Lead Opinion
OPINION
T1 Robert Palmer challenges his convietion under subsection (@2)(a) of Utah Code section 41-6-44, which makes it unlawful to operate a vehicle while under the influence of alcohol or any drug (DUI). See Utah Code Ann. § 41-6-44(2)(a) (Supp.2004)
1 2 We conclude that subsection (6)(a) is an enhancement provision, which merely increases the sentence for a recidivist. Subsection (6)(a) does not define a separate crime and therefore does not require a jury trial to establish prior convictions. Accordingly, we affirm Palmer's felony DUI convietion.
BACKGROUND
§3 On September 283, 2004, Sergeant George Alexanderson of the Utah County Sheriff's Office pulled Palmer over for making an illegal turn and driving a vehicle with an expired registration. There was "a very strong [odor] of an alcoholic beverage" when Sergeant Alexanderson approached Palmer. Additionally, Palmer had "an extremely difficult time" producing his driver's license, and "his speech was slurred" in a "thick tongue sort of" way. Sergeant Alexanderson, assisted by backup officers, suspected Palmer was intoxicated and administered three field sobriety tests; Palmer failed all three. Accordingly, Palmer was arrested for DUI. A subsequent breathalyzer test measured Palmer's blood alcohol concentration at .318, nearly four times the legal limit of .08, see id. § 41-6-44(2)(a)(), (ii).
4 Palmer was charged by information on January 4, 2005, with one count of DUI. Palmer pleaded not guilty, and a jury trial
15 At sentencing, Palmer argued his Sixth Amendment right to a jury trial was violated when the trial judge, as opposed to the jury, considered the sentence enhancement based on Palmer's prior convictions.
ISSUE AND STANDARD OF REVIEW
16 Palmer presents one issue on appeal: "Whether the trial court violated Palmer's constitutional right to have a jury consider his prior DUI convictions...." "Constitutional issues are questions of law that we review for correctness." State v. Noreutt,
ANALYSIS
T7 The right to a jury trial in criminal proceedings is secured by the Sixth Amendment to the United States Constitution.
T8 The Sixth Amendment's provisions have been interpreted by the United States Supreme Court as providing a criminal defendant with "the right to have a jury determine, beyond a reasonable doubt, his guilt of every element of the crime with which he is charged." United States v. Gaudin,
T9 On the other hand, the Supreme Court has expressly ruled that the Sixth Amendment does not require prior convie-tions to be submitted to the jury when used merely as a sentence enhancement.
110 Because Palmer's constitutional argument hinges on the classification of subsection 6(a) as either an element or a sentence enhancement, Palmer correctly recognizes that "[the real issue before this Court is whether Utah Code Annotated § 41-6-44(6)(a) ([Supp.2004] ) provides separate elements ... or whether this [subJsection is only an enhancement provision." "[The question of which factors are" elements and which factors are sentence enhancements "is normally a matter for [the legislative branch]." Almendarez-Torres,
We therefore look to the statute before us and ask what [the legislature] intended. Did it intend the ... prior conviction[ ] to help define a separate crime? Or did it intend the presence of an earler conviction as a sentencing factor, a factor that a sentencing court might use to increase punishment? In answering this question, we look to the statute's language, strue-ture, subject matter, context, and history-factors that typically help courts determine a statute's objectives and thereby illuminate its text.
Id. (emphasis added).
11 Our review of Utah Code section 41-6-44 convinces us that the legislature did not intend subsection 6(a) to constitute a separate DUI offense but, rather, a sentence enhancement used to increase punishment for a recidivist.
112 To begin with, subsection 6(a)'s subject matter is indicative of its design as a sentence enhancement. The Supreme Court interpreted a similar statutory provision in Almendarez-Torres v. United States,
T13 Of course, the general indicators of legislative intent recognized by the Supreme Court must give way if evidence demonstrates that the Utah Legislature actually intended subsection (6)(a) to define a separate DUI crime. See id. at 244,
1 14 Under subsection 6(a), "(a) conviction for a violation of Subsection (2) is a third degree felony if it is ... a third or subsequent conviction ... within ten years." Utah Code Ann. § 41-6-44(6)(a) (Supp.2004) (emphasis added). Notably, subsection (6)(a) does not prohibit or declare any activity illegal. Compare id. § 41-6-44(2) ("A person may mot" .... (emphasis added)), with id. § 41-6-44(6) ("A conviction for a violation of Subsection (2) is a third degree felony ...." {emphasis added)). Instead, subsection (6)(a) indicates that a defendant has been charged and convicted "for a violation of Subsection (2)." Id. § 41-6-44(6)(a).
115 In this case, subsection (2) made it illegal for Palmer to (1) operate a vehicle and (2) have a blood alcohol level above .08. See id. § 41-6-44(2)(a)G), (iii). Those were the only elements necessary for Palmer's conviction.
116 Our ruling on this issue is further strengthened by the structure of the statute, which evidences the legislature's intent concerning when prior convictions should be considered elements necessary for the crime of DUI. Subsection (2) defines five different DUI offenses. For example, subsection makes it illegal to drive a vehicle with a blood alcohol level exceeding .08, regardless of whether the driver has prior DUI convictions. See Utah Code Ann. § 41-6-see also id. § 41-6-44(2)(@)@G). However, subsection (2)(a)(v) imposes stricter limits for individuals with prior convictions. See id. § 41-6-44(2)(a)(v). Subseetion (2)(a)(v) makes it a crime to (1) be twenty-one years or older; (2) have a blood alcohol level of .05 or higher; (8) have a passenger under sixteen; and (4) have "committed the offense within ten years of a prior conviction." Id. (emphasis added); see also id. § 41-6-44(2)(a)(iv) (creating similar restrictions). Thus, under subsection (2)(a)(v), a prior conviction is contained in the provision that defines the crime charged. We are obligated to assume that the legislature's decision to include prior convictions within subsection (2)(a)(v) but not within subsection (2)(a)(ii) was deliberate. See Davis County Solid Waste Mgmt. v. City of Bountiful,
118 Harris is distinguishable from this case for several reasons. First, Horris was decided under the Utah Constitution and not under the United States Constitution. See generally Wood v. University of Utah Med. Cir.,
Moreover, recent decisions from our appellate courts have routinely referred
120 Finally, we reject the dissent's argument that subsection 6(a) should not be read as a sentence enhancement because the increase from a class B misdemeanor to a third degree felony is dramatic and subjects the defendant to "serious collateral effects." See infra 131. While we agree that there are significant collateral consequences to the elevation of a charge from misdemeanor to felony, we do not agree that these consequences invalidate the holdings of Apprendi and Al-mendarez-Torres. Indeed, virtually all of the other jurisdictions that have addressed this issue have rejected that proposition. See, e.g., Talley v. State, No. 172,
In addition, the dissent's argument ignores the "serious collateral effects" of confinement in prison. In Almendarez-Torres v. United States, the Supreme Court ruled that a sentence enhancement which increased a defendant's potential term of confinement in prison from two years to twenty years based solely upon the defendant's prior convictions need not be submitted to the jury. See
1 22 Because subsection (6)(a) is a sentence enhancement based on recidivism and not an element of the erime charged, Palmer did not have a constitutional right to have his prior convictions decided by a jury.
CONCLUSION
1 23 We conclude that subsection (6)(a) is a penalty provision that simply increases the sentence for a recidivist. Because the Sixth Amendment does not require recidivism to be submitted to the jury when used merely as a sentence enhancement, we affirm Palmer's felony sentence for driving under the influence.
1 24 Affirmed.
Notes
. Utah Code section 41-6-44 was amended and renumbered in 2005. See Traffic Code Recodifi-cation and Revisions, ch. 2, §§ 58-59, 2005 Utah Laws 18, 56-60 (current version as amended ai Utah Code Ann. §§ 41-6a-502, -503 (Supp. 2007)); Alcohol Restricted Drivers, ch. 91, §§ 1-2, 2005 Utah Laws 627, 627-28 (current version at Utah Code Ann. §§ 41-6a-502, -503 (Supp. 2007)). Because Palmer's actions occurred prior to these revisions, we cite to the 2004 code unless otherwise noted. See State v. Gonzales,
. "'In setting out the facts from the record on appeal, we resolve all conflicts and doubts in favor of the jury's verdict and the rulings of the trial court.'" State v. Yanez,
. Palmer's argument before the trial judge was that "his right to have the jury ... consider the enhancement" was improperly waived. (Emphasis added.) Accordingly, the State suggests Palmer's argument on appeal-that subsection (6)(a) is an "element" and not merely an "enhancement'"-is unpreserved. We disagree. 'The purpose of preserving the error is to assure that the trial court has had the claimed error brought to its attention in a timely fashion, allowing the trial court the first opportunity to address and correct the problem." State v. Beck,
. The right to a jury trial is also secured by Article I, Section 12 of the Utah Constitution. However, Palmer does not provide a separate analysis based on the Utah Constitution. Indeed, Palmer's list of controlling statutes only contains the Sixth Amendment to the United States Constitution. "Therefore, we address only the federal provision." State v. Jensen,
. The Sixth Amendment right to a jury trial was incorporated through the Fourteenth Amendment and has been declared binding on the states. See Duncan v. Louisiana,
. This is an exception to the more general rule that sentence enhancements "must be ... submitted to a jury, and proven beyond a reasonable doubt" if they "increase[ ] the maximum penalty for a crime." Apprendi v. New Jersey,
. Palmer concedes that these elements were satisfied.
. Palmer has neither cited the Utah Constitution nor argued a broader protection here.
. The Supreme Court not only carved out the exception for recidivism, but also suggested that recidivism will generally be treated as a sentence enhancement. See Almendarez-Torres v. United States,
. Palmer's own arguments appear to recognize subsection 6(a)'s role as an enhancement provision. Palmer's argument to the trial court was that "his right to have the jury ... consider the enhancement" was improperly waived. Likewise, Palmer identified the issue on appeal as, "Whether the trial court violated Palmer's constitutional right to have a jury consider his prior DUI convictions for enhancement purposes ...." (Emphasis added.)
. The dissent argues Harris "has not been altered, distinguished, or reversed," see infra 128, and that "no other case has contradicted" its holding that "prior convictions are to be treated as an element," see infra 130. However, these cases state that subsection (6)(a) is an enhancement provision. The explicit language of these rulings, in light of the post-Harris precedent of the United States Supreme Court clearly distinguishing between elements and enhancements, convinces us that Harris has at least been put into question. See, eg. Apprendi v. New Jersey,
. Regardless of whether the factors contained in section 41-6~44(3)(a)Gi)(A)-(C) are deemed elements, as argued by the dissent, or enhancements that increase the maximum penalty, as we hold, these factors must be submitted to the jury and proved beyond a reasonable doubt. See Ap-prendi,
. The validity of Rodriguez-Gonzales is in question. The Ninth Circuit, sitting en banc, considered and rejected a similar argument in 2002. See United States v. Corona-Sanchez,
. Under the dissent's argument, the State would be incapable of "enhancing" numerous crimes, as opposed to charging them as new crimes with separate "elements," regardless of the number of defendant's prior convictions. Under Utah law, even the most severe misdemeanor is punishable by imprisonment "for a term not exceeding one year." Utah Code Ann. § 76-3-204 (2003). Thus, anytime the legislature determines the punishment for a repeat offender should extend incarceration beyond one year, it must do so by changing the level of the offense to a felony.
. Proof of Palmer's previous convictions was submitted by exhibit to the trial court and included in the record on appeal.
. Even if we agreed with the dissent that Palmer has a constitutional right to have his prior convictions submitted to the jury, any violation of that right may very well be subject to harmless-error analysis-an issue we need not address today. See Neder v. United States,
Dissenting Opinion
(dissenting):
1 26 I respectfully dissent from the majority opinion in this case, which concludes that the legislature intended Utah Code section 41-6-44(6)(a) to constitute a sentence enhancement used to increase punishment for a recidivist rather than a separate DUI offense element. See Utah Code Ann. § 41-6-44(6)(a) (Supp.2004). In particular, I disagree with the majority's treatment of State v. Harris,
T27 Both the pertinent case law ruling in Harris that a prior conviction is a material element for which the jury must determine proof beyond a reasonable doubt, and the text of the statute-which does not unambiguously provide that prior convictions are to be used merely as a sentencing enhancement, support the conclusion that subsection (6)(a)-is a separate offense that includes the violation described in subsection (2)(a) and adds the additional element of "a third or subsequent conviction under this section within ten years of two or more prior convictions." Utah Code Ann. § 41-6-44(6)(a).
1 28 To begin, I disagree with the majority's disregard of Harris The majority attempts to distinguish Harris from this case by stating first that it is not applicable because it was decided under Utah's Constitution, which Palmer has not cited. Nonetheless, Harris is binding law that is directly on point. In Harris, the supreme court interpreted and applied a similar version of the relevant statute. The majority fails to acknowledge that although Harris was decided forty-five years ago, it has not been altered, distinguished, or reversed since the Utah Supreme Court decided it.
' 29 Second, the majority dismisses Harris because the case was decided before the United States Supreme Court decided Al-mendarez-Torres v. United States,
130 Although the majority is correct in pointing out that Utah Code section 41-6-44 has been amended over forty times since Harris, the language and structure of the code is substantially the same. See Utah
131 Moreover, the plain language and structure of the statute supports the Harris ruling that a prior conviction is a material element for which the jury must determine proof beyond a reasonable doubt. First, I disagree with the majority's focus on the fact that recidivism is the relevant subject matter of the statute, which the majority considers to be merely a typical factor to be considered at sentencing. See supra 112; see also Al-mendares-Torres,
32 I am not persuaded by the majority's reading of the plain language. The majority considers the plain language of subsections (6)(a) and (2) in conjunction with one another and determines that because subsection (6)(a) does not prohibit any particular activity or provide additional elements to those already articulated in subsection (2), that the language in subsection (6)(a), "[a] conviction for a violation of [slubsection (2)," is an express prerequisite to application of subsection (6)(a), making subsection (6)(a) a sentencing enhancement only.
1383 Rather, I read subsection (6)(a) as providing an additional element to those contained in subsection (2). Subsection (6)(a) makes it clear that before a defendant may be charged and convicted of a third degree felony DUI an additional element must be established, i.e., "a third or subsequent conviction ... within ten years of two or more prior convictions." Utah Code Ann. § 41-6-44(6)(a) (2004). As such, Palmer should not be convicted of third degree DUI without proof beyond a reasonable doubt that he had a third DUI conviction within ten years. Moreover, a prior conviction ought to be considered as an element because it is the only difference between a class B misdemeanor and third degree felony DUI. Without such a reading, the two charges would merge and a defendant who met all of the elements for a class B misdemeanor could be charged and convicted for a third degree felony with the presence or absence of a prior conviction considered only at sentence-ing.
€34 Finally, the structure of the statute supports the Harris ruling and the plain language reading of the statute articulated above. The majority also considers the structure of the statute and notes that several DUI erimes described in subsection (2) include within that section the element of prior convictions. While the majority would conclude that because we assume that the legislature's decision to include prior convie-tions within subsection and (v), and not within subsection (Z2)(a)(iii)-the section
135 The statute contains several sections which provide additional elements in a structure similar to subsection (6)(a) See id. § 41-6-448)(a)@D(A)-(C), (8)(b). For instance, subsection (3)(a)@M)(B) incorporates the additional element of "halving]l a passenger under 16 years of age in the vehicle at the time of the offense" into the violation articulated in subsection (2). Id. § 41-6-44(8)(a)@)(B). Subsection (8)(a)@)(B), which requires proof of "a passenger under 16 years of age in the vehicle at the time of the offense" has been treated as an element regardless of its appearance in a subsection other than (2). Id. This court held that
[blased upon the plain language of [section 41-6-44,] .... [to conviet a defendant of violating the part of the section 41-6-44 under which [the defendant] was charged, the [state is required to prove that the defendant had a "blood or breath alcohol concentration of .08 grams or greater at the time of operation or actual physical control" of the vehicle and that the defendant "had a passenger under 16 years of age in the vehicle at the time of the offense."
State v. Hernandez,
136 Accordingly, I respectfully dissent from the majority opinion.
. Under federal law, a convicted felon may not possess a gun. See 18 U.S.C. § 922 (2000).
. The majority asserts that this reading of the statute would make the State "incapable of 'enhancing' numerous crimes regardless of the number of defendant's prior convictions" and would require the legislature to change the level of offense to a felony anytime it determines the punishment for a repeat offender should extend incarceration beyond one year. Supra T21 n. 14. This is not my position, nor would it be the result of treating prior convictions as an element of a DUI offense. Instead, the result of treating prior convictions as an element would be to avoid perfunctorily enhancing numerous crimes which may have serious collateral effects and to ensure that any such enhancements would be done thoughtfully and with due process.
