction over defendants when they are sentenced to prison. See State v. Anderson,
133 This interpretation is also consistent with the policy set forth in section 76-3-401(2):
In determining whether state offenses are to run concurrently or consecutively, the court shall consider the gravity and circumstances of the offenses, the number of victims, and the history, character, and rehabilitative needs of the defendant.
The court that is considering executing a sentence previously imposed on an already-incarcerated defendant who has violated a probation order is the court with the most information regarding "the history, character, and rehabilitative needs of the defendant." Utah Code Ann. § 76-8-401(2). That and other information will be available in the defendant's record and Adult Probation and Parole reports, concerning all subsequent charges and sentences.
4 34 The majority's opinion limits a district court's ability, when deciding to revoke probation and send a defendant to prison, to fully consider the defendant's character, history, and rehabilitative efforts. It requires a less-informed district court that is sentencing on new charges, without the benefit of the probation revocation hearing and decision, to determine the practical effects of a defendant's sentence. This will essentially require one district court to speculate about another district court's potential actions in the probation review process.
11 35 In this case, the record does not show what information, if any, the court first incarcerating the defendant (in this case Judge Atherton) had regarding the history of Anderson's probation related to his previous conviction. I can foresee a scenario (although one hopes it would not occur) where a court disposing of new charges might even be unaware that a defendant is serving probation in another case when that court sentences the defendant to prison. In such a case, after the probationary court revokes probation and also sends the defendant to prison, the Board of Pardons would be required to request clarification from the court that was unaware of the defendant's prior crimes. See Utah Code Ann. § 76-3-401(4). In contrast, it is not at all likely that a court considering probation revocation for an already-incarcerated defendant would be unaware of a defendant's current incarceration and the reasons for it.
1 86 The majority's opinion is based in part on the language in Utah Code section 76-3-201(2)(c) that "a court may sentence a person convicted of an offense ... to probation." Despite this provision, I am aware of no
I 37 There is precedent for both the majority's and this dissent's approaches to coneur-rent and consecutive sentencing. The court of appeals has in the past embraced both approaches. Compare Bird v. State, 2000 UT App 209U,
138 I would affirm the court of appeals' decision in this case. The court that executes a prison sentence for a defendant who is already incarcerated should be the court to determine whether its sentence is to run concurrent with or consecutive to the previously executed sentence. That court is likely to have the most knowledge of the defendant and is in the best position to clarify for the Board of Pardons and Parole whether a sentence should run consecutively or concurrently. However, as is demonstrated by this case, the current statutory provisions support inconsistent interpretations. I would encourage the legislature to revisit Utah Code section 76-8-401 to clarify whether probation is intended to qualify as a "sentence already being served" within the meaning of subsection (1), and, when two or more trial courts have sentenced an individual, which of them should decide whether those sentences should run concurrent with or consecutive to one another.
