STATE of Utah, Plaintiff and Respondent, v. David Scott ANDERSON, Defendant and Petitioner.
No. 20070328
Supreme Court of Utah.
Feb. 17, 2009.
2009 UT 13
¶ 23 Judge McCleve made this determination at the proper time. Both Judge Fuchs and Judge McCleve had suspended prison sentences to allow Mr. Yazzie to meet probationary conditions. After it was determined that Mr. Yazzie violated his probation, Judge Fuchs first ordered Mr. Yazzie to prison. Mr. Yazzie then appeared before Judge McCleve, who properly determined whether the prison sentence Mr. Yazzie would serve should run concurrently with or consecutively to the prison sentence he was already serving pursuant to the sentence imposed by Judge Fuchs. In this case, Judge McCleve had the benefit of the entire record, including the reasons why Mr. Yazzie violated probation, and the matters contained in Judge Fuchs‘s sentencing hearing, in making the consecutive/concurrent determination. Although the majority points out that at the time Judge McCleve ordered Mr. Yazzie to serve probation she had received an Adult Probation and Parole presentence report discussing Mr. Yazzie‘s previous crimes and recommending probation run concurrently but prison sentences run consecutively, Judge McCleve did not necessarily know whether Mr. Yazzie would be ordered to serve a prison sentence. At the time Mr. Yazzie first appeared before Judge McCleve, Mr. Yazzie was already on probation ordered by Judge Fuchs. Judge Fuchs did not send Mr. Yazzie to prison for allegedly committing another crime, but revoked and reinstated probation. It is impossible to predict whether district judges will revoke and reinstate probation or order a defendant to prison, for what reasons defendants will violate probation, what changing circumstances will affect defendants’ status, or what extenuating circumstances will arise affecting the consecutive or concurrent determination. The legislature may have revoked the presumption that, absent a court order to the contrary, multiple sentences are to be served concurrently for that very reason; it may have wanted the courts to make the consecutive/concurrent determination from all the information available in every case.
¶ 24 As I stated in Anderson, there is precedent for the positions of both the majority and this concurring opinion. It would be helpful for the legislature to revisit the statutes to clarify whether probation is a sentence already being served within the meaning of
¶ 25 Justice WILKINS concurs in Chief Justice DURHAM‘S opinion.
Joan C. Watt, Debra M. Nelson, C. Bevan Corry, Salt Lake City, for defendant.
NEHRING, Justice:
INTRODUCTION
¶ 1 In this case, we consider whether the court of appeals correctly construed
BACKGROUND
¶ 2 On December 4, 2003, 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.
¶ 3 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.
¶ 4 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
¶ 5 A divided panel of the court of appeals affirmed. State v. Anderson, 2007 UT App 68, ¶¶ 15-16, 157 P.3d 809. The court of appeals’ majority held that the term “served,” as used in
STANDARD OF REVIEW
¶ 6 “On certiorari, we review the decision of the court of appeals and not that of the district court.” State v. Brake, 2004 UT 95, ¶ 11, 103 P.3d 699. Because the issue before us is purely one of statutory interpretation, “[w]e conduct [our] review for correctness, ceding no deference to the court of appeals.” Id. In our review of the court of appeals’ decision, we examine the standard of review it applied to the district court‘s ruling. Id. The court of appeals appropriately used the correctness standard when it reviewed the underlying issue of statutory interpretation. State v. Anderson, 2007 UT App 68, ¶ 4, 157 P.3d 809.
ANALYSIS
¶ 7 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, 2007 UT App 68, ¶ 5, 157 P.3d 809 (quoting
¶ 8 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
I. THE THIRD JUDGE DID NOT HAVE THE AUTHORITY TO MAKE A CONSECUTIVE OR CONCURRENT SENTENCING DETERMINATION
¶ 9 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.
¶ 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 circumstances 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, 2007 UT App 68, ¶ 14, 157 P.3d 809 (emphasis added). Whether the third judge could make the concurrent or consecutive determination is a question that at least merits debate. That the third judge was required to make that determination merits no discussion. He was not. The only authority that the third judge possessed was to execute the first judge‘s sentence.
¶ 11 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
¶ 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
¶ 13 Pursuant to
¶ 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
A. Probation Is Both a Sentence and a Court-Appointed Placement After the Suspension of a Harsher Sentence
¶ 15 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 1973, Utah law has stated that probation is a sentence.
B. Probation Is a Sentence for the Purpose of Interpreting the Phrase “Any Other Sentences the Defendant Is Already Serving”
¶ 16 The court of appeals interpreted
¶ 17 We disagree with the majority‘s textual analysis of
¶ 18 Having demonstrated that
under the majority‘s view, a sentence that includes jail time as a condition of probation would implicate
section 76-3-401(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 circumstancessection 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?
Anderson, 2007 UT App 68, ¶ 24, 157 P.3d 809 (Davis, J., dissenting).
¶ 19 Moreover, under the majority‘s interpretation, a defendant who had served jail time as a condition of probation would not be implicated under
¶ 20 The court of appeals’ majority also held that
¶ 21 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
C. Serving Probation Is a Sufficiently Definite Event for the Commencement of a Consecutive Sentence
¶ 22 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, 2007 UT App 68, ¶ 12, 157 P.3d 809.
¶ 23 The majority relies on State v. DeChenne, an Oregon Court of Appeals opinion to support this proposition. 39 Or.App. 901, 594 P.2d 831 (1979). In that case, the defendant was originally sentenced to five years’ imprisonment but was placed on probation. Id. at 832. Six months later, he was sentenced in a different county to eight years’ incarceration for a separate charge. Id. The second court ordered the eight-year sentence to run consecutive to the five-year sentence for which the defendant was serving probation. Id. On appeal, the court of appeals held that there was no “definite event for commencement of the consecutive sentence in order that the Corrections Division may implement [the consecutive] sentence.” Id. at 832. In other words, because the defendant was still on probation with the first court and the sentence had not yet been executed, there was nothing for the second sentence to be consecutive to. Years later, the Oregon Court of Appeals held that probation is not a sentence for the purpose of concurrent or consecutive determinations. State v. Gaither, 97 Or.App. 576, 776 P.2d 595, 596 (1989). As we held above, however, in Utah probation is a sentence for the purposes of concurrent or consecutive determinations. We therefore adopt a definition of “serve” that is at odds with the Oregon definition of probation.
¶ 24 Idaho, on the other hand, agrees with our position concerning concurrent or consecutive sentencing. In State v. Cisneros-Gonzalez, 141 Idaho 494, 112 P.3d 782 (2004), and State v. Calley, 140 Idaho 663, 99 P.3d 616 (2004), the Idaho Supreme Court held that a trial court “had the authority to impose a sentence of incarceration to be served separately from a sentence of incarceration that had been pronounced, but suspended, in a [separate court] case.” Cisneros-Gonzalez, 112 P.3d at 784.
¶ 26 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.”
CONCLUSION
¶ 27 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
¶ 28 Associate Chief Justice DURRANT and Justice PARRISH concur in Justice NEHRING‘S opinion.
DURHAM, Chief Justice, 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.
¶ 30 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.
¶ 32
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 “an act of grace by the court suspending the imposition or execution of a convicted offender‘s sentence upon prescribed conditions.”
¶ 33 This interpretation is also consistent with the policy set forth in
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.”
¶ 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.
¶ 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
¶ 36 The majority‘s opinion is based in part on the language in
¶ 37 There is precedent for both the majority‘s and this dissent‘s approaches to concurrent and consecutive sentencing. The court of appeals has in the past embraced both approaches. Compare Bird v. State, 2000 UT App 209U, 2000 WL 33244128 (permitting the majority‘s approach) with State v. Workman, 2007 UT App 199U, 2007 WL 1649679 (permitting the dissent‘s approach). It would be helpful for the legislature to clarify
¶ 38 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
¶ 39 Justice WILKINS concurs in Chief Justice DURHAM‘S opinion.
