State v. SpeedisState v. Speedis
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Trial courts may impose enhanced sentences in criminal cases when an aggravating factor provides a substantial and compelling reason for doing so.
As a matter of state law, three related sets of statutes govern sentencing.
That latitude sometimes led to disparate sentences for similarly situated defendants, and, in 1985, the Oregon legislature created what is now known as the Oregon Criminal Justice Commission to develop recommendations for providing greater uniformity in sentencing.
Dilts
1,
The presumptive sentence sets a target sentence within the range that the indeterminate sentencing statutes permit, and trial courts retain “ ‘discretion to deviate [from the presumptive sentence] for substantial and compelling reasons.’ ”
Dilts I,
Some of those mitigating and aggravating factors go to the seriousness of the offense. For example, if the harm or loss attributable to a particular offense is either significantly less or significantly greater than is typical, the guidelines permit a court to impose either a downward or an upward departure sentence.
See
Finally, the guidelines provide that the list of specific mitigating and aggravating factors is “nonexclusive.”
In 2005, the legislature enacted a third set of statutes that establish procedures for determining whether, in a particular case, an aggravating factor exists that will warrant an enhanced sentence.
See
In this case, the jury convicted defendant of three crimes: first-degree burglary, second-degree assault, and third-degree assault. Before the jury returned its verdict, the prosecutor notified defendant that, in the state’s view, eight aggravating factors applied in this case. Of those eight aggravating factors, the jury was ultimately asked to determine whether four of them were present: (1) defendant was on supervision when he committed the current crimes; (2) prior criminal justice sanctions had failed to deter defendant from committing crimes; (3) defendant committed this crime while on release status with other criminal charges pending; and (4) defendant had demonstrated a disregard for laws and rules, making successful probation unlikely. Each of those factors is a nonenumerated aggravating factor.
After considering additional evidence at a separate sentencing hearing, the jury found that the state had proved beyond a reasonable doubt each of those four aggravating factors. The trial court then determined that each aggravating
factor, standing alone, provided a substantial and compelling reason for imposing enhanced sentences on defendant’s convictions for first-degree burglary and second-degree assault. The trial court sentenced defendant to 72 months in prison rather than the presumptive sentence of 37 to 38 months on the second-degree
Throughout this litigation, defendant has argued that a trial court may not rely on nonenumerated aggravating factors to impose an enhanced sentence. Doing so, he reasons, violates the separation of powers provision of the Oregon Constitution. See Or Const, Art III, § 1 (allocating governmental power among the legislative, executive, and judicial departments). Additionally, defendant contends that, to the extent the sentencing guidelines permit prosecutors to base a request for an enhanced sentence on nonenu-merated aggravating factors, the guidelines are vague in violation of Article I, sections 20 and 21, of the Oregon Constitution and the Due Process Clause of the United States Constitution. We begin with defendant’s separation of powers argument.
Article III, section 1, of the Oregon Constitution provides:
“The powers of the Government shall be divided into three seperate [sic] departments, the Legislative, the Executive, including the administrative, and the Judicial; and no person charged with official duties under one of these departments shall exercise any of the functions of another, except as in this Constitution expressly provided.”
A separation of powers claim under this section may turn on one of two issues.
MacPherson v. DAS,
Defendant’s argument fails to distinguish two related but separate lines of authority. This court has recognized that “[djetermining the range of possible sentences for particular crimes historically has been a legislative, rather than a judicial, function.”
State ex rel Huddleston v. Sawyer,
In
Defendant’s contrary argument, as we understand it, rests on the assumption that a presumptive sentence establishes, as a matter of state law, the maximum sentence that a trial court can impose. It follows, defendant contends, that a trial court may not depart from a presumptive sentence unless the legislature either has specified the terms on which a court may depart or has delegated the authority to trial courts to identify those terms. And defendant focuses the majority of his separation of powers argument on the claim that, in authorizing the use of nonenumerated sentencing factors, the legislature has failed to provide a constitutionally sufficient delegative standard.
One problem with defendant’s separation of powers argument is the assumption that underlies it. As this court explained in
Dilts I,
the legislature did not intend that presumptive sentences would mark the outer limits of a trial
court’s sentencing authority.
“neither the wording nor the structure of the sentencing guidelines or the related statutes support [the] defendant’s assertion that the legislature intended the presumptive sentences in the sentencing guidelines to constitute the statutory maximum sentences for the offenses to which they apply.”
Id.
9
cNot only does a presumptive sentence not define the outer boundaries of a trial court’s sentencing authority, as defendant’s argument assumes, but the sentencing guidelines expressly authorize trial courts to decide whether nonenumerated aggravating and mitigating factors warrant imposing a greater or a lesser sentence than a presumptive sentence.
Id.
at 175-76. In imposing a departure sentence based on nonenumerated aggravating factors, a trial court is not acting beyond the bounds of its sentencing authority * *
Cf. Leathers,
Defendant argues alternatively that, to the extent the guidelines permit reliance on nonenumerated aggravating factors in deciding whether to impose an enhanced sentence,
Before turning to defendant’s arguments, it is helpful to put them in context. The jury found beyond a reasonable doubt that each of the four nonenumerated aggravating factors that the prosecutor had identified was present, and defendant does not contend that the record does not support the jury’s findings. Nor does defendant challenge the trial court’s conclusion that each of those factors, standing alone, provided a substantial and compelling reason to impose an enhanced sentence. 10 Finally, defendant does not dispute that, before he committed the crimes that resulted in his burglary and assault convictions, the Oregon Court of Appeals had recognized that each of the four nonenumerated aggravating factors that the prosecutor identified in this case provided a basis for imposing an enhanced sentence; that is, even though the sentencing guidelines do not specifically list those four factors, the Court of Appeals had recognized before defendant committed the burglary and assaults that each factor was an aggravating factor within the meaning of the guidelines. 11
With that background in mind, we turn to defendant’s argument that the sentencing guidelines are vague in violation of Article I, sections 20 and 21, because they do not give defendants “fair notice” of the circumstances that will result in an enhanced sentence. We note, at the outset, that this court’s cases have not always looked in the same direction on the question whether “fair notice” is a component of a state constitutional vagueness analysis. In
State v. Graves,
More recently, however, the court explained in
Delgado v. Souders,
Defendant argues that the discussions of fair notice in
Delgado
and
Illig-Renn
were
dicta
and that we should follow the holding in
We refer to the prosecutor’s exercise of discretion because, once the prosecutor notified defendant of the specific aggravating facts on which the state intended to rely, the jury and the trial court had a limited role to play. The question for the jury was whether the state had proved beyond a reasonable doubt the specific aggravating factors that the prosecutor had identified. Once the jury found that the state had proved those factors, then the question for the trial court was whether those factors, individually or collectively, provided a substantial and compelling reason for imposing an upward departure sentence. The trial court had no discretion to decide whether other aggravating factors (either enumerated or nonenumerated) might apply.
See
To be sure, in deciding whether the aggravating factors that the jury found provided a substantial and compelling reason for imposing an enhanced sentence, the trial court exercised a limited measure of discretion.
See Upton,
More than 50 years ago, this court rejected a vagueness challenge to an indeterminate sentencing statute.
Smallman v. Gladden,
Put differently, the same criteria that informed a sentencing court’s exercise of its discretion under the indeterminate sentencing statutes apply wdth equal force to the identification of nonenumerated aggravating and mitigating factors under the sentencing guidelines. If those criteria were sufficient to defeat a vagueness challenge to indeterminate sentencing statutes, we cannot say that those same criteria are not a sufficient check on the prosecutor’s discretion to identify nonenumerated aggravating factors. That is particularly true since the sentencing guidelines place further limitations on the exercise of sentencing discretion. They require that any nonenumerated factor provide substantial and compelling reasons for imposing a departure sentence,
Under the Due Process Clause of the Fourteenth Amendment, a criminal statute will be unconstitutionally vague if it fails to provide “fair warning” of the acts that will expose a person to criminal penalties; that is, a statute must “give [a] person of ordinary intelligence a reasonable opportunity to know what is prohibited so that he [or she] may act accordingly.”
Illig-Renn,
As explained above, before defendant committed the crimes that gave rise to his burglary and assault convictions, the Court of Appeals had identified each of the four nonenu-merated aggravating factors at issue in this case as permissible grounds for imposing an enhanced sentence under the sentencing guidelines. Even if the sentencing guidelines,
standing alone, would not provide sufficient notice that those factors would justify an enhanced sentence, those appellate decisions did and, in doing so, satisfied due process.
See Lanier,
The decision of the Court of Appeals and the judgment of the circuit court are affirmed.
Notes
In
Dilts I,
this court explained how Oregon’s sentencing statutes work as a matter of state law and concluded that those statutes, as the court had interpreted them, complied with the Sixth and Fourteenth Amendments to the United States Constitution. The defendant in
Dilts I
petitioned for certiorari. The United States Supreme Court granted his petition, vacated this court’s judgment, and remanded the case for further proceedings in light of its decision in
Blakely v. Washington,
Although the commission adopted the sentencing guidelines as rules, the legislature later enacted the sentencing guidelines as statutes.
Dilts I,
For some crimes, the Oregon statutes also provide mandatory minimum sentences.
See, e.g.,
Whether an aggravating factor relates to the offense or to the offender affects whether the factor may be tried in the guilt phase of the trial or in a separate sentencing phase.
Because second-degree assault is a Measure 11 crime, the court imposed a 70-month mandatory minimum sentence on that conviction.
See
Defendant does not argue that merging the sentences, as opposed to merging the convictions for second- and third-degree assault, is inconsistent with
State v. White,
To describe that authority solely as a judicial function is not entirely accurate. Historically, prosecutors identified and submitted the facts at a sentencing hearing that the trial courts then considered in deciding whether the seriousness of the offense and the character of the offender warranted a greater or lesser sentence
within the range permitted by sentencing statutes.
See Scott,
As our reasoning makes clear, our resolution of defendant’s separation of powers argument focuses on and is limited to sentencing issues.
We recognize, of course, that, under
Blakely,
a presumptive sentence is a maximum sentence for purposes of the Sixth and Fourteenth Amendment.
See Dilts II,
Such an argument would be difficult to make. Each of the four aggravating factors on which the state relied in this case concerns a defendant’s character or status. Each factor concerns, in one way or another, whether current or prior judicial sanctions have failed to deter defendant from continuing to commit crimes and, if they have failed, whether an enhanced sentence is appropriate.
See State v. Williams,
Because the defendant in
Delgado
claimed that a civil statute was vague, only Article I, section 20 applied.
Defendant has not argued that
Delgado
and
Illig-Renn
should be overruled because they were “wrongly considered or wrongly decided.”
See Stranahan v. Fred
Meyer,
Inc.,
Our state constitutional vagueness holding is limited to sentencing and, within that context, to sentencing factors that bear on a defendant’s character. We have no occasion to consider whether greater specificity would be required either for a statute defining the elements of an offense or for sentencing factors that relate to the offense rather than the offender.
Cf. State v. Ice,
The Court held in
Lanier
that a decision need not be from a court of last resort to provide fair notice; an intermediate appellate decision will suffice.
It may he that the prior Court of Appeals decisions recognizing specific nonenumerated aggravating factors would be a complete answer to defendant’s state vagueness claims, as well as to his federal vagueness claims. However, having resolved defendant’s state vagueness claims on different grounds, we need not decide that issue.