State v. MorganState v. Morgan
Lead Opinion
OPINION
The respondents, Glen D. Morgan Jr., Athena Komakhuk, and Kirk J. Peterson, were each charged under
Discussion
The Alaska Constitution requires that similarly situated individuals be treated equally.
A properly enacted law is presumed to be constitutional, and “[c]ourts should construe enactments to avoid a finding of unconstitutionality to the extent possible. This is particularly so in a case [involving] a facial challenge as opposed to a challenge to the [enactment] as applied.”
In 2001, the Alaska legislature passed the current version of AS 4.16.050.
As already set out, the respondents challenge on equal protection grounds the requirement that any person convicted of violating
In analyzing this challenge, we find that the respondents’ interest involves an integral part of their punishment, that is, the length of their probation. Their interest in the length of their probation is the “relatively narrow interest” that a convicted offender has “in minimizing the punishment for an offense.”
Finally, with regard to the third factor, when the State’s interest in enacting the challenged statute is sufficiently strong, and the individual’s interest is low, then the challenged statute must bear a “substantial relationship” to the state’s asserted regulatory interest.
There is a substantial relationship
The legislative history of this statute shows that the drafters wanted to deter underage drinking, and to identify and treat minors with alcohol abuse problems. In 2001, State Representative Norman Roke-berg introduced House Bill 179 to amend
a way to instill the idea that offenders may not drink until they become 21 is to place offenders on open-court, unsupervised, informal probation until they are 21. Then, when the offender reaches the age of 21, he [or] she is off probation.
Representative Rokeberg later advised the House Finance Committee that
[statistics show that the earlier a person begins drinking, the more likely they are to have problems with alcohol later in life. By sending a message early to minors that their actions will not go unpunished, we hope to deter alcohol problems in the future.
Finally, when the bill went before the Senate Judiciary Committee, a representative from the Department of Health and Human Services said that with regard to treating minors who unlawfully consume alcohol, “monitoring is key.... [The] goal is to get the monitoring and provide treatment to intervene early.” In other words, the statute’s probation period would assure that courts were part of the monitoring process.
To support its claim that there is a substantial relationship between the statute and the goal of preventing underage drinking, the State argues that minors who drink at younger ages logically require more monitoring than older offenders for two reasons. First, there is a longer period when younger offenders can re-offend. Once minors have been found guilty of offending, the probation period keeps these offenders under court supervision until they are old enough to legally consume or possess alcohol. Second, people who begin drinking at younger ages have a greater risk of having problems with alcohol later in life. This second reason was specifically discussed during the April 2001 House Finance Committee hearing. As already mentioned, Representative Rokeberg pointed out that “statistics show that the earlier a person begins drinking, the more likely they are to have problems with alcohol later in life. By sending a message early to minors that their actions will not go unpunished, we hope to deter alcohol problems in the future.”
This record demonstrates that, because of the potential danger and social cost assoeiat-
The legislature could reasonably determine that in cases involving unlawful consumption or possession of alcohol, younger offenders are more vulnerable and have a higher risk than older offenders of incurring physical or mental health problems, of becoming crime victims, or of committing crimes. Nor, for example, was it unreasonable for the legislature to determine that thirteen-year-olds with an alcohol problem may need more intervention and monitoring than eighteen-year-olds with a similar alcohol problem. In light of the State’s interest in preventing the health and social problems that are associated with underage drinking and because the younger offenders are more at risk than are older offenders, then the legislature could properly decide that the State and the courts should monitor younger offenders longer than older offenders. We also note that based on its stated goal, the legislature could determine that there was no point in monitoring a person much beyond the age when that person can legally drink alcoholic beverages. That is, although the legislature could have required that all offenders be placed on probation for a set period of time-for instance, 5 years-the legislature could reasonably decide that keeping an eighteen-year-old on probation for 5 years (until the age of 23) did little to advance the goal of preventing underage drinking.
We find that the challenged provision of the statute has a substantial relationship to the legislature’s goal of preventing unlawful underage drinking. Considering that the legislature may (and does) restrict minors’ freedom in ways that would be unconstitutional if applied to adults,
Conclusion
The decisions of the district court are REVERSED, and these cases are REMANDED for further proceedings.
Notes
.
. See
. Anderson v. State,
. See Treacy v. Anchorage,
. See ch. 65, SLA 2001. We set out the history of this statute in State v. Auliye,
.
.
. Id.
. See Anderson,
. Chapman v. United States,
. Chapman,
.See Treacy,
. See Allam v. State,
.
. See Allam,
Dissenting Opinion
dissenting.
As we explained in State v. Auliye,
Thus, a 13-year-old convicted of possessing or consuming alcoholic beverages must receive a term of probation of between 7 and 8 years. In contrast, a 15-year-old offender must receive a term of probation of between 5 and 6 years. And an 18-year-old offender must receive a term of probation of between 2 and 3 years. In other words, the punishment for this crime is progressively more severe according to the youthfulness of the offender.
The question presented in this appeal is whether the Alaska Constitution allows the legislature to enact such a system of criminal
The constitutional consequences of the legislature’s decision to prosecute and punish these minors as adults, rather than dealing with under-age drinking through the juvenile justice system
Until 1995, older minors (ages 18 through 20) who possessed or consumed alcoholic beverages in violation of
In contrast, offenders younger than 18 were referred to the juvenile justice system.
Then, beginning in 1995, the legislature took several steps aimed at abolishing jury trials for minors accused of possessing or consuming alcoholic beverages. As we explained in State v. Auliye, the legislature pursued this goal by amending both
The legislature amended
And, because minors are entitled to a jury trial if they are prosecuted under the juvenile justice system for conduct that would be a crime if committed by an adult,
This legislative decision — the decision to require adult prosecution of all minors who possess or consume alcoholic beverages—
The juvenile justice system is premised on a 'parens patriae theory
Thus, the different types of disposition that can be imposed on juvenile offenders— probation, removal into foster care, and even institutionalization — are not viewed as punishments, but rather as rehabilitative measures. For this reason, it does not violate the equal protection clause to place a juvenile offender in the care of the State for several years even though an adult who engaged in the same criminal conduct might face a relatively slight penalty.
Before 1995, these rehabilitative principles governed the measures that might be applied, under the juvenile justice system, to minors who possessed or consumed alcoholic beverages. But now the legislature has decreed that these minors are to be prosecuted and punished as adults.
This means that when the State imposes penalties on minors for possessing or consuming alcoholic beverages, the State can no longer justify its actions by relying on the benevolent, rehabilitative model of the juvenile justice system. These minors are being treated as adults, and the penalties imposed on them are punishments for a crime.
In consequence, these minors are entitled to claim the benefit and protection of the legal principles that govern the imposition of criminal sanctions. The State can no longer rely on the doctrine of parens patriae, or on any purported benevolent intent, to avoid questions arising under the due process clause or the equal protection clause.
The penalty scheme enacted in AS 04-16.050 is unconstitutional because it irrationally punishes younger offenders more severely, based solely on their youth
The State has an important interest in curbing under-age drinking; indeed, the minors pursuing the present appeal concede that this is so.
In light of these principles, it is clear that the legislature has the authority to decide that minors who possess or consume alcohol should be prosecuted and punished as adults. And, generally speaking, a criminal defendant can not challenge the legislature’s assessment of the proper penalty range for a particular offense. Thus, as the State correctly notes in its brief, the minors have no right to demand the lesser term of probation imposed by the juvenile justice system (i.e., probation not to exceed a delinquent minor’s 19th birthday) as opposed to the greater
But the minors do not raise these issues. Rather, they attack the penalty provision of
When the legislature establishes the range of punishment for a crime, it must do so rationally. Using the language of substantive due process, the penalty scheme must bear a “reasonable relationship to a legitimate governmental purpose”.
It is true, as the State asserts, that persons convicted of a crime have very little protected interest in avoiding incarceration or other restraints on their liberty. However, the legislature must act rationally when it inflicts differing degrees of punishment on people whose conduct violates the same basic social interest. Before singling out one group of offenders for more severe punishment, the legislature must have a reasonable basis for concluding, from these offenders’ underlying conduct or their criminal history, that they (as a group) are indeed more blameworthy or more dangerous than their fellow offenders.
According to Article I, Section 12 of our state constitution, the objectives of punishment within our criminal justice system are the rehabilitation of the offender, the protection of the public, community condemnation of antisocial behavior, and the vindication of victims’ rights.
At first blush, it would seem that the challenged penalty scheme is completely at odds with these goals. Under
Our society recognizes that, generally speaking, the younger a person is, the more impulsive they are, and the less understanding they have of the nature and consequences of their conduct. In addition, the normal assumption is that, the younger a person is, the more amenable they are to rehabilitative measures. It therefore seems counter-intuitive to assert that offenders should be punished increasingly severely the younger they are.
The State nevertheless asserts that this scheme of sliding penalties is justified by statistical research which shows that “the incidence of lifetime alcohol abuse and dependence is greatest for those who begin drinking between the ages of 11 and 14 years”,
But even if we assume that the State’s statistical research is accurate, these statistics can be analyzed in at least two different ways. The statistical correlation between early drinking and later alcoholism or alcohol dependency may indicate that there is a cause-and-effect relationship between early drinking and later adult alcoholism or alcohol dependency. However, the statistical correlation may simply indicate that the people who are most strongly predisposed to alcoholism or alcohol dependency are also the people least likely to obey the drinking laws (whether as children or adults).
Moreover, even if the statistical correlation does indeed suggest a cause-and-effect relationship between early drinking and later alcoholism or alcohol dependency, this relationship is still not sufficient to justify the challenged penalty scheme.
It may be that, among the overall population of our society, people who begin drinking at younger ages are more likely to have problems with alcohol when they become adults. But in the context of sentencing a minor for possessing or consuming alcoholic beverages, the question is not what behavior we might expect from a child who begins drinking at an early age. Rather, the question is what behavior we might expect from a child who begins drinking at an early age and who then receives the benefit of intervention and treatment.
The criminal law does not allow the government to imprison or supervise people simply for “their own good”, nor does the criminal law allow the government to subject people to imprisonment or involuntary supervision simply because there is good reason to believe that they are dangerous. Under the criminal justice system, we can impose a penalty on a person only if that penalty is a lawful punishment for -a specified'offense.
As I explained earlier, society’s power to impose penalties and involuntary supervision on a minor is much broader under the juvenile justice system. Under the juvenile system, the government can potentially supervise a minor for whatever period remains until the minor reaches the age where the juvenile court’s jurisdiction ceases. Courts have upheld this authority because the supervision imposed under the juvenile justice system is viewed as a rehabilitative measure employed by the State in its role as parens patriae. The supervision is not viewed as punishment for wrongdoing.
(Moreover, although the superior court may potentially supervise a delinquent minor until the minor’s 19th birthday, this is not automatic. The superior court can order institutionalization or supervision of a delinquent'minor for only two years at a time, and this order must be reviewed yearly.
This same distinction between criminal “punishment” and non-criminal remedial or protective measures was the basis for this Court’s decision in Herreid v. State,
But minors accused of possessing or consuming alcoholic beverages are prosecuted as
The mandatory probation called for in
In Alaska, criminal punishment is based on the “just deserts” theory.
The elimination of unjustified disparity in sentencing is normally thought to require individualized consideration and assessment of a defendant’s background and the facts of their offense.
Moreover, the length of this probation is mandatory. Again, regardless of the facts of the case, and regardless of the defendant’s background, the statute requires a probation whose length is inversely related to the offender’s age. The younger the offender, the lengthier the probation. This appears to be the embodiment of unjustified disparity in sentencing — because the normal assumption is that younger offenders pose less danger to the community and are more amenable to treatment.
Of course, when assessing the proper punishment for a criminal offense, our law recognizes that increased punishment can be justified if there is an articulable reason to believe that the offender will be more resistant to, or less able to benefit from, rehabilitative measures. But this means that the sliding scale of punishment codified in
The legislature made no finding on this point. The State’s statistics are silent on this point. And this proposition seems irrational on its face.
Accordingly, I conclude that the penalty scheme codified in
. Auliye,
. See Auliye,
. Auliye,
.
. Id.
. Auliye,
. See
. See Auliye,
. R.L.R. v. State,
. The exception for third and subsequent offenses is designed to allow the institutionalization of younger minors who are convicted three or more times of possessing or consuming alcoholic beverages. As noted in footnote 7, a third or subsequent violation of
.Auliye,
. Rust v. State,
. Henson v. State,
. P.H. v. State,
. State v. Sandsness,
. See M.O.W. v. State,
. See State v. Esmailka,
. Nao v. State,
. Alex v. State,
. Concerned Citizens of the South Kenai Peninsula v. Kenai Peninsula Borough,
. Dancer v. State,
. See Smith v. State,
.
. Susan E. Foster, Roger D. Vaughan, William H. Foster, and Joseph A. Califano, Jr: "Alcohol Consumption and Expenditures for Underage Drinking and Adult Excessive Drinking ”, Journal of the American Medical Association, Vol. 289, No. 8 (February 26, 2003), pp. 989-995.
(Abstract available at % ihttp://jama.ama - assn.org/content /vol289/issue8/ index.dtl — or full text with subscription.)
. Id.
.
.
. Herreid,
.
. Braaten v. State,
. State v. Andrews,
. See State v. Wentz,