State v. MaugaotegaState v. Maugaotega
Lead Opinion
Opinion of the Court by
On February 20, 2007, on petition for a writ of certiorari, the United States Supreme Court vacated the judgment of this court in State v. Maugaotega,
I. BACKGROUND
On June 16, 2004, Maugaotega appealed from the extended term sentences imposed upon him pursuant to Hawai'i Revised Statutes (HRS) § 706-661 (Supp.1999)
On May 17, 2004, the circuit court conducted a sentencing hearing during which it concluded that Maugaotega qualified as a multiple offender under
“Under 706-662(4)(a) the requirement must be that the defendant is a multiple offender whose criminal actions are so extensive that a sentence of imprisonment for an extended term is necessary for the protection of the public.
The court shall not make this finding unless the defendant is being sentenced for two or more felonies. Today, [Maugaote-ga] is being sentenced for 22 felonies, 14 of which involved the named victim, twelve of those involving the-use of a firearm in the commission of the offense. Yet another offense, [pjromoting [pjrison [contraband in the [f]irst [djegree, involves the use or introduction into the prison of a device which is dangerous in nature, to wit, a shank[,] and [this] represents a heightened danger, particularly when introduced into a prison setting.
A careful examination of [Maugaotega]’s conduct in the period between May and June of 2003 demonstrates a pattern of escalating violence. The ... first offenses in late May were burglaries, primarily involving a risk to property. The second cluster of offenses involved—escalated to robberies with the use of a semi-automatic weapon in furtherance of crimes.
The third cluster of offenses involved [s]exual [a]ssault and [r]obbery, once again facilitated by the use of a firearm. The most violent of the offenses followed in June 26th with the attempted murder of Erie Kawamoto. There were a total of six named victims of violent or potentially violent crimes within the relative short period between late May and the end of June, 2003.
Given the facts of these offenses, the court concludes that [Maugaotega] is a multiple offender under [HRS § ]706-662(4)(a). These criminal actions were so extensive that the sentence of imprisonment for an extended term is necessary for the protection of the public. Consequently, the [prosecution] ⅛ motion for extended term of imprisonment in Criminal Number OS-1-1897 is granted."
Maugaotega I,
On September 8, 2004, the circuit court entered written findings of facts (FOFs) and conclusions of law (COLs) and orders granting the prosecution’s motions for extended terms of imprisonment as a multiple offender. Id. at 405,
... Maugaotega ... is a “multiple offender” whose commitment for an extended term is necessary for the protection of the public because of the following facts:
a. [Maugaotega] has an extensive juvenile criminal history.
*437 b. [MaugaotegaJ’s criminality has continued despite his prior contacts with the criminal justice system.
e. [Maugaotega] has failed to benefit from the criminal justice system.
d. [Maugaotega] has demonstrated a total disregard for the rights of others and a poor attitude toward the law.
e. [Maugaotega] has demonstrated a pattern of criminality which indicates that he is likely to be a recidivist in that he cannot conform his behavior to the requirements of the law.
f. Due to the quantity and seriousness of the instant offense, [Maugaotega] poses a serious threat to the community and his long[-]term incarceration is necessary for the protection of the public.
Id. at 405,
Maugaotega timely appealed from the May 17 and 18, 2004 judgments, arguing that
the circuit court erred in granting each of the prosecution’s five motions for extended terms of imprisonment because the [FOF] that extended terms were necessary for the protection of the public was not submitted to a jury and proved beyond a reasonable doubt, in violation of the sixth amendment to the United States Constitution.
Id. at 407,
On October 27, 2005, Maugaotega filed a petition for a writ of certiorari with the United States Supreme Court, which, on November 2, 2005, docketed the application as No. 05-7309. On February 20, 2007, the Court granted the application and entered a mandate and judgment, vacating our July 29, 2005 judgment and remanding the matter to this court for reconsideration in light of Cunningham.
II. DISCUSSION
A. The Interplay Between This Court’s Intrinsic/Extrinsic Distinction And Jones v. United States, Apprendi, And Their Progeny
1. This court’s analysis prior to Mau-gaotega I
In State v. Kaua,
It is settled that an extended term sentencing hearing is “a separate criminal proceeding apart from the trial of the underlying substantive offense,” wherein “all relevant issues should be established by the state beyond a reasonable doubt.” State v. Kamae,56 Haw. 628 , 635,548 P.2d 632 , 637 (1976). In State v. Huelsman,60 Haw. 71 ,588 P.2d 394 (1979), this court addressed the procedural protections to be accorded criminal defendants at an extended term sentencing hearing and announced a two-step process in which a sentencing court must engage in order to impose an extended term sentence. Id. at 76,588 P.2d at 398 . For purposes of a motion for an extended term of imprisonment underHRS § 706-662(4) , the first step requires a finding beyond a reasonable doubt “that*438 the defendant is a multiple offender, which finding may not be made unless the defendant is being sentenced for two or more felonies or is under sentence for a felony and the maximum terms of imprisonment authorized for the defendant’s crimes meet certain requisites.” Id. In the event that the sentencing court finds that the defendant is a multiple offender under subsection (4), the second step requires the sentencing court to determine whether “the defendant’s commitment for an extended term is necessary for the protection of the public.” Id. at 77,588 P.2d at 398 .
The determination that the defendant is a member of the class of offenders to which the particular subsection of [HRS] § [706-]662 applies involves “historical facts,” the proof of which exposes the defendant to punishment by an extended term sentence, similarly to the manner in which the proof of his guilt exposes him to ordinary sentencing.... But when the status of the defendant has been established, the process by which the court determines that the defendant’s commitment for an extended term is necessary for the protection of the public ... is one which deals with the subject matter of ordinary sentencing.
Id. at 79-80,588 P.2d at 400 . As such, the first phase of the Huelsman two-step process must afford a defendant “the full panoply of constitutional protections guaranteed in criminal proceedings,” see State v. Melear,63 Haw. 488 , 498-99,630 P.2d 619 , 627 (1981), which includes the rights to notice and an opportunity to be heard, cross-examination of witnesses appearing at the sentencing hearing, and the eviden-tiary safeguards set forth in the Hawai'i Rules of Evidence (HRE). See Kamae,56 Haw. at 638 ,548 P.2d at 638-39 . By contrast, the procedural safeguards to which the second phase of the Huelsman two-step process is subject are those applicable to ordinary sentencing, and, therefore, “the HRE are not controlling.” State v. Loa,83 Hawai'i 335 , 355,926 P.2d 1258 , 1278 (1996). Moreover, “[u]nder ordinary sentencing procedures, the court is ‘afforded wide latitude in the selection of penalties from those prescribed and in the determination of their severity. This authority is normally undisturbed on review in the absence of an apparent abuse of discretion or unless applicable statutory and constitutional commands have not been observed.’ ” State v. Okumura,78 Hawai'i 383 , 413,894 P.2d 80 , 110 (1995).
Kaua,
is limited to enhanced sentencing, such as extended prison terms pursuant toHRS §§ 706-661 , 706-662, and 706-664[ (1993)4 ], in which the “determination that the defendant is a member of the class of offenders to which the particular [statute] applies involves ‘historical facts.’ ” Huelsman,60 Haw. at 79 ,588 P.2d at 400 . This is because such “historical facts” are wholly extrinsic to the specific circumstances of the defendant’s offense and therefore have no bearing on the issue of guilt per se. By contrast, if the “aggravating circumstances” justifying the imposition of an enhanced sentence are “enmeshed in,” or, put differently, intrinsic to the “commission of the crime charged,” then, in accordance with the ... rule [of State v. Estrada,69 Haw. 204 ,738 P.2d 812 (1987) ], such aggravating circumstances “must be alleged in the indictment in order to give the defendant notice that they will be relied on to prove the defendant’s guilt and support the sentence to be imposed, and they must be determined by the trier of fact.” [State v.]*439 Schroeder, [10 Haw.App. 535 , 545,] 880 P.2d [208, 212 (1992) ].
[State v. ]Schroeder, 76 Hawai'i [517,] 528, 880 P.2d [192,] 203 [(1994) [hereinafter, Schroeder II ] ] (some brackets added and some in original) (emphasis in original).
Id. at 10-11,
Prior to Kaua, in State v. Tafoya,
[i]n reviewing our previous case law, it is apparent that “intrinsic” factors, required to be pled in the indictment and found by the jury, are distinguishable in that they are contemporaneous with, and enmeshed in, the statutory elements of the proscribed offense. Contrarily, “extrinsic” factors are separable from the offense itself in that they involve consideration of collateral events or information. Occurrence at a prior time is indicative, although not dispositive, of a conclusion that a factor is “extrinsic.”
Id. at 271,
We reached the foregoing result in part based upon our concerns that the United States Supreme Court, in Jones v. United States,
In Jones ..., the United States Supreme Court addressed the question whether certain provisions of a car-jacking statute, which prescribed enhanced sentencing penalties, created additional elements of the offense, which would have to be found by the jury, or merely described sentencing considerations, which could permissibly be determined by the sentencing judge. In concluding the former, the Jones Court essentially drew a distinction, as this court did in Schroeder [II] and Tafoya, between (1) factual findings that were inextricably enmeshed in the charged offense and therefore probative of the defendant’s commission of that offense and (2) factual findings that were wholly independent of the offense charged in the indictment and spoke only to characteristics of the defendant that were pertinent to the appropriate degree of punishment. The Jones Court noted that “[m]uch turns on the determination that a fact is an element of an offense rather than a sentencing consideration, given that elements must be charged in the indictment, submitted to a jury, and proven by the Government beyond a reasonable doubt.”526 U.S. at 232 [,119 S.Ct. 1215 ].... Thus, Jones declared that “any fact (other than [a] prior conviction) that increased the maximum penalty for a crime must be charged in an indictment, submitted to a jury, and proven beyond a reasonable doubt.” [Id.] at 243[,119 S.Ct. 1215 ].... Tafoya recognized, however, that to extend the Jones rationale to “extrinsic” facts “would contaminate the jury’s required focus on the factual circumstances surrounding the [charged] offense and potentially require the introduction of inadmissible prior bad act[s] or overly prejudicial evidence to require the jury to make such findings.” Tafoya,91 Hawai'i at 273 n. 15,982 P.2d at 902 n. 15.
Kaua,
In the years following Apprendi, the United States Supreme Court refined its sixth amendment analysis in, inter alia, Blakely and United States v. Booker,
In Blakely, the United States Supreme Court overturned a Washington state determinate-sentencing-guideline scheme wherein the defendant’s conviction of kidnapping rendered him liable to a “presumptive guideline range” sentence of between forty-nine and fifty-three months of imprisonment.
2. Maugaotega I
In Maugaotega I, we opined at the outset that both Kaua and Rivera confirmed that Hawaii’s extended term sentencing scheme comported with Apprendi and, therefore, disposed of Maugaotega’s point of error.
In Booker, the United States Supreme Court analyzed the federal sentencing guidelines in light of Apprendi and its progeny.
[i]f the Guidelines as currently written could be read as merely advisory provisions that recommended, rather than required, the selection of particular sentences in response to differing sets of facts, their use would not implicate the Sixth Amendment. We have never doubted the authority of a judge to exercise broad discretion in imposing a sentence within a statutory range.
In Maugaotega I, we held that “inasmuch as (1) Booker’s holding is limited to the federal sentencing guidelines, and (2) Hawaii’s extended term sentencing structure is not mandatory,”
B. Cunningham Leaves No Doubt That A Majority Of The United States Supreme Court Rejects The Intrinsic/Extrinsic Distinction.
Justice Kennedy, joined by Justice Breyer in his dissenting opinion in Cunningham, eloquently articulated an iteration of this court’s intrinsic/extrinsic distinction and the compelling rationale underlying it:
In my view the Apprendi line of cases remains incorrect. Yet there may be a principled rationale permitting those cases to control within the central sphere of their concern, while reducing the collateral, widespread harm to the criminal justice system and the corrections process now resulting from the Court’s wooden, unyielding insistence on expanding the Ap-prendi doctrine far beyond its necessary boundaries. The Court could distinguish between sentencing enhancements based on the nature of the offense, where the Apprendi principle would apply, and sentencing enhancements based on the nature of the offender, where it would not. California attempted to make this initial distinction. Compare Cal. Rule of Court 4.421(a) (Criminal Cases) (West 2006) (listing aggravating “[f]acts relating to the crime”), with Rule 4.421(b) (listing aggravating “[f]aets relating to the defendant”). The Court should not foreclose its efforts.
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As dissenting opinions have suggested before, the Constitution ought not to be interpreted to strike down all aspects of sentencing systems that grant judicial discretion with some legislative direction and control. Judges and legislators must have the capacity to develop consistent standards, standards that individual juries empaneled for only a short time cannot elaborate in any permanent way. See, e.g., Blakely, 542 U.S. [296] at 314[,124 S.Ct. 2531 ] ... (opinion of O’Connor, J.); id.[ ] at 326-327[,124 S.Ct. 2531 ] ... (opinion of Kennedy, J.) (explaining that “[sentencing guidelines are a prime example of [the] collaborative process” between courts and legislatures). Judges and sentencing officials have a broad view and long-term commitment to correctional systems. Juries*443 do not. Judicial officers and corrections professionals, under the guidance and control of the legislature, should be encouraged to participate in an ongoing manner to improve the various sentencing schemes in our country.
This system of guided discretion would be permitted to a large extent if the Court confined the Apprendi rule to sentencing enhancements based on the nature of the offense. These would include, for example, the fact that a weapon was used; violence was employed; a stated amount of drugs or other contraband was involved; or the crime was motivated by the victim’s race, gender, or other status protected by statute. Juries could consider these matters without serious disruption because these factors often are part of the statutory definition of an aggravated crime in any event and because the evidence to support these enhancements is likely to be a central part of the prosecution’s ease.
On the other hand, judicial determination is appropriate with regard to factors exhibited by the defendant. These would include, for example, prior convictions; cooperation or noncooperation with law enforcement; remorse or the lack of it; or other aspects of the defendant’s history bearing upon his background and contribution to the community. This is so even if the relevant facts were to be found by the judge by a preponderance of the evidence. These are facts that should be taken into account at sentencing but have little if any significance for whether the defendant committed the crime. See Berman & Bibas, Making Sentencing Sensible, 4 Ohio St. J.Crim. L. 87, 55-57 (2006).
The line between offense and offender would not always be clear, but in most instances the nature of the offense is defined in a manner that ensures the problem of categories would not be difficult. Apprendi suffers from a similar line-drawing problem between facts that must be considered by the jury and other considerations that a judge can take into account. The main part of the Apprendi holding could be retained with far less systemic disruption. It is to be regretted that the Court’s decision today appears to foreclose consideration of this approach or other reasonable efforts to develop systems of guided discretion within the general constraint that Apprendi imposes.
Cunningham, 549 U.S. at -,
C. Cunningham Eliminated The Role Of The Sentencing Judge In Finding Facts Necessary For The Imposition Of An Extended Term Of Imprisonment Outside The Maximum Authorized Solely By The Jury’s Verdict.
Cunningham addressed California’s determinate sentencing law (DSL), which allowed a sentencing judge to depart from a presumptive middle-range sentence and increase a defendant’s sentence if the court found, by a preponderance of the evidence, that additional facts in aggravation, relating either to the crime or the character of the defendant, were present that justified an upper range sentence. 549 U.S. at - & n. 1,
Justice Ginsburg, writing for the majority, made it clear at the outset of Cunningham that
the Federal Constitution’s jury-trial guarantee proscribes a sentencing scheme that allows a judge to impose a sentence above the statutory maximum based on a fact, other than a prior conviction, not found by a jury or admitted by the defendant. “[T]he relevant ‘statutory maximum,’ ” this Court has clarified, “is not the maximum sentence a judge may impose after finding*444 additional facts, but the maximum he may impose without any additional findings.”
549 U.S. at -,
This court has consistently asserted that, the necessity finding, strictly speaking, is not a “fact” subject to determination by the trier of fact but, rather, a traditional expression of a sentencing court’s expertise in weighing the factors set forth in
Justice Alito made much the same argument in Cunningham, 549 U.S. at - & n. 2,
[I]t is not at all clear that a California court must find some case-specific, adjudicative “fact” (as opposed to identifying a relevant policy consideration) before imposing an upper term sentence. What a California sentencing court must find is a “circumstanc[e] in aggravation,” which, California’s Court Rules make clear, can include any “criteria reasonably related to the decision being made.”
Cunningham, 549 U.S. at -,
California courts are thus empowered to take into account the full panoply of factual and policy considerations that have traditionally been considered by judges operating under fully discretionary sentencing regimes—the constitutionality of which the Court has repeatedly reaffirmed. California law explicitly authorizes a sentencing court to take into account, for example, broad sentencing objectives like punishment, deterrence, restitution, and uniformity, see Rule 4.410, and even a judge’s “subjective belief’ as to the appropriateness of the sentence, as long as the final result is reasonable. Policy considerations like these have always been outside the province of the jury and do not implicate the Sixth Amendment concerns expressed in Apprendi.
Id. (some internal citations omitted) (emphasis added).
In Hawaii, our “broad sentencing objectives,” set forth in
Cunningham rejected our long-held belief. California’s DSL system created a presumptive middle term from which the sentencing court could not depart without first entering into the record findings of circumstances in aggravation or mitigation, to be determined by considering all aspects of the defendant’s ease, including statements submitted by the victim or the victim’s family.
The Cunningham majority relied on the California language defining the circumstances in aggravation as “facts,” distinguished those findings from the general sentencing factors enumerated separately in Rule 4.410(a), and concluded that, in determining that an aggravating circumstance justified an upward departure from the default middle term of imprisonment, the California sentencing court was engaging in fact-finding that increased the defendant’s sentence beyond that authorized by the jury’s verdict, thereby offending the Apprendi rule. Id. 549 U.S. at -, -,
In copsidering whether “[t]he defendant is a multiple offender whose criminal actions were so extensive that a sentence of imprisonment for an extended term is necessary for the protection of the public[,]”
Moreover, it is a near certitude that the Cunningham majority would deem
“Our precedent makes 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. When a judge inflicts punishment that the jury’s verdict alone does not allow, the jury has not found all the facts “which the law make essential to the punishment,’ ... and the judge exceeds his proper authority.”
Cunningham, 549 U.S. at -,
We cautioned in Blakely ... that broad discretion to decide what facts may support an enhanced sentence, or to determine whether an enhanced sentence is warranted in any particular case, does not shield a sentencing system from the force of our decisions. If the jury’s verdict alone does not authorize the sentence, if, instead, the judge must find an additional fact to impose the longer term, the Sixth Amendment requirement is not satisfied.
Id. 549 U.S. at -,
Inasmuch as (1)
D. The Task Of Conforming The Extended Term Sentencing Statutes To Cunningham Lies With The Legislature.
Justice Ginsburg suggested two remedies available to the states with respect to their extended term sentencing schemes in the aftermath of Cunningham:
We note that several States have modified their systems in the wake of Apprendi and Blakely to retain determinate sentencing. They have done so by calling upon the jury—either at trial or in a separate sentencing proceeding—to find any fact necessary to the imposition of an elevated sentence.... Other States have chosen to permit judges genuinely “to exercise broad discretion ... within a statutory range,” which, “everyone agrees,” encounters no Sixth Amendment shoal.
549 U.S. at -,
1. The repealed amendments of Act 230 would not likely survive review post-Cunningham.
In light of the Cunningham majority’s insistence that any fact, however labeled, that serves as a basis for an extended term sentence must be proved beyond a reasonable doubt to the trier of fact, we believe that the United States Supreme Court (or, at least, a majority of it) would give short shrift to the “solution” offered in Act 230, which relocated the necessity finding from
It is noteworthy that the Cunningham majority rejected California’s attempt to analogize its three-tier sentencing structure to the newly discretionary federal sentencing guide
California’s DSL does not resemble the advisory system the Booker Court had in view. 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. Factfinding to elevate a sentence from 12 to 16 years, our decisions make plain, falls within the province of the jury employing a beyond-a-reasonable doubt standard, not the bailiwick of a judge determining where the preponderance of the evidence lies.
Id. 549 U.S. at -,
The Cunningham majority would no doubt similarly find the Hawai'i extended term sentencing scheme constitutionally wanting. We are convinced that it would view our sentencing structure, like California’s, as failing “to permit judges genuinely ‘to exercise broad discretion ... within a statutory range,’ which, ‘everyone agrees,’ encounters no [sjixth [ajmendment shoal.” Cunningham, 549 U.S. at -,
2. In light of the expressly stated legislative intent underlying Act 230, we decline to exercise our inherent judicial power to order, on remand, that a jury be empaneled.
In State v. Peralto,
[i]f [State v.] Young[,93 Hawai'i 224 ,999 P.2d 230 (2000),] applies retroactively, the Peraltos’ enhanced Sentences must be vacated and the cases remanded for a new sentencing hearing3 in which a jury would be instructed according to Young.4 ,
Peralto,
A number of foreign jurisdictions similarly recognize that empaneling juries to accommodate Apprendi requirements implicates an inherent power of the judiciary. See Aragon v. Wilkinson ex rel. County of Maricopa,
Nevertheless, in Act 230, the legislature expressed its intent regarding how best to conform our extended term sentencing regime to the requirements of Apprendi and its progeny and, in so doing, did not vest in the jury the power to find the requisite aggravating facts but, rather, directed that the sentencing court should retain that responsibility. See 2006 Haw. Sess. L. Act 230, §§ 23 and 24 at 1012-13; notes 1 and 2, swpra.
[pjrudential rules of judicial self-governance properly limit the role of the courts in a democratic society. Cf. Trustees of OHA v. Yamasaki,69 Haw. 154 , 171,737 P.2d 446 , 456 (1987); Life of the Land v. Land Use Commission,63 Haw. 166 , 172,623 P.2d 431 , 438 (1981) (citing Warth v. Seldin,422 U.S. 490 , 498[,95 S.Ct. 2197 ,45 L.Ed.2d 343 ] ... (1975)).... [One] such rule is that, “even in the absence of constitutional restrictions, [courts] must still carefully weigh the wisdom, efficacy, and timeliness of an exercise of their power before acting, especially where there may be an intrusion into areas committed to other branches of government.” Id. (emphasis added) (citation omitted)....
... Although judicial review serves as a check on the unconstitutional exercise of power by the executive and legislative branches of government, “the only check upon [the judicial branch’s] exercise of power is [its] own sense of self-restraint.” U.S. v. Butler,297 U.S. 1 , 78-79[,56 S.Ct. 312 ,80 L.Ed. 477 ] ... (1936) (Stone, J., dissenting).
In re Attorney’s Fees of Mohr,
We are not alone in exercising such self-restraint. See State v. Brown,
III. CONCLUSION
In light of the foregoing, we vacate the May 17 and 18, 2004 judgments and sentences of the circuit court and remand this matter to the circuit court for resentencing consistent with this opinion.
Notes
. In 2004,
In the cases designated in [HRS § ]706-662 [see infra note 2], a person who has been convicted of a felony may be sentenced to an extended indeterminate term of imprisonment. When ordering such a sentence, the court shall impose the maximum length of imprisonment which shall be as follows:
(1) For murder in the second degree—life without the possibility of parole;
(2) For a class A felony—indeterminate life term of imprisonment;
(3) For a class B felony—indeterminate twenty-year term of imprisonment; and
(4) For a class C felony—indeterminate ten-year term of imprisonment.
The minimum length of imprisonment for sections 2, 3, and 4 shall be determined by the Hawai[']i paroling authority in accordance with [HRS § ]706-669.
Effective June 22, 2006, the legislature amended
The court may sentence a person who satisfies the criteria for any of the categories set forth in [HRS § ]706-662 to an extended term of imprisonment, which shall have a maximum length as follows:
(1) For murder in the second degree—life without the possibility of parole;
(2) For a class A felony—indeterminate life term of imprisonment;
(3) For a class B felony—indeterminate twenty-year term of imprisonment; and
(4) For a class C felony—indeterminate ten-year term of imprisonment.
In exercising its discretion on whether to impose the extended term of imprisonment or to use other available sentencing options, the court shall consider whether the extended term is necessary for the protection of the public and whether the extended term is necessary in light of the other factors set forth in [HRS § ]706-606.
When ordering an extended term sentence, the court shall impose the maximum length of imprisonment....
(Emphasis added.) Effective June 30, 2007, the amended version of
. In 2004,
A convicted defendant may be subject to an extended term of imprisonment under [HRS § ]706-661[, see supra note 1], if the convicted defendant satisfies one or more of the following criteria:
(1) The defendant is a persistent offender whose imprisonment for an extended term is necessary for protection of the public. The court shall not make this finding unless the defendant has previously been convicted of two felonies committed at different times when the defendant was eighteen years of age or older.
(2) The defendant is a professional criminal whose imprisonment for an extended term is necessary for the protection of the public. The court shall not make this finding unless:
(a) The circumstances of the crime show that the defendant has knowingly engaged in criminal activity as a major source of livelihood; or
(b) The defendant has substantial income or resources not explained to be derived from a source other than criminal activity.
(3) The defendant is a dangerous person whose imprisonment for an extended term is necessary for the protection of the public. The court shall not make this finding unless the defendant has been subjected to a psychiatric or psychological evaluation that documents a significant history of dangerousness to others resulting in criminally violent conduct, and this history makes the defendant a serious danger to others....
(4) The defendant is a multiple offender whose criminal actions were so extensive that a sentence of imprisonment for an extended tetm is necessary for the protection of the public. The court shall not make this finding unless:
(a) The defendant is being sentenced for two or more felonies or is already under sentence of imprisonment for felony; or
(b) The maximum terms of imprisonment authorized for each of the defendant's crimes, if made to run consecutively, would equal or exceed in length the maximum of the extended term imposed or would equal or exceed forty years if the extended term imposed is for a class A felony.
*435 (5) The defendant is an offender against the elderly, handicapped, or a minor under the age of eight, whose imprisonment for an extended term is necessary for the protection of the public. The court shall not make this finding unless:
(a) The defendant attempts or commits any of the following crimes: murder, manslaughter, a sexual offense that constitutes a felony under [HRS] chapter 707, robbery, felonious assault, burglary, or kidnapping; and
(b) The defendant, in the course of committing or attempting to commit the crime, inflicts serious or substantial bodily injury upon a person who is:
(i) Sixty years of age or older;
(ii) Blind, a paraplegic, or a quadriplegic; or
(iii) Eight years of age or younger; and
(c) Such disability is known or reasonably should be known to the defendant.
(6) The defendant is a hate crime offender whose imprisonment for an extended term is necessary for the protection of the public. The court shall not make this finding unless:
(a) The defendant is convicted of a crime under [HRS] chapter 707, 708, or 711; and
(b) The defendant intentionally selected a victim, or in the case of a property crime, the property that was the object of a crime, because of hostility toward the actual or perceived race, religion, disability, ethnicity, national origin, gender identity or expression, or sexual orientation of any person....
(Emphases added.) In section 24 of Act 230, effective June 22, 2006, the legislature amended
A defendant who has been convicted of a felony qualifies for an extended term of imprisonment under [HRS § ]706-661 if the convicted defendant satisfies one or more of the following criteria:
(1) The defendant is a persistent offender in that the defendant has previously been convicted of two felonies committed at different times when the defendant was eighteen years of age or older;
(2) The defendant is a professional criminal in that:
(a) The circumstances of the crime show that the defendant has knowingly engaged in criminal activity as a major source of livelihood; or
(b) The defendant has substantial income or resources not explained to be derived from a source other than criminal activity;
(3) The defendant is a dangerous person in that the defendant has been subjected to a psychiatric or psychological evaluation that documents a significant history of dangerousness to others resulting in criminally violent conduct, and this history makes the defendant a serious danger to others....;
(4) The defendant is a multiple offender in that:
(a) The defendant is being sentenced for two or more felonies or is already under sentence of imprisonment for felony; or
(b) The maximum terms of imprisonment authorized for each of the defendant’s crimes, if made to run consecutively, would equal or exceed in length the maximum of the extended term imposed or would equal or exceed forty years if the extended term imposed is for a class A felony;
(5) The defendant is an offender against the elderly, handicapped, or a minor under the age of eight, in that:
(a) The defendant attempts or commits any of the following crimes: murder, manslaughter, a sexual offense that constitutes a felony under [HRS] chapter 707, robbery, felonious assault, burglary, or kidnapping; and
(b) The defendant, in the course of committing or attempting to commit the crime, inflicts serious or substantial bodily injury upon a person who is:
(i) Sixty years of age or older;
(ii) Blind, a paraplegic, or a quadriplegic; or
(iii) Eight years of age or younger; and
(c) Such disability is known or reasonably should be known to the defendant; or
(6) The defendant is a hate crime offender in that:
(a) The defendant is convicted of a crime under [HRS] chapter 707, 708, or 711; and (b) The defendant intentionally selected a victim or, in the case of a property crime, the property that was the object of a crime, because of hostility toward the actual or perceived race, religion, disability, ethnicity, national origin, gender identity or expression, or sexual orientation of any person....
Effective June 30, 2007, the amended version of
. The allegations against Maugaotega were contained in five criminal cases, namely, Cr. Nos. 03-1-1897, 03-1-2724, 03-1-2725, 03-1-2726, and 03-1-2727. For the details of the counts contained within each indictment, see Maugaotega I,
.
Hearings to determine the grounds for imposing extended terms of imprisonment may be initiated by the prosecutor or by the court on its own motion. The court shall not impose an extended term unless the ground therefor has been established at a hearing after the conviction of the defendant and on written notice to the defendant of the ground proposed. Subject to the provisions of [HRS § ]706-604[, pertaining to notice and opportunity to be heard with respect to sentence], the defendant shall have the right to hear and controvert the evidence against the defendant and to offer evidence upon the issue.
. In so concluding, we noted the similarity between the New Jersey statute at issue in Apprendi and
. Moreover, we concluded that the factors set out in
.Relevant to our statutory structure, wherein the imposition of an extended term sentence is discretionary, see, e.g.,
[n]or does it matter that the judge must, after finding aggravating facts, make a judgment that they present a compelling ground for departure. He cannot make that judgment without finding some facts to support it beyond the bare elements of the offense. Whether the judicially determined facts require a sentence enhancement or merely allow it, the verdict alone does not authorize the sentence.
.
The court, in determining the particular sentence to be imposed, shall consider:
(1) The nature and circumstances of the offense and the history and characteristics of the defendant;
(2) The need for the sentence imposed:
(a) To reflect the seriousness of the offense, to promote respect for law, and to provide just punishment for the offense;
(b) To afford adequate deterrence to criminal conduct;
(c) To protect the public from further crimes of the defendant; and
(d) To provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner;
(3) The kinds of sentences available; and
(4) The need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct.
. In Cunningham, the Court emphasized that “[ajny fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.” 549 U.S. at - n. 14,
. Compare
(a) General objectives of sentencing include:
(1)Protecting society;
(2) Punishing the defendant;
(3) Encouraging the defendant to lead a law-abiding life in the future and deterring him or her from future offenses;
*445 (4) Deterring others from criminal conduct by demonstrating its consequences;
(5) Preventing the defendant from committing new crimes by isolating him or her for the period of incarceration;
(6) Securing restitution for the victims of crime; and
(7) Achieving uniformity in sentencing.
.
Except as provided in [HRS § ]706-657, pertaining to enhanced sentence for second degree murder, persons convicted of second degree murder and attempted second degree murder shall be sentenced to life imprisonment with possibility of parole.
.
Notwithstanding part II[, pertaining to probation]; [HRS §§ ]706-605, 706-606, 706-606.5, 706-660.1, 706-661, and 706-662; and any other law to the contrary, a person who has been convicted of a class A felony, except class A felonies defined in chapter 712, part IV[, pertaining to drugs and intoxicating corn-pounds], shall be sentenced to an indeterminate term of imprisonment of twenty years without the possibility of suspension of sentence or probation....
.
A person who has been convicted of a class B or class C felony may be sentenced to an indeterminate term of imprisonment except as provided for in [HRS § ]706-660.1 relating to the use of firearms in certain felony offenses and [HRS § ]706-606.5 relating to repeat offenders. When ordering such a sentence, the court shall impose the maximum length of imprisonment which shall be as follows:
(1) For a class B felony—10 years; and
(2) For a class C felony—5 years.
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.The nonexhaustive list of aggravating circumstances are provided in Cal. Court Rule 4.421 relating to the defendant, the crime, and “ '[a]ny other facts statutorily declared to be circumstances in aggravation,' ” id. 549 U.S. at -,
. The United States Supreme Court has always exempted prior convictions from the Apprendi rule: "[T]he Federal Constitution’s jury-trial guarantee proscribes a sentencing scheme that allows a judge to impose a sentence above the statutory maximum based upon a fact, other than a prior conviction, not found by a jury or admitted by the defendant.” Cunningham, 549 U.S. at -,
. As noted, the 2006 session of the legislature, through Act 230, temporarily excised the language offensive to Cunningham from
. Any aggravating fact that
This court recognized the constitutional infirmities contained in
. In White, we concluded that Hawai'i had a range system, “[t]he range inherent in Hawaii's indeterminate sentencing scheme [being] ... between probation and the statutory maximum prison term, but, rather than the sentencing judge setting the specific term that a defendant is to serve, the minimum time served is set by the parole board."
. For examples of bifurcated adjudicative and penalty proceedings where the court may empanel a new jury after the appellate court remands the case for a new penalty proceeding, see, e.g.,
. ... Because the sufficiency of the jury instruction is a procedural error, remand for an
. In the wake of Blakely, a number of states • reformed their sentencing systems to comport with the Apprendi line of cases by assigning the necessary fact-finding responsibilities to a jury. See, e.g.,
This court has already articulated the manner in which a trial would be conducted in connection with a motion for an extended term sentence based upon facts intrinsic to the offense charged. See State v. Janto,
Without deciding the issue, we foresee that, in a reformed extended term sentencing scheme in which the jury is vested with the responsibility of making the requisite findings, notice of the prosecution's intention to seek an extended sentence and the facts requisite to that extended sentence—but irrelevant and potentially prejudicial to the defendant during the guilt phase of the trial—would be included in the indictment but withheld from the jury until the second phase of
. Subsequent action by the legislature during its 2007 session bolsters our conclusion. House Bill No. 1152, introduced on January 24, 2007, sought to amend
. The second remedy sanctioned by the Cunningham majority—i.e., the creation of a true sentencing range which “permit[s] judges genuinely 'to exercise broad discretion ... within a statutory range,’ which, 'everyone agrees,’ encounters no Sixth Amendment shoal,” 549 U.S. at -,
Concurrence Opinion
Concurring and Dissenting Opinion by
with whom DUFFY, J., Joins.
I concur in the vacation of the sentences and judgments entered by the Circuit Court of the First Circuit (the court) on May 17, 2004 and May 18, 2004 against Defendants Appellant Miti Maugaotega, Jr. (Appellant). My concurrence is based upon (1) the February 20, 2007 mandate of the United States Supreme Court, Maugaotega v. Hawaii, — U.S. -,
However, contrary to the majority’s position, I would vacate the sentences and the judgments thereon and remand for a jury trial, unless waived by Appellant, on the motion for extended terms filed by Plaintiff-Appellee State of Hawaii (the prosecution). This disposition on remand is required because (1) Hawaii Revised Statutes (HRS)
I.
A.
In his opening brief Appellant specifically “ehallenge[d the court’s] ruling granting all of [the prosecution’s] motions for extended terms of imprisonment based on plain error
Faced with this court’s precedent in State v. Kaua,
Subsequently, this court issued its decision in State v. Rivera,
B.
In previously affirming the extended sentences in the instant case, the majority in Maugaotega stated that, based on Kaua and Rivera, “Hawaii’s extended term sentencing scheme does not run afoul of Apprendi, [and] disposes of [Appellant’s] point of error on appeal[,]”
As noted before, subsequently, on January 22, 2007, the United States Supreme Court decided Cunningham. In its February 20, 2007 mandate, the Court ordered that “[t]he judgment [in Maugaotega ] is vacated and [the] case [is] remanded to the Supreme Court of Hawaii, for further consideration in light of [Cunningham ].” Maugaotega v. Hawaii, — U.S. at -,
II.
A.
The prior dissents in Rivera and State v. White,
The United States Supreme Court reiterated this determination in Cunningham, 549 U.S. at -,
Similar to Rivera, in Appellant’s case, “it is the findings of the court, based on facts and factors not submitted to the jury, that result[s] in a prison term beyond that simply attributable to the guilty verdict.” Rivera,
B.
Accordingly, Appellant’s extended sentence must be vacated and the case remanded for resentencing in conformance with Cunningham and Apprendi, because Appellant’s sentence was based on facts not submitted to a jury. See Rivera,
III.
Appellant requests that this court “vacate the sentences in all cases, Cr. No. 03-1-1897, Cr. No. 03-1-2727, Cr. No. 03-1-2726, Cr. No. 03-1-2725, [and] Cr. No. 03-1-2724, reverse the circuit court’s orders granting the [prosecution’s] motions for extended
As to the adjustment of California’s sentencing system in light of our decision, “[t]he ball ... lies in [California’s] court.” Booker,543 U.S., at 265 ,125 S.Ct. 738 [.] We note that several States have modified their systems in the wake of Apprendi and Blakely to retain determinate sentencing. They have done so by calling upon the jury-either at trial or in a separate sentencing proceeding-to find any fact necessary to the imposition of an elevated sentence. As earlier noted, California already employs juries in this manner to determine statutory sentencing enhancements.... Other States have chosen to permit judges genuinely “to exercise broad discretion ... within a statutory range, ” which, “everyone agrees, ” encounters no Sixth Amendment shoal. Booker,543 U.S. at 233 ,125 S.Ct. 738 . California may follow the paths taken by its sister States or otherwise alter its system, so long as the State observes Sixth Amendment limitations declared in this Court’s decisions.
Cunningham, 549 U.S. at -,
Thus, Cunningham essentially outlines two possibilities: (1) follow the present system but modify it to require that a jury find any aggravating factors or (2) allow judges to exercise broad discretion, by creating a system in which there is no “fixed term” which would allow judges to impose sentences without a jury. See Smylie v. State,
However, on remand, the majority concludes that the entire extended term statute is unconstitutional and forecloses both of the Cunningham possibilities posed. As to Cunningham option (1), the majority states that, “in light of the expressly stated legislative intent underlying Act 230, we decline to exercise our inherent judicial power to order, on remand, that a jury be empaneled[,]” majority opinion at 448,
IV.
In Janto, Young, and Peralto, this court concluded that in order to apply
Second, it is not necessary to nullify the entire statute where some portions of the extended term sentencing statute may be constitutionally applied. Other jurisdictions facing similar issues, in light of Apprendi, Blakely, and Cunningham, have also upheld the constitutional portions of their respective extended term sentencing regimes. See State v. Shattuck,
Further, in declaring the statute unconstitutional in its entirety, the majority precludes application of portions of the statute obviously allowable by Cunningham. Ap-prendi dictated the bright line rule reiterated in Cunningham that “the Federal Constitution’s jury-trial guarantee proscribes a sentencing scheme that allows a judge to impose a sentence above the statutory maximum based on a fact, other than a prior conviction, not found by a jury or admitted by the defendant.” Cunningham, 549 U.S. at -,
The majority’s holding would eliminate the sentencing court’s ability to impose extended term sentencing, even in the Apprendi-wp-proved situation of prior convictions. See
V.
Accordingly, I disagree with the majority that Cunningham option (1) is not possible or appropriate for we have, in similar instances, “call[ed] upon the jury—either at trial or in a separate sentencing proceeding—to find any fact necessary to the imposi
In eschewing option one, the majority states that “in Act 230, the legislature expressed its intent regarding how best to conform our extended term sentencing regime to the requirements of Apprendi and its progeny and, in so doing, did not vest in the jury the power to find the requisite aggravating facts but, rather, directed that the sentencing court should retain that responsibility.” Majority opinion at 449,
Amendments to
Consequently, while the majority posits that the legislature, in attempting to conform our extended term sentencing scheme to Ap-prendi vested authority in the sentencing court to find the requisite aggravating facts, it ignores the legislature’s overarching concern that led to the aborted amendment of the extended term sentencing structure: that extended term sentencing continue to be available. In light of Ctmningham, the legislature’s designation of the sentencing court as the fact finder for extended term sentencing is invalid. Nevertheless, the extended term sentencing procedure may still be enforced under the first option—calling upon the jury to find necessary facts—approved by the Supreme Court, and should be adopted in view of the legislature’s desire to preserve extended term sentencing.
VI.
In that regard, article VI, section 1 of the Hawaii Constitution vests the “judicial power of the State” in the courts. This court has stated that “the inherent power of the court is the power to protect itself; the power to administer justice whether any previous form of remedy has been granted or not; the power to promulgate rules for its practice; and the power to provide process where none exists.” State v. Moriwake,
Furthermore, the inherent power of the circuit courts is confirmed by
Pertinent to this case, this court has established a circuit court’s inherent power to empanel a jury, where constitutionally necessary. In Janto, the statute at issue,
Janto recognized that “[i]f a potential penalty might rise from 15 years to life on a nonjury determination, the jury’s role would correspondingly shrink from the significance usually carried by determinations of guilt to the relative importance of low-level gate keeping[.]” Id. at 34,
Hence, although
This court also noted the possible “procedural difficulties in requiring the jury simultaneously to determine guilt and make a finding that the murder was ‘especially heinous, atrocious, or cruel,”’ and, based on such concerns, adopted the solution of a bifurcated proceeding. Id. In such a proceeding, after a jury returns a guilty verdict, an evidentiary hearing must be held and the jury must make a determination as to whether the murder was “especially heinous, atrocious, or cruel” rather than a judge. Id. at 34-35,
Further, in Peralto, this court exercised its inherent power to order a jury empaneled on resentencing in a case involving an extended term sentencing appeal. Like Janto, Peralto also involved
Young required that “[t]he prosecution must prove and the jury must unanimously find, beyond a reasonable doubt, that the defendant intentionally or knowingly inflicted unnecessary torture on the victim and that the victim suffered unnecessary torture.” Id. (citing Young,
Again, it must be noted that this court required a jury finding in Janto, Young, and Peralto, despite the express language in
This court plainly held that where a jury did not make specific findings on the aggravated circumstances necessary for enhanced sentencing, a new jury must to be empaneled to make such decisions rather than a judge, and exercised its inherent judicial power in establishing such a procedure. Obviously, the same rationale applies here because in order to preserve the constitutionality of our extended sentencing scheme, the jury, rather then the court, must make the necessary findings regarding aggravated circumstances.
B.
Peralto also concluded that “[bjecause the sufficiency of the jury instruction [was] a procedural error, remand for a
Analogously, in the instant case the imposition of an extended term sentence based on unconstitutional judicial fact-finding would amount to a procedural error. Therefore, based on established precedent, the same procedure outlined by Peralto applies in Appellant’s situation. Indeed, the argument for use of the judiciary’s inherent power is even stronger here where, without such a procedure, there will be no extended term sentencing until the legislature acts.
VII.
Other jurisdictions have exercised this inherent power emphasizing the overriding intent of the legislature to retain enhanced sentences in the appropriate eases.
Chauvin reasoned that, “[fjaced with this conflict, we agree that it was practically necessary for the district court to improvise a jury fact finding mechanism to comply with the Sixth Amendment.” Id. That court elaborated that “using a sentencing jury to make factual findings is a unique judicial function” because “the determination of court procedural matters is a judicial function that arises from the court’s inherent judicial powers.” Id. (emphasis added) (internal quotation marks, citations, and brackets omitted).
Hence, Chauvin concluded that empaneling a sentencing jury was also a procedural matter because it “did not change the punishment available for the underlying substantive offense" but “merely changed the steps that the court took in arriving at a sentence already authorized by the legislature.” Id. (emphasis added). Thus, that court reiterated that “safeguarding the lights of criminal defendants is a historical and constitutional function of the judicial branch” and, as a result, “providing a jury trial where the statutory scheme is silent on the issue” was necessarily in line with this judicial function. Id. at 26-27.
Additionally, the Maine Supreme Court declared that “[ajlthough requiring a jury to determine [an aggravating fact] may be less efficient that the [legislature conceived, tradition and judicial efficiency do not trump the Sixth Amendment.” State v. Schofield,
Finally, in Aragon v. Wilkinson ex rel. County of Maricopa,
VIII.
Against this precedent, the majority maintains that it chooses not to exercise that inherent power based on “prudential rules of self government” and in the name of “self-restraint.”
To reiterate, in such cases, the majority wrongly forbids any extended term sentencing despite the expressed legislative intent to guard against “a clear danger that sentences imposed pursuant to Hawaii’s current extended term sentencing scheme will be subject to invalidation by the federal courts.” Penal Code Review at 27m. The legislature’s fundamental concern was to “maintain” “extended term statutes,” id. at 27n, and to protect them from “constitutional attack,” id. at 27m. In order, then, to best conform our current extended term sentencing scheme with the expressed intent of the legislature, a jury should be empaneled on remand to decide on the findings necessary under a motion for extended term sentencing, unless Appellant waives his right to jury and such waiver is agreed to by the court.
Accordingly, because the prosecution filed motions for extended terms and this matter was appealed on the ground that the proee-
IX.
Based on the foregoing, I would vacate the sentences and the judgments thereon and remand for a jury trial on the prosecution’s motion for extended terms.
. For the sake of convenience, the analysis related to the amendments to
. I do agree that the second option is foreclosed because we cannot do the job of the legislature and "transform [our sentencing system] from an indeterminate to a determinate sentencing scheme.” Majority opinion at 451,
. In support of its decision to invalidate the extended term sentencing scheme, the majority relies on several cases. The Arizona Supreme Court, in State v. Brown,
Similarly in Dilts, the Oregon Supreme Court did not take a position on the trial court’s implementation of either of the Cunningham options, but left the door open for both. That court stated that "our holding simply requires Oregon courts to apply the guidelines in a way that respects the Sixth Amendment[,]” and concluded that ”[o]ur discussion above makes clear that a sentence within the guidelines’ presumptive range would be constitutional” but explained that it would "not speculate as to the specific positions that the parties may take before the trial court respecting that court’s authority in the resentencing proceedings” because ”[i]t is inappropriate to address statutory issues, as well as more fundamental state and federal constitutional issues, relating, inter alia, to indictment, notice and jury trial until they have been raised before and decided by the trial court.” Dilts,
In Shattuck,
In State v. Provost,
However, in the instant case the legislature has clearly expressed its intent that extended term sentencing exist even in light of Apprendi and Blakely. As noted above, allowing a jury to make findings necessary to impose an extended sentence would be consistent with this intent, and would not prevent the legislature from taking any future action. The same is true of State v. Hughes,
. Instead of adopting an interim solution to address the issue of extended term sentencing, the majority suggests to the legislature the future procedure it envisions by stating that, "[w]ithout deciding the issue, we foresee that, in a reformed extended term sentencing scheme in which the jury is vested with the responsibility of making the requisite findings, notice of the prosecution’s intention to seek to seek an extended sentence and the facts requisite to that extended sentence ... would be included in the indictment but withheld from the jury until the second phase of the trial.” Majority opinion at 449-50,
. The majority states that subsequent action was taken, in the form of House Bill No. 1152, H.B. 1152, 24th Leg., Reg. Sess (2007), by the legislature during its 2007 session in order to address the Cunningham mandate and "to assign to the jury the role of making the finding requisite for the imposition of an extended term of imprisonment.” Majority opinion at 450,