Lead Opinion
OPINION
{1} This case is before us for a second time, after remand from the United States Supreme Court for reconsideration in light of its recent opinion in Cunningham v. California,
I. BACKGROUND
{2} Defendant Douglas Frawley was convicted of two third-degree felony counts of negligent child abuse, see NMSA 1978, § 30-6-1 (C) (1997, prior to amendments through 2005), and one misdemeanor count of attempting to commit custodial interference, see NMSA 1978, §§ 30^h4(B) (1989), 30-28-1(D) (1963). The basic sentence for a third-degree felony is three years of imprisonment, NMSA 1978, § 31-18-15(A)(5) (1999, prior to amendments through 2005), while a misdemeanor may be punished by less than one year of imprisonment, NMSA 1978, § 31-19-1(A)(1984).
{3} Our felony-sentencing statute provides that the basic sentence for a noncapital felony “shall be imposed ... unless the court alters such sentence pursuant to” one of four other enumerated statutes. Section 31-18-15(B) (1999, prior to amendments through 2005). One of those enumerated statutes allows for alteration of the basic sentence “upon a finding by the judge 'of any mitigating or aggravating circumstances surrounding the offense or concerning the offender.” NMSA 1978, § 31-18-15.KA) (1993). “If the court determines to alter the basic sentence, it shall issue a brief statement of reasons for the alteration and incorporate that statement in the record.” Id. The amount of the alteration up or down, however, may not be greater than one-third of the basic sentence. Section 31-18-15.1(0). Thus, for a third-degree felony a judge may sentence an offender anywhere from two to four years provided that if the sentence is anything other than three years, the judge must incorporate his or her findings in the record when deviating from the basic sentence. In this case, after finding four aggravating circumstances the judge added one year to eaeh of Frawley’s third-degree felony convictions. The judge ran Frawley’s sentences consecutively, sentencing him to a total term of imprisonment of nine years less one day.
{4} While Frawley’s case was on direct appeal, the United States Supreme Court published Blakely v. Washington,
{5} While Frawley’s case was pending review in this Court, we published State v. Lopez,
II. HISTORICAL OVERVIEW
{6} Having provided a cursory look at the factual and procedural background of this case, we conduct a deeper historical overview of the relevant statutory and case law. No point of law has longer been established in New Mexico than the rule that the “prescription of the mode of punishment [is] preeminently [a] rightful subject[] of legislation].” Bray v. United States,
A. New Mexico’s Criminal Sentencing Act and Amendments
{7} With the passage of the Criminal Sentencing Act (CSA), New Mexico adopted such a discretionary sentencing scheme in 1977.
{8} In 1979, the Legislature amended portions of the CSA. 1979 N.M. Laws, ch. 152, at §§ 1-4. The amendments, with a few others made later not pertinent to the ease at hand, remain effective. Most significantly, the amendments changed the way in which the basic sentence is determined. Instead of the judge exercising discretion to choose a basic sentence from a given range, the basic sentence for each degree of felony is now set at an exact amount. Section 31-18-15CA). As it applies to this case, instead of being allowed to choose a basic sentence anywhere from two to ten years imprisonment for a third-degree felony, a judge is now required to impose a basic sentence of three years imprisonment-no more, no less. Section 31-18 — 15(A)(5), (B). At the same time the amendments mandated the imposition of set terms of imprisonment, another provision added in 1979 allowed the sentencing judge to alter the basic sentence upward or downward by one-third “upon a finding by the judge of any mitigating or aggravating circumstances surrounding the offense or concerning the offender.” Section 31-18-15.1(A).
B. The Effect of the Apprendi Line of Cases on Modern Sentencing Schemes
{9} In 2000, the United States Supreme Court published Apprendi v. New Jersey,
{10} Soon after Apprendi, the Court of Appeals addressed the argument that an upward alteration of a defendant’s basic sentence pursuant to Section 31-18-15.1 was unconstitutional because the aggravating circumstances were not found by a jury beyond a reasonable doubt. Wilson,
[T]hat the authority of the sentencing court, namely to determine where within the range a particular criminal defendant should be sentenced, has not changed since the 1977[law] implemented determinate sentencing within a range of years and gave the trial court the authority to impose a sentence of a definite term of years within that range. Rather, we understand the current scheme to be a means of protecting defendants, in a way that was not present from 1977 to 1979, from arbitrary sentencing decisions without the possibility of any appellate review.
Id. ¶ 21. Wilson distinguished our sentencing scheme from that of Apprendi and other schemes found unconstitutional after Apprendi on the grounds that our scheme does not (1) enumerate specific factors that must be found or (2) set specific presumptive ranges for its “basic sentence” that a judge is later allowed to exceed. Id. ¶ 26.
{11} After Wilson, the United States Supreme Court decided Blakely.
{12} Relying on Apprendi the defendant in Blakely argued that he was deprived of his constitutional right to have all facts essential to his sentence determined by a jury beyond a reasonable doubt. See id. at 301,
Our precedents make clear ... that the “statutory maximum” for Apprendi purposes is the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant. In other words, the relevant “statutory maximum” is not the maximum sentence a judge may impose after finding additional facts, but the maximum he may impose without any additional findings.”
Id. at 303-04,
{13} Within six months of Blakely, the Court of Appeals decided Frawley’s case. Frawley,
When the jury considers the facts relevant to the elements of an offense in determining guilt or innocence, the criminal sanctions for that offense cannot be increased after the verdict based on facts the jury has not specifically considered in connection with its finding of guilt, whether or not the facts are labeled “sentencing factors,” and even if the facts are not material to the statutory elements of the offense.
Id. ¶ 12.
{14} Between the time the Court of Appeals decided Frawley and our granting of certiorari in that case, the United States Supreme Court published Booker, a case that consolidated the cases of two defendants-Booker and Fanfan.
{15} Booker was given an enhanced sentence, which was contrary to the result in Fanfan’s trial. “Based upon Booker’s criminal history and the quantity of drugs found by the jury, [92.5 grams of crack,] the Sentencing Guidelines required the District Court Judge to select a ‘base’ sentence of not less than 210 nor more than 262 months in prison.”
{16} In the substantive part of Booker, the majority held that there was no constitutional distinction between the Federal Sentencing Guidelines and the Washington sentencing scheme.
[Ejveryone agrees that the constitutional issues presented by these cases would have been avoided entirely if Congress had omitted from the [Sentencing Reform Act] the provisions that make the Guidelines binding on district judges.... For when a trial judge exercises his discretion to select a specific sentence within a defined range, the defendant has no right to a jury determination of the facts that the judge deems relevant.
Id.
{17} After considering what Congress would have done had it known of the constitutional deficiency, the remedial majority of Booker severed the provision of the statute making the guidelines mandatory from the rest of the Act, see 18 U.S.C.A. § 3553(b) (Supp.2004) (providing that “the court shall impose a sentence of the kind, and within the range, [as set forth in the guidelines]”), and the provision setting forth standards of review on appeal that relied on the first provision, see 18 U.S.C.A. § 3742(e) (2000 & Supp. 2004). Booker,
C. Our Decision in Lopez to Uphold New Mexico’s Sentencing Scheme
{18} After Booker, but while Frawley’s case was still pending, we published Lopez, a case in which the defendant challenged, inter alia, his aggravated sentence for conspiracy to commit first-degree murder. See Lopez,
{19} We agreed with Black I that “the United States Supreme Court cases ought not be viewed as ‘draw[ing] a bright line.’ ” Id. ¶ 46 (quoting Black I,
D. The Supreme Court’s Recent Decision in Cunningham
{20} Lopez has been put into question by the United States Supreme Court’s recent case of Cunningham, which overturned Black I.
The Black I court did not modify California law so as to align it with this Court’s Sixth Amendment precedent. Rather, it construed this Court’s decisions in an endeavor to render them consistent with California law. The Black I court’s interpretation of federal constitutional law plainly does not qualify for this Court’s deference.
Id., — U.S. at -,
{21} Thus, the Supreme Court rejected the California Supreme Court’s effort to interpret its statute as an actual range in which the judge could choose a sentence:
Under California’s system, judges are not free to exercise their “discretion to select a specific sentence within a defined range.” California’s Legislature has adopted sentencing triads, three fixed sentences with no ranges between them. Cunningham’s sentencing judge had no discretion to select a sentence within a range of 6 to 16 years. His instruction was to select 12 years, nothing less and nothing more, unless he found facts allowing the imposition of a sentence of 6 or 16 years.
Id., — U.S. at -,
III. APPLICATION OF CUNNINGHAM
{22} We have no choice but to conclude that Frawley’s sentence was altered upwards in contravention of the Sixth Amendment and that we must overrule Lopez. In New Mexico the basic sentence for a noncapital felony shall be imposed unless the court alters such sentence. Section 31-18-15(B). The only relevant factors our Legislature took into account in establishing the basic sentence were the basic elements for each felony. See Swafford v. State,
{23} Thus, adhering to the Supreme Court’s repeated admonishments in Cunningham regarding the bright-line nature of its rule first established in Apprendi, we recognize that the Sixth Amendment is violated any time a defendant is sentenced above what is authorized solely by the jury’s verdict alone. See Cunningham, — U.S. at -,
{24} In Lopez the majority sought to rely on legislative intent in order to hold our sentencing scheme constitutional. See Lopez,
IY. SECTION 31-18-15.1 IS FACIALLY UNCONSTITUTIONAL
{25} Having determined that the aggravation of Frawley’s sentences was unconstitutional, the next determination we must make is whether Section 31-18-15.1 is facially unconstitutional or whether it was merely unconstitutionally applied to this case. This is important since, if the statute was constitutional on its face but unconstitutionally applied, we would simply remand to the trial court with instructions to sentence Frawley consistent with Section 31-18-15.1 in a constitutional manner. At least two courts have concluded in the wake of Apprendi and its progeny that their sentencing schemes could be constitutionally applied without modification. State v. Dilts,
{26} In Oregon at the time of Dilts, a sentencing judge was required to impose a sentence within a presumptive range “unless there [were] ‘substantial and compelling’ reasons in aggravation or mitigation.” Dilts,
{27} Our statute cannot be salvaged as the Oregon statute was in Dilts. The Oregon Supreme Court concluded that Oregon law did not preclude the jury from finding aggravating factors. Id. In contrast, our law does preclude jury findings by requiring a sentencing hearing where the sentencing “court may alter the basic sentence ... upon a finding by the judge of any mitigating or aggravating circumstances.” Section 31-18-15.1(A) (emphasis added). Moreover, since current New Mexico law precludes a jury from determining aggravating facts, our law does not provide for a defendant to waive his or her right to this jury determination.
{28} In Robert Lopez, the defendant was arrested for and pled guilty to possession of cocaine-the presumptive sentence for the charge was two to six years of imprisonment followed by three years of parole. Robert Lopez,
{29} Based on Dilts and Robert Lopez, we are left with the conviction that Section 31-18-15.1 may never be constitutionally applied. First, the statute requires a judge to find the aggravating circumstances. Section 31-18-15.1(A). Second, the one judicial finding that is “Blakely-exempt” is specifically precluded by Section 31-18-15.1 from being used as an aggravating circumstance. Compare § 31-18-15.1(B) with Blakely,
{30} Having concluded that Section 31-18-15.1 is facially unconstitutional, we turn to the issue of whether we should attempt to temporarily remedy the constitutional deficiency. It is a fundamental principle that we cannot rewrite or add language to a statute in order to make it constitutional. See United States v. Nat’l Treasury Employees Union,
that a part of a law may be invalid and the remainder valid, where the invalid part may be separated from the other portions, without impairing the force and effect of the remaining parts, and if the legislative purpose as expressed in the valid portion can be given force and effect, without the invalid part, and, when considering the entire act it cannot be said that the legislature would not have passed the remaining part if it had known that the objectionable part was invalid.
Bradbury & Stamm Constr. Co. v. Bureau of Revenue,
{31} In its briefing, the State suggests, as a remedy, deleting the words “upon a finding by the judge of any mitigating or aggravating circumstances surrounding the offense or concerning the offender” from Section 31-18-15.1, which it contends would allow a judge to aggravate a sentence without finding facts. We conclude that, even assuming such judicial surgery would pass our tests for severability, the State’s suggested remedy would be insufficient.
{32} After applying the State’s suggested approach, the statute would read as follows:
The court shall hold a sentencing hearing to determine if mitigating or aggravating circumstances exist and to take whatever evidence or statements it deems will aid it in reaching a decision. The court may alter the basic sentence as prescribed in Section 31-18-15 NMSA 1978. If the court determines to alter the basic sentence, it shall issue a brief statement of reasons for the alteration and incorporate that statement in the record of the case.
Whitewashing the clause containing the word “finding” from the statute would not make Section 31-18-15.1 constitutional since, when determining if aggravating circumstances exist, a judge would still be finding facts. In essence, the State would have us take what is explicit and make it implicit. The Sixth Amendment requires something more. Cf. Apprendi,
{38} Similar to our sister state of Arizona, we decline to further address any other remedy or any other of the myriad questions that may arise from today’s holding. See State v. Brown,
V. OUR HOLDING APPLIES PROSPECTIVELY
{34} Having concluded that Section 31-18-15.1 is facially unconstitutional after Cunningham, the question remains whether our holding applies prospectively or retroactively. The answer to this question turns on whether the rule we announce is old or new under the analysis set forth in Teague v. Lane,
{35} “A new rule is defined as a rule that ... was not dictated by precedent existing at the time the defendant’s conviction became final.” Id. at -,
{36} After Apprendi, a number of New Mexico cases upheld enhanced sentences based on a finding of aggravating circumstances by the trial judge. The first of these cases was State v. Wilson, which held that Section 31-18-15.1 is constitutional under Apprendi.
{37} Our conclusion is consistent with Schriro v. Summerlin,
{38} Our opinion today meets the Whorton test for establishment of a new rule. Like Ring, we overrule an earlier case, Lopez,
A. Frawley Announces a Procedural Rule
{39} “A rale is substantive rather than procedural if it alters the range of conduct or the class of persons that the law punishes.” Schriro,
{40} In Ring, the Supreme Court required that “a sentencing judge, sitting without a jury, [may not] find an aggravating circumstance necessary for imposition of the death penalty.” Ring,
{41} Our holding today likewise announces a procedural rule because, as in Ring, it affects only Frawley’s sentence, not his conviction. See Ring,
B. Frawley Is Not a Watershed Rule of Criminal Procedure
{42} A watershed rule must meet two requirements: (1) it “must be necessary to prevent an impermissibly large risk of an inaccurate conviction”; and (2) it “must alter our understanding of the bedrock procedural elements essential to the fairness of a proceeding.” Whorton, — U.S. at -,
{43} In the context of factors for sentencing, the Supreme Court rephrased the watershed test as “whether judicial factfinding so seriously diminished] accuracy that there is an impermissibly large risk of punishing conduct the law does not reach.” Schriro,
{44} Other courts have determined that changes in sentencing laws do not meet the Teague test for retroactive application. Our holding today is based on Cunningham, — U.S. -,
VI. CONCLUSION
{45} Section 31-18-15.1 is facially unconstitutional after Cunningham. We remand this case to the district court so that it may resentence Frawley on his third-degree felony convictions to no more than the basic sentence of three years.
{46} IT IS SO ORDERED.
Notes
. In the trial court’s judgment, sentence and commitment order, the judge stated:
The Court specifically finds the following aggravating circumstances in this case: l) the defendant’s lack of remorse; 2) the short period of time between defendant’s sentence for a similar offense and the commission of this offense; 3) the pain and fear endured by the victims and the victims’ family; 4) the defendant's flight to avoid prosecution and the circumstances surrounding that flight.
. Prior to the enactment of the CSA, New Mexico followed an indeterminate sentencing scheme in which the trial court was required to sentence a defendant to the minimum and maximum provided by law. State v. Wilson,
. There can be no doubt that any sentence imposed pursuant to the CSA as enacted in 1977 would pass constitutional muster under Apprendi because any sentence imposed pursuant to that act would clearly fall within the range prescribed by statute and, thus, would never be above “the prescribed statutory maximum.”
. Justice Ginsburg was the only justice common to each part of Booker.
. Whereas Fanfan’s sentence was constitutional, Booker’s was not because he was sentenced in accordance with facts found not by the jury beyond a reasonable doubt, but by a judge by the preponderance of evidence. See Booker,
. The constitutional problem arises when a base sentence is mandated and the sentencing scheme only allows a judge to deviate from that mandated sentence upon finding certain facts. See Smylie v. State,
. Cunningham was decided 6-3 and was authored by Justice Ginsburg — the only justice concurring in both parts of Booker.
. Similar to the statute at issue in Cunningham, the language in our statute refers to "circumstances” rather than "facts.” Compare Cal.Penal Code § 1170 (West 2006), with NMSA 1978, § 31-18-15.1. This semantic difference is meaningless for constitutional purposes since a judge will necessarily find facts when he or she finds that certain circumstances warranting an aggravated sentence exist.
. In revisiting Black I, the California Supreme Court upheld Black’s sentence. People v. Black I,
.As will be seen, although not pertinent to the substantive question of whether Section 31-18-15.1 is constitutional, legislative intent is critical when devising a remedy to any constitutional violation. See infra ¶ 29.
Dissenting Opinion
(dissenting).
{47} The issue in this case is whether NMSA 1978, Section 31-18-15.1 (1993), presents a statutory range within which a judge may exercise discretion, as we held in State v. Lopez,
{48} In matters of statutory interpretation, where varying interpretations are presented, typically the Court will seek out the constitutionally permissible interpretation of a statute. See State v. Flores,
{49} Apprendi v. New Jersey,
{50} Therefore, judges are permitted to exercise broad discretion within a statutory range of sentences authorized by the jury’s verdict. For example, in Booker the Court held, “[W]hen a trial judge exercises his discretion to select a specific sentence within a defined range, the defendant has no right to a jury determination of the facts that the judge deems relevant.” Booker,
{51} If the sentencing judge is authorized to enhance the sentence without finding additional facts, then judicial fact-finding is permissible. Decided after Cunningham, Rita v. United States, — U.S. -,
{52} The majority correctly finds that a statute violates the Sixth Amendment when a judge has “no discretion to select a sentence within a range” and where a judge must find a basic or medium sentence “unless he found facts allowing the imposition of a [greater] sentence.” Cunningham,
{53} In light of Apprendi and its progeny, a plain reading of Section 31-18-15.1 presents some ambiguity:
The court shall hold a sentencing hearing to determine if mitigating or aggravating circumstances exist and take whatever evidence or statements it deems will aid it in reaching a decision. The court may alter the basic sentence as prescribed in Section 31-18-15 NMSA 1978 upon a finding by the judge of any mitigating or aggravating circumstances surrounding the offense or concerning the offender. If the court determines to alter the basic sentence, it shall issue a brief statement of reasons for the alteration and incorporate that statement in the record of the case. ■
Section 31-18-15.1(A). Section 31-18-15.1’s plain language does not invoke the Supreme Court’s bar of judicial fact-finding because there is no language explicitly showing that judicial fact-finding is the sole basis for the sentence enhancement.
{54} In Lopez we recognized ambiguity in the statute given the Supreme Court’s Sixth Amendment rulings:
Section 31-18-15.1 refers to “circumstances” rather than “facts,” and imposes very few restrictions on what circumstances may be considered. The statute requires a writing stating “reasons” rather than findings of fact. The purpose of the writing requirement is to ensure that the trial court did not consider impermissible circumstances, such as a defendant’s exercise of the right to silence.
Lopez,
{55} Lopez resolved the ambiguity in Section 31-18-15.1 and interpreted the statute as a range of permissible sentences, within which the sentencing judge has broad discretion. The defendant in Lopez argued that the trial court exceeded its authority in aggravating the defendant’s sentence for conspiracy to commit murder by one-third. Lopez,
{56} This issue has been resolved. In Lopez, this Court recognized that “in every criminal ease, without exception, the sentencing judge must hold a hearing to determine whether to decrease the defendant’s sentence below the midpoint, or increase it above it, showing there was no right to the basic sentence.” Lopez,
{57} This construction does not violate Defendant’s right to jury trial. Defendant was convicted of two felonies, each carrying a basic sentence of three years’ imprisonment. State v. Frawley,
{58} I disagree with the majority that Section 31-18-15.1 is unconstitutional in all circumstances. When the jury finds at least one fact permitting the judge to impose the upper term of the basic sentence plus one-third, Section 31-18-15.1 becomes a range in which the relevant statutory maximum for Sixth Amendment purposes is that upper term (basic sentence plus one-third). On remand from the United States Supreme Court after Cunningham, the California Supreme Court held, People v. Black (Black II),
[A]s long as a single aggravating circumstance that renders a defendant eligible for the upper term sentence has been established in accordance with the requirements of Apprendi and its progeny, any additional fact finding engaged in by the trial court in selecting the appropriate sentence among the three available options does not violate the defendant’s right to jury trial.
{59} Judicial fact-finding within the authorized range does not implicate the Sixth Amendment. Applied in this manner, Section 31-18-15.1 is consistent with a plain reading of the statute in conjunction with Section 31-18-15. Furthermore, under Cunningham and its predecessors, this is a permissible application of our sentencing scheme. In my opinion, this reading of Section 31-18-15.1 is consistent with Lopez, and it satisfies the presumption of constitutionality without committing “judicial surgery,” with which the majority is concerned.
{60} Even if Section 31-18-15.1 is construed as constitutional, the majority is concerned that it will still be unconstitutional in effect. Apprendi stated, “[T]he relevant inquiry is one not of form, but of effect[.]”
{61} I disagree with the majority that this statute is fundamentally unconstitutional in either form or effect. For the reasons stated above, I respectfully dissent. As a matter of application, however, I agree with the majority that its ruling should apply prospectively, not retroactively.
