Lead Opinion
OPINION
Following his conviction for first degree assault, the superior court sentenced Michael Alan Wentz to a fifteen year term of imprisonment with three years suspended. Wentz appealed, claiming that his sentence was too severe. The court of appeals concluded that the superior court was clearly mistaken and ordered its sentence modified to fifteen years with five years suspended.
I
Wentz was convicted, after pleading no contest to a single count of first degree assault,
As a result of the assault, F.S. required protracted hospitalization and suffered permanent brain damage. Id. Her injuries were particularly dangerous to F.S. because she suffered from a serious heart condition that made her vulnerable to infection. Id. F.S. had been scheduled to undergo open heart surgery in January 1988, to replace a faulty heart valve. Id. The surgery was postponed because of her injuries. Id. In addition, F.S. was deaf and mute. Id.
At the time of sentencing, approximately six months after the assault, F.S. was still confined to a nursing home. Id. Although her condition had improved, F.S. still had no immediate prospect of being discharged. Id.
Wentz was thirty-two years old when he committed the offense. Id. Although he had never been convicted of a felony, Wentz had twelve prior misdemeanor convictions. Id. Three of these were for as-saultive conduct, one involving an assault upon F.S. Id. All of Wentz’s prior offenses appear to have been alcohol related, reflecting his long-standing problem with alcohol abuse. Id. On four prior occasions, Wentz had completed male awareness programs. Id. Despite his numerous misdemeanor convictions, Wentz had never served any significant period of time in jail. Id. He was on informal probation for his most recent misdemeanor conviction, a fourth-degree assault, when he committed the current offense. Id. at 215.
Before imposing sentence, the trial court found two aggravating factors to be applicable: first, Wentz committed the offense upon his spouse, AS 12.55.155(c)(18); second, Wentz committed the offense knowing that F.S. was particularly vulnerable by virtue of her heart condition and deafness, AS 12.55.155(c)(5). Id.
The court of appeals held that an actual term of imprisonment in excess of ten years was inconsistent with its own decisions limiting to ten years the maximum prison term for certain class A and class B felonies. Id. at 215-16. Specifically, the court relied upon its ruling in Pruett v. State,
Sentences of ten years or more for conduct equivalent in seriousness to class A felonies under current law have generally been based on isolation as a goal of sentencing and have been reserved for those with a proven record of recidivism, or those whose conduct involved premeditated attempts to kill or seriously injure.
(emphasis added). The court also relied upon Holtzheimer v. State,
In cases involving class A and class B felonies, we have consistently recognized that composite terms exceeding ten years of imprisonment should be reserved for offenders who have prior felony records*964 and who have spent substantial periods of time in prison.
Id. at 1180 (emphasis added).
The court concluded that Wentz’s case failed to fit under either exception to the ten-year sentence cap established in Pruett, Holtzheimer, and other cases. Wentz, 777 P.2d at 216.
II
Assault in the first degree is a class A felony. AS 11.41.200(b). In AS 12.55.-125(c) the legislature has declared class A felonies to be subject to a maximum prison term of 20 years; however, the presumptive term for first felony offenders, “subject to adjustment” for aggravation and mitigation, is five years imprisonment. AS 12.55.125(c)(1). Where aggravating factors are found, the sentencing court is authorized to “increase the presumptive term up to the maximum term of imprisonment.” AS 12.55.155(a)(2).
When considering the appropriate adjustment of sentence for an offender based upon a finding of aggravating or mitigating circumstances, the trial court is to consider the following factors: (1) the seriousness of the defendant’s present offense in relation to other offenses; (2) the prior criminal history of the defendant, and the likelihood of rehabilitation; (3) the need to confine the defendant to prevent further harm to the public; (4) the circumstances of the offense, and the extent to which the offense harmed the victim, or endangered the public safety or order; (5) the effect of the sentence to be imposed in deterring the defendant or other members of society from future criminal conduct; and (6) the effect of the sentence to be imposed as a community condemnation of the criminal act, and as a reaffirmation of societal norms. AS 12.55.005; State v. Chaney, 477 P.2d 441, 444 (Alaska 1970). The priority and relative weights of these criteria are left to the discretion of the sentencing judge, Nukapigak v. State,
Applying the foregoing principles to the case at bar, it is apparent that the trial court was permitted, under AS 12.55.-155(a)(2), to increase Wentz’s five-year presumptive term by as much as fifteen years, depending upon the number and severity of statutory aggravating factors present, and the appropriate weight to be afforded the various, legislatively authorized criteria for adjustment of sentence under AS 12.55.005. After considering these criteria, and finding two statutory aggravating factors to be present, the trial court sentenced Wentz to fifteen years with three years suspended. Wentz’s total term of imprisonment was, therefore, five years less than the statutory maximum, and his term of actual imprisonment was eight years less than that amount.
The court of appeals, nonetheless, concluded that the trial court was “clearly mistaken” in sentencing Wentz to fifteen years with three suspended, holding that it should have sentenced him, instead, to no more than fifteen years with five suspended. Wentz, 777 P.2d at 217. As already noted, the decision was based upon the
It is certainly not apparent that any such limitation was intended by those enacting the legislative scheme which the court of appeals professes to advance. Indeed, the statutory language itself provides that, where statutory aggravating factors are present, the presumptive five-year sentence for first felony offenders may be increased from one to fifteen years, in the sound discretion of the sentencing court, subject only to the strictures of AS 12.55.-005. The practical effect of the court of appeals’ ten-year limitation, in this case and others like it, is to reduce by two-thirds the range of acceptable sentences expressly authorized by the legislature in this context.
Under the rule applied by the court of appeals in this case, a first time felony offender would never receive more than half the maximum term of imprisonment, unless one of the specific aggravating factors deemed sufficient by the court of appeals is present. However, the court’s abbreviated list of aggravating factors (which includes only prior felony offenses and “premeditated attempts to kill or injure”) is in direct conflict with the more lengthy list of aggravating factors which the legislature has proclaimed sufficient. The legislative scheme allows imprisonment for up to twenty years for class A felonies, upon proof of one or more of twenty-six enumerated aggravating factors. See AS 12.55.125; AS 12.55.-155(c)(l)-(26). Under the court of appeals’ ruling, a trial court cannot sentence an offender to the maximum term, regardless of the presence, strength, or number of statutory aggravating factors, unless it can demonstrate that the case meets one of the two exceptions to the court of appeals’ ten-year rule. We hold that such a result is in direct conflict with the language of the statute and is therefore impermissible.
In simple terms, the legislature, as part of its comprehensive sentencing scheme, has directed that a sentence may be adjusted “up to the maximum,” under specified circumstances. The court of appeals’ implicit conclusion that the legislature meant “up to the maximum only where an offender has committed prior felonies and served substantial jail time, or where the crime involves premeditated attempts to kill or seriously injure ” is at odds with the plain language of the statutory scheme.
The court of appeals’ result is also at odds with the “clearly mistaken” standard of review established long ago by this court in McClain v. State,
We have recognized that “the maximum sentence for a particular offense expresses a legislative judgment about how the worst offender within a class designated by the legislature should be treated.” Waters v. State,
Whether a particular offense is sufficiently serious to justify placing it in the upper rather than lower end of the sentencing range, however, cannot be determined with mathematical certainty. Such questions are not easily resolved by resort to “bright line” rules or pronouncements concerning the “correct” sentence to be applied under varying factual circumstances. For example, it cannot be stated categorically that a felony assault committed by an offender with a long string of prior misdemeanor assaults is necessarily less serious than a felony assault committed by an offender with a single prior felony conviction. Such questions must be answered by reference to the particular facts of the individual case, and are therefore matters properly left to the sound discretion of the sentencing judge. See Nukapigak,
As we observed in Creer v. State,
In so ruling, we do not mean to suggest that the court of appeals may not adopt any standards in order to guide the trial courts in the exercise of their discretion in sentencing.
Properly applied the “exceptional case” standard enunciated in Austin allows the trial court sufficient discretion to exceed the presumptive term for second felony offenders where a particularly compelling set of aggravating factors (AS 12.55.155) or Chaney criteria (AS 12.55.005) militate in favor of an increased sentence. We believe that the case before us clearly represents an “exceptional case” which, under the Austin rule, justifies a sentence for a first felony offender in excess of the presumptive term for a second felony offender.
The victim in this case, Michael Wentz’s wife, is deaf and mute, with a congenital heart condition which makes her particularly vulnerable to assault. Wentz, apparently in a jealous rage aggravated by alcohol, beat her so severely that she was required to spend 112 days in the hospital, 56 of those in intensive care. Despite her moans of pain, Wentz failed to secure any medical assistance for his wife until approximately seven hours after the incident, when it became apparent to Wentz that she might die. Wentz’s wife suffered permanent brain damage, which had manifested itself, at the time of sentencing, in memory lapses and a difficulty in walking.
This was not Wentz’s first incident of alcohol-related violence; it was not even the first time he had been convicted of beating his wife. In July 1987, Wentz pled no contest to assault in the fourth degree for choking and striking his wife. In December of 1987, Wentz was again convicted of assault in the fourth degree, this time for attacking a bartender who attempted to intervene while Wentz was “pushing [his wife] around” in a bar.
Before these events occurred, Wentz had amassed a substantial record of alcohol-re
Given these circumstances, it cannot reasonably be said that the trial court was clearly mistaken when it suspended three rather than five years of Wentz’s fifteen-year sentence. See generally Karr,
MATTHEWS, C.J., with whom RABINOWITZ, J., joins dissenting,
Notes
. With only minor alterations and omissions, we reiterate here the version of the facts outlined by the court of appeals in Wentz v. State, 777 P.2d 213 (Alaska App.1989).
. Wentz was convicted of violating AS 11.41.-200(a)(1) (recklessly causing serious physical injury by means of a dangerous instrument). Wentz, 777 P.2d at 214. The maximum penalty for this offense is 20 years imprisonment; the presumptive term for a first felony offender is five years imprisonment. AS 12.55.125(c).
. The court rejected one aggravating factor proposed by the state: that Wentz's conduct was among the most serious within the definition of the offense, AS 12.55.155(c)(10). Wentz, 777 P.2d at 21.5. The court concluded that F.S.’s injuries were not sufficient to establish this aggravating factor by clear and convincing evidence. Id.
. The court explicitly distinguished this case from Sweetin v. State,
. The court of appeals based its ten-year standard, in large part, upon the ABA Standards for Criminal Justice, on Sentencing Alternatives and Procedures (1980), which would permit imposition of a sentence in excess of ten years only where the defendant has been convicted of two or more prior felonies and has served at least one year in prison within the preceding five years. Id. at §§ 18 — 2.1(e), 18-4.4(c). Although we have often cited the ABA Standards with approval in the past, see, e.g., Pascoe v. State,
We note also that our own decision in Pears v. State,
. "The court of appeals has jurisdiction to hear appeals of sentences of imprisonment by the superior court on the grounds that the sentence is excessive or too lenient ...AS 22.07.020(b), and "[a] final decision of the court of appeals is binding on the superior court ... unless superseded by a decision of the supreme court,” AS 22.07.020(g). The court of appeals, however, has no authority to promulgate general rules of practice and procedure in those courts. Only this court has such authority. Lee v. State,
*967 There are drawbacks ... to relying too heavily on appellate review to articulate sentencing principles and to fine-tune sentences. Appellate review by its very nature is backward-looking. It is the proper role of the appellate court to examine what has occurred in a specific case, and to pass on the propriety of the result in that case only. It is generally accepted that an appellate court is effective only when it decides cases based on the factual record before it and only after the record in that case has been completely developed. As a rule, it cannot and should not anticipate what other factual situations might arise in the future, nor should it fashion rules prospectively.
... [T]he court of appeals, ... creates target benchmarks by looking back and reviewing sentences previously approved in similar cases. It then synthesizes all the cases in that area, often publishing a decision making explicit the reasoning implicit in its previous decisions. While this is entirely appropriate behavior for an appellate court, it means that the court of appeals cannot shape sentencing law prospectively, because it cannot choose the cases that come before it, and it cannot decide cases with an eye to what might happen in the future. In addition, the court’s process of deciding numerous cases in an area and then publishing a decision distilling the general principle is often confusing to the practitioner, who is sometimes left with dozens of cases and no concrete rule.
It is the function of a legislature to shape law prospectively. Besides being able to look forward, a legislature can establish sentencing policy in the context of other considerations, such as the overall allocation of the state’s resources. This legislative function complements the appellate courts' review of individual cases and synthesis of the individual decisions into a comprehensive set of interpretations of the statutes and constitution.
DiPietro, The Development of Appellate Sentencing Law in Alaska, 7 Alaska L. Rev. 265, 296 (1990).
. Although the dissent suggests that we remand to the court of appeals for separate consideration of the Austin issue, such a remand is not necessary in this case. While future decisions of the court of appeals will define the outer boundaries of exceptional circumstances, we hold here that when a man with a history of assaultive behavior beats his particularly vulnerable wife almost to death, causing permanent brain damage, it is an "exceptional case.”
Dissenting Opinion
with whom RABINOWITZ, Justice, joins, dissenting.
I.
The ABA Standards for Criminal Justice state in part: “for most offenses, the maximum prison term authorized ought not to exceed ten years and normally should not exceed five years. Longer sentences should be reserved for particularly serious offenses committed by particularly dangerous offenders_” 3 American Bar Association, Standards for Criminal Justice § 18-2.1(e) (2d ed. 1980). The standards essentially define “dangerousness” in terms of repetitive criminality, requiring that the offender have been previously convicted of two felonies within the last five years and have spent in excess of one year in prison. See id,., § 18-4.4(c). The 10-year benchmark employed by the court of appeals in this case is similar to and, in part, based on the ABA rule.
This court has long looked to the ABA standards for guidance. Beginning in 1974, we approved the previous ABA recommendation that “except for cases involving particularly serious offenses, dangerous offenders and professional criminals, maximum prison terms ought not to exceed 5 years.” Donlun v. State,
After passage of the Revised Criminal Code in 1978, this court continued to look to § 18-2.1(e) for guidance in sentencing. In fact, several times we felt the need to justify the imposition of sentences in excess of the ABA’s five-year recommendation for “normal” cases. See Pascoe v. State,
In my view, the court of appeals’ 10-year benchmark is salutary. It expresses a sentencing guideline which is supplemental to but not inconsistent with our statutory system of presumptive sentences. It adds structure and meaning to the unquantified list of 26 aggravating factors set out in AS 12.55.155(e). Without guidelines of this nature any one of the 26 statutory factors might be thought sufficient to increase a presumptive sentence to the maximum possible sentence for the offense in question (for example, from 5 years to 20 years to use the range presented by the present case). The Austin rule discussed and approved in the majority opinion and in part II of this dissenting opinion serves the same function.
The goal of Alaska’s presumptive sentencing system is “the elimination of unjustified disparity in sentences and the attainment of reasonable uniformity in sentences.” AS 12.55.005. This goal is furthered by the 10-year benchmark since it sets out with fair specificity when a sentence in excess of 10 years may be warranted.
Further, the objective of our statutory system of appellate review of sentences
Proponents of appellate review argued that appellate judges could regulate trial court discretion in two ways: they could review individual sentences, modifying those found to be excessive or too lenient, and they could in the process articulate standards and guidelines governing the imposition of criminal sanctions.
Id. The 10-year benchmark is a rule which has been articulated in the course of case-by-case adjudication just as the proponents of appellate review of sentencing anticipated. For the majority opinion to conclude, as it does, that the benchmark is unauthorized simply because a higher sentence was within the maximum range permitted by statute is profoundly contrary to the reform contemplated by the legislature when it instituted appellate review of sentences.
For the above reasons, I disagree with today’s majority opinion which eliminates the 10-year benchmark.
II.
As noted, the court of appeals disapproved of the sentence imposed by the trial court on the basis of the 10-year benchmark. There is another guideline which potentially governs this case which the court of appeals did not discuss. This is the so-called “Austin rule,” which provides that: “[njormally a first offender should receive a more favorable sentence than the presumptive sentence for a second offender.” Austin v. State,
The court of appeals did not reach the question whether the Austin rule or the “exceptional case” exception applied in this case.
Like my colleagues, I think that this is a serious and tragic case. Unfortunately, our criminal law reports contain a pantheon of serious and tragic cases. Among the class of cases relevant here, first degree assault charges where aggravating factors exist which justify a sentence greater than the five-year presumptive term, it is not clear to me that this case is necessarily exceptional. Serious physical injury is an element of first degree assault, AS 11.41.-200, and at least one aggravating factor, such as vulnerability of the victim, must be present before the sentencing judge can even slightly increase the sentence to one greater than five years. AS 12.55.-125(c)(1).
The normal division of functions between a final and an intermediate appellate court requires that reasonably arguable questions such as this be answered by the intermediate court in the first instance.
. The 10-year rule adopted by the court of appeals permits sentences in excess of 10 years more broadly than the ABA standards. Whereas the ABA version seems to provide for an extended sentence only in cases of recidivists, see § 18-2.1(e), the court of appeals’ version provides for such sentences for either recidivists or "those whose conduct involved premeditated attempts to kill or seriously injure.” Pruett v. State,
. Appellate review of sentences was authorized by the legislature in 1969 with the passage of what is now AS 12.55.120.
. Although Wentz did not press hard on the Austin issue before the court of appeals, he did raise the issue. In arguing that his sentence was excessive, Wentz began by showing that his sentence exceeded the presumptive sentence for a second offender and that the Austin rule allowed this only in exceptional cases. He proceeded to argue that his case was comparable to other cases where only 10 years total imprison
. For cases involving serious physical injury where there was no finding of exceptionality, see Pruett v. State,
. See State v. Ridgely,
.As one commentator has stated:
The court of appeals, which has decided well over 1,100 sentence appeals since its creation in 1980, has adopted the role envisioned by the original proponents of appellate review. It routinely reduces excessive sentences to bring them in line with sentences given in comparable cases, and has created an extensive body of case law articulating appropriate sentencing principles, establishing benchmark terms for many classes of offenses, and establishing standards for the extent to which sentences can be increased in aggravated cases. ... By virtue of the volume and completeness of the sentencing law that it has created, the Alaska Court of Appeals is one of the most active sentence review courts in the nation.
