Billis v. State
Annotate this Case
Billis v. State
1990 WY 102
800 P.2d 401
Case Number: 88-250, 88-304, 88-312, 88-310
Decided: 10/05/1990
Supreme Court of Wyoming
JEFFREY D. BILLIS,
Appellant (Defendant),
v.
THE STATE OF WYOMING,
Appellee (Plaintiff).
VICKI MOON,
Appellant (Defendant),
v.
THE STATE OF WYOMING,
Appellee (Plaintiff).
WILFRED J. VIGIL, a/k/a TWO DOGS,
Appellant (Defendant),
v.
THE STATE OF WYOMING,
Appellee (Plaintiff).
SCOTT P. McIVER,
Appellant (Defendant),
v.
THE STATE OF WYOMING,
Appellee (Plaintiff).
NELLIE MAGARAHAN,
Appellant (Defendant),
v.
THE STATE OF WYOMING,
Appellee (Plaintiff).
STATE OF WYOMING,
Plaintiff,
v.
VICTORIA LOWRY,
Defendant
Case
No. 88-250 on appeal from the District Court of Laramie County, the Honorable
Edward L. Grant, Judge; and Case Nos. 88-310 and 88-311 on appeal from the
District Court of Laramie County, the Honorable Nicholas Kalokathis,
Judge.
Case Nos. 88-304 and 89-4, on appeal from the District Court
of Natrona County, the Honorable Dan Spangler, Judge.
Case No.
88-312, on appeal on a Bill of Exceptions from the County court of Campbell
County, the Honorable Jeremy D. Michaels, Judge.
Public Defender Program: Mike Cornia,
Appellate Counsel, Cheyenne, for appellants in Case Nos. 88-250, 88-304,
88-310, 88-311, 89-4 and for defendant in No. 88-312.
Joseph B.
Meyer, Attorney General; John W. Renneisen, Deputy Attorney General; Karen A.
Byrne, Senior Assistant Attorney General; Paul S. Rehurek, Senior Assistant
Attorney General, Cheyenne; and Campbell County Prosecutor's Office: John D.
Young, County and Prosecuting Attorney; Russell A. Hansen, Chief Deputy, Civil
Division; and Doug Lesley, Deputy County Attorney, Gillette, for appellee
State of Wyoming.
Urbigkit, C.J., and Thomas, Cardine, Macy and
Golden, JJ. Golden, J., delivered the opinion of the court. Urbigkit,
C.J., filed a dissenting opinion in which Macy, J., joins.
Macy, J., filed a dissenting opinion in which Urbigkit, C.J.,
joins.
GOLDEN
[¶1.]
In these consolidated cases we must answer several constitutional
questions concerning W.S.
7-13-301 (June 1987
Repl.) (hereinafter "new 301"). "New 301" is a probation statute that applies to
a criminal defendant who has never before been convicted of a felony and is
presently charged with, has pleaded guilty to, or has been found guilty of an
offense within a certain group of felonies and misdemeanors. Under the statute,
if both the defendant and the state consent, the court may defer further
prosecution proceedings and place the defendant on probation without entry of a
judgment of guilt or conviction.
[¶2] The three main issues presented by these
cases concern whether the state's consent requirement of "new 301" violates the
principle of separation of powers explicitly stated in Wyo. Const. art. 2, § 1;
whether the bill that enacted "new 301" was so altered or amended on its passage
as to change the bill's original purpose in violation of Wyo. Const. art. 3, §
20; and whether the bill that enacted "new 301" contained more than one subject
in violation of Wyo. Const. art. 3, § 24. In several of these consolidated cases
there are additional issues that we will address after resolving these three
primary issues.
[¶3] We hold
that "new 301" is constitutional. With this holding, and with our resolution of
the additional issues presented in some of the cases, we reverse State v.
Lowry (No. 88-312) and affirm Billis v.
State (No.
88-250), Moon v. State (No. 88-304), Vigil v. State (No. 88-310),
McIver v. State (No. 88-311), and Magarahan v. State, (No.
89-4).
FACTS AND ISSUES IN THE CONSOLIDATED CASES
State v.
Lowry (No. 88-312)
Facts:
[¶4] Victoria Lowry was arrested and charged
with two misdemeanors, speeding, in violation of W.S.
31-5-301(b)(ii)(1977), and
driving while under the influence, in violation of W.S.
31-5-233 (Cum.Supp.
1987). In the evening of April 14, 1988, after meeting her brother at a lounge
and drinking several beers, Ms. Lowry was driving home when she was stopped by
police for speeding. The police officer noticed that her speech was slurred, her
eyes bloodshot, and her balance unsteady. Because he smelled a strong odor of
alcoholic beverage on her breath, he conducted a field sobriety test. Ms. Lowry
was then placed under arrest. She consented to a breathalyzer test at the
police station; the test showed a .185 blood alcohol level.
[¶5] Under a plea bargain with the
prosecutor, Ms. Lowry pleaded guilty to the charge of driving while under the
influence in exchange for the state's dismissal of the speeding charge. On being
informed of the plea bargain, the county court judge asked whether the
prosecutor would consent to Ms. Lowry's being placed on probation without entry
of judgment of conviction under "new 301." The prosecutor would not consent. The
county court judge deferred findings of a factual basis for the plea of guilty
and ordered a presentence investigation report.
[¶6] The presentence investigation report
revealed that Ms. Lowry had never before been charged with any criminal offense,
had overcome much adversity in her life, was well-educated, had maintained
steady employment, normally drank alcoholic beverages only socially, and
customarily did not drink to excess. The probation officer making the report
recommended probation without entry of judgment of conviction under "new 301."
Although stating that he had considered Ms. Lowry's good character and lack of
any criminal record, the prosecutor refused to give the state's consent to
probation under "new 301" because Ms. Lowry's blood alcohol level of .185 was
too high.
[¶7] After noting
the favorable information contained in the presentence investigation report and
the recommendation of leniency, the county court judge concluded that "the
state's entry into sentencing prerogatives is an unconstitutional invasion of
the judicial function by threat executive branch * * *." The county court judge
held that the state's consent requirement contained in "new 301" was
unconstitutional. Obtaining Ms. Lowry's consent, as required under "new 301",
the county court judge ordered that her plea of guilty be deferred, she be
placed on supervised probation for one year, she be evaluated by Powder River
Council and comply with its recommendations, she not use drugs or alcohol, and
she reimburse the government for attorney's fees in the amount of $ 200. The
county court judge informed Ms. Lowry that if she violated her probation, he
would immediately accept her plea of guilty.
[¶8] Following the county court's action, the
state applied to this court for permission to file a bill of exceptions1 on the issue whether "new 301" constitutes an
unconstitutional invasion of a judicial function. We granted the state's
application, ordered that the state file the bill, and ordered there should also
be a ruling whether "new 301" had been constitutionally enacted. Later, this
court received appeals from criminal defendants in Billis, Vigil,
McIver, Moon and Magarahan presenting
identical issues; the six cases were consolidated on
appeal.
Issues:
[¶9]
For clarity we have rephrased Ms. Lowry's issues as
follows:
1. Whether W.S.
7-13-301 (June 1987
Repl.), requiring the state's consent to the court's deferring further
proceedings and placing a defendant on probation without entry of a judgment of
conviction, infringes on the judicial department's sentencing power in violation
of the principle of separation of powers explicitly stated in Wyo. Const. art.
2, § 1.
2. Whether 1987 Wyo. Sess. Laws, ch. 157, § 3, enacting
W.S.
7-13-301 (June 1987
Repl.), was enacted in violation of Wyo. Const. art. 3, § 20, which proscribes
altering or amending a bill during its passage through the legislature so as to
change the bill's original purpose.
3. Whether 1987 Wyo. Sess.
Laws, ch. 157, § 3, enacting W.S.
7-13-301 (June 1987
Repl.), was enacted in violation of Wyo. Const. art. 3, § 24, which mandates the
passage of a bill containing only one subject which must be clearly expressed in
the bill's title.
4. Whether W.S.
7-6-106(d) (June 1987
Repl.), under which the county court ordered Ms. Lowry to reimburse the state
for attorney's fees, is constitutional.
Vigil v. State (No.
88-310)
Facts:
[¶10] On January 22, 1988, in Cheyenne,
Wyoming, Mr. Vigil sold one-fourth ounce of cocaine to a confidential police
informant. He was charged with violating W.S.
35-7-1031(a)(i) and
35-7-1016(b)(iv) (1977). In a plea bargain Mr. Vigil agreed to plead guilty to
the felony in exchange for the state's not opposing probation after sentencing
provided the presentence investigation report revealed no prior felony
convictions. The state would not consent to "new 301" probation.2 The
presentence investigation report revealed that Mr. Vigil admitted to prior drug
sales that he described as not amounting to much. Mr. Vigil filed a motion for
sentencing under "new 301," in which he requested probation without entry of
judgment of conviction in spite of the state's refusal to consent and,
alternatively, the district court's certification of the state's consent
requirement issue to this court. The prosecutor told the district court that the
state refused to consent to "new 301" treatment for Mr. Vigil because his was a
drug case and he had sold drugs before. The district court found that the
state's position was rational, denied Mr. Vigil's motion, and sentenced him for
a term of not less than two nor more than five years, suspended in favor of five
years probation. The court also ordered Mr. Vigil to reimburse the state for the
fees and costs of his public defender. W.S.
7-6-106(d) (June 1987
Repl.).
Issues:
[¶11]
In addition to the four issues raised in Lowry, Mr. Vigil raises
the following:
1. Whether the prosecutor's refusal to consent to
first offender treatment for Mr. Vigil violated his rights to due process,
and
2. Whether the prosecutor's refusal to consent to sentencing
under §
7-13-301 was
arbitrary and an abuse of discretion and therefore violated Article 1, Sections
2 and 7, of the Wyoming Constitution.
State v. McIver (No.
88-311)
Facts:
[¶12]
On July 1, 1988, Mr. McIver and two companions discussed stealing money
from soft-drink trucks and later spotted two such trucks. One of Mr. McIver's
companions stole $ 45 from one of the trucks and $ 1,500 from the other. They
were caught and arrested. The state charged Mr. McIver with one count of
conspiracy to commit burglary in violation of W.S.
6-1-303 (June 1988
Repl.). At his arraignment of this felony charge, he pleaded guilty. Before
sentencing, he filed a motion for sentencing under "new 301," in which he
requested probation without entry of judgment of conviction or, alternatively,
that the district court certify the state's consent requirement issue to this
court. At sentencing, the prosecutor told the district court that the state
refused to consent to "new 301" treatment for Mr. McIver and his companions had
also planned stealing from trucks in Nebraska. The district court found the
state's position was rational and denied Mr. McIver's motion. The district court
sentenced Mr. McIver to a term of not less than eighteen months nor more than
thirty-six months, suspended in favor of probation for three years. The district
court also ordered Mr. McIver to reimburse the state for defense fees and costs.
W.S.
7-6-106(d)(June 1987
Repl.).
Issues:
[¶13]
Mr. McIver raises the same issues raised by Ms. Lowry.
Moon v.
State (No. 88-304)
Facts:
[¶14] On September 24, 1987, Ms. Moon sold
one-eighth ounce of cocaine to an informant working with the Casper Police
Department. The state charged her with one count of conspiracy to deliver
cocaine in violation of W.S.
35-7-1016(b)(iv),
35-7-1031(a)(i), and 35-7-1042 (Cum.Supp. 1987). At her arraignment she pleaded
not guilty. Later, the state and Ms. Moon struck a plea bargain under which she
agreed to plead guilty to the felony and the state agreed to recommend she be
placed on probation after sentence was imposed and she receive neither a fine
nor jail time. At sentencing, Ms. Moon requested treatment under "new 301"; the
state refused to consent. Although Ms. Moon stated her belief that the state's
consent requirement of "new 301" was unconstitutional because it interfered with
the court's sentencing authority, she did not request the court's ruling on that
issue. Instead, she simply asked the court to disregard the state's refusal to
consent and place her on probation under "new 301." The district court made no
ruling on the issue, concluding that it had no authority to grant probation
under "new 301" without the state's consent. She was sentenced to serve a
two-year term of probation.
Issues:
[¶15] Ms. Moon raises issues concerning
separation of powers, original purpose, one subject, and the prosecutor's
arbitrariness in refusing to consent.
State v. Magarahan
(No. 89-4)
Facts:
[¶16] On March 31, 1988, Ms. Magarahan took,
without permission, her roommate's federal income tax refund check for $ 290.58,
endorsed her roommate's name on it, and cashed it. The state charged her with
one count of forgery in violation of W.S.
6-3-602(a)(ii) and (b)
(June 1988 Repl.). Under the terms of the plea bargain between the state and Ms.
Magarahan, she agreed to plead guilty to the felony and the state agreed to
recommend that she not be imprisoned or fined, but that she be placed on
probation for eighteen months, pay restitution, and pay $ 50 to the crime
victims' compensation account. W.S.
1-40-114 (June 1988
Repl.). The state did not consent to treatment under "new 301." At sentencing,
Ms. Magarahan asked the district court to grant her probation under "new 301" in
spite of the state's refusal to consent. She told the district court she
believed the state's consent requirement is an unconstitutional infringement on
the court's sentencing power; the district court did not rule on that issue and
declined to use "new 301" without the state's consent. The district court
sentenced her in accordance with the state's
recommendation.
Issues:
[¶17] Ms. Magarahan raises the same issues
raised by Ms. Moon.
State v. Billis (No.
88-250)
Facts:
[¶18] On December 1 and again on December 10,
1987, Mr. Billis, age 33,
sold one-eighth ounce amounts of cocaine to an undercover law enforcement agent
in Cheyenne, Wyoming. The state charged him with two counts of delivery of
cocaine in violation of W.S.
35-7-1031(a)(ii) and
35-7-1016(b)(iv)(Cum.Supp.1987). Under a plea bargain with the state, Mr.
Billis pleaded
guilty to one count of delivery in exchange for dismissal of the other count. At
sentencing, Mr. Billis asked the
district court to place him on probation without entry of judgment of conviction
under "new 301." The state refused to consent to this treatment because of Mr.
Billis' age and the
experienced manner in which he delivered the cocaine. Because of the plea
bargain the state had dismissed one count of delivery. Although Mr. Billis stated his
belief that the state's consent requirement of "new 301" was unconstitutional,
the district court judge stated that without that consent he was not authorized
to consider "new 301" treatment. The district court sentenced Mr. Billis to a term
of not less than three nor more than five years, suspended in favor of
three years' probation.
Issues:
[¶19] Mr. Billis raises the
same issues raised by Ms. Moon and Ms. Magarahan.
PRELIMINARY
MATTER
[¶20] In all of
these consolidated cases except Lowry, the state maintains that since the
defendants did not adequately raise their appellate issues at the district court
level, they cannot raise those issues her for the first time. Jahnke,
692 P.2d 911, 927-28 (Wyo. 1984);
Hopkinson
v. State,
664 P.2d 43, 50 (Wyo. 1983), cert.
denied, 464 U.S. 908, 104 S. Ct. 262, 78 L. Ed. 2d 246. Moreover,
the state asserts these defendants have no standing to raise these issues
because they cannot demonstrate any adverse impact on their rights resulting
from the allegedly unconstitutional portion of "new 301" requiring the state's
consent. LaCombe
v. City of Cheyenne,
733 P.2d 601, 603 (Wyo. 1987);
Gooden
v. State,
711 P.2d 405, 408-09 (Wyo. 1985).
[¶21] The state concedes, however, that the
county court judge's ruling in Lowry, and the state's bill of exceptions
thereto, legitimately place the issue of "new 301's" constitutionally before
this court. We agree. Because Lowry presents these
constitutional issues concerning "new 301," we concluded that the
defendants in the consolidated cases should gain the benefit of a decision in
Lowry favorable to the criminal defendant in that case. Accordingly, we
need not discuss the questions of inadequate presentation of issues below and
standing raised by the state.3
ANALYSIS
I.
PRESENT
STATUTES
[¶22]
"New 301" provides as follows:
§
7-13-301. Placing
person found guilty, but not convicted, on probation.
(a) If a person who
has not previously been convicted of any felony is charged with or is found
guilty of or pleads guilty to any misdemeanor except any second or subsequent
violation of W.S.
31-5-233, or any
similar provision of law, or any felony except murder, sexual assault in the
first or second degree or arson in the first or second degree, the court may,
with the consent of the defendant and the state and without entering a judgment
of guilt or conviction, defer further proceedings and place the person on
probation for a term not to exceed five (5) years upon terms and conditions set
by the court. The terms of probation shall include that he:
(i)
Report to the court not less than twice in each year at times and places fixed
in the order;
(ii) Conduct himself in a law-abiding
manner;
(iii) Not leave the state without the consent of the court;
and
(iv) Conform his conduct to any other terms of probation the
court finds proper.
(b) If the court finds the person has fulfilled the
terms of probation and that his rehabilitation has been attained to the
satisfaction of the court, the court may at the end of five (5) years, or at any
time after the expiration of one (1) year from the date of the original
probation, discharge the person and dismiss the proceedings against
him.
(c) If the defendant violates a term or condition of probation at
any time before final discharge, the court may:
(i) Enter an
adjudication of guilt and conviction and proceed to impose sentence upon the
defendant if he previously pled guilty to or was found guilty of the original
charge for which probation was granted under this section; or
(ii)
Order that the trial of the original charge proceed if the defendant has not
previously pled or been found guilty.
(d) Discharge and dismissal under
this section shall be without adjudication of guilt and is not a conviction for
any purpose.
(e) There shall be only one (1) discharge and dismissal
under this section or under any similar section of the probationary statutes of
any other jurisdiction.
[¶22]
We must also take note of W.S.
7-13-302 (June 1987
Repl.), which provides:
§
7-13-102. Placing
person convicted on probation; suspension of imposition or execution of
sentence; imposition of fine.
(a) After conviction or plea of guilty for
any offense, except crimes punishable by death or life imprisonment, and
following entry of the judgment of conviction, the court may:
(i)
Suspend the imposition or execution of sentence and place the defendant on
probation; or
(ii) Impose a fine applicable to the offense and
place the defendant on probation.
II.
PREDECESSORS OF
"NEW 301"
[¶23] Before
we address the constitutional issues relating to "new 301," we find it helpful
to identify and describe the origins of that statute. Before "new 301" was
enacted by the Forty-Ninth Legislature in 1987 as part of a substantial
revision of Title 7 of the Wyoming Statutes (1987 Wyo. Sess. Laws ch. 157, § 3),
two statutory provisions occupied the field. Originally enacted in 1909,
W.S.
7-13-203(1977) (1909
Wyo. Sess. Laws ch. 87, § 1) (hereinafter "old 203") provided probation to
first-time felons who had not committed murder, sexual assault, or arson.4 The
legislature provided for probation by having the trial court delay passing
sentence and place the defendant on "parole." In Sorenson
v. State,
604 P.2d 1031, 1038 (Wyo. 1979), this court
noted that "parole" was a misnomer and the correct status was
"probation."
[¶24] In 1939,
the legislature enacted W.S.
7-13-301 (1939
Wyo. Sess. Laws, ch. 91, § 1) (hereinafter "old 301"). King
v. State,
720 P.2d 465, 468 (Wyo. 1986). "Old 301"
provided another scheme of probation.5 The
statute applied to any criminal defendant, not just first-time felons as "old
203" did, who had committed any crime, whether misdemeanor or felony, except a
crime punishable by life imprisonment or death. In Peterson
v. State,
586 P.2d 144, 156 (Wyo. 1978),
overruled on other grounds in Crozier
v. State,
723 P.2d 42, 56 (Wyo. 1986), this court
held that the phrase "crimes punishable by life imprisonment or death" did not
embrace offenses which had a sentence of less than life imprisonment as a
minimum and a maximum of either life imprisonment or death.
[¶24] Under "old 301" the legislature
established four methods by which the trial court could implement the probation
established by the legislature. First, with the defendant's consent, the
legislature authorized the court to suspend trial and place the defendant on
probation. We believe the defendant's consent feature was designed to avoid the
later assertion of a speedy trial violation by a defendant whose probation was
terminated for misconduct and who then faced resumption of the criminal
proceedings against him. The three other methods for probation followed a plea
of guilty or being found guilty following a trial. Thus, the legislature
authorized the court to suspend the imposition of sentence and place the
defendant on probation. In King,
720 P.2d at 468, 469, this court
likened "suspension of imposition of sentence" to "delay passing sentence," as
found in "old 203." In yet another method under "old 301" the court was
authorized to suspend the execution of all or a part of a sentence and place the
defendant on probation. In Sorenson,
604 P.2d at 1037, this court
held that the legislature's 1971 act creating the board of parole repealed by
implication the court's authority to require a defendant to serve part of a
sentence, suspend execution, and place the defendant on probation as to the
balance. W.S.
7-13-402 (1977)
(1971 Wyo. Sess. Laws, ch. 92, § 10). See also King,
720 P.2d at 467;
Williams
v. State,
692 P.2d 233, 235-36 (Wyo. 1984). A final
method under "old 301" authorized the court to impose a fine applicable to the
offense and place the defendant on probation.
[¶25] In Sorenson,
604 P.2d at 1038 n.6, this court
suggested that "old 203" probably had been superseded by "old 301," but the
suggestion was retracted in King,
720 P.2d at 467, 469. In
Peterson,
586 P.2d at 156, this court
considered the differences between "old 203" and "old 301." Later, in
King,
720 P.2d at 468, Justice
Cardine, writing for the court, drew on Peterson and made further
comparisons of the two statutes. He concluded that the legislature intended "old
203" to be an alternative sentencing provision for a limited number of cases. He
found that "old 203" allowed the first-time felon a considerable degree of
liberty, his or her actions and freedom being subject to rather minimal
limitations with the possibility of no sentence at all. Id.
at 468.
Peterson,
586 P.2d at 156. In "old
203" the legislature intended to preclude first-time felons who had committed
the serious crimes of murder, sexual assault, or arson from the benefit of the
possibility of no sentence at all. Id. In contrast, "old 301" was "much
more restrictive [than "old 203"] since it [did] not itself specify the
conditions of any probationary freedom." Id. In "old 301" the legislature
intended "that those criminal defendants excluded from the benefits of ["old
203"] could be in some cases beneficially rehabilitated under the provisions of
["old 301"] with one exception -- those guilty of 'crimes and offenses
punishable by death or life imprisonment.'" Id.
[¶26] On a final point of comparison, Justice
Cardine noted that under "old 203" when the defendant successfully completed
probation the legislature authorized the court to annul the verdict or plea of
guilty. Id. In contrast, he observed, under "old 301" when the defendant
successfully completed probation the legislature authorized the court, under
then W.S.
7-13-304 ("old
304"), to discharge the defendant, but no mention was made of annulling the
verdict or plea of guilty. Id.
III.
"NEW
301" AND "NEW 302"
[¶27]
By keeping the chief features of "old 203" and "old 301" in mind and by
comparing them with "new 301" and "new 302" as enacted in 1987 by the
Forty-Ninth Legislature, we can identify how "old 203" was revised to become
"new 301" and how "old 301" was revised to become "new 302."
A.
Revision of "Old 203" into "New 301"
[¶28] "Old 203" emerged as "new 301," as
follows:
1. From "old 203" the legislature retained the requirement
that the defendant be a person who had never before been convicted of a felony
and used the feature in the first line of the first sentence of "new 301" to
describe to whom "new 301" applied. Thus, the first line of "new 301" reads in
relevant part, "if a person who has not previously been convicted of any felony
* * *."
2. Next, from "old 203" the legislature retained the
requirement that a first offender be found guilty or have pleaded guilty,
but then added to that the feature from "old 301" relating to a defendant who
had been only charged with a crime. Thus, the next part of "new 301's" opening
line now read, "[i]f a person who has not previously been convicted of any
felony is charged with or is found guilty of or pleads guilty to."
(Emphasis added.)
3. Next, the legislature retained the felony
category of crimes, with slight modification, for which the defendant may
receive probation. Thus, that portion of "old 203" that read "any felony except
murder, sexual assault in the first or second degree or arson of a dwelling
house or other human habitation in the actual occupancy of a human being"
emerged in "new 301" as "any felony except murder, sexual assault in the first
or second degree or arson in the first or second degree." As can be seen, the
slight modification related to the action offense.
At this point, the
legislature took from "old 301" the feature relating to misdemeanors, with an
exception not important to our purposes here, adding misdemeanors to the
previously retained felony category in "new 301."
4. Next, the
legislature deleted from "old 203" the following phrases that appeared in the
first two sentences of "old 203":
a. The court shall ascertain
whether the offense of which the accused is guilty is his first offense, the
extent of moral turpitude involved in the act committed, and other facts and
circumstances relating to the accused as he may desire to know.
b.
If the court is satisfied that he was a person of good reputation before
the commission of the offense charged and had never before been convicted of any
felony, and that if permitted to go at large would not again violate the
law.
5. Next, the legislature made the change in "old 203" that is
at the heat of our controversy. That portion of "old 203" which read, "the court
may in its discretion, by an order entered of record, delay passing sentence and
then parole the person and permit him to go at large upon his own recognizance *
* *," was changed to read, "the court may, with the consent of the defendant and
the state and without entering a judgment of guilt or conviction, defer further
proceedings and place the person on probation * * *." In making this change the
legislature borrowed from "old 301" the feature contained in its last sentence,
"With the consent of a defendant charged with a crime * * * the court may
suspend trial and place such defendant on probation." That borrowed feature
explains where the requirement of the defendant's consent came from. It does not
explain where that requirement of the state's consent came from. For that
explanation, we must look elsewhere. The details of the source of the
explanation are set out later in this opinion. Summarized here, the explanation
is the state's consent requirement probably derives from the prosecutor's common
law nolle prosequi power which in Wyoming was codified in old W.S. 7-198
(1957) and later recognized in W.R.Cr.P. 45(a).
As can be seen, the
portion of "old 203" that read "delay passing sentence and then parole the
person" was changed in "new 301" to read "without entering a judgment of guilt
or conviction, defer further proceedings and place the person on probation * *
*." The legislature's use of the term "judgment of guilt or conviction" shows
its proper recognition of the bright line that divides the prosecution's power
to prosecute from the court's power to adjudicate and to impose sentence. As
W.R.Cr.P. 33(b) informs, "A judgment of conviction shall set forth the plea, the
verdict or findings, and the adjudication and sentence. * * * The judgment shall
be signed by the judge and entered by the clerk." In Vigil
v. State,
563 P.2d 1344, 1349 (Wyo. 1977), this court
made clear that
there is only one final judgment. The final
judgment in a criminal case means sentence. The sentence is the judgment.
Berman
v. United States,
1937, 302 U.S. 211, 212, 58 S. Ct. 164, 165, 82 L. Ed. 204 (1937). This is
consistent with Rule 33(b), W.R.Cr.P. * * *. There is no judgment against the
defendant until sentence is pronounced.
6. We need not dwell on
other changes in "old 203" which emerged as "new 301" for purposes of this
opinion. "Old 203's" feature of a maximum five-year probation period was
retained. Also retained was "old 203's" requirement that the probationer report
to the court twice yearly. "Old 203's" feature that the court shall enter an
order discharging the defendant and annulling the verdict or plea of guilty was
retained with slight modification in "new 301" which, instead of using
"annulling," made it clear that such discharge and dismissal shall be without
adjudication of guilt and is not a conviction for any purpose. By clarifying
this last feature, the legislature again showed its recognition that this
deferral-probation scheme was taking place in the prosecutorial phase, not the
adjudicatory-sentence phase, of a criminal prosecution. Further, the legislature
was recognizing that portion of W.R.Cr.P. 33(b) which provides, "If the
defendant * * * for any other reason is entitled to be discharged, judgment
shall be entered accordingly. The judgment shall be signed by the judge and
entered by the clerk."
B. Revision of "Old 301" and "New
302"
[¶28] "Old 301"
emerged as "new 302," as follows:
1. The legislature inserted the
phrase "and following entry of the judgment of conviction" between the phrase
"except crimes punishable by death or life imprisonment" and the phrase "the
court may."
2. In two ways the legislature changed the phrase "the
court may suspend the imposition of sentence, or may suspend the execution of
all or a part of a sentence and may also place the defendant on probation or may
impose a fine applicable to the offense and also place the defendant on
probation." First, it deleted that portion relating to suspending the execution
of "part of a sentence." This was done in recognition of this court's decisions
in Sorenson, King, and Williams, stating that the power to suspend
execution of a part of a sentence and place the defendant on probation was given
by the legislature to the board of parole in the 1971 act establishing the
board. The legislature then simply fit the phrase back together with a few
grammatical changes. Thus, the phrase that read "the court may suspend the
imposition of sentence, or may suspend the execution of sentence and place the
defendant on probation." The legislature then retained the "may impose a fine
applicable to the offense and place the defendant on probation"
language.
3. Finally, the legislature deleted the last sentence of
"old 301" that read "with the consent of a defendant charged with a crime,
except a crime punishable by death or life imprisonment, the court may suspend
trial and place such defendant on
probation."
IV.
SEPARATION OF POWERS
ANALYSIS
[¶30] With
respect to the separation of powers issue we will decide whether the "new 301"
requirement, that the state consent to the court's deferral of further
proceedings and placement of defendants on probation without entry of a judgment
of conviction, infringes on the judicial department's sentencing power in
violation of the principle of separation of powers explicitly stated in Wyo.
Const. art. 2, § 1.
A. Standard of review
[¶31] In White
v. Fisher,
689 P.2d 102, 105 (Wyo. 1984), we reviewed
the separation of powers issue using these principles:
We recognize the
principle articulated in Washakie
County School District Number One v. Herschler, Wyo., 606 P.2d 310
(1980), cert.
denied 449 U.S. 824, 101 S. Ct. 86, 66 L.E.2d 28 (1980):
"Courts
have a duty to uphold the constitutionality of statutes which the legislature
has enacted if that is at all possible, and any doubt must be resolved in favor
of constitutionality. Witzenburger
v. State,
Wyo.1978, 575 P.2d 1100, 1112;
Lund
v. Schrader,
Wyo.1971, 492 P.2d 202, 206. Though the
supreme court has the duty to give great deference to legislative pronouncements
and to uphold constitutionality when possible, it is the court's equally
imperative duty to declare a legislative enactment invalid if it transgresses
the state constitution. Witzenburger,
supra, 575 P.2d at 1114. In our
consideration of this case, we have consistently kept these basic principles in
mind to avoid a declaration of unconstitutionality -- but doubt is not
present."
We also are cognizant of our duty in any case in which the
constitutionality of a statute is in issue:
"It is this court's
obligation to make sense out of a statute and give full force and effect to the
legislative product. Yeik
v. Department of Revenue and Taxation,
Wyo., 595 P.2d 965 (1979). In
construing statutes the intention of the law-making body must be ascertained
from the language of the statute as nearly as possible. Wyoming
State Treasurer v. City of Casper,
Wyo. 1976, 551 P.2d 687. We must not
give a statute a meaning that will nullify its operation if it is susceptible of
another interpretation." McGuire
v. McGuire,
Wyo., 608 P.2d 1278, 1283 (1980).
See
also Hopkinson,
664 P.2d at 54, which
involved, inter alia, a separation of powers issue. These principles will
guide our way here. Additionally,
[a]ll statutes are presumed to be
enacted by the legislature with full knowledge of the existing state of law with
reference thereto and statutes are therefore to be construed in harmony with the
existing law, and as a part of an overall and uniform system of jurisprudence,
and their meaning and effect is to be determined in connection, not only with
the common law and the constitution, but also with reference to the decisions of
the courts. Civil
Association of Wyoming v. Railway Motor Fuels,
1941, 57 Wyo. 213, 238, 116 P.2d 236, 245.
Matter
of Adoption of Voss,
550 P.2d 481, 486 (Wyo. 1976).
B.
Discussion
1. Air-Tight Compartments vs. Integrated
Government
[¶32] Under the
Wyoming Constitution, the legislative power is vested in a senate and house of
representatives. Wyo. Const. art. 3, § 1. The executive power is vested in a
governor. Wyo. Const. art. 4, § 1. The judicial power is vested in a supreme
court, district courts and such subordinate courts as the legislature may
establish. Wyo. Const. art. 5, § 1. The Wyoming Constitution contains a
definitive separation of powers provision:
Powers of government
divided into three departments. --
The powers of government of
this state are divided into three distinct departments: The legislative,
executive and judicial, and no person or collection of persons charged with the
exercise of powers properly belonging to one of these departments shall exercise
any powers properly belonging to either of the others, except as in this
constitution expressly directed or permitted.
Wyo. Const. art. 2, §
1.
[¶35] The state's framers
probably borrowed this provision from the constitutions of our neighboring
states of Idaho and Montana. R. Prien, The Background of the Wyoming
Constitution 56 (August 1956) (unpublished thesis); see also R.
Keiter, An Essay on Wyoming Constitutional Interpretation, XXI
Land & Water L.Rev. 527, 534 (1986). During the floor adoption of that
provision at the 1889 constitutional convention, the framers discussed precious
little about that provision. Journals and Debates of the Constitutional
Convention of the State of Wyoming, 44, 210, 247, 315-16 (1893) (where Mr.
F.H. Harvey said it was the form found in most of the western states). It is
likely more was said in committee, but we will never know since committee
reports are not extant.6 In
determining the meaning of the separation of powers provision in the face of
such meager evidence, "we must consider the probable intention of the framers of
the constitution * * *. [T]he language is to be understood in the sense in which
it was used at the time when it was adopted." Witzenburger
v. State ex rel. Wyoming Community Development Authority,
575 P.2d 1100, 1111-12 (Wyo. 1978).
[¶39] In what sense, then, did our state's
framers use the separation of powers language in 1889? Claiming that one
department of government may not encroach upon functions belonging to another,
these criminal defendants contend it is essential that we preserve each of the
powers in separate, air-tight compartments. They refer us, however, to neither
legal authority nor historical evidence that our state's framers had in mind
principles of separation of powers any different from those recognized as
implicit under the Federal Constitution.7 Surveying our state constitution, we
identify convincing evidence that our state's framers intended an integration or
dispersed powers into a balanced, workable government.
[¶40] Our state constitution, like the Federal
Constitution, places the respective powers of the three departments of
government into three articles. Wyo. Const. art. 3, § 1, concerning the
legislative power, is similar to the U.S. Const. art. I, § 1. Wyo. Const. art.
4, § 1, concerning the executive power, is similar to the U.S. Const. art. III,
§ 1. Under both the Federal Constitution and our state constitution, although
the legislative bodies propose and enact laws, the executive bodies exercise
veto power, which by its nature injects the executive department into the
business of the legislative department.8 n8 Under both constitutions the judicial department
has and exercises the power to adjudicate and declare legislative enactments
unconstitutional, which by its nature injects the judicial department into the
business of the legislative department. Under both constitutions, although the
judicial department adjudicates and imposes legislatively determined sentences
upon adjudicated criminal defendants, the executive department has and exercises
a pardon power, which by its nature injects the executive department into the
business of both the legislative and judicial departments.9 Moreover, in Wyoming, the courts, as
courts of general jurisdiction, "have traditionally elaborated the state's
common law and participated in a partnership of sorts with the
state legislature in shaping the state's law." Keiter, supra, p.
535. If the state legislature disagrees with the court's common law decisions,
it can legislatively reverse them. Id.
[¶41] From the foregoing discussion, we see
that Wyoming's constitutional scheme of state government is, like the
federal scheme of national government, replete with checks and balances.
Considering the organizational structure, the placement of powers and the system
of checks and balances, we are convinced that the state's framers had in mind a
pragmatic, flexible view of differentiated governmental power. They intended
that "practice will integrate the dispersed powers into a workable government.
It enjoins upon its branches separateness but interdependence, autonomy but
reciprocity." Youngstown
Sheet & Tube Company v. Sawyer,
343 U.S. 579, 635, 72 S. Ct. 863, 870, 96 L. Ed. 1153, 1199, 26 A.L.R.2d 1378
(1952) (Jackson,
J., concurring opinion). Separation of powers, then, merges into balanced
government.10 We
adopt this view and reject the "air-tight compartment" view of these criminal
defendants.
2. Powers of Each Department
[¶42] With this review of workable, balanced
government, we now review this court's past decisions that identify the division
of the government's powers in the criminal law area among the three departments.
With these past decision this court has painted the landscape of those powers.
On review, we keep in mind the contentions of these criminal defendants. They
contend the judicial department has the power to decide whether to defer a
criminal prosecution and place a defendant on probation during the time period
those prosecution proceedings are being deferred. Next, they claim that the
disposition of deferral and probation without the entry of a final judgment of
conviction or guilt is a sentence, and also that this power to decide to defer
emanates from the judicial power to impose a sentence. MJP
v. State,
706 P.2d 1108, 1110 (Wyo. 1985). They
maintain that, as a result, the state's consent requirement placed by the
legislature in "new 301" is a constitutionally impermissible encroachment on the
judicial power by the executive department. We disagree with these
contentions.
[¶43] In its
exercise of the legislative power, the legislative department has
the exclusive power to determine and declare what acts shall constitute
crimes and to prescribe punishments for those crimes. Baum
v. State,
745 P.2d 877, 882 (Wyo. 1987);
Cook
v. State,
710 P.2d 824, 826 (Wyo. 1985);
Williams,
692 P.2d at 235;
Schuler
v. State,
668 P.2d 1333, 1342 (Wyo. 1983);
Evans
v. State,
655 P.2d 1214, 1223 (Wyo. 1982).
[¶44] In its exercise of the judicial power,
the judicial department has the exclusive power to adjudicate, to pronounce a
judgment and carry it into effect. W.R.Cr.P. 33; S. Doc. No. 16, 99th Cong., 1st
Sess. 631 (1987) (Constitution of the United States-Analysis and
Interpretation). By entering a judgment whether of acquittal or of
conviction or of discharge, the judicial department is performing a significant
act of government. W.R.Cr.P. 33(b); Vigil,
563 P.2d at 1344. On the
other hand, the judicial department has no power to initiate a criminal
prosecution. That department's exercise of the prosecution power would be a
constitutionally impermissible encroachment on the executive department's
prosecution power. Petition
of Padget,
678 P.2d 870, 873 (Wyo. 1984).
[¶45] The judicial department has no inherent
power to refuse to try a criminal charge upon considerations extraneous to the
legality of the charge, such as a belief that the particular act made criminal
by law ought not to be treated as criminal. Ex
Parte United States,
242 U.S. 27, 42, 37 S. Ct. 72, 74, 61 L. Ed. 129, 140-41 (1916), cited in
Evans
v. State,
655 P.2d 1214, 1224 (Wyo. 1982).
[¶46] Where the court finds no legal error on
which to reverse a final judgment of conviction, the court has no inherent power
to expunge that judgment for the purposes of restoring the defendant's civil
rights or of alleviating the defendant's fear of being classified as a habitual
criminal in the event he commits further offenses. Because expungement of a
final judgment of conviction has the effect of a pardon and the pardoning power
belongs exclusively to the executive department, the judicial department's
exercise of an expungement power would be a constitutionally impermissible
encroachment on the executive department's pardoning power. Stanton
v. State,
686 P.2d 587, 589 (Wyo. 1984). Similarly,
the judicial department has no power to grant an annulment of a final judgment
of conviction. Ward
v. State,
735 P.2d 707, 708 (Wyo. 1987).
[¶47] The judicial department has no
inherent power to refuse to impose a sentence fixed by statute or to refuse to
execute such a sentence when imposed. Ex
Parte United States,
242 U.S. at 41-42, 37 S. Ct. at 74, 61 L. Ed. at 140, cited with
approval in Evans,
655 P.2d at 1224. The
judicial department has no inherent power to suspend a sentence. That power
belongs exclusively to the legislative department. Evans,
655 P.2d at 1224. In
Evans, this court relied favorably on State
v. Mabry,
96 N.M. 317, 630 P.2d 269, 272 (1981), where that
court said:
"* * * The vast majority of jurisdictions which have
considered the question whether the courts have the inherent power to suspend
sentences have answered in the negative. * * * A leading case is Ex
Parte United States,
242 U.S. 27, 37 S. Ct. 72, 61 L. Ed. 129 (1916), in which
the Supreme Court held that federal courts did not have the power, absent
authorization by Congress, to indefinitely suspend a sentence on good behavior.
The Court examined common law authorities and found no support for the
proposition that courts at common law had the inherent authority to suspend
sentences indefinitely."
Evans,
655 P.2d at 1224.
[¶48] The judicial department has no
power, after imposing sentence, to reduce the sentence imposed to one the court
was not authorized by the legislature to impose at the original sentencing. The
judicial department has no power to either impose a sentence below the statutory
minimum at the time of the original sentencing or impose a sentence within the
statutory minimum and maximum and then suspend execution of a portion of that
sentence. Williams,
692 P.2d at 236-37.
[¶49] The judicial department has no power to
impose a sentence different from the sentence mandated by the legislative
department. We have held that the legislature in "old 301" properly exercised
its power to prohibit the court from considering probation for habitual
offenders with life sentences. Schuler,
668 P.2d at 1342.
[¶50] The judicial department has no inherent
power to grant probation. The legislative department has exclusive authority
over sentencing. Hicklin
v. State,
535 P.2d 743, 752 (Wyo. 1975). And, the
judicial department has no power to grant parole after incarceration. The
legislative department, in the exercise of its authority over sentencing, has
placed that parole power with the board of parole, an arm of the executive
department. Sorenson,
604 P.2d at 1036-37.
[¶51] Obviously, our Wyoming decisions agree
with that said in Geraghty
v. United States Parole Commission,
719 F.2d 1199, 1211 (3d Cir. 1983), cert.
denied, 465 U.S. 1103, 104 S. Ct. 1602, 80 L. Ed. 2d 133 (1984), "Unlike
interpreting the constitution or adjudicating disputes, sentencing is not
inherently or exclusively a judicial function."
[¶52] The executive department, in the
exercise of its executive power to faithfully execute the laws, has the
exclusive power to make the charging decision and prosecute the person who has
allegedly committed the act determined by the legislative department to be a
crime. Padget,
678 P.2d at 872-73. In
Padget this court declared unconstitutional a legislative act that
purported to authorize the court to exercise the prosecution power belonging
exclusively to the executive department. Although this court stated that, once
the prosecution made the decision to prosecute, the process which leads to
acquittal or sentencing is fundamentally judicial in nature, we recognized that
within the judicial process of criminal prosecution the prosecutor's power to
dismiss charges, to reduce charges, to defer charges, in sum to control the
prosecution, was exclusive and not shared by the judicial department. We quoted
from several different sources:
"The prosecutor has broad
discretion to decided whether or not prosecution of an alleged crime will serve
the public interest. [Citations.]. He may, and should, consider a wide range of
factors that bear on the merits of prosecution -- the nature of the offense, the
nature and severity of the sanctions that will be imposed upon conviction, the
personal circumstances of the accused, the expense of prosecution and congestion
in the courts. * * *" Hoines
v. Barney's Club, Inc.,
[28 Cal. 3d 603, 170 Cal. Rptr. 42, 620 P.2d 628, 635 (1980)] (Tobriner,
J., dissenting). "A prosecutor's discretion in charging, deferring or requesting
dismissal is limited by pragmatic factors, but not by judicial intervention.
See Miller and Tiffany, Prosecutor Dominance of the Warrant Decision: A
Study of Current Practices, 1964 Wash.U.Law Quarterly." People
v. District Court in and for County of Larimer,
[186 Colo. 335, 527 P.2d 50, 52 (1974)].
Id.
at 873.
[¶53] In
Jahnke, we upheld against a separation of powers challenge the
constitutionality of W.S.
14-6-203(c)(1977),
which placed the decision as to the appropriate court in which to prosecute a
juvenile within the discretion of the prosecutor as an officer of the executive
department. After noting that there is no constitutional right to be tried as a
juvenile, this court stated:
Any decision to initiate criminal
proceedings is vested in the prosecuting attorney, and the decision is
discretionary. Confiscation
Cases,
74 U.S. (7 Wall.) 454, 19 L. Ed. 196 (1869);
State
v. Faltynowicz,
Wyo., 660 P.2d 368 (1983) (Thomas,
J., concurring). Since one does not have an inherent right to be prosecuted as a
juvenile but that is a privilege granted by the legislature, the legislature can
restrict or qualify the privilege as it sees fit, so long as there is not
involved any arbitrary or discriminatory classification. Woodard
v. Wainwright,
[556 F.2d 781, 785]. See,
e.g., Lamb
v. Brown,
456 F.2d 18 (10th Cir.1972).
Jahnke,
692 P.2d at 929.
We
also added that
the legislature of the State of Wyoming has chosen
to vest in the prosecuting attorney the discretion with regard to what charges
to file and in what court they should be filed. There may be
circumstances which would justify judicial review of the prosecutorial
discretion, but in the absence of such suspect factors as race, religion or
other arbitrary classification, the exercise of discretion by the prosecutor in
deciding whether to charge as a juvenile or adult involves no violation of due
process or equal protection of the law.
Id. (citations
omitted).
These principles relating to the prosecutor's power to
control the prosecution of a criminal charge were earlier expressed by the
United States Supreme Court in this way:
In our system, so long as
the prosecutor has probable cause to believe that the accused committed an
offense defined by statute, the decision whether or not to prosecute, and what
charge to file or bring * * * generally rests entirely in his discretion. Within
the limits set by the legislature's constitutionally valid definition of
chargeable offenses, "the conscious exercise of some selectivity in enforcement
is not in itself a federal constitutional violation" so long as "the selection
was [not] deliberately based upon an unjustifiable standard such as race,
religion, or other arbitrary classification." Oyler
v. Boles,
368 U.S. 448, 456, 82 S. Ct. 501, 506, 7 L. Ed. 2d 446
[1962].
Bordenkircher
v. Hayes,
434 U.S. 357, 364, 98 S. Ct. 663, 668-69, 54 L. Ed. 2d 604, 610-11
(1978).
[¶55] In Gooden,
711 P.2d at 409-10, this court
recognized another aspect of the prosecutor's power when it held that a criminal
defendant has no constitutional right to any plea bargain with the prosecutor,
nor to the reduction or dismissal of charges. The process of plea bargaining or
whether it will be engaged in is left to the prosecutor's discretion.
Weatherford
v. Bursey,
429 U.S. 545, 560-61, 97 S. Ct. 837, 846, 51 L. Ed. 2d 30, 42-43
(1977). Accord,
Corbitt
v. New Jersey,
439 U.S. 212, 223, 99 S. Ct. 492, 499, 58 L. Ed. 2d 466, 476-77
(1978). The
executive department, through the prosecutor as its officer, has the absolute
right to prosecute. United
States v. Thompson,
251 U.S. 407, 412, 415, 40 S. Ct. 289, 291, 292, 64 L. Ed. 333, 342-43
(1919). As
expressed in Weatherford,
429 U.S. at 561, 97 S. Ct. at 846, 51 L. Ed. 2d at 43: "It is a
novel argument that constitutional rights are infringed by trying the defendant
rather than accepting his plea of guilty."
[¶56] In our view of the prosecutor's power to
control the prosecution of a criminal case, we must also consider the
prosecutor's common law power. We have consistently said that we will read our
statutes in harmony with the common law. Wetering
v. Eisele,
682 P.2d 1055, 1061 (Wyo. 1984). In this
light, we focus attention on the prosecutor's common law power of nolle
prosequi. At common law the power to initiate and control criminal
proceedings is within the exclusive domain of the prosecutor. United
States v. Brokaw,
60 F. Supp. 100, 101-03 (S.D.Ill. 1945);
Thompson,
251 U.S. at 413-14, 40 S. Ct. at 292, 64 L. Ed. at 342;
Confiscation
Cases,
74 U.S. (7 Wall.) 454, 457, 19 L. Ed. 196 (1869);
Schumann,
2 Abb.U.S. 523, 7 Sawy. 439, 27 F. Cas. 984, 985 (C.C.D.Cal. 1866) (No.
16,235); Padget,
678 P.2d at 872-73;
State
v. Faltynowicz,
660 P.2d 368, 377 (Wyo. 1983) (Thomas,
J., specially concurring, with whom Raper and Rose, JJ., joined); Comment,
The Nolle Prosequi Under Rule
48(a) of the Federal Rules of Criminal Procedure,
Det.C.L.Rev. 491 (1978). Indeed, as stated in 8B J. Moore, Moore's Federal
Practice para. 48.02[1], 48-5 (2d ed. 1989): "At common law, a prosecutor
had unfettered authority to initiate, control and discontinue a
proceeding at any stage prior to appeal."11
[¶56]
An important feature of the prosecutor's unfettered power was his power
to enter a nolle prosequi to discontinue a criminal proceeding he had
earlier initiated. "Nolle prosequi means: 'I am unwilling to prosecute.'"
Brokaw,
60 F. Supp. at 101. As
described in Brokaw:
The rule at the common law seems to have
been, and in the present-day common law courts to remain, that prior
to trial the prosecutor has the absolute uncontrolled power to enter a nolle
prosequi; that after the empaneling of the jury until the return of a
verdict the power is subject to the control of the court since it may not be
used at that time to the prejudice of the defendant; and that following the
return of the verdict the uncontrolled power of the prosecutor to enter a nolle
revives and continues until such time as judgment is entered and sentence
imposed. (emphasis added).
Id.
at 102. (citations
omitted). See also 8B J. Moore, supra, 48.02[1] at 48-5; 6 L. Orfield and
M. Rhodes, Orfield's Criminal Procedure Under the Federal
Rules § 48.2-48.7, pp. 243-49 (2d ed.) (Lawyer's Co-op 1987); Comment,
Criminal Law -- Nolle Prosequi -- Trial Court has Power to Dismiss for Want
of Prosecution, 41 N.Y.U.L.Rev. 996-1001 (1966) (placing the initial
appearance of nolle prosequi in Stretton & Taylor's Case, 1 Leon.
119, 74 Eng.Rep. 111 (K.B. 1588)).
[¶57] Commenting on the prosecutor's nolle
prosequi power, the court in United
States v. Woody,
2 F.2d 262, 262-633 (D.C.Mont. 1924),
observed:
The power to determine whether a case shall be prosecuted to a
conclusion must, of course, be lodged somewhere, and by common law the district
attorney is made its repository. By no statute has Congress deprived him of it,
in ordinary criminal cases. It is assumed he will exercise his power under a
heavy sense of duty to enforce the law, to prosecute offenders, and to protect
society, and with wisdom and justice.
The court cannot control him,
unless, as in some states, it is given the power by statute. He is not even
required to give a reason for dismissal.
In United
States v. Cox,
342 F.2d 167, 171 (5th Cir. 1965), cert.
denied sub nom. Cox
v. Hauberg,
381 U.S. 935, 85 S. Ct. 1767, 14 L. Ed. 2d 700, the court
noted, "It follows, as an incident of the constitutional separation of powers,
that the courts are not to interfere with the free exercise of the discretionary
powers of the attorneys of the United States in their control over criminal
prosecutions." In a concurring opinion, it was said:
"Responsibility for
determining whether a prosecution is to be commenced or maintained must be
clearly fixed. The power not to initiate * * * has to reside somewhere. And the
more clearly pinpointed it is, the more the public interest is served through
the focus of relentless publicity upon that decision. It may not, with safety,
be left to a body whose great virtue is the combination of anonymity,
transitory authority, and political
unresponsibility."
Id.
at 182. (Brown, J.,
concurring specially).
[¶58]
In another concurring opinion, Judge Wisdom reviewed the separation of
powers doctrine, the exclusive power of the executive department to prosecute,
the incompatibility of the functions of prosecutor and judge, and the
prosecutor's power to enter a nolle prosequi. In light of his review, he
observed that, within the context of law enforcement, a government's policy is
involved. The executive department of that government is charged with carrying
out the government's policy on law enforcement and is usually informed on more
levels than the other two departments of government. Id.
at 193. "In such a
situation, a decision not to prosecute is analogous to the exercise of executive
privilege. The executive's absolute and exclusive discretion to prosecute may be
rationalized as an illustration of the doctrine of separation of powers."
Id.
[¶59] Wyoming is
a common law state, except in those areas where the common law has been changed
by statute or court rule. W.S.
8-30-101 (1977);
Schlattman
v. Stone,
511 P.2d 959, 961 (Wyo. 1973);
Krug
v. Reissig,
488 P.2d 150, 152, 52 A.L.R.3d 748 (Wyo. 1971);
Goldsmith
v. Cheney,
468 P.2d 813, 816 (Wyo. 1970);
Johnston
v. Laird,
48 Wyo. 532, 538, 52 P.2d 1219, 1220 (1935);
State
v. Foster,
5 Wyo. 199, 208, 38 P. 926, 927-28 (1895). Wyoming's
statutory adoption of the common law of England originated from C.L. 1876, ch.
25 § 1. Our research had not uncovered any early Wyoming decision involving the
prosecutor's power to enter a nolle prosequi at common law. We have
found, however, that by virtue of Laws 1890, ch. 73 § 133, the Wyoming
legislature enacted W.S. 7-198 (1957) which, until superseded by W.R.Cr.P.
45(a),12 provided:
No
indictment or information shall be nol-prossed, except by order of the court on
the motion of the prosecuting attorney, and such motion must be in writing, and
the reasons therefor must be stated in such motion and read in open court,
before such order is made.
Other states have modified "the common
law [of nolle prosequi] to give courts a responsible role in the
dismissal of a pending criminal proceeding * * *."13 United
States v. Cowan,
524 F.2d 504, 509-10 (5th Cir. 1975). "The
Advisory Committee on the Federal Rules of Criminal Procedure recommended the
common law approach be adopted requiring additionally only that prosecutors file
motions with the court including reasons for the nolle prosequi." J.
Moore, supra, para. 48.02[1], at 48-3. The committee submitted the recommended
rule to the United States Supreme Court. Reviewing the proposed rule, the Court
"questioned the legal basis and wisdom of such a rule." Comment, 1978
Det.C.L.Rev. supra, at 494-95. Resubmitting the proposed rule, the
committee added "only the requirement of obtaining the defendant's consent to
the motion if filed during the trial." Id. at 495. The Court deleted the
proposed rule's requirement of a prosecutor's statement of reasons and added a
requirement "by leave of court." Id. As formally adopted by the Court,
F.R.Cr.P.
48(a)
states:
Rule 48. Dismissal
(a) By Attorney for Government.
The Attorney General or the United States attorney may by leave of court file a
dismissal of an indictment, information or complaint and the prosecution shall
thereupon terminate. Such a dismissal may not be filed during the trial without
the consent of the defendant.
Nearly twenty-three years after the
United States Supreme Court adopted the Federal Rules of
Criminal Procedure, the Wyoming Supreme Court's adoption of the Wyoming
Rules of Criminal Procedure became effective February 11, 1969.14 Boggs
v. State,
484 P.2d 711, 714 n.2 (Wyo. 1971). W.R.Cr.P.
45(a) states:
Rule 45. Dismissal
(a) By the
prosecuting attorney. -- The prosecuting attorney may, by leave of court, file a
dismissal of an indictment, information or complaint, and the prosecution shall
thereupon terminate. Such a dismissal may not be filed during the trial without
the consent of the defendant.
[¶60]
After the effective date of this rule, W.S. 7-198 (1957), the nolle
prosequi statute, was superseded and of no further force or effect.
W.R.Cr.P. 56. Since W.R.Cr.P. 45(a) is the same as F.R.Cr.P.
48(a), we give
great weight to federal precedent under F.R.Cr.P.
48(a) when
considering matters arising under W.R.Cr.P. 45(a). Dobbins
v. State,
483 P.2d 255, 258 (Wyo. 1971).15
[¶61] According to Moore,
the "by leave of court" requirement has been variously interpreted in the
federal courts. Some federal courts believe they have broad discretion "to
protect public interests in fair administration of criminal justice." J. Moore,
supra, para. 48.02[1], p. 48-4. Others adhere to the standard that the
prosecution's motion to dismiss should be denied only if "clearly contrary to
manifest public interest." Id., para. 48.02[2], at 48-7. Despite this
disagreement on the scope of the court's discretion, it is clear that the "by
leave of court" requirement has modified the absolute power of the executive
department so that the defendant is not harassed by charging, dismissing and
recharging without placing the defendant in jeopardy. Id. para. 48.02[1],
at 48-5; para. 48.02[2], at 48-8. "The executive branch, however, essentially
remains the judge of the decision to initiate a prosecution and to terminate
it." Id. para. 48.02[1], at 48-5. And, "there is a presumption that the
prosecutor's motion is made in good faith and in the proper discharge of his
duties." Id. para. 48.02[2], at 48-7.
[¶62] We see a direct relationship between the
prosecutor's dismissal power under W.R.Cr.P. 45(a) and the prosecutor's power
under "new 301" to consent to deferral of further prosecution without entry
of judgment of conviction. In light of our foregoing analysis of the respective
powers of the three departments of government in the criminal law area and of
our tracing the evolution of the prosecutor's nolle prosequi power, we
conclude that "new 301" is the product of the legislative department's correct
recognition of the executive department's power to initiate, control, and
terminate criminal prosecutions before the judicial department exercises its
power to enter a final judgment. Recalling the meaning of "judgment of
conviction" under W.R.Cr.P. 33(b), we find that it correlates well with that
phrase found in "new 301": "The court may, with the consent of the defendant and
the state and without entering a judgment of guilt or conviction, defer
further proceedings * * *." (emphasis added). This statute demonstrates the
legislative department's proper understanding that until the judicial department
enters a judgment of guilt or conviction (final judgment) the prosecutor
possesses the executive department's power to control and terminate the
prosecution at any time before final judgment. Thus, we find W.S.
7-13-301 compatible
with W.R.Cr.P. 33(b) and 45(a) and solidly based on a proper understanding of
and appreciation for the common law power of the prosecutor to control the
criminal case even though verdict until the court enters a final
judgment.
[¶63] In the face
of extensive case law identifying and describing the legislative department's
exclusive authority over sentencing, the contention of these criminal defendants
that the judicial department has similar authority cannot stand. It is true that
the judicial department has the power to impose sentence. W.R.Cr.P. 33(b);
MJP,
706 P.2d at 1110. These
criminal defendants are wrong, however, in concluding that probation without
entry of a judgment under "new 301" is the functional equivalent of a sentence.
They fail to recognize what a sentence actually is.
As we pointed out
earlier in this opinion:
There is only one final judgment. The
final judgment in a criminal case means sentence. The sentence is the judgment.
Berman
v. United States,
1937, 302 U.S. 211, 212, 58 S. Ct. 164, 165, 82 L. Ed. 204. That is
consistent with Rule 33(b), W.R.Cr.P., providing that, "A judgment of conviction
shall set forth the plea, the verdict or findings, and the adjudication
and sentence. * * *" There is no judgment against the defendant until sentence
is pronounced.
Vigil,
563 P.2d at 1349. In
Berman
v. United States,
302 U.S. 211, 58 S. Ct. 164, 82 L. Ed. 204 (1937), the Court
explained that the sentence is the final determination of the merits of the
criminal charge.
To create finality it was necessary that
petitioner's conviction should be followed by sentence * * *. In criminal cases,
as well as civil, the judgment is final for the purpose of appeal "when it
terminates the litigation * * * on the merits" and "leaves nothing to be done
but to enforce by execution what has been
determined."
Id.,
302 U.S. at 212, 58 S. Ct. at 166, 82 L. Ed. at 205 (citations
omitted).
The deferral of further prosecution proceedings and
placement of a criminal defendant on probation without entering a judgment of
guilty or conviction under "new 301" is by definition not a sentence.
Deferral and probation without the entry of a judgment of guilty or conviction
is not a final determination of the merits of the criminal charge. If the
criminal defendant successfully completes probation, then the court discharges
the defendant and dismisses the proceedings. In that event, there if finality.
Discharge and dismissal occur without the court's adjudication of guilt and
imposition of sentence. W.S.
7-13-301(d) (June 1987
Repl.).
[¶65] On the other
hand, if the criminal defendant violates probation, the court may proceed with
the trial of the criminal charge if the criminal defendant has been charged but
has not pleaded guilty or been tried and found guilty. W.S.
7-13-301(c)(ii). Or, if the
criminal defendant violates probation, the court may, if the criminal defendant
has previously pleaded guilty or been tried and found guilty, enter a judgment
of guilt or conviction and proceed to impose sentence. W.S.
7-13-301(c)(i). Thus, for
those criminal defendants who violate probation there will ultimately be a final
judgment of either acquittal or of guilt and conviction followed by
sentence.
[¶66] There is
another reason why probation without entry of a judgment is not a sentence. A
criminal defendant upon whom a court has imposed a sentence cannot reject that
sentence. The court has the power to force that sentence on the criminal
defendant. Under W.S.
7-13-301, since the
criminal defendant's consent is required, the criminal defendant is free to
reject the tender of probation without entry of judgment. If this disposition
were truly a sentence, then the criminal defendant could not reject
it.
[¶67] Viewed in this
context, probation without entry of a judgment is analogous to a pardon. As
Chief Justice John Marshall observed in United
States v. Wilson,
7 Pet. (32 U.S.) 150, 160-61, 8 L. Ed. 640 (1833), a pardon is
like a deed, to the validity of which delivery is essential, and delivery is not
complete without acceptance. A pardon may be rejected by the person to whom it
is tendered. If that person rejects it, a court has no power to force it on that
person. In Marshall's view, a pardon is an act of grace, proceeding from the
executive department's power to execute laws which exempts the person on whom it
is bestowed from the punishment the law inflicts for a crime that person has
committed. The prosecutor's consent to probation without entry of a judgment,
like a pardon, exempts a judgment of guilt or conviction. In the light of this
favorable comparison, the prosecutor's consent to that type of disposition is
also seen as an act of grace, proceeding from the executive
power.
[¶68] We are not
surprised that the pardon power and the prosecutor's consent power reside within
the same department of government. Seeing the prosecutor's consent in this
light, the symmetry of treatment is compelling. On the pre-entry of judgment
side of the adjudicated guilt line, the executive department possesses the power
to divert, or not, a criminal defendant into probation and away from further
criminal prosecution in furtherance of the social policy enacted by the
legislative department. On the post-entry of judgment side of the line, the
executive department also possesses the power to divert, or not, a criminal
defendant into pardon and away from further punishment.
[¶69] Although "new 301" uses the word
"probation," the legislature has used it only generally to describe the
defendant's status before a final judgment of conviction or discharge has been
entered. The legislature has not used it to mean a defendant's status after the
court has entered a judgment of conviction. See Hicklin,
535 P.2d at 753. Probation
before entry of judgment is not a punitive sanction. It is an opportunity for
rehabilitation before sentencing. The probationer is not an adjudicated convict.
If probation is successfully completed, the probationer may be discharged
without adjudication of guilt.
[¶70] These criminal defendants mistakenly
seize upon the single phrase in Padget that says when the decision to
prosecute has been made, the process which leads to acquittal or sentencing is
fundamentally judicial in nature. Padget,
678 P.2d at 872 (applied in
People
v. Tenorio,
3 Cal. 3d 89, 94, 89 Cal. Rptr. 249, 252, 473 P.2d 993, 996 (Cal.
1970)). From that
single phrase they claim that whatever happens to the criminal charge after that
point is an exercise of judicial power, not executive power.
[¶71] We agree that the prosecution of a
criminal charge is part of the judicial process. In the prosecution phase of
that judicial process, the judicial department exercises its powers and the
executive department exercises its powers. The judicial department exercises its
powers to control its docket, to administer court business, to adjudicate legal
issues concerning the criminal procedures that necessarily attend the criminal
proceeding, and to adjudicate substantive legal issues raised by the litigants.
What these criminal defendants have failed to understand, however, is that
during this judicial process the executive department is also at work
exercising its powers. The prosecutor, as an officer of that department, is
making decisions and controlling the criminal prosecution. In the exercise of
these powers, the prosecutor may decide to add charges, to drop charges, or to
reduce charges. The prosecutor may decide to dismiss some, but not all, charges.
The prosecutor may decide to enter into plea negotiations. The prosecutor may
decide to dismiss all charges and terminate the prosecution under W.R.Cr.P.
45(a), the nolle prosequi rule.
[¶72] With respect to these decisions, and
others like them, the prosecution is exercising its executive powers within the
judicial process that leads to dismissal, discharge, acquittal, or conviction
and sentencing. In their understandable zeal to seize upon the isolated phrase
to support their position, these criminal defendants have overlooked this
court's main teaching in Padget: during the prosecution phase of the
criminal proceeding that is part of the judicial process, the prosecutor shall
exercise executive powers unfettered by judicial intervention. To emphasize this
point we quoted favorably from People
v. District Court in and for County of Larimer,
186 Colo. 335, 527 P.2d 50, 52 (1974): "A
prosecutor's discretion in charging, deferring or requesting dismissal is
limited by pragmatic factors, but not by judicial intervention." Padget,
678 P.2d at 873.
[¶73] These criminal defendants also
mistakenly rely on People v. Tenorio, which this court found helpful in
our separation of powers analysis in Padget. In Tenorio the
defendant was convicted of possession of marijuana. He admitted an eight-year
old prior conviction of marijuana possession. The marijuana possession statute
provided no minimum term and a maximum term of ten years for a first-time
offender. For a defendant with one prior conviction, like Tenorio, the statute
provided a minimum term of two years and a maximum term of twenty years. A
related statute provided that unless the prosecutor so moved the court could not
dismiss from the accusatory pleading an allegation of fact which, if admitted,
would change the penalty from what it would be if such fact were not admitted.
In other words, if the prosecutor refused to move to dismiss Tenorio's admission
of the prior marijuana possession conviction, the court could not on its own
dismiss that admission from the accusatory pleading, but must sentence Tenorio
to at least a mandatory minimum term of two years. In violation of that statute,
the trial court dismissed, without the prosecutor's approval, Tenorio's
admission of his prior conviction from the complaint and granted Tenorio
probation.
[¶74] The state
appealed the order granting probation. In affirming the order, the California
Supreme Court concluded that the prosecutor's approval statute impermissibly
infringed on the judicial power and violated California's separation of powers
principle. By its decision, the California court reversed People
v. Sidener,
58 Cal. 2d 645, 25 Cal. Rptr. 697, 375 P.2d 641 (1962). The court
reviewed the Sidener opinion, including Justice Schauer's lengthy dissent
concurred in by two other justices that answered the majority's historical
argument by noting that nolle prosequi never existed in California.
Justice Schauer had argued that the common law power of nolle prosequi
was not part of that Mexican law retained by California's 1849 constitution and
that the nonexistence of nolle prosequi was codified by statute.
Tenorio,
473 P.2d at 995. The
Tenorio court concluded, however, that any arguments based
upon California's legal history before 1850 were undeterminative. The court
found that from and after 1850 neither decision nor legislation denied that the
judiciary has the power to dismiss. Id. at 996. The court
said:
The judicial power is compromised when a judge, who believes
that a charge should be dismissed in the interests of justice, wishes to
exercise the power to dismiss but finds that before he may do so he must bargain
with the prosecutor. The judicial power must be independent, and a judge should
never be required to pay for its exercise.
Id. at 996. The
court made it clear that when an individual judge exercises sentencing
discretion he exercises a judicial power, the exercise of which cannot be
foreclosed by power given to the prosecutor by the
legislature.
[¶75] We cannot
follow Tenorio for several reasons. The subject statute in effect there
operated as a mandatory sentence statute. Although the California Supreme Court
apparently feels that such a statute cannot operate to deprive the court of
sentencing discretion, this court does not agree. In Evans,
655 P.2d at 1224, this court
upheld against a separation of powers challenge the constitutionality of
"old 301" which mandated a life sentence for a habitual criminal. We held
that "old 301," which precluded the court from suspending a habitual criminal's
mandatory life sentence, was a proper exercise of the inherent legislative power
to prohibit suspension of sentence in any given case. We further held that the
legislative department, not the judicial department, had the inherent power to
suspend a sentence, and that the legislature is free to retain or delegate that
discretion in whole or in part in the exercise of its exclusive authority over
sentencing. Id. We recognized Ex
Parte United States,
242 U.S. at 42, 37 S. Ct. at 74, 61 L. Ed. at 140-41, which holds
that the judicial department does not have the inherent power to refuse to
impose a sentence fixed by statute or to refuse to execute such a sentence when
imposed. There, the court implicitly denied the judicial department has the
power to refuse to try a criminal charge because it believed the act made
criminal should not be treated as criminal. Id.,
242 U.S. at 42, 37 S. Ct. at 74, 61 L. Ed. at 140-41.
[¶76] Tenorio's holding that the
judicial department has the inherent power to dismiss a criminal charge in the
interests of justice is directly contradicted by the United States Supreme
Court's statement in Ex Parte United States (cited favorably in this
court's Evans) that the judicial department has no inherent power to
refuse to try a criminal charge upon considerations extraneous to the legality
of the charge; by the United States Supreme Court's holding that the executive
department has the absolute right to prosecute (Bordenkircher,
Weatherford, and Corbitt); by this court's holding that the
prosecutor does not have to enter into plea negotiations with a defendant and
has the right to prosecute rather than accept a plea bargain (Gooden);
and by this court's holdings that the judicial department has no inherent power
to suspend a sentence (Evans); to expunge a final judgment of conviction
which was without legal error and only for the purposes of restoring a
defendant's civil rights or of alleviating his fear of being classified as a
habitual criminal (Stanton); to grant an annulment of a final judgment of
conviction (Ward); to reduce the sentence imposed to one which the
legislature has not authorized the court to impose at original sentencing
(Williams); to refuse to impose a sentence (Evans); to grant
probation (Hicklin); or to grant parole after incarceration
(Sorenson).
[¶77]
Tenorio is also out of step with United
States v. Huerta,
878 F.2d 89 (2d Cir. 1989),16 in which a federal statute requiring the
prosecutor's motion before the sentencing court may impose sentence below the
statutory minimum on the basis of the defendant's cooperation with the
prosecution survived separation of powers and due process challenges. Under
18
U.S.C. 3553(e), upon
the prosecutor's motion, the court has the authority to impose a sentence below
a level established by statute as minimum sentence so as to reflect a
defendant's substantial assistance in the investigation or prosecution of
another person who has committed an offense. Claiming that sentencing is a
judicial prerogative, Huerta contended that a scheme which delegates to the
executive branch's prosecutorial arm the authority to control when a judge may
consider cooperation with the government as a mitigating factor interferes with
or usurps a constitutionally assigned judicial function.
[¶76] In upholding the statute, the court
first noted that the statute does not permit the prosecution to engage in
"adjudication." That power remains with the court. Next, the court observed that
the prosecutor's authority under the statute to affect sentences is more limited
than other prosecutorial means by which it affects sentences, such as the
exclusive authority to decide whether to prosecute and to choose among
alternative charges. Next, the court believed that the prosecution is uniquely
fit to resolve the question whether a defendant's cooperation has risen to the
level of "substantial assistance."
[¶77] Recognizing that sentencing is not
inherently a judicial function, the court concluded that the statute does not
usurp a judicial function and, further, Congress has the power to eliminate all
discretion in sentencing judges. Finally, the court found no precedent
establishing a due process right of judicial review of the prosecution's
decision to forego a motion under the statute.
[¶78] Although Tenorio found that
California's legal history before 1850 concerning the common law power of
nolle prosequi was undeterminative, we do not have such uncertainty in
Wyoming. Wyoming, as a common law state, with no historical legal ties to
Mexican law, has recognized and continues to recognize the power of nolle
prosequi in the prosecutor as an officer of the executive department.
[¶79] Finally, these
criminal defendants argue that deferral and probation under "new 301" must be
"sentencing" because it is located in article 7, chapter 13, entitled
Sentence and Punishment. That argument fails. As located, the statute is
in close proximity to related statutes dealing with the treatment of criminal
offenders. As these statutes comprise a coherent legislative scheme relating to
criminal offenders, both before and after entry of judgment, it only makes sense
that they occupy the location they do.
[¶80] In light of the case law identifying and
describing these government powers, and since probation without entry of a
judgment is not a sentence, we are compelled to conclude that the power to
decide whether a criminal defendant who has never before been convicted of a
felony shall be treated under "new 301" belongs to the executive department as
an integral part of its blended prosecution power. The "defer-probation"
decision under "new 301" is not a decision to impose sentence; rather, it is a
decision intimately related to the decisions are committed to the sound
discretion of the prosecutor as an officer of the executive department. We hold,
therefore, that the executive department, not the judicial department, has the
power to decide whether to defer prosecution under "new 301.17 The
exercise of that prosecutorial discretion is not subject to judicial review as
long as any unjustifiable or suspect factors such as race, religion, or other
arbitrary or discriminatory classification are not involved. Gooden,
711 P.2d at 408-09;
Jahnke,
692 P.2d at 929.
[¶81] "New 301" and "new 302" are the produce
of the legislature's revisions of "old 203" and "old 301." In "new 301" and "new
302" the legislature simply adjusted its sentencing and probation discretion.
"New 301" provides for probation before entry of final judgment; "new 302"
provides for probation after entry of final judgment. Obviously, the legislature
has used the act of final judgment as its point of reference or demarcation. As
W.R.Cr.P. 33(b) informs us, final judgment means adjudication and sentence.
See Vigil.
[¶82] The
judiciary exercises the power of adjudication and imposition of sentence when it
enters final judgment of conviction, but not before. The prosecution exercises
its prosecution power before entry of final judgment, but not after. Probation
before entry of final judgment occurs within the prosecution phase of the
criminal judicial process. Since the prosecutor exercises the prosecution power
during that phase, including the power to file charges, to reduce charges, and
to dismiss charges, it is correct that the prosecutor also have the power to
consent to deferral of prosecution proceedings before entry of final
judgment.
[¶83] On the other
hand, probation after entry of final judgment occurs within the adjudication
phase of the criminal judicial process. Since the judiciary exercises the
adjudication power during that phase, including the power to impose
sentence, we are not surprised that the legislature did not attempt to require
the state's consent to probation after entry of final judgment. It is correct
that the judiciary have the power to impose probation after entry of final
judgment.
[¶84] What the
legislature has done in "new 301" and "new 302" is not contrary to what it had
done in "old 203" and "old 301," which this court approved of as within the
legislature's legitimate exercise of its sentencing and probation authority. As
we recognized in Evans, the legislature can retain or delegate its
sentencing and probation discretion as it sees fit. It saw fit to do it in the
manner it did in "new 301." It is not within the power of the judicial
department to question the wisdom of that exercise of the legislative
department.18 We pass only on the legality and
constitutionality of that exercise. Here, we hold that the exercise was legal
and constitutional.
[¶90]
These criminal defendants object to the prosecution's possession of the
power to decide from case to case whether a particular criminal defendant shall
suffer or not from the penalties and disabilities associated with and consequent
upon entry of a judgment of conviction or guilt. Despite the prosecutor's
long-recognized possession of the power to charge, to reduce charges, to dismiss
some or all of the charges, to plea bargain, and to dismiss the prosecution
under W.R.Cr.P. 45(a), and despite the executive department's long-recognized
possession of the power to pardon, these criminal defendants wish that the power
to consent to a criminal defendant's probation without entry of a judgment
resided in the judicial department rather than in the executive department.
Under the state constitution, that cannot be. Once the prosecutor has decided to
file the criminal charge, a criminal defendant has no constitutional right to a
preferred disposition of that charge. He has no right to a reduced charge, to a
dismissal of some charges, or to a plea bargain.
Gooden.
[¶91]
Possessing the nolle prosequi power, the prosecutor has played the
role of being able to terminate a prosecution at any time before final
judgment of guilt or conviction. Possessing the pardon power, the executive
department has also played the role of being able to grant a pardon before or
after final judgment.19 If
granted before final judgment, the pardon prevented the attachment of conviction
penalties, disabilities, and stigmas. If granted after final judgment, pardon
removed conviction penalties, disabilities, and stigmas. Viewing in this light
the prosecutor's possession of the power to consent, or not, to probation
without entry of a judgment, we find no constitutionally impermissible reason
why the consent power cannot reside where the legislative department has placed
it. The power must reside somewhere and its residence with the executive
department is constitutionally consistent with other similar powers at home
there.
[¶93] In holding that
"new 301" is constitutional, we find that the legislature enacted it with full
knowledge of the existing state of the law with reference thereto. We have
construed the statute in harmony with the existing law and as a part of an
overall and uniform system of jurisprudence; the statute's meaning and effect
have been determined in connection, not only with the common law and the
constitution, but also with reference to court rule and court decisions.
Adoption
of Voss,
550 P.2d at 486 (citing
Civic
Association of Wyoming v. Railway Motor Fuels,
57 Wyo. 213, 238, 116 P.2d 236, 245 (1941)).
[¶95] Having resolved the separation of powers
issue, we next consider whether the legislature constitutionally enacted "new
301."
V.
THE STATE'S CONSENT REQUIREMENT OF "NEW 301" WAS
CONSTITUTIONALLY ENACTED
A. Legislative History
[¶96] Earlier we identified and explained what
the legislature apparently did in 1987 to change "old 203" into "new 301" and
"old 301" into "new 302." Now we will review the legislative history of House
Bill 92 (H.B. 92) which became Chapter 157 of the 1987 Session Laws of
Wyoming.
[¶97] Sponsored by
the Joint Judiciary Interim Committee, H.B. 92 was a revision of Title 7
of the Wyoming statutes. Digest of House Journal, Forty-Ninth State Legislature,
183-84 (hereinafter H.J.). The title of the bill states in relevant
part:
Title 7 Revision.
AN ACT * * * to amend, amend and
renumber or renumber W.S. * * * 7-13-101 through 7-15-107 * * *; revising
Chapters 1 through 5, 13 through 15 and 17 of Title 7 of the Wyoming Statutes; *
* * providing procedures for placing certain defendants on probation prior to
entry of a judgment of conviction and for their discharge without adjudication
of guilt upon successful completion of probation and conforming related statutes
* * *.
H.J. 183-84.
[¶98] H.B. 92 renumbered "old 203" to "new
301" and provided changes in the category of persons qualified for probation
before sentence and the procedures to be used before and after placing a
qualified person on probation. H.B. 92, Forty-Ninth State Legislature,
87LSO-0102.01, pp. 155-58 (1987). The original version of H.B. 92 contained the
requirement of the defendant's consent to probation which was not contained in
"old 203." Id. at 156. Before leaving the House, "new 301" was the
subject of a few relatively minor amendments. H.J. 184-85. On January 21, 1987,
H.B. 92 was read for the third time in the House and was passed. H.J. at
186.
[¶99] H.B. 92 then was
sent to the Senate. There, several more amendments were made to "new 301." The
most significant amendment made by the Senate was the addition of the
requirement of the state's consent to probation. H.J. 189. These amendments were
adopted and passed in the Senate. H.J. 191-92. H.B. 92 then went back to
the House on February 19, 1987, and the House voted not to concur in the Senate
amendments. H.J. at 192. The matter was referred to a joint conference
committee composed of several members from the House and Senate. H.J. at
192.
[¶100] The joint
conference committee reported back a recommendation to adopt, among other
amendments, the Senate amendment (H.B. 92SS1/AE) requiring the state's consent
to probation. H.J. at 192. The committee also recommended several other minor
changes to "new 301." H.J. at 193. On February 28, 1987, the House and Senate
voted to adopt the report of the joint conference committee. H.J. at 194. The
act was signed by the Speaker of the House and President of the Senate that same
day and by the Governor on March 5, 1987. H.J. at 194. H.B. 92 none appears as
Chapter 157, 1987 Session Laws of Wyoming.
B. "Alteration of
Original Purpose" Issue
[¶101]
Wyo. Const. art. 3, § 20, provides, "No law shall be passed except by
bill, and no bill shall be so altered or amended on its passage through either
house as to change its original purpose." The purpose of this kind of
constitutional provision is "to preclude last-minute, hasty legislation and to
provide notice to the public of legislation under consideration irrespective of
legislative merit." Anderson
v. Oakland County Clerk,
419 Mich. 313, 353 N.W.2d 448, 455 (1984). See also
Annotation, Construction and Application of Constitutional Provision Against
Changing Purpose of Bill During Passage, 158
A.L.R. 421, 423 (1945). (Our
research reveals no later supplementary annotation). In Scudder
v. Smith,
331 Pa. 165, 200 A. 601, 604 (1938), the court
said that kind of provision "put the members of the Assembly and others
interested on notice, by the title of the measure submitted, so that they might
vote on it with circumspection."
[¶102] These criminal defendants claim that the
original purpose of H.B. 92, as originally introduced, namely, providing
procedures -- including the requirement of the defendant's consent -- for
placing a defendant on pre-guilt adjudication probation and discharging the
defendant upon successful completion of that probation, was impermissibly change
by the legislature's amendment that added the requirement of the state's
consent. We disagree.
[¶103]
In our resolution of this issue, we are guided by Smith
v. Hansen,
386 P.2d 98 (Wyo. 1963), and
Arbuckle
v. Pflaeging,
20 Wyo. 351, 123 P. 918 (1912), 158 A.L.R. 421 (1945). In
these cases this court looked to the title and the body of the original bill to
determine its purpose and make a comparison of its purpose after
amendment.
[¶104] In
Arbuckle, certain livestock owners sued the state veterinarian to recover
possession of their cattle which the state veterinarian had seized and was going
to sell in order to recoup the cost he had incurred in seizing and medically
treating the owner's cattle for scabies or mange after the owners had failed to
treat them as he had earlier requested. The state veterinarian counterclaimed
for the costs incurred in seizing and treating the cattle. The trial court
certified to this court ten constitutional questions, one of which was whether
the legislature violated the "alteration of original purpose" provision in
the passage of 1909 Wyo. Sess. Laws ch. 164. As originally introduced, H.B. 137
stated in its title that it was "an act to amend and reenact section 148 and 150
* * * of the Revised Statutes of Wyoming of 1899, relating to the duties of the
State Veterinarian." Section 150 of the bill stated that the duty of the state
veterinarian was to superintend the slaughter and burning of condemned animals
and to pay the expense of that activity from any contingent fund appropriated
for his office.
[¶105] The
House amended the bill by the Jefferis amendment, which, in pertinent part,
added to the bill a section 2 which provided that section 148 of the revised
statutes of Wyoming 1899 was amended and reenacted so that the state
veterinarian had authority to take steps to prevent the spread of contagious
disease among animals, including ordering livestock owners to dip and treat
their animals, seizing animals when their owners failed to treat their animals,
treating the seized animals and selling them to recoup the cost of those
activities.
[¶106] The
plaintiff owners claimed that the Jefferis amendment was for a different purpose
from that contemplated in the bill as originally introduced. This court
disagreed. It found that the original bill's purpose concerned the state
veterinarian's duty, as did the amendment. Both the original bill and its
amendment related to that state official's duties concerning the prevention of
the spread of infectious disease among cattle. This court found that the
original bill and its amendment were not incongruous but related to that state
official's duties to prevent disease, and that they were in furtherance of that
purpose and within the scope of the subject of the bill. It held that the
amendment adding further duties did not alter or amend the original bill's
purpose. On this point, the court held the bill to have been constitutionally
enacted.
[¶107] Using
Arbuckle's analytical approach, we achieve the same result. As originally
introduced, H.B. 92 stated in its title that it was an act to amend and
renumber, among other statutory provisions, §§
7-13-101 through
7-15-107, providing procedures for placing certain defendants on probation
before entry of a judgment of conviction and for their discharge without
adjudication of guilt upon successful completion of probation. As originally
introduced, the body of the bill provided that the defendant's consent was
required as part of these procedures. The senate amendment of the original bill
added the state's consent requirement to the procedures for placing the
defendant on this type of probation.
[¶108] The criminal defendants here assert that
the senate amendment changed the purpose of the original bill. They correctly
identify that purpose as being revision of procedures for placing certain
defendants on probation. We agree that the purpose of the bill as originally
introduced concerns procedures for deferring further prosecution and placing a
defendant on probation without entry of adjudication of guilt and discharging
the defendant if he successfully completes that probation. One of those
procedures is obtaining the defendant's consent. The senate amendment refers to
these procedures and simply adds one more procedure to accomplish the purpose of
placing the defendant on probation. Both the bill and its amendment relate to
those procedures and that purpose. They are not incongruous. They are in
furtherance of that purpose, germane to and within the scope of the bill.
[¶109] The
Smith case helps us make our point. Several beer wholesalers sued members
and the director of the Wyoming Liquor Commission to enjoin the collection
of an additional four cents per gallon in excise taxes on malt liquors. The
wholesalers contended that the provisions of 1963 Wyo. Sess. Laws ch. 194, §
3(a), purporting to increase the tax from two cents per gallon to six cents per
gallon, were unconstitutionally enacted in violation of both the "alteration of
original purpose" provision of Wyo. Const. art. 3, § 20, and the "one subject"
provision, of Wyo. Const. art. 3, § 24.
[¶110] Focusing first on the "alteration of
original purpose" issue, this court noted that the bill's title, as originally
introduced, stated that the act amended and reenacted a statute relating to the
excise tax on liquors so as to prohibit a person's importation or transportation
of untaxed liquor into or within the state. Thus, the bill's original purpose
was to amend and reenact the statute "so as to prohibit" importation or
transportation of untaxed liquors. The bill was amended, and the excise tax on
malt liquors was increased from two cents to six cents per gallon. The
legislature also established an identification card for persons twenty-one years
or older to be presented when purchasing liquor. With these amendments, the
bill contained three purposes: 1) prohibition of importation or transportation
of untaxed liquor, 2) four cent tax increase on malt liquor, and 3) liquor
purchase identification card. Because of these amendments, the legislature then
amended the bill's original title to include mention of the identification card
along with the probation of importation or transportation of untaxed liquors.
The legislature, however, failed to amend the original title to include the
mention of the tax increase. This court held that the new purpose or objective
of the tax increase impermissibly changed the bill's original purpose of
prohibition of importation or transportation of untaxed liquors. Smith,
386 P.2d at 100.
[¶105] By contrast, in our present case, the
senate amendment adding the requirement of state's consent to the procedures
provided in the original bill, unlike the new purpose or objective of a tax
increase in Smith, did not change the original purpose of the bill. That
purpose was, and remained after the amendment, the establishment of procedures
for the deferring and placing of a defendant on probation without the entry of
an adjudication of guilt and the discharging of that defendant upon
successful completion of that probation.
[¶106] In light of the objective of the
"alteration of original purpose" provision and our decision in Smith and
Arbuckle, we hold that Chapter 157 of the Session Laws of Wyoming 1987
was constitutionally enacted in compliance with Wyo. Const. art. 3, §
20.
C. The "One Subject" Issue
Wyo. Const. art. 3, § 24,
provides:
No bill, except general appropriation bills and
bills for the codification and general revision of the laws, shall
be passed containing more than one subject, which shall be clearly expressed in
its title; but if any subject is embraced in any act which is not expressed in
the title, such act shall be void only as to so much thereof as shall not be so
expressed. (emphasis added).
[¶107]
In past challenges to legislation on this constitutional ground, we have
stated that the purpose of this constitutional provision is
to
prevent surprise or fraud in legislation. It is not intended that the title
shall be an abstract of all provisions contained in a bill; or that the title
must encompass all of the aspects of the statute; or that everything therein
affected need be delineated. Brinegar
v.
Clark, Wyo., 371 P.2d 62, 66 [1962];
Morrow
v. Diefenderfer,
Wyo., 384 P.2d 601, 603 [1963];
Board
of Com'rs of Laramie County v. Stone,
7 Wyo. 280, 51 P. 605, 607
[1897].
State
v. City of Laramie,
437 P.2d 295, 302 (Wyo. 1968).
[¶108] Sixty-five years age we said that this
particular constitutional provisions must be liberally and reasonably
construed:
This court has long recognized the principle that this
section of the constitution, though mandatory, must be liberally and reasonably
construed. In the case In
re Fourth Judicial District,c
4 Wyo. 133, 142, 32 P. 850 [1893], the
court quotes the language of Judge Cooley to the effect that the generality of
the title is no objection to it, so long as it is not made a cover to
legislation incongruous in itself, and which by no fair intendment can be
considered as having a necessary and fair connection. Cooley on Const. Lim. (7th
Ed.) p. 206. In the same paragraph of that text (p. 205) it is said that, "To
require every end and means necessary or convenient for the accomplishment of a
general object to be provided for by a separate act relating to that alone,
would not only be unreasonable, but would actually render
legislation impossible." And in the case of In
re Boulter,
5 Wyo. 329, 339, 40 P. 520 [1895], it
is said that an act is not invalidated for that reason so long as the subjects
of legislation are congruous, cognate or germane, and in furtherance of the
general subject of the enactment, even though the act may authorize many things
of a diverse nature to be done. There may be subordinate subjects if they be
"legitimate offspring of the main subject."
State
ex rel. Wyckoff v. Ross,
31 Wyo. 500, 510-11, 228 P. 636, 638 (1924).
[¶109] This constitutional provision contains
an important exception. The requirement in this "one subject" provision that a
bill contain only one subject which shall be clearly expressed in the bill's
title does not apply to a bill for the codification and general revision of the
laws. We have recognized the meaning of this exception in State
of Wyoming v. Pitet,
69 Wyo. 478, 243 P.2d 177 (1952).20 Regarding revisions and codifications,
Sutherland informs us:
A revision is an act which restates
the law embodied in one or more prior acts in order to clarify and harmonize the
provisions of the prior acts and which may alter, add, or omit
provisions. A codification is a revision and also a
systematic arrangement of all the statutes of the state or all those
concerning a general field of the law. (emphasis added).
1A
Sutherland Stat.Const. § 22.27, p. 254 (4th ed.
1985).
Defendants contend that H.B. 92 was not a revision because a
revision, by its nature, is not intended to change anything but only to restate
what has already been legislated, so that revisions of statutes are not presumed
to change the law. State
v. Baker,
195 Conn. 598, 489 A.2d 1041, 1045 n.4 (Conn. 1985). They argue
that the state's consent requirement contained in "new 301" changed, rather than
restated, what had been the law under "old 203," namely, that the court in its
discretion would decided whether to place a defendant on
probation.
[¶105] We
disagree that a revision is merely a restatement of, not a change in, existing
law. As noted earlier, Sutherland's definition of revision makes room for the
legislation's altering, adding, or omitting provisions of existing law. We adopt
that view. The court in Baker recognized that if the legislators use
language in the revision that admits of a construction which changes the former
law, then there is no presumption that the revision did not change the law.
Baker,
489 A.2d at 1045 n.4 (applying
Bassett
v. City Bank and Trust Co.,
115 Conn. 393, 161 A. 852 (1932)). Considering
the sweep of 1987 Wyo. Sess. Laws, evident in both its title21 and in its body, we hold that H.B. 92 was a
codification and general revision of Title 7 criminal procedure. We observe
that, in addition to identifying the statutory provisions to which the revision
act applied, the legislature used clear language to describe what the revision
was accomplishing: amending; amending and renumbering; revising; eliminating
duplication, redundancies and archaic provisions; moving, combining, deleting
and renumbering; providing definitions; repealing provisions; modifying
provisions; eliminating certain powers; providing procedures and deleting
requirements.
[¶112] The
revision act was not intended to be a mere restatement of former law. Obviously,
the legislators used language that admits of a construction which in many
instances changed the former law. Specifically with reference to §§
7-13-101 through
7-15-107, which encompass "old 203" and "old 301," the act was "to amend, amend
and renumber or renumber" those provisions "providing procedures for placing
certain defendants on probation prior to entry to a judgment of conviction and
for their discharge without adjudication of guilt upon successful completion of
probation and conforming related statutes * * *." 1987 Wyo. Sess. Laws,
ch. 157, p. 299. No one who read the title and was thus aware of the passage of
the law could reasonably claim to have been surprised or misled into thinking
that the revision act was a mere restatement of former law.
[¶113] We hold that since 1987 Wyo. Sess. Law,
ch. 157, originally introduced as H.B. 92, was a proper codification and general
revision of the laws to which it pertained, it was excepted from the
requirements of one "one subject" constitutional provision. We also hold that it
was constitutionally enacted.
VI.
WHETHER W.S.
7-6-106(d) (JUNE 1987
REPL.), UNDER WHICH LOWRY, VIGIL AND McIVER WERE ORDERED TO REIMBURSE THE
STATE FOR PUBLIC DEFENDER ATTORNEY'S FEES, IS CONSTITUTIONAL.
[¶114] In Lowry, when the county court
judge appointed the public defender to represent Ms. Lowry, the judge found that
she was presently unable to provide for full payment of attorney's fees and
other expenses of representation, but that she could afford to pay a certain
amount to defray partial costs of representation. This finding was based upon
the judge's consideration of Ms. Lowry's affidavit seeking court-appointed
counsel in which she provided detailed information about her financial situation
and present employment. Specifically, in her affidavit she stated she could
afford to make monthly payments towards her court-appointed counsel in the sum
of $ 50 per month. In the judge's order, and based on his finding that Ms. Lowry
could afford to pay some amount to defray partial costs of defense counsel, he
ordered her to pay $ 50 per month. Later, when the judge, over the prosecutor's
objection, deferred prosecution and placed Ms. Lowry on probation under "new
301," he ordered Ms. Lowry to reimburse the state and county $ 200 for the
services of her court-appointed counsel.
[¶115] In Vigil, when the county court
judge appointed the public defender to represent Mr. Vigil, his appointment was
based upon Mr. Vigil's affidavit for court-appointed counsel in which he
provided detailed information about his financial situation and employment
history. Later, in the presentence investigation report Mr. Vigil provided
further detailed information about his financial situation and his employment
history. When the district court judge sentenced Mr. Vigil, he ordered him to
pay the state public defender for all expenses and services according to the
public defender's standard fee schedule. The judge ordered this to be paid
within Mr. Vigil's five-year probationary period according to a court-approved
payment plan.
[¶116] In
McIver, the county court appointed a public defender based upon Mr.
McIver's affidavit in which he gave detailed information about his financial
situation, employment history, educational background, and family background. A
presentence investigation report provided further detailed information about his
financial situation, employment history, educational background, and family
background. When the district court judge sentenced Mr. McIver, he ordered him
to repay the state public defender for all expenses and services pursuant to
that office's standard fee schedule. The judge ordered this to be paid within
Mr. McIver's three year probationary period according to a court-approved
payment plan.
[¶117] Under
W.S.
7-6-106(d) (June 1987
Repl.) the courts have the authority to order a defendant to repay the state for
the cost of defense services.22 Defendants Lowry, Vigil and McIver raise for the
first time on appeal the question of the constitutionality of this statute. They
do not argue plain error. Since we find no jurisdictional claim and no
fundamental right claim, we decline to consider this issue. Hopkinson,
664 P.2d at 50.
VII.
WHETHER
PROSECUTORS'S REFUSAL TO CONSENT TO FIRST OFFENDER TREATMENT FOR MR. VIGIL
VIOLATED HIS RIGHTS TO DUE PROCESS
[¶120] Since a judge's sentence must be based
upon only accurate information found in the presentence investigation report,
Mr. Vigil argues that the prosecutor's "sentence-like" consent decision must
also be based upon only accurate information. See Christy
v. State,
731 P.2d 1204, 1207-08 (Wyo. 1987). Mr. Vigil
claims that the prosecutor refused to give the state's consent to "new 301"
probation because Mr. Vigil was a drug dealer, but that he steadfastly denied he
dealt drugs. We view the record differently from Mr. Vigil. In the presentence
investigation report, Mr. Vigil states that he had previously sold drugs but
felt it did not amount to much. At the sentencing proceeding, the district court
judge called the presentence investigation report to Mr. Vigil's attention and
asked him if it contained any inaccuracies. Mr. Vigil said it did
not.
[¶121] When the
prosecutor told the district court judge why the state refused to give its
consent to "new 301" probation, he referred to Mr. Vigil's presentence
investigation report admission of having previously sold drugs
and explained that the state felt the pending criminal matter was not an
isolated incident in view of that admission and that the state felt Mr. Vigil
should not be absolved and have a clean record under "new 301." The district
court judge found the state's position was rational. So do we. We also note that
Mr. Vigil did not raise this issue below, but rather presents it here for the
first time, and he has not claimed that the prosecutor's refusal to consent was
based on any suspect factor. Jahnke
692 P.2d at 927-28. Therefore,
we find no merit to Mr. Vigil's argument on this
point.
VIII.
WHETHER PROSECUTOR'S REFUSAL TO CONSENT TO SENTENCING
UNDER §
7-13-301 WAS
ARBITRARY AND AN ABUSE OF DISCRETION AND, THEREFORE, VIOLATED WYO. CONST., ART.
1, §§ 2 and 7
[¶122] In each
of their respective cases, Vigil, Moon, Magarahan, and Billis
claim that
the prosecutor's refusal to consent to "new 301" treatment was arbitrary and
abuse of discretion, thus violating Wyo. Const., art. 1, §§ 2 and 7.23
[¶123]
Both Ms. Moon and Ms. Magarahan claim that since the prosecutor in each
of their cases gave no reason for the state's refusal to consent to "new 301"
treatment, those refusals were arbitrary and characterized by an abuse of
discretion. The records in these cases are silent as to why the prosecutors
refused to consent. As explained earlier, the prosecutor, not the judge,
controls the prosecution up to adjudication. This court will not presume that
suspect factors or arbitrary classifications exist. Ms. Moon and Ms. Magarahan
cannot point to any suspect factors or other arbitrary classification in the
record. We find no merit in their argument.
[¶124] Under this assignment of error, Mr.
Vigil claims, as he did with reference to his due process claim, that the
prosecutor's refusal to consent based upon Mr. Vigil's admitted previous drug
dealing was arbitrary. We find no merit to this argument for the same reasons we
found no merit to his due process argument.
[¶125] Mr. Billis argues that
his prosecutors's refusal to consent to "new 301" treatment was arbitrary. He
contends that the prosecutor's refusal to consent is tantamount to sentencing,
which we rejected earlier. This is a prosecutor's decision, and the court may
not interfere with that, absent the presence of suspect factors. Mr.
Billis' contention
that the prosecutor's refusal to consent served none of the objectives of
sentencing is without merit.
[¶126]
Last, Mr. Billis assets that
his prosecutor based the refusal to consent upon the arbitrary factor of his
age. The record does not bear him out. The prosecutor refused to consent not
only because of age but also because the state had already shown leniency by
dismissing one count of delivery of cocaine under the plea bargain and because
of the rather professional manner in which Mr. Billis had
committed the drug crime. We find no merit in any of Mr. Billis' assertions
and hold that the prosecutor's exercise of discretion in refusing to consent to
"new 301" treatment for Mr. Billis was not
abused and was not based on any suspect factor or other arbitrary
classification.
CONCLUSION
[¶127] We hold that "new 301" does not violate
the separation of powers doctrine and was constitutionally enacted. The due
process rights of Mr. Vigil were not violated by the prosecutor's refusal to
consent. As to the claim made by Ms. Moon, Ms. Magaharan and Mr. Billis, we hold
that the prosecutor's refusal to consent was not an abuse of discretion and
was not arbitrary.
[¶128]
Because they were not raised below, we decline to address the
constitutional claims of Ms. Lowry, Mr. Vigil and Mr. McIver that relate to
reimbursement of defense counsel attorney fees.
URBIGKIT, Chief
Justice, dissenting.
[¶129]
We may as well provide two chairs on the bench during sentencing -- one
for the judge and one for the prosecutor -- and be done with pretense. I dissent
for two reasons. First, I would hold that Wyoming's separation of powers
provisions1 prohibits the prosecutor from exercising any power
over sentencing. Second, I would hold that the 1987 amendments to what is now
W.S.
7-13-301 violate
Wyo. Const. art. 3, §§ 20 and 24.
I. WHAT WE HAVE HERE AND WHY I
WORRY!
[¶130] The
majority opinion can be breathtaking at times in the display of its scholastic
strength. It is, however, an excellent answer to the wrong question. The
question is not whether our state's separation of powers doctrine collides with
a deferred prosecution scheme, but whether that doctrine prohibits prosecutorial
participation during the sentencing process as provided by W.S.
7-13-301. The
majority reforms the question to ask if sentencing is an "exclusive judicial
function" and answer that question with a "no." I would answer that question
with a "yes." Because the majority answers that question with a "no," they make
room on the bench for the prosecutor to participate effectively in
sentencing.
[¶131] The
judicial processes of Wyoming law have infrequently, if ever, been compelled by
majority authorship to grasp so extensively in an effort to justify a societally
unproductive and judicially untenable legal position. Paraphrasing from a
current admonition against achieving a result without actual precedential
justification, the majority "reaches out peripherally in [] many directions in
an attempt to authoritatively support an [unjustified decision]. The
reader is inundated with a multitude of citations and a bulk of material running
the gambit of quotations from historically well-known United States Supreme
Court Justices and legal scholars" to justify a result which is only "useful" to
multiply numbers of Wyoming felony convictions. City
of Rocky River v. State Employment Relations Bd.,
43 Ohio St.3d 1, 539 N.E.2d 103, 120 (1989), Justice
Holmes dissenting.
[¶132] If
these consolidated appeals challenge prosecutorial discretion under W.S.
7-13-3012 to defer criminal prosecutions, then
there is no separation of powers problem and the statute in question may be
considered constitutionally valid. But if these consolidated appeals challenge a
legislative scheme to allow the prosecutor control over the sentencing process,
then a collision with our state's separation of powers doctrine appears
unavoidable. I understand W.S.
7-13-301 to collide
with our separation of powers doctrine since it allows the prosecutor, against
the wishes of the trial judge and the defendant, to control the disposition of a
case after the accused has been "found guilty". I would hold that
once a defendant pleads guilty or is convicted by the jury, the role of the
prosecutor has come to an end.
[¶134] The majority disagrees and claims the
role of the prosecutor remains active until the sentencing judgment is entered,
but argues as if binding precedent drives their holding. Actually, existent
legal rules have nothing to do with the achieved outcome. The cluster of federal
cases advanced by the majority is no logical justification for re-authoring
Wyoming law. Where the federal supremacy clause does not operate, Wyoming
case law is the appropriate precedent and Wyoming precedent is dispositive.
"When the decision to prosecute has been made, the process which leads to
acquittal or to sentencing is fundamentally judicial in nature." Petition
of Padget,
678 P.2d 870, 872 (Wyo. 1984) (quoting
People
v. Tenorio,
3 Cal. 3d 89, 94, 89 Cal. Rptr. 249, 252, 473 P.2d 993, 996 (1970)). The
majority now hands control over sentencing to the prosecutor when only two years
ago we affirmed that "to require the court to accept the recommendation of the
prosecution as a matter of law would transfer the sentencing duty from the court
to the prosecution. * * * It is the court's duty to impose the sentence, not the
prosecution's." Mower
v. State,
750 P.2d 679, 681 (Wyo. 1988).
[¶135] Today, the majority turns its back on
its duty to guarantee the protection of individual rights and yields to
enterprising ambition of a force within or without legislative action to take
from the judiciary and give to the executive a power not theirs to give. Not
only is the judiciary demeaned, but his holding overall makes no sense unless
one examines the unprincipled impact of political theory upon appellate
adjudication. Rather than binding precedent, this outcome appears driven by a
political theory which tightens the grip of the prosecutor on the throat of the
accused at every opportunity.3
As the jurisprudence of Ronald Dworkin
has reminded us, several of the constitutional clauses guaranteeing rights to
individuals are formulated in such general terms that in many cases judges
cannot base their decisions on the text or the intent of the framers. Rather,
they must base them, consciously or unconsciously, on a political theory of some
king, a theory that defines in the abstract the proper scope of governmental
authority and individual liberty.
Elfenbein, The Myth of
Conservatism as a Constitutional Philosophy, 71
Iowa L. Rev. 401, 402 (1986). Whatever
name is given to the political theory in operation here, it is one which finds
primacy in securing legislative supremacy over the rights of citizens unless
those rights are enumerated. Such a philosophy does no more than articulate by
rote a political theory which selects legislative primacy when the values of
majority adaptation in representative government and rights of citizens
collide.
[¶137] If "'the
general principles governing the construction of statutes apply to the
construction of constitutions,'" County
Court Judges Ass'n. v. Sidi,
752 P.2d 960, 973 (Wyo. 1988) (quoting
Zancanelli
v. Central Coal & Coke Co.,
25 Wyo. 511, 173 P. 981, 991 (1918)), and if "we
construe every word, every clause and every sentence so as to avoid
rendering the [constitutional framers' and ratifiers'] actions futile or
absurd." Britton
v. Bill Anselmi Pontiac-Buick-GMC, Inc.,
786 P.2d 855, 864 (Wyo. 1990) (emphasis
added), how can we examine our separation of powers doctrine without examining
simultaneously the potential impact of legislative enactments on the
government's ability to protect the rights of citizens against acts of tyranny
by state officials?4 No
analysis is given regarding the possible rights of the accused to be free from
prosecutorial participating at this level in the judicial process. The dialogue
is couched only in terms of historic prosecutorial power.
"The
crucial operative aspect of rights skepticism is its attitude toward the
resolution of [the] systemic tension [between majority rule and individual
rights]. When a rights-supporting value of the Constitution is understood
to be in arguable conflict with majority conduct, the rights skeptic insists
that the case for the recognition of the right be made only under circumstances
of textual, historical, or structural certainty; otherwise the majoritian result
must prevail. Under this conception, rights are narrowly defined exceptions to
an otherwise prevailing general commitment to majority
rule."
Elfenbein, supra, 71
Iowa L. Rev. 425 n.124 (quoting
Sager, Rights, Skepticism and Process-Based Responses, 56 N.Y.U.L. Rev.
417, 441 (1981)). To maintain this skepticism, the majority leaves us with an
unfathomable standard to guide our future judgment of when the legislature has
violated the separation of powers doctrine. They say that as long as a
legislative enactment does not disturb the "integration of dispersed powers into
a balanced, workable governmental power," then there is no violation of the
separation of powers. Although that is an unfathomable standard, it is a
directed pathway to tyranny-ultimate autocracy of government -- absolute
statism.
[¶138] Incredibly,
the majority opens their analysis only after first reforming the claim made by
the several defendants. The majority writes that "these criminal defendants
contend it is essential that we preserve each of the powers in separate,
air-tight compartments." (Emphasis added.) I do not find in the record or
in the briefs where the appellants argue for "airtight compartments". The only
reference to "airtight" I have found occurs in a case relied on by the majority
which states "the [federal] Constitution does not require three airtight
departments of government." Geraghty
v. United States Parole Com'n.,
719 F.2d 1199, 1210 (3rd Cir. 1983), cert.
denied 465 U.S. 1103, 104 S. Ct. 1602, 80 L. Ed. 2d 133 (1984) (emphasis
added). The majority takes comfort in Geraghty standing for the
proposition that "unlike interpreting the constitution or adjudicating disputes,
sentencing is not inherently or exclusively a judicial function." Such comfort
must be cold comfort because Geraghty,
719 F.2d at 1210
specifically cautioned that its dicta applied to the federal system because "the
federal Constitution, unlike some state constitutions, has no express provision
which prohibits the officials of one branch of government from exercising
functions of the other branches." The majority mistakenly seizes upon a
single phrase in Geraghty. From that single phrase, they claim that
sentencing in Wyoming is not an exclusive judicial function but, political
theories being what they can be, everything leading up to the entry of judgment
is, of course, an exclusive prosecutorial function.
[¶140] The fundamental character of "blending"
the constitutional separation of powers out of reality serves only to justify
unprincipled result-oriented adjudication to suit a contemporary concept of
political or economic morality. State
ex rel. Whitehead v. Gage,
377 P.2d 299 (Wyo. 1963). That course
of governmental conduct was not acceptable to the United States Supreme Court in
the steel industry seizure case of Youngstown
Sheet & Tube Co. v. Sawyer,
343 U.S. 579, 72 S. Ct. 863, 96 L. Ed. 1153 (1952). In that
case, it was the executive; but the interest of the constitutional drafters of
the United States Constitution was for "hopes for freedom" to exist in
responsibility no less in the judiciary. Our system has not chosen to give
separately and singularly to the trial advocate -- the prosecutor -- the keys to
the jail nor power uncontrolled to destroy the effective existence of a human
being. The direct and collateral consequences of a felony conviction are,
in today's society, beyond rational recognition. Cf. Sibron
v. New York,
392 U.S. 40, 88 S. Ct. 1889, 20 L. Ed. 2d 917 (1968). We deal
here with productive lives and fruitful existence, not just deficits, money and
budgets. Bowsher
v. Synar,
478 U.S. 714, 106 S. Ct. 3181, 92 L. Ed. 2d 583 (1986). In exercise
of constitutional responsibility and determination of guilt as assessed to the
judiciary under the "stringent [] standard of disinterest as judges," the
zealous advocacy of the prosecutors cannot be given priority if the judiciary
chooses not to relegate itself to be in authority only a mere mockery.
Young
v. United States ex rel. Vuitton et Fils S.A.,
481 U.S. 787, 807, 107 S. Ct. 2124, 95 L. Ed. 2d 740 (1987). We walked
that way once before in impotency. Compare Gage,
377 P.2d 299 with
Schaefer
v. Thomson,
240 F. Supp. 247 (D.Wyo. 1964).5
[¶141] Operating from the
comfortable analytic position of only defending against a claim for
"air-tight compartments," the majority employs a framer's intent analysis
to discover the framers indeed had in mind a "pragmatic, flexible view of
differentiated governmental power" that allows a prosecutor control over the
outcome after the accused has pled or been found guilty. Never
once, however, does the majority stop to separate intent from purpose. The
historic purpose for separating governmental powers is to prevent
tyranny.6 Because
the separation of powers doctrine is designed to help prevent governmental
tyranny, displays of tyranny by state government employees makes legitimate the
question of why our separation of powers model sometimes fails to prevent those
displays. By answering the wrong question so well, the majority adds to the
potential for tyrannic power which they provided prosecutors in Cooney
v. Park County,
792 P.2d 1287 (Wyo. 1990) by
declaring that citizens have no civil recourse against any prosecutor, even when
the prosecutor willfully uses the awesome power of the state to settle a
personal vendetta. In a real sense, it is even more compelling to ask why
prosecutorial power is being strengthened in the face of such structural
failure.7
[¶141]
Do we examine a deferred prosecution scheme against the backdrop of our
separation of powers doctrine? Or do we examine a legislative scheme to imbed
the prosecutor's role into the sentencing process against the backdrop of our
separation of powers doctrine? Initially, these consolidated cases present
events occurring after the guilty plea or jury verdict was entered. The
legislative scheme permits a prosecutor to require the appending of a felony
designation to the plea and sentence. This is what these cases involve. The
issue addresses whether the separation of powers doctrine is violated by this
legislative scheme to strengthen the leverage of prosecutors by allowing
prosecutors the discretion to require felony status as a constituent of any
sentence. Punishment, confinement, or probationary responsibility is not
altered by the prosecutorial veto under the Wyoming adjudicatory structure since
the trial court can provide the same sentencing responsibility with or without
the application of W.S.
7-13-301 in
distinction to W.S.
7-13-302, except
that the conviction of a felony is or is not appended.
[¶142] The majority essentially redefines
deferred prosecution to include post-plea action of the trial court and hands
the reins of the sentencing process to the prosecutor.
[¶143] In addition to nolle prosequi and
acquittal, criminal charges may be disposed by three processes. Process one is
the diversion programs,8 process two is a plea or verdict without entry of a
felony judgment, and process three is a plea or verdict with entry of a felony
judgment. The majority misunderstands or does not recognize the difference
between diversion, process one, and plea or verdict without final felony
conviction, process two. The plea or verdict which has been entered by probation
without felony conviction is no more revocable than is probation with the
felony conviction. Zanetti
v. State,
783 P.2d 134 (Wyo. 1989);
Peper
v. State,
768 P.2d 26 (Wyo. 1989);
Angerhofer
v. State,
758 P.2d 1041 (Wyo. 1988);
Chorniak
v. State,
715 P.2d 1162 (Wyo. 1986).9
II. HISTORY OF THE STRUCTURE OF WYOMING
LAW
[¶144] From
before the time of statehood, Wyoming sentencing processes provided broad
discretion to the trial court.10 S.F. 100, 10th Leg. (1909),
enacted as Wyo. Sess. Laws ch. 87 (1909), successfully introduced "an act
relating to the parole of prisoners found guilty by a jury on their plea of
guilty of crimes charged against them." As first offense sentencing process, the
enacted statute was a juvenile sentencing act with comprehensive characteristics
for purposes of clarity and to differentiate a succeeding statute. This
enactment will be called the Modified Juvenile Sentencing Act.11
PAROLE.
Section
1. Whenever any person, not over twenty-one years of age, shall have been
found guilty by the verdict of a jury empaneled to try his case, or by his plea
of guilty, duly entered in the cause, of any felony except murder, rape of a
woman or female child forcibly and against her will, or arson of a dwelling
house or other human habitation in the actual occupancy of a human being, the
court in which such verdict was found or plea of guilty entered, shall
ascertain, if possible, whether the offense of which the accused is fund guilty
is his first offense, as well as the extent of moral turpitude involved in the
act committed, and such other facts and circumstances relating to the accused as
he may desire to know; and if satisfied that such person was a person of good
reputation before the commission of the offense charged and had never before
been convicted of any felony, and that if permitted to go at large would not
again violate the law, may in its discretion, by an order entered of records,
delay the passing sentence upon such verdict, or plea, and parole such person
and permit him to go at large upon his own recognizance * * * and the Court,
if satisfied * * *, that such person has demeaned himself in a law-abiding
manner and lived a worthy, respectable life, may by an order of record, continue
such parole from time to time for the period of five years, at the expiration of
which period the Court shall enter an order finally discharging such person, and
no further proceedings shall be had upon such verdict or plea; Provided,
however, That at any time after the expiration of one year from the date of said
original parole the Court
shall have the power in its discretion to terminate said parole and finally
discharge such person and annual such verdict or plea of
guilty.
ABSOLUTE DISCRETION.
Sec. 2. The
Court, in the exercise of its power to determine the previous good character of
any such person, to determine the advisability of paroling such person, to
determine the propriety of finally discharging such person at any time after the
end of one year, and to determine the fact of violation of the terms of the
parole and recognizance and propriety of imposing sentence upon such person,
shall have absolute discretion, and no appeal or proceeding in error shall lie
from the determination of the Court upon any of said
questions.
NO DELAY.
Sec. 3. No delay
in the passing of sentence or parole of a person as provided in this act shall
be ordered against the consent or will of such person.
Wyo. Sess.
Laws ch. 87 (1909) (emphasis added).
[¶136] Exercise of the parole or probationary
status provided by the act was initially subject to consent of the charged
individual because of exposure to a probation term of five years. That statute,
initially limited to persons under twenty-one years of age, was followed in
initial success with a 1931 change by which the age limitation was removed. Wyo.
Sess. Laws ch. 73, § 9 (1931).12
[¶154]
The sentencing statute was triggered by a conviction or a plea of guilty
followed by imposed parole obligations and gave authority to the trial court to
annul the verdict or plea in order that a conviction of a felony did not result.
After the age limitation had been removed from the 1909 enactment, the statute
remained essentially unchanged until Wyo. Sess. Laws ch. 157 (1987). It was in
the recodification of this Modified Juvenile Sentencing Act where the
prosecutorial veto provision became appended by legislative passage as the
provision from which this appeal is presented. What had started as a juvenile
sentencing statute has now expanded to a first offender, non-conviction statute
by W.S.
7-13-301 with
transposition of provisions from another statute.
[¶155] With the 1909 Modified Juvenile
Sentencing Act in place, the legislature, by Wyo. Sess. Laws ch. 91 (1939),
enacted a separate procedure as a new sentencing code which provided for
suspension of trial as well as suspension of sentence by probation. Wyo. Sess.
Laws ch. 91 (1939) in part provided:
Power of Court to Suspend
Sentence or Trial in Some Cases -- Probation.
Section 1. After
conviction or plea of guilty for any offense, except crimes punishable by
death or life imprisonment, the court may suspend the imposition or the
execution of sentence and may also place the defendant on probation or may
impose a fine applicable to the offense and also place the defendant on
probation. With the consent of a defendant charged with a crime, except a crime
punishable by death or life imprisonment, the court may suspend trial and place
such defendant on probation.
County Attorney -- Clerk of Court
-- Duties.
Section 2. When directed by the court, the county
attorney shall fully investigate and report to the court in writing the
circumstances of the offense, and the criminal record, social history and
present conditions of the defendant, including, whenever practicable, the
findings of a physical and mental examination of the defendant. No defendant
charged with a felony, and, unless the court shall direct otherwise in
individual cases, no other defendant shall be placed on probation or released
under suspension of trial or sentence until the report of such investigation
shall have been presented to and considered by the court. If such defendant is
committed to any institution, a copy of the report of such investigation
shall be sent to the institution at the time of commitment. In all cases the
clerk of court shall forward copies of such report to the Board of Charities and
Reform, and copies of all orders entered by the court.
Court May
Modify Conditions.
Section 3. The court shall determine and
may, by order duly entered, impose in its discretion, and may at any time modify
any condition or conditions or probation or suspension of trial or sentence.
Extension of Suspension or Probation -- Discharge
-- Violation of Conditions by Defendant.
Section 4. The period
of probation or suspension of trial or sentence and the conditions thereof shall
be determined by the court and may be continued or extended. Upon the
satisfactory fulfillment of the conditions of suspension of trial or sentence or
probation the court shall by order duly entered discharge the defendant. At any
time during the period of suspension of trial or sentence or probation, the
court may issue a warrant and cause the defendant to be arrested for violating
any of the conditions of probation or suspension of trial or sentence. As soon
as practicable after the arrest the court shall cause the defendant to be
brought before it and may proceed to deal with the case as if no suspension of
trial or sentence or probation had been
ordered.
Fines.
Section 5. When imposing a
fine and also placing the defendant on probation, the judge of the district
court may permit such fine to be paid in such installments and over such periods
of time as he deems possible and reasonable.
Power of the
Governor.13
Section 6. Nothing herein
contained shall be construed to impair the power of the Governor to grant a
pardon or commutation in any case.
[¶155] The difference between the 1909 Modified
Juvenile Sentencing Act and the 1939 adult suspension of trial or sentence act
was essentially operational. The Modified Juvenile Sentencing Act required plea
or conviction and afforded an opportunity to avoid the felony conviction.
Alternatively, the adult suspension of trial or sentence act, if applied
following plea, permitted no remission of the felony status but could result, if
applied for suspension of trial, with the same result as the Modified Juvenile
Sentencing Act. The practical difference between the Modified Juvenile
Sentencing Act and the adult suspended trial or sentence act is the provision in
the latter where no plea was required for utilization if trial was suspended.
Another obvious difference is the flexibility afforded in the Modified Juvenile
Sentencing Act permitting a conclusion after one year, which provision might not
necessarily be equally available under the later statute.
[¶156] The finality of the adult sentencing
statute was established not only by the probationary terms but
by provisions for entry of a judgment for the payment of a fine. Then, Wyo.
Sess. Laws ch. 68, § 1 (1984) provided a potential for prison labor when the
statute then numbered W.S.
7-13-301, 7-13-302,
and 7-13-303 was amended to add:
7-13-303. Imposition or
modification of conditions; work as a condition of probation.
* *
*
(b) As a condition of any probation, the court, subject to
W.S.
7-13-701 through
7-13-704, may order the defendant to perform work for a period not exceeding the
maximum probation period.
7-13-701. Work for persons confined in
county jail or probationers; generally.
(a) The sentencing court may
require the following persons to perform work pursuant to W.S.
7-13-701 through
7-13-704:
* * *
(iii) Persons for whom work is
imposed as a condition or probation pursuant to W.S.
7-13-303(b).
Wyo.
Sess. Laws ch. 68 (1984).
These two statutes were essentially restated in
the 1987 Title 7 recodification with the Modified Juvenile Sentencing Act
restated as W.S.
7-13-301 and the
adult suspended trial or sentence act restated as W.S.
7-13-302 through
7-13-307.14
[¶166]
The Modified Juvenile Sentencing Act was turned upside down by a Senate
judiciary committee amendment (without change in the title of the bill) to
provide prosecutorial veto for use of the sentencing statute by the addition of
the words "with the consent of the defendants and the state." The adult
suspended trial or sentence act lost its principle reason for existence by
deletion of the provision which permitted suspension of trial and entry of a
probationary sentence. The provision for suspension of trial disappeared in the
same way that the prosecutorial veto provision was inserted.
[¶167] Without question, the adult suspended
trial or sentence act was turned into a pure sentencing statute by deletion of
the provisions. The majority now contends that the Modified Juvenile Sentencing
Act, circa 1909, was also turned into a diversion statute. The majority uses
this contention to justify the legislature's insertion of the prosecutorial veto
as a limitation on sentencing authority of the judiciary.
[¶168] The majority is totally wrong in context
and the citation of authority fails to sustain the basis arguments presented.
The only diversion feature of either earlier statute had been found in the adult
suspended trial or sentence act. These cases presented never considered the
question of diversion.
[¶170]
First justification for finding the Modified Juvenile Sentencing Act to
be a diversionary process and not a sentencing statute is presented by the
majority in discussion of prosecutorial powers of nolle prosequi. The
presentation is well structured, but contains a pervasive fault. Nolle prosequi
has nothing to do with these cases and this prosecutorial veto power in the
sentencing statutes. Pure nolle prosequi cases addressing executive and judicial
discretion can be immediately excluded as totally inapplicable for any precedent
in this case.15
[¶171]
Of more arguable relation, we can find the cited cases involving
prosecutorial participation in pretrial diversion programs. A clearer look is
required to perceive why even this line of authority really does not justify
application since W.S.
7-13-301, as the
successor to the 1909 juvenile sentencing statute, is still a sentencing statute
and not a diversion program as it relates to the cases actually presented. What
might have happened if diversion -- probation without plea -- had been
attempted is hypothetical and not presented by any of the cases addressed. The
reason is that judicial action is invoked only following trial conviction or
guilty plea and the sentencing mechanism is restricted to a confined class of
individuals and specific offenses. The statute provides a probationary sentence
which is wholly unremarkable in sentencing technique with the only
individualized feature different from many laws being the opportunity to avoid
the burden of a conviction of a felony by good behavior. Over a lifetime, that
burden will not doubt exceed any immediate detriment and responsibility
impressed by compliance with terms of probation.
[¶172] The structure of Wyoming criminal
statutes for juvenile offenses vests exclusive authority in the juvenile courts
for persons under the age of thirteen, court discretionary transfer authority
under seventeen, and exclusive discretion in the prosecutor for youths age
seventeen or older. W.S.
14-2-203;
Menapace
v. State,
768 P.2d 8 (Wyo. 1989). Now, the
prosecutor has discretion to require adult proceedings for young people
seventeen or older and the power to insist on the entry of a felony
judgment.
III. MAJORITY CASE LAW -- DIVERSION
CASE
[¶173] The majority
inaccurately cites a number of cases involving modern diversion procedures where
discretion of the prosecutor has been favored for authority to justify
prosecutorial veto of a sentencing statute. The cases do not fit!16 The
pretrial diversion programs of New Jersey, Pennsylvania, Florida, Tennessee,
Colorado, Oregon and Kansas do not provide authority for application to the
similar Wyoming sentencing statute existent here since 1909 which is triggered
only by a guilty plea or a jury verdict.
The idea of pretrial
diversion is appealing. It represents an attempt to structure and make visible
the informal prosecutorial practices of noncriminal disposition. It also
makes possible the early delivery of rehabilitation services on a formal
rather than impromptu basis. And it offers the prosecution an alternative to its
standard options of full criminal processing or informal screening-out without
follow-up supervision.
* * *
Pretrial diversion, which began six
years ago with two pilot programs, has become today a reform movement "well on
its way to institutionalization." It is predicted that by 1987 there will be 150
programs diverting annually 150,000 persons before trial. But continued
proliferation of pretrial diversion programs at this time is hard to justify.
Existing programs must first meet the burden of showing that their promises have
been or could be delivered. Otherwise, the practice of pretrial diversion, like
"almost everything we do in the criminal field, is on the basis of
faith."
Note, Pretrial Diversion from the Criminal Process,
83 Yale L.J. 827, 852-54 (1974) (quoting Zaloom, in 4 Crim. Justice Newsletter,
October 15, 1973, at 4 and Vorenberg & Vorenberg, Early Diversion From
the Criminal Justice System, 1972 (unpublished paper, Harvard Law
School).
[¶174]
Principles of the diversion process case law originated very recently and
principally from New Jersey and Pennsylvania. The New Jersey Supreme Court
established the diversion program and then provided the character of its
exercise involving both prosecutorial and sentencing court responsibilities.
After the program was in place, the state legislature adopted the structure by
enacted statute. In State
v. Leonardis,
71 N.J. 85, 363 A.2d 321 (1976),
reh'g 73
N.J. 360, 375 A.2d 607 (1977)
(Leonardis I), the pretrial intervention program (PTI) was established by
the New Jersey Supreme Court to represent a procedural alternative to the
traditional system of prosecuting and incarcerating criminal suspects. The court
noted that PTI was developed within the last decade. Various studies recognize
"the desirability of alternative means for the disposition of criminal cases."
Id. at 325. The system was to provide "prosecutorial options." Id.
at 325. As such, the prosecutor's participation and discretion was confirmed.
State
v. Leonardis,
73 N.J. 360, 375 A.2d 607 (1977)
(Leonardis II) addressed the exercise of that discretion in the PTI
program. Considering that the pretrial diversion program was functionally a
quasi judicial decision tailored to provide options to the prosecutor, the court
in Leonardis II discerned the character of supervised discretion of the
prosecutor by judicial oversight. The Leonardis cases were followed by
State
v. Dalglish,
86 N.J. 503, 432 A.2d 74 (1981) which
addressed the development of a legislatively enacted statewide program of
pretrial intervention as part of the New Jersey criminal code. The court
recognized that
judicial review of a prosecutor's decision whether
or not to suspend criminal charges infringes on both the Legislature's power to
define crimes and the Executive's responsibility to enforce the laws and
therefore must be performed with sensitivity. Since the Legislature has
established a PTI program with judicial review, the trial court correctly
concluded that the problem of judicial interference with legislative authority
has been eliminated.
Id. at 79. The New Jersey program
did not involve a predicate of an adverse verdict or a guilty plea before
participation was considered. The program was an alternative predating plea
or trial. The succeeding case, State
v. Collins, 180
N.J.Super. 190, 434 A.2d 628 (1981), aff'd
90
N.J. 449, 448 A.2d 977 (1982), addressed
various procedural and differentiating features within New Jersey law and
determined the prosecutor's exercise of discretion to deny pretrial diversion
was not abused and that the accused's case would be then pursued to trial. The
difference between pretrial diversion and post-conviction sentencing is
clear.
[¶178] The
Pennsylvania Supreme Court likewise established an accelerated rehabilitation
disposition program (ARD) which
"provides a means of suspension of
formal criminal proceedings before conviction on the condition that the accused
will do something in return, such as make restitution, participate in a
rehabilitation program, undergo psychiatric treatment, hold certain employment,
or otherwise modify his behavior. The ARD rules provide that after a defendant
is held for court by an issuing authority or after an information or indictment,
the district attorney sua sponte or at the request of defendant's attorney, may
move that the case be considered for ARD. The district attorney has the
discretion to refuse to ask for ARD and to insist on prosecuting the defendant
for the offense.
Com.
v. Kindness, 247 Pa.Super. 99, 371 A.2d 1346, 1347 (1977) (quoting
Shade
v. Com. of Pennsylvania, Dept. of Transp.,
394 F. Supp. 1237, 1240 (M.D.Pa. 1975)). The
Pennsylvania intermediate appellate court addressed constitutional activity of
the supreme court as a supervisory power in the establishment of the ARD
program. Unquestionably, the ARD program is a diversion without conviction
process and provides no informative authority for a separation of powers inquiry
as is presented here. See likewise Com.
v. Lutz,
508 Pa. 297, 495 A.2d 928 (1985). The similar
inquiry into the proper exercise of discretion by the prosecutor for the ARD
program was presented as the subject of Com.
v. Ebert,
369 Pa.Super. 318, 535 A.2d 178 (1987). The program
was described as "a pretrial disposition of certain cases through which the
defendant can earn dismissal of the charges against him if he successfully
completes a rehabilitation program." Id. at 179.
[¶179] Florida has a statutory pretrial
intervention program and the issue presented in State
v. Cleveland,
390 So. 2d 364 (Fla.App. 1980) was control
or supervision of exercised discretion of the prosecutor before trial. The court
noted:
The system is one of balancing. If the
prosecutor takes the case to trial and the defendant is found guilty, the trial
judge has the discretion under the law to sentence the defendant in whatever
fashion the trial court sees fit.
Id.
at 367. Obviously,
the discretion of the prosecutor was to permit diversion or to proceed with
prosecution. The Florida Supreme Court, in considering the same case,
reiterated:
The pretrial diversion is essentially a conditional decision
not to prosecute similar to the nolle prosequi situation postulated by [State
v.] Jogan,
[388 So. 2d 322 (Fla.3d DCA 1980)]. It is a
pretrial decision and does not divest the state attorney of the right to
institute proceedings if the conditions are not met. The pretrial intervention
program is merely an alternative to prosecutor's
discretion.
Cleveland
v. State,
417 So. 2d 653, 654 (Fla. 1982). The court
noted that the Florida system was different than the California program, citing
People
v. Superior Court of San Mateo County,
11 Cal. 3d 59, 113 Cal. Rptr. 21, 520 P.2d 405 (1974).
[¶180] A special intervention program in the
Cleveland municipal court was instituted to provide a form of rehabilitation in
lieu of conviction and sentence. City
of Cleveland v. Mosquito,
10 Ohio App.3d 239, 461 N.E.2d 924 (1983). The program
was based on a statutory authorization for prosecuting attorneys to establish
the program with cooperation between the court and the executive agency. The
program retained the prosecutorial discretion of whether to continue with
prosecution or utilize the diversion program. The activity and status
demonstrated in the case essentially conforms to New Jersey, Pennsylvania and
Florida pre-conviction diversion arrangements. The specific issue in
Mosquito,
461 N.E.2d at 927 was the
prosecutor's place to deny the opportunity of Mosquito to "enter the program and
escape trial."
[¶181] The
constitutionality of the Tennessee pretrial diversion program was similarly
considered in Pace
v. State,
566 S.W.2d 861 (Tenn. 1978). The
Tennessee system involved a memorandum of understanding between the prosecuting
attorney and the defendant without effect until trial court approval. The case
confirmed the authority of the court to supervise the exercise of discretion and
found the statute constitutional. The special concurrence is of particular
interest in recognizing the three-stage process involving nolle prosequi or
pretrial diversion, and, if neither, then verdict. The essential characteristic
of the Tennessee system was premised on the agreement of the defendant and the
prosecutor to be incorporated pretrial in the memorandum of understanding. The
Colorado court in People,
By and Through Vanmeveren v. District Court In and For Larimer
County,
186 Colo. 335, 527 P.2d 50 (1974) applied the
same principle to the same kind of a deferred prosecution statute as a
recognition of the prosecutor's charging discretion.
[¶182] Oregon statutes established a
prosecutorial based pretrial diversion authority. The Oregon courts considered
the exercise of discretion in State
ex rel. Anderson v. Haas,
43 Ore. App. 169, 602 P.2d 346 (1979) and the
character of a hearing, if any, to terminate upon decision of the prosecutor in
State
ex rel. Harmon v. Blanding,
292 Or. 752, 644 P.2d 1082 (1982) and found
that the charged defendant had no right to choose treatment as an alternative to
prosecution in State
v. Graves,
58 Ore. App. 286, 648 P.2d 866 (1982). The thesis
of the statute and the case law resulting is the well-established principle of
prosecutorial discretion to prosecute. The program is structured in Oregon
on an agreement between the prosecution and the defendant and little supervision
is provided the court to require that the prosecutor enter into the
agreement.
[¶183] Kansas
patterned its statute after the law enacted in Oregon. The Kansas court in
State
v. Greenlee,
228 Kan. 712, 620 P.2d 1132 (1980) recognized
the same picture of a function in exercising discretion to enter into an
agreement by the prosecutor while perceiving that the statute itself was largely
a recognition of a prior practice of diverted or delayed prosecution. The court
noted:
The control [of the prosecutor] is minimal and the overall
effect is merely to make the process of diversion more formal by establishing a
few procedural standards and establishing some degree of uniformity in
procedure. The ultimate decision remains with the
prosecutor.
Id. at 1137-38. The court did note that the
prosecutor, although possessing wide discretion, is not immune from judicial
review of the exercise of that discretion for arbitrariness. Id. at
1139.
IV. NOLLE PROSEQUI -- NO RELEVANCE
[¶190] Nolle prosequi does not apply to
judicial responsibility for sentencing after either a guilty plea or a
guilty verdict. Since the plea of guilty has been made in each of these twelve
cases and accepted by the court, nolle prosequi has absolutely nothing to do
with the constitutionality of a prosecutorial veto in the sentence entered which
determines whether or not a probationary condition will be denied which might
permit avoidance of the felony conviction status. There is a difference between
dismissing a pending proceeding before guilt has been ascertained and control
over sentencing.17 Gooden
v. State,
711 P.2d 405 (Wyo. 1985);
Jahnke
v. State,
682 P.2d 991 (Wyo. 1984);
State
v. Faltynowicz,
660 P.2d 368 (Wyo. 1983), Thomas, J.,
specially concurring; United
States v. Cox,
342 F.2d 167 (5th Cir.),
cert. denied 381 U.S. 935, 85 S. Ct. 1767, 14 L. Ed. 2d 700 (1965);
United
States v. Brokaw,
60 F. Supp. 100 (S.D.Ill. 1945);
State
v. Bailey,
319 Md. 392, 572 A.2d 544 (1990); Comment,
The Nolle Prosequi Under Rule
48(a) of the Federal Rules of Criminal Procedure, 1978 Det.
C.L. Rev. 491 (1978); Note, Is Prosecution a Core Executive Function?
Morrison v. Olson and the Framers' Intent, 99
Yale L.J. 1069 (1990); Note,
Criminal Law -- Nolle Prosequi -- Trial Court Has Power To
Dismiss for Want of Prosecution, 41 N.Y.U.L. Rev. 996
(1966).
[¶192] The majority
opinion loses touch of the issue presented by the appellants. That issue is
whether the legislature may delegate to prosecutors any form of control over
sentencing. This issue concerns the core function of the judiciary over
sentencing. See MJP
v. State,
706 P.2d 1108 (Wyo. 1985). The
improper delegation of core functions to coordinate branches of government was
reviewed in Petition
of Padget,
678 P.2d 870. Sentencing
is a judicial function. MJP,
706 P.2d 1108;
Wright
v. State,
670 P.2d 1090, 1095 (1983), reh'g
denied 707
P.2d 153 (Wyo. 1985).
V.
SENTENCING WITH PROSECUTORIAL INVOLVEMENT
[¶193] There is a distinguished line of
prosecutorial veto cases which address the sentencing feature implicit in the
Wyoming Modified Juvenile Sentencing Act of 1909. The principles first
enunciated in California case law which addressed sentencing and separation of
powers have taken hold in other jurisdictions whose occurs addressed issues
similar to the issue here.
[¶194]
The conflict first arose in Tenorio,
3 Cal. 3d 89, 473 P.2d 993, 89 Cal. Rptr. 249 where, in
sentencing, the court could dismiss a charged prior offense without approval of
the prosecutor. That court indicated:
Thus, even if the Legislature
could constitutionally remove the power to strike priors from the courts, it has
not done so, but rather has proposed to vest in the prosecutor the power to
foreclose the exercise of an admittedly judicial power by an appropriate
judicial officer. It is no answer to suggest that this is but a lesser included
portion of the prosecutor's discretion to forego prosecution, as the decision to
forego prosecution does not itself deprive persons of liberty.
When the
decision to prosecute has been made, the process which leads to acquittal or to
sentencing is fundamentally judicial in nature. Just as the fact of
prosecutorial discretion prior to charging a criminal offense does not imply
prosecutorial discretion to convict without a judicial determination of guilt,
discretion to forego prosecution does not imply discretion to sentence without a
judicial determination of those factors which the Legislature has never denied
are within the judicial power to determine and which relate to punishment. The
judicial power is compromised when a judge, who believes that a charge should be
dismissed in the interests of justice, wishes to exercise the power to dismiss
but finds that before he may do so he must bargain with the prosecutor. The
judicial power must be independent, and a judge should never be required to pay
for its exercise.
Id. at 996. The court held that the tested
statute was "violative of the California constitutional separation of powers, as
that concept demands that the branches of government be coequal and that a
prosecutor not be vested with power to foreclose the exercise of a judicial
power recognized in [statute]." Id. at 997. Tenorio was followed
by Esteybar
v. Municipal Court for Long Beach Judicial Dist.
of Los Angeles County, 5 Cal. 3d 119, 95 Cal. Rptr. 524, 485 P.2d 1140
(1971) where the
prosecutorial veto in determining that a charged defendant may not be tried as a
misdemeanor was rejected as a violation of separate judicial responsibility and
separation of powers. People
v. Navarro,
7 Cal. 3d 248, 102 Cal. Rptr. 137, 497 P.2d 481 (1972) held that
the legislature can control eligibility for probation, parole and term of
imprisonment but cannot infringe upon a core judicial function by subjecting a
judge to the control of the prosecuting attorney. "The imposition of sentence
and the exercise of sentencing discretion are fundamentally and inherently
judicial functions." Id. at 143 (quoting People
v. Burke,
47 Cal. 2d 45, 52, 301 P.2d 241 (1956)).
When
an individual judge exercises sentencing discretion he exercises a judicial
power which must be based upon an examination of the circumstances of the
particular case before him, and which is subject to review for abuse. (
People
v. Tenorio, supra,
3 Cal. 3d 89, 95, 89 Cal. Rptr. 249, 473 P.2d 993.) Here, as in
Tenorio and Esteybar the Legislature sought to vest the district
attorney with unreviewable powers. * * *
We reiterate the statement
made by Justice Schuaer in his dissent in People
v. Sidener (1962) 58 Cal. 2d 645, 654, 25 Cal. Rptr. 697, 702, 375 P.2d 641,
646, in his
analysis of the separation of powers doctrine, that "It bears reiteration that
the Legislature, of course, by general laws can control eligibility for
probation, parole and the term of imprisonment, but it cannot abort the
judicial process by subjecting a judge to the control of the district
attorney."18
Navarro,
102 Cal. Rptr. at 144 (emphasis
in original).
[¶200] The
California principles of excluding the prosecutor from control over sentencing
was accepted in Arizona under State
v. Jones,
142 Ariz. 302, 689 P.2d 561, 563 (1984) (citations
omitted):
The concept of separation of powers is fundamental to
constitutional government as we know it. * * * It is essential that sharp
separation of powers be carefully preserved by courts so that one branch of
government not be permitted unconstitutionally to encroach upon the functions
properly belonging to another. * * * The legislature may not enact a statute
which is in conflict with a provision of the state
Constitution.
[¶201] In
State
v. Prentiss,
163 Ariz. 81, 786 P.2d 932 (1989), that
principle was reaffirmed when the court considered whether the prosecutor could
control sentencing discretion by his charging decision. The court found that the
statute violated constitutional concepts of separation of powers, equal
protection, and/or substantive due process. "Once the legislature provides the
court with the power to use sentencing discretion, the legislature cannot then
limit the court's exercise of discretion by empowering the executive branch to
review that discretion." Id. at 936. The Arizona court severed the
prosecutorial control feature in a fashion comparable to action taken by the
Minnesota courts. Id. at 938, appendix.19
[¶202]
In Illinois, courts have identified the difference between a sentence and
the alternative treatment diversion:
"The Act provides an
alternative to the usual criminal justice procedures; it allows a criminal
defendant with a drug abuse problem to avoid the criminal justice
machinery * * *." The treatment under the Act, unlike a sentence, is not a
consequence of defendant's guilt. It is instead an alternative to a criminal
conviction and the regular sentencing alternatives available under [Illinois
law].
People
v. Teschner,
81 Ill. 2d 187, 40 Ill.Dec. 818, 407 N.E.2d 49, 52 (1980) (emphasis
in original and quoting People
v. Phillips,
66 Ill. 2d 412, 416, 6 Ill. Dec. 215, 217, 362 N.E.2d 1037, 1039
(1977)). The
difference was also recognized between disposition and imposition of a criminal
sanction. Accord People
v. Caldwell,
118 Ill.App.3d 1027, 74 Ill.Dec. 464, 455 N.E.2d 893 (1983).20
[¶203] In State
v. Olson,
325 N.W.2d 13 (Minn. 1982), the Supreme
Court of Minnesota considered a statute which conditioned the power of a court
to sentence without regard to the mandatory minimum provisions upon the
discretion of a prosecutor. The Minnesota court observed
that
the prosecutor is not only a member of the executive branch, but an advocate as
well. His or her attention throughout the criminal trial is focused on achieving
conviction, and appropriately so. But we expect too much when we look to the
prosecutor alone for an evenhanded assessment of whether mitigating factors may
exist in cases that have been successfully prosecuted. The present appeals amply
illustrate the inadequacy of such a limited mechanism; it is neither
constitutional, nor practical in our adversary system of criminal
justice.
* * *
* * * If the legislature gives such power to
the prosecutors, it must also give it to the courts. It cannot constitutionally
do otherwise.
Id.
at 19.
[¶204] In summary, not only does a rigorous
analysis of the diversion cases cited in the majority opinion fail to
authenticate the prosecutorial participation in judicial function, but the
appropriately related authority uniformly denies that executive branch
preclusion in essentially a sentencing decision which is not justified in
Wyoming.
VI. SEPARATION OF POWERS
[¶205] As the majority points out, the doctrine
of separation of powers embodied in the United States Constitution is not
mandatory on the states. Dreyer
v. People of State of Illinois,
187 U.S. 71, 84, 23 S. Ct. 28, 32, 47 L. Ed. 79 (1902). The
doctrine is not mandated in the United States Constitution, but is understood to
flow naturally from the division of government. Springer
v. Government of the Philippine Islands,
277 U.S. 189, 201, 48 S. Ct. 480, 482, 72 L. Ed. 845 (1928).
[¶2-6] On the other hand, Wyoming's
Constitution includes that specific separation of powers clause:
The
powers of the government of this state are divided into three distinct
departments: The legislative, executive and judicial, and no person or
collection of persons charged with the exercise of powers properly belonging to
one of these departments shall exercise any powers properly belonging to either
of the others, except as in this constitution expressly directed or
permitted.
Wyo. Const. art. 2, § 1. I also make note of our
Constitution's placement of the state's judicial power:
The judicial
power of the state shall be vested in the senate, sitting as a court of
impeachment, in a supreme court, district courts, and such subordinate courts as
the legislature may, by general law, establish and ordain from time to
time.
Wyo. Const. art. 5, § 1.
[¶205] Given our declaration that our
constitution "is not a grant but a limitation on legislative power,"
Witzenburger
v. State ex. rel. Wyoming Community Development Authority,
575 P.2d 1100, 1124, reh'g
denied 577 P.2d 1386 (Wyo. 1978), this court
should strictly construe our separation of powers clause. In the same regard
that the legislature cannot divvy up its basic legislative power to a staff
agency, Legislative
Research Com'n By and Through Prather,
664 S.W.2d 907 (Ky. 1984), it also
cannot properly reassign a judicial function for sentencing to an advocate of
the executive branch of government. See, likewise, the consideration of
delegation of the executive charging function to the judiciary in
Petition
of Padget,
678 P.2d 870. See,
however, State
ex rel. Unnamed Petitioners v. Connors,
136 Wis.2d 118, 401 N.W.2d 782 (1987),
overruled 150
Wis.2d 352, 441 N.W.2d 696 (1989),
which in second opinion provided a converse result.
[¶206] The majority limits judicial power to
the power to "adjudicate," by which it means to make the final
determinations in a case and to administer its own affairs. I refuse to relegate
judicial power to such a narrow sphere.
[¶207] We have visited the concept of judicial
power before. In Bi-Rite
Package, Inc. v. District Court of Ninth Judicial Dist. of Fremont
County,
735 P.2d 709, 713-14 (Wyo. 1987), we
characterized judicial power as follows:
It is unquestioned that courts
have inherent powers beyond those specified in rules and statutes that are
absolutely necessary to the courts' ability to perform the functions for
which they were created. * * *
* * *
First it is said that courts
possess an inherent power described as
"an extremely narrow range
of authority involving activity so fundamental to the essence of a court as a
constitutional tribunal that to divest the court of absolute command within this
sphere is really to render practically meaningless the terms 'court' and
'judicial power.'" Eash
v. Riggins Trucking, Inc.,
757 F.2d 557, 562, 77 A.L.R.Fed. 751 (3rd Cir.1985).
This
power is essential to the separation of powers concept and allows a court
to act notwithstanding contrary [constitutional] legislative direction. There is
also an inherent power that is described as necessary to the efficient
functioning and prompt and just disposition of litigation and business of the
court. Thus, courts have an inherent power to summon witnesses and compel their
attendance, to administer oaths, prevent abusive process, provide counsel for
the indigent, correct records, relieve parties in default, discipline attorneys
at law, and take other similar appropriate action. 20
Am.Jur.2d Courts § 79. Finally,
there is an inherent power to take such action as is useful to the efficient
functioning of the court. What is necessary and what is useful may be difficult
to ascertain and subject to considerable disagreement. It has been said that
"the notion of inherent power has been described as nebulous, and its bounds as
'shadowy,'" "not possible to locate with exactitude," and, therefore, should be
exercised with great restraint and caution. Eash
v. Riggins Trucking, Inc., supra,
757 F.2d at 561-562.
As
nebulous as this concept is, this quotation indicates that judicial power
extends beyond the limit which the majority assigns.
[¶208] The majority speculates that our
separation of powers clause was borrowed from the constitutions of Idaho and
Montana. R. Prien, The Background of the Wyoming Constitution 56, 70
(1956) notes that Wyo. Const. art. 5, § 1, which contains the grant of judicial
power, similarly has its roots in Montana. Thus, the meaning the Montana court
assigns to this term could be persuasive authority and serve as an appropriate
starting point. Cf. Matter
of Johnson,
568 P.2d 855, 864 (Wyo. 1977).
[¶209] In State
ex rel. Bennett v. Bonner,
123 Mont. 414, 214 P.2d 747, 753 (1950) (emphasis
in original and added), the Montana Supreme Court viewed judicial power this
way:
Judicial power is not only the authority to decide, but to
make binding orders and judgments. The kind of authority that is judicial in its
nature relates to and acts upon the rights of person and property not created by
this authority but existing under the law. This judicial authority in
specific controversies between parties determines these rights as they exist and
does so at the instance of a party to such controversy. These qualities
distinguish judicial power from that which is simply legislative or
executive.
Judicial power as contra-distinguished from the
power of the law has no existence. Judicial power is exercised by means of
courts which are the mere creations and instruments of the law, and
independent of the law the courts have no existence. The law
precedes the courts. The law governs the courts. Thus it is the function
of the courts to expound and administer law in those causes properly
before them in course of legal procedure.
Montana's concept of
judicial power embraces more than the majority's "adjudication" and
administration of court business view. Looking to other jurisdictions is also
helpful to explain the concept.
Judicial power extends beyond the
power to adjudicate a particular controversy and encompasses the power to
regulate matters related to adjudication. * * *
* * *
*
* * Such power, properly used, is essential to the maintenance of a strong and
independent judiciary, a necessary component of our system of
government.
State
v. Holmes,
106 Wis.2d 31, 315 N.W.2d 703, 709-10 (1982) (emphasis
added). A court has all powers reasonably required to enable a court to perform
efficiently its judicial functions, to protect its dignity, independence and
integrity, and to make its lawful actions effective. People
v. Little,
89 Misc.2d 742, 392 N.Y.S.2d 831, 835 (1977). Judicial
power comprehends all authority necessary to preserve and improve the
fundamental judicial function of deciding cases. Clerk
of Court's Comp. for Lyon County v. Lyon County Com'rs.,
308 Minn. 172, 241 N.W.2d 781, 786 (1976). Judicial
power is the legal right, ability, and authority to hear and decide a
justiciable issue or controversy; such power is ordinarily vested in a court of
justice. Illinois
Cent. R. Co. v. Mississippi Public Service Commission,
135 F. Supp. 304, 308 (S.D. Miss. 1955). Judicial
power consists of three elements: examination of the truth, determination of the
law arising upon that fact, and ascertainment and application of the remedy.
Cedar
Rapids Human Rights Com'n v. Cedar Rapids Community School Dist., in Linn
County,
222 N.W.2d 391, 395 (Iowa 1974). The
legislature is vested with the power to enact the laws, but it cannot
constitutionally enact laws that unduly infringe upon the powers of the court.
People
v. Felella,
131 Ill. 2d 525, 137 Ill.Dec. 547, 546 N.E.2d 492, 497 (1989).
[¶209] The prosecutorial veto authority
granted by W.S.
7-13-301 interferes
with this core power. It denies the trial court the power to determine facts,
for the prosecutor need not cite any facts to exercise the veto. It denies the
trial court the power to determine an appropriate remedy in any individual
situation. In short, the trial court's essential function of delivering justice
becomes short circuited due to the veto. No debate is necessary over the power
of the prosecutor to decide whether to bring charges and what charges to bring,
or to decide to drop the charges when he feels he has no case against a
defendant. However, the prosecutor should not have the power to sit on the bench
or make the decisions that lead to the final disposition of a case. Adjudication
includes the process in arriving at the final outcome as well as deciding the
outcome itself. Waugh
v. American Cas. Co.,
190 Kan. 725, 378 P.2d 170, 175 (1963). In
Petition
of Padget,
678 P.2d at 872 (quoting
Esteybar,
485 P.2d at 1143), we adopted
the following language from the California Supreme Court:
"'When
the decision to prosecute has been made, the process which leads to acquittal or
sentencing is fundamentally judicial in nature.' ([People v.]
Tenorio,
supra
[3 Cal. 3d 89] at p. 94,
89
Cal.Rptr. [249] at p. 252, 473 P.2d [993] at p. 996.)
* *
*
"This court [has] struck down under the separation of powers
doctrine legislative attempts to subject an exercise of judicial power to
prosecutorial concurrence." * * * Hoines
v. Barney's Club, Inc.,
28 Cal. 3d 603, 170 Cal. Rptr. 42, 620 P.2d 628, 633 (1980).
The
majority would like for us to forget that we made the second part of that
statement.
[¶210] The grant
of power to the trial court to consider W.S.
7-13-301 disposition
of a criminal matter is, no doubt, a legitimate legislative exercise of power.
Hopkinson
v. State,
664 P.2d 43, 50 (Wyo.),
cert. denied 464 U.S. 908, 104 S. Ct. 262, 78 L. Ed. 2d 246 (1983). The
legislature may authorize the trial court to use broad discretion or no
discretion at all in making its determination of how to dispose of such matters.
People
v. Bainter,
126 Ill. 2d 292, 127 Ill.Dec. 938, 533 N.E.2d 1066 (1989);
Olson,
325 N.W.2d at 18. But once
the legislature acts, it cannot constitutionally condition the trial court's
decision upon prior approval of the prosecutor. Prentiss,
163 Ariz. 81, 786 P.2d 932. The
present deviation from a historical standard of Wyoming law is demonstrated
by State
ex rel. Motor Vehicle Div. v. Holtz,
674 P.2d 732 (Wyo. 1983), where this
court refused to accept a Petition of Padget kind of delegation from
administrative responsibility by legislative action. See likewise
State
v. Saltzer,
20 Ohio App.3d 277, 485 N.E.2d 831 (1985). "Whereas
the judicial branch must be and is largely independent of intrusion by the
legislative branch, the executive branch exists principally to do its bidding."
Brown
v. Barkley,
628 S.W.2d 616, 623 (Ky. 1982).
[¶211] W.S.
7-13-301 is an
unconstitutional grant of power from the legislature to the executive branch.
The prosecutorial veto provision of this statute violates the separation of
powers provision of Wyo. Const. art. 2, § 1 and usurps the judicial power
granted the judicial branch of government in Wyo. Const. art. 5, § 1.21
[¶212]
I would reverse all of these consolidated cases except for Lowry. In
Lowry's case, where the trial court found the veto provision unconstitutional
and applied W.S.
7-13-301 without the
prosecutor's consent, I would vote to affirm. Mower,
750 P.2d 679 was good
law and should not be abandoned.22
VII. PENDING WYOMING
CASES
[¶214] The dozen
cases presently pending in this court to test the uncontrolled discretion
granted the prosecutor to deny usage of either segment of the non-felony
conviction statute, W.S.
7-13-301, are a
composite of our modern society. At issue is not the power of persuasion of the
prosecutor; it is an undisciplined use of a veto to foreclose judicial probation
sentencing alternatives. Not one of the cases involved a properly defined
diversion status since in every case an actual plea was made, justified and
accepted except the one county court case where the statute was declared
unconstitutional by the county court judge.
[¶215] What the trial court might have done in
the individual case in the absence of the veto is not necessarily disclosed in
these records. Probably at least in one case, a non-felony conviction structure
would have been followed and, probably, in the face of the specific plea
bargaining statute and with good reasoning and honest argument by the
prosecutor, the felony conviction status would have been adopted by the trial
court in at least several of the cases. This would have permitted the exercised
discretion of the judiciary to leave further amelioration to the Governor
under the constitutional powers of pardon and commutation.
[¶216] Here, the clearly defined issue in every
case now pending is the authority of the prosecutor to veto a favorable
sentencing alternative without any necessary discretional responsibility or
justification and to do this only to insist that a felony conviction results. In
not one of these cases was there any semblance of another issue about terms,
conditions or probationary aspects of the actual sentence granted which, in all
cases, was probation.23 There
is absolutely no case cited by the State or included in the majority opinion
that justifies the unsupervised prosecutorial discretion after considering that
the diversion cases are not presidentially applicable to the post-guilty plea
sentencing cases involved here.
VIII(A). VETO WAS NOT PROPERLY ENACTED
-- CONSTITUTIONAL PROVISION -- CHANGE OF PURPOSE
[¶217] The history of legislative misconduct
and mistake, Wyo. Sess. Laws ch. 91 (1939) (as amended), emphasizes the need for
the constitutional protection included in the Wyoming Constitution for
limitations on the bill passage process. Those found in the Wyoming Constitution
are similar to many states:
Laws to be passed by bill;
alteration or amendment of bills.
No law shall be passed except by
bill, and no bill shall be so altered or amended on its passage through either
house as to change its original purpose.
Wyo. Const. art. 3 §
20.
Bill must go to committee.
No bill shall be
considered or become a law unless referred to a committee, returned therefrom
and printed for the use of the members.
Wyo. Const. art. 3, §
23.
Bill to contain only one subject, which shall be expressed
in title.
No bill, except general appropriation bills and bills for
the codification and general revision of the laws, shall be passed containing
more than one subject, which shall be clearly expressed in its title; but if any
subject is embraced in any act which is not expressed in the title, such act
shall be void only as to so much thereof as shall not be so
expressed.
Wyo. Const. art. 3, § 24.
Vote required
to pass bill.
No bill shall become a law except by a vote of a
majority of all the members elected to each house, nor unless on its final
passage the vote taken by ayes and noes, and the names of those voting be
entered on the journal.
Wyo. Const. art. 3 § 25.
[¶216] In addition, the very detailed Wyo.
Const. art 3, § 27 itemizes prohibitions against special legislation in the
large number of individualized perspectives.
[¶217] Wyo. Const. art. 3, § 20 provides that
"no bill shall be so altered or amended on its passage through either house as
to change its original purpose," and Wyo. Const. art. 3, § 24 relates to the
single purpose and the purpose expressed in the title that challenges the
constitutional validity of the committee insertion of prosecutorial veto without
changing the title in the bill.
[¶218] H.B. 92, 49th Leg. (1987), which, with
amendments, subsequently became Wyo. Sess. Laws ch. 157 (1987), was a product of
the Joint Judiciary Interim Committee's criminal code review of Wyoming's
criminal statutes which continued over a number of years. Earlier revision of
the criminal code in Title 6 of the statutes occurred by enactment of Wyo.
Sess. Laws ch. 75 (1982) and Wyo. Sess. Laws ch. 171 (1983) which were products
of the same continuing program. With the exception of some specific substantive
amendments, the revisionary purpose of H.B. 92 was stated for "eliminating
duplications, redundancies and archaic provisions; moving, combining, deleting
and renumbering sections; providing definitions; repealing procedural provision
superseded by court rules; * * *." In addition, substantive provisions were
recognized in the title specifically to identify substantive changes by
exclusion or inclusion. The included provision relating to this subject was
providing procedures for placing certain defendants on probation prior to the
entry of a judgment of conviction and for their discharge without adjudication
of guilt upon successful completion of probation and conforming related
statutes.
[¶219] Following
House passage of H.B. 92, the Senate Judiciary Committee inserted prosecutorial
veto of the sentencing discretion of the trial court as a committee amendment.
No change to the title was made to reflect the addition of the state's consent.
"The purpose of the constitutional requirements relating to the enactment
of laws was to put the members of the Assembly and others interested,
on notice, by the title of the measure submitted, so that they might vote on
it with circumspection." Scudder
v. Smith,
331 Pa. 165, 200 A. 601, 604 (1938) (emphasis
in original).
[¶220] If the
separation of powers issue identified by the prosecutorial veto amendment was
not significant, the extended consideration in majority opinion was wasted. The
mother and father of Jeffrey D. Billis surely were
not warned by information available in a process where no one outside of a few
insiders would have been aware of the change in Wyoming law to give a power to
the prosecutor to require felony conviction status for their son. Not only does
the title fail to disclose creation of the prosecutorial veto of judicial
sentencing discretion, but conversely, it clearly conveys the impression that no
actual change in the existent law is intended.
The title is therefore
misleading and give rise to surprise. It follows then that those provisions
which are beyond the subject as expressed in the title, must be held to be
inoperative, since the general public would not be put upon notice of the
contents of the act from a reading of the title.
Smith
v. Hansen,
386 P.2d 98, 102 (Wyo. 1963).
[¶222] The general nature of the title does not
strengthen the choice made by the majority in this case where specific subjects
are given a title reference, but prosecutorial veto remains
untitled.
[¶223]
Edwards
v. Business Men's Assur. Co. of America,
350 Mo. 666, 168 S.W.2d 82, 93 (1942) recognized
that the title "must be a fair index of the matters in the bill" when it
stated:
The purpose of the constitutional provision, supra, has been
stated as follows: "First, to prevent hodge podge or 'log rolling' legislation;
second, to prevent surprise or fraud upon the Legislature by means of provisions
in bills of which the titles gave no intimation and which might therefore be
overlooked and carelessly and unintentionally adopted; and, third, to fairly
apprise the people, through such publication of legislative proceedings as is
usually made, of the subjects of legislation that are being considered in order
that they have opportunity of being heard thereon, by petition or otherwise, if
they shall so desire."
Id. at 92 (quoting State
ex rel. United Railways Co. v. Wiehaupt,
231 Mo. 449, 459, 133 S.W. 329, 331).
[¶224] Furthermore, where the title is
restrictive, the bill must be restrictive. Hunt
v. Armour & Co.,
345 Mo. 677, 136 S.W.2d 312 (1939).
[¶225] The error made by the majority's
argument is the disregard of the compound constitutional questions presented.
The one subject and title recitation of purpose requirement of Wyo. Const. art.
3, § 24 addresses a general informational function. Additionally, Wyo. Const.
art. 3, § 20, amendment or alteration -- the log rolling proviso -- addresses
surreptitious or unnoticed change after bill consideration starts. Here we have
both a separate subject inserted and an amendment to achieve a different purpose
during passage without changed title.24 The
cogent analysis in Alabama
Ed. Ass'n v. Board of Trustees of University of Alabama,
374 So. 2d 258, 262 (Ala. 1979) (emphasis
in original) should be applied to the Wyoming Constitution:
There is no warning or notice to the members of the
legislature nor to the public * * *.
If this Act is not violative of [the
Alabama Constitution], then there is little, if any, room for operation of those
sections and extensive "log-rolling" would result to the detriment of the
citizens of this state.
If this Act does not violate
[constitutional provisions], then any appropriation bill could carry in its body
a hidden proviso that no judge, no legislator, nor the executive could
receive the appropriations of his respective office until that official performs
some act as a prerequisite.
If this were permitted no legislator, no
public official, nor the public would know of the existence of the hidden
proviso without reading the entire bill. To require reading the
entire bill so as to discover its pertinent provisions would clearly fly in the
teeth of the [constitutional] requirements. * * *
[¶222] There are well-stated and very
significant reasons for the constitutional provisions restricting bill passage.
Spoken in terms of both legislator awareness and public information, the
anathema to democratic processes is secret government conducted by insulated and
isolated processes where special interests can reign supreme. For a majority
which values the supremacy of majority rule over the potential rights of
minorities so greatly, I am surprised they do so little to ensure that the
legislative product is indeed the product of a majority.
[¶223] If the substantive bill change reflected
here by introducing the prosecutorial veto does not fall within the
constitutional criteria, then it is hard to find anything that will do so
considering the fundamentals of separation of powers. Examination of Wyoming
case law does not convince me that our predecessors on this court undertook to
abandon the historical purposes of the text of constitutional limitations on
bill passage processes. The cattle-dipping case of of Arbuckle
v. Pflaeging,
20 Wyo. 351, 123 P. 918 (1912) does not
provide that authority for non-compliance in the prosecutorial veto statute. At
issue in the case, as a purpose of the legislation, were details of the
duties of the state veterinarian. The case addressed a rather ordinary addition
relating to epidemic control of diseased animals. The germaneness of the change
can hardly be questioned. Arbuckle, in discussing veterinarian duties,
provides no light on this present subject. The majority ignores fact by
comparing the prosecutorial veto of judicial sentencing authority to a
veterinarian's control over diseased animals.
[¶224] It is strange that the majority finds
support from Smith,
386 P.2d 98. In
Smith, a bill directed to control out-of-state liquor importation
suffered a barnacle during passage providing for an increase of the excise tax
on malt liquors. The invalidity of the tax increase under the constitutional
constraints of Wyo. Const. art. 3, § 20 is clearly comparable to the
prosecutorial veto of judicial sentencing power found here.
Generally
speaking, if the matter contained in an amendatory or supplementary act is
germane to the original act, a reference in the title to the section of the
statute to be amended or supplemented accurately indicates the general subject
of the legislation and is not in violation of the constitutional
provision requiring a clear expression of such subject. * * *
Also,
it has been held that such a reference, although not specifying the nature of
the amendment, is adequate, where the subject matter of the actual amendment is
"germane" to that of the provision amended -- the theory being that the reader
of the bill will get enough information by looking at the earlier law and the
caption of the amendatory bill. * * *
This general rule has no
application, however, when the nature of the amendment actually is specified and
the title of the bill indicates that a particular change in the original act is
proposed. As for example, in both the original title and amended title of
S.F.No.103, the title specifies that § 12-5 is to be amended "so as to prohibit"
certain acts. It does not indicate § 12-5 is to be amended in any other respect.
The attorney general's office shows us no reason to believe
and no authority for the proposition that this limited purpose of amending, "so
as to prohibit" the forbidden acts, could be construed to include all subject
matters germane to the original act. It does, however, place reliance upon what
was said in the Board of Com'rs v. Stone case, supra, at 51 P. 607. In
that case an attempt was made in the title to state the effect, or part of the
effect, of the amendatory act, but the court found the statement to be entirely
meaningless and therefore pronounced it harmless and of no effect. We fail to
find any support in the Stone case for defendants' position, and we know of no
other reliable authority therefor.
On the other hand, we consider the
following cases authority for holding that when a title particularizes the
changes which are to be made in an amendatory act, the legislation is limited to
matters specified, and anything beyond this limitation would be void regardless
of how germane it might be to the subject of the original
act.
Smith,
386 P.2d at 100-01.
[¶224] The relevance of Smith is
identified by our discussion of the Nebraska cases, including Thompson
v. Commercial Credit Equipment Corp.,
169 Neb. 377, 99 N.W.2d 761, 769 (1959) and
language found in 1 T. Cooley, Constitutional Limitations 310 (8th ed.
1927):
The conclusion in Nebraska has been that an act is
unconstitutional and void if the title is not broad enough to include the
subject matter of legislation. In other words, as stated in 1 Sutherland,
Statutory Construction, § 1908, p. 349 (3d. Ed.), while a title need not set out
the nature of the changes made, if it does, the body of the amendatory act may
not contain any other matter, however germane it may be to the subject of the
original act as a whole.
Sutherland, on the same page, further points out
that if a narrow title is selected, the amendment should not go beyond its
scope. Otherwise, the function of the title is
defeated.
Smith,
386 P.2d at 101.
[¶225] In Smith,
386 P.2d at 101, we further
recognized prior precedent of this court:
In the recent case of
Morrow
v. Diefenderfer,
supra, at
384 P.2d 603, Chief
Justice Parker re-emphasized an earlier pronouncement to the effect that the
object of Art. 3, § 24, is to prevent surprise or fraud in legislation, caused
by provisions in a bill of which the title gives no intimation. Also, an opinion
written by former Chief
Justice Blume for In re West Highway Sanitary and Improvement District, 77 Wyo.
384, 317 P.2d 495, 500, makes it
clear that the title to a bill should not be misleading or give rise to surprise
or deception, and if a title is specific, it is not entitled to the liberal
interpretation which would prevail otherwise.
[¶226] A new subject was introduced by
the bill amendment within the definition of Morrow
v. Diefenderfer,
384 P.2d 601, 604 (Wyo. 1963) and a
reasonable ground by which any legislator or other person could in fact claim
surprise or fraud was provided. The Morrow circumstance cannot serve to
provide validity to the first-time, new-subject amendment
insertion.
[¶227] Although
the court in Matter
of West Highway Sanitary & Imp. Dist.,
77 Wyo. 384, 317 P.2d 495 (1957) declined to
decide Wyo. Const. art. 3, § 24 or the bill subject to be clearly expressed in
the title, Chief Justice Blume provided thoughtful expression to the general
rules by stating "the title should not be misleading or give rise to surprise or
deception. * * * If it is specific it is not entitled to the liberal
interpretation which would prevail otherwise." Id. at
500.
[¶228] In Matter of
West Highway Sanitary & Imp. Dist., Chief Justice Blume noted the title
was both general and specific by reason of providing for the issuance of general
obligation bonds, and he then reflected "if the title had given authority only
to issue revenue bonds, and the body of the act had made a provision for general
obligation bonds, then, we think we would be required to hold that the
title would be deceiving and hence in violation of Article 3, § 24, Constitution
of Wyoming." Id. at 500.
[¶229] In the context of these principles, we
could also follow another rule of construction stated in the
opinion:
[With eumeration] we must apply the rule of expressio
unius est exclusio alterius. Accordingly, "where a statute enumerates the
subjects or things on which it is to operate, or the persons affected, or
forbids certain things, it is to be construed as excluding from its effect all
those not expressly mentioned." * * * The rule is applicable in construing
constitutional provisions.
Id. at 504 (quoting 82 C.J.S.
Statutes § 333, p. 666).
[¶230]
In an opinion anchored in practical experience, I have no disagreement
with majority citation and quotation that the Wyoming Constitution in this
regard, as all others, should be liberally and reasonably construed (including
guarantees of Wyo. Const. art. 1). Morrow,
384 P.2d at 603;
Brinegar
v. Clark,
371 P.2d 62, 66 (Wyo. 1962);
Board
of Com'rs of Laramie County v. Stone,
7 Wyo. 280, 51 P. 605 (1898). The
difference we have embraces justification of a separation of powers issue
by in-passage amendment of a legislative bill to provide for a
prosecutorial veto of judicial sentencing authority for the first time. This
creates a power in the prosecutor to decide that the accused must be branded a
felon. In Morrow, the issue of difference between general obligation
bonds and revenue bonds as a change was not decided in decision. In
Brinegar, the controversy developed from a bill title relating to general
powers of the fire marshal with text directed to the development of rules to
control coin operated gasoline pump service stations. In State
ex rel. Wyckoff v. Ross,
31 Wyo. 500, 228 P. 636 (1924), the bill
title broadly addressed Wyoming's adventure into prohibition prohibiting the
possession and manufacture of intoxicating beverages "and carrying into effect
so far as the state of Wyoming is concerned the Eighteenth Amendment to the
Constitution of the United States." Id. at 637. Bill provisions provided
for gubernatorial removal of ineffective or inefficient law enforcement officers
and came to be applied to the prosecuting attorney of Hot Springs County,
Wyoming. Under the law, the amended and supplementary complaint filed with the
governor charges that the prosecuting attorney of Hot Springs County "has
been guilty of intoxication and drunkenness on some 14 stated dates * * * [and]
he has at times willfully failed and refused to perform the duties imposed upon
him by the said act, and has at frequent intervals by intoxication incapacitated
himself from carrying on the work of county and prosecuting attorney."
Id. at 637.
[¶240] In
sustaining the relationship of the removal process to the title of the bill, the
court stated:
The attention of the legislature was directed to the
subject of suppressing the unlawful manufacture, sale, etc. of intoxicating
liquors. The effectiveness of the law would have to depend largely on the
faithfulness and diligence of the officers charged with its enforcement, and it
was deemed proper to provide for removal by the Governor of those officers who
refused or neglected to perform the duties imposed upon them by the act. This
provision, of course, would apply to only those officers who have duties to
perform under the act, and we believe that the further provision in the same
sentence, for the removal of officers guilty of intoxication or drunkenness must
be restricted in its meaning to the same class of officers, and as
permitting their removal, if by intoxication and drunkenness they render
themselves unfit or unable to perform those duties. This we believe to be the
real meaning of the language in question, when considered with a proper regard
for the subject-matter and the object sought to be accomplished. As thus
interpreted, we believe the inclusion in the act of the provision for removal of
such officers is not contrary to the constitutional requirement that every act
shall contain but one subject, which shall be clearly expressed in the
title.
Id. at 638.
[¶226] I find support in that case by the
statement that "this court has long recognized the principle that this section
of the Constitution, though mandatory, must be liberally and reasonably
construed," to recognize that the prosecutorial veto amendment fails compliance
here. Id. at 638. The only purpose of the prosecutorial veto insertion
was to provide power to the prosecutor to make a first-time offender a felon
with loss of citizenship and other disabilities. That power is directly related
to the plea bargaining leverage by creating the advocate's right to destroy
lives as a function of non-agreement in plea or, as a constituent of plea, may
bargain for probation. This is not a matter of form, it is a question of power
within a three-department government in a democratic society.
[¶227] I am no more enamored by the majority's
justification based on the nature of H.B. 92 as a partial revision of Title 7 of
the Wyoming Supreme Statutes where the bill attends to "eliminating
duplications, redundancies and archaic provisions; moving, combining, deleting
and renumbering sections; providing definitions; repealing procedural provision
superseded by court rules," and then addresses a specifically detailed subject
described in the title. I would apply the Matter
of West Highway Sanitary & Imp. Dist.,
317 P.2d at 504 (quoting 82
C.J.S. Statutes § 333, p. 666) rule on construction "'where a statute enumerates
the subjects or things on which it is to operate, or the persons affected, or
forbids certain things, it is to be construed as excluding from its effect all
those not expressly mentioned.'"
Revisers of statutes are presumed
not to change the law if the language which they use fairly admits of a
construction which makes it consistent with the former statute. Duffield
v. Pike, 71 Conn. 521, 529, 42 A. 641;
Westfield
Cemetery Ass'n v. Danielson, 62 Conn. 319, 26 A. 345;
State
v. Neuner, 49 Conn. 232, 235; 36 Cyc. p.
1067.
Bassett
v. City Bank & Trust Co.,
115 Conn. 393, 161 A. 852, 854 (1932).
[¶229] The prosecutorial veto amendatory
addition is not an alteration or omission; it is an entirely new subject which
should have been inserted in Title 5, Courts, since it relates to Wyo. Const.
art. 2, § 1, separation of powers, and Wyo. Const. art. 5, judiciary to limit
discretion and authority of the courts in criminal sentencing by a delegation of
powers to the executive officer. Prosecutorial veto, with the prior body of
Wyoming, was clearly so incongruous that it could not, by any fair intendment,
be considered germane to a revision or recodification of the earlier Wyoming
sentencing statute of probation for first-time offenders derived from a juvenile
sentencing statute. Cf. State
v. Pitet,
69 Wyo. 478, 243 P.2d 177 (1952) which
related to the criminal offense of practicing medicine without a medical
license.
[¶230] Although I
believe the majority ranges far too broadly in approval of a revision which
becomes a piggy-back medium for separate statutory changes, my challenge is to
the new legislation in this case which was neither recognized in the title
nor germane to the issues addressed within the Title 6 designation.25
[¶280]
All of the justifications for mandatory compliance with the
constitutional criteria for enactment process are violated by the implicit
phraseology and far reaching consequences of the words " and the state" as an
unnoted and probably unnoticed bill amendment.
VIII(B).
CONSTITUTIONAL COMPLIANCE ALSO MANDATORY FOR THE
LEGISLATURE
[¶290] There is one specific purpose in the
state constitutional provisions addressing procedural requirements for
legislative enactment. Service in the legislature is eminently persuasive of the
wisdom of the constitutional provisions and requirements for
compliance.26 There are few people, if any, who know
what is going on when complex issues are presented during extended
recodification.
[¶300]
Consequently, the theory of the procedural requirement of the Wyoming
Constitution is to provide as much assistance and information to the individual
member of the legislature as possible. The greatest danger develops from
ingenious expertise when applied to recodification and revision. Without a
legislative history foundation, such as is provided in the United States
Congress or in many state legislatures by recorded debates and records of
committee proceedings, the danger of accidental misadventure or surreptitious
redirection is unfortunately enhanced without required disclosure. Sometimes
only a few innocuous words are required.27
[¶301]
Not particularly different is the small amendatory addition to one of
Wyoming's basic sentencing statutes, but one which effectively turned the
eighty-year Wyoming law upside down. It is fair to assess that, excluding a few
lobbyists who knew what they were doing, almost no member of the 1987 session
had any perception of either the existence or the importance of the insertion of
the prosecutorial veto into the sentencing statute. I would find the significant
change in the sentencing statute, H.B. 92, when enacted into Wyo. Sess. Laws ch.
157 (1987), to fail because: (1) the change was not described in the bill title
as required by Wyo. Const. art. 3, § 24; (2) addition of the subject in H.B. 92
changed the original purpose in defiance of Wyo. Const. art. 3, § 20; (3) the
change did not comply with the germaneness criteria of rules adopted by both the
Wyoming House of Representatives and the Senate; and (4) the change
substantially invaded the separation of powers of Wyo. Const. art. 2, § 1 by
denigration of the judicial sentencing power.
[¶302] Admittedly, this court has been less
then vigilant in observation of legislative carelessness and disinclined to
follow constitutional enactment requirements. Eternal vigilance, which is
the essential constituent of the oath of office to support, obey and defend the
constitution, cannot be magically eliminated by dissertations of shared burdens
and spread responsibility. No other official in our democratic society can be
the recipient of a shared delegation of the judiciary's responsibility for the
maintenance of the state's Constitution and the United States Constitution. If
the judiciary cannot, or chooses not to, then the system will inevitably
fail.
VIII(C). BILL TITLE -- SPECIFICITY AND
ACCURACY
[¶303] The
general principle was specifically recognized by this court in Smith,
386 P.2d 98, discussed
in detail hereafter, and re-recognized with the broader, non-specific title in
State
ex rel. Fire Fighters Local No. 946, I. A. F. F. v. City of
Laramie,
437 P.2d 295, 303 (Wyo. 1968), which
stated:
In Smith
v. Hansen, Wyo., 386 P.2d 98, 101, we pointed
out, since the legislature may make the title to an act as restrictive as it
pleases, it is obvious that it may sometimes so frame a title as to preclude
matters which might with entire propriety have been embraced, but which must now
be excluded because the title is unnecessarily restrictive and the courts
cannot enlarge the scope of the title. We found that to have happened in the
Smith case. If the title for the act now being dealt with had been
restricted in the manner which the city contends for, it is entirely possible
the act would be suffering the same fate as the act in the Smith case
did.
[¶303] The criteria of
the Wyoming constitutional provision that the subject be clearly
expressed in the title was recognized in early Colorado
cases:
"Moreover, we are bound to assume that the word 'clearly' was not
incorporated into the constitutional provision under consideration by mistake.
It appears in but few of the corresponding provisions of other state
Constitutions -- a fact that could hardly have been unobserved by the
convention. That this word was advisedly used, and was intended to affect the
manner of expressing the subject, we cannot doubt. The matter covered by
legislation is to be 'clearly,' but dubiously or obscurely indicated by the
title."
People
v. Friederich,
67 Colo. 69, 185 P. 657, 658 (1919) (quoting
In
re Breene,
14 Colo. 401, 24 P. 3 (1890)).
[¶305] That court followed the same thesis in
Friederich,
185 P. at 658:
In
determining the first question: whether the title of the Act fails to
clearly express the subject of the statute, we are aware that no legislative act
should be nullified upon constitutional grounds unless such legislation is
plainly in violation of the Constitution. It is equally true, however, that the
authority of the fundamental law of the state must be recognized, approved and
enforced.
Section 21 of Article 5 is practically identical with
provisions found in most of the state Constitutions, providing that the subject
of any act shall be expressed in this title. Our Constitution, however, declares
that no only must the subject be expressed in the title, but that such subject
must be "clearly" so expressed. The rule, as announced in Cooley's
Constitutional Limitations (6th Ed.) page 178, is as follows:
"As the
legislature may make the title to an act as restrictive as they please, it is
obvious that they may sometimes so frame it as to preclude many matters being
included in an act which might with entire propriety have been embraced in one
enactment with the matters indicated by the title, but which must now be
excluded because the title has been made unnecessarily restrictive. The
courts cannot enlarge the scope of the title; the are vested with no
dispensing power; the Constitution has made the title the conclusive index to
the legislative intent as to what shall be operative; it is no answer to say
that the title might have been more comprehensive -- in fact the legislature
have not seen fit to make it so."
By all authority and precedent it is
firmly settled that the purpose of a statute must be ascertained and determined
by its title, and that the title is presumed to be the controlling and
conclusive index of the legislative intent.
See also
Gronert
v. People,
95 Colo. 508, 37 P.2d 396 (1934).
[¶306] The clearly expressed subject is a
mandatory requirement:
The fact is this: that whatever
constitutional provision can be looked upon as directory merely is very likely
to be treated by the legislature as if it was devoid even of moral obligation,
and to be therefore habitually disregarded. To say that a provision is
directory, seems, with many persons, to be equivalent to saying that it is not
law at all. That this ought not to be so must be conceded; that it is so we have
abundant reason and good authority for saying. If, therefore, a constitutional
provision is to be enforced at all, it must be treated as mandatory. And if
the legislature habitually disregard it, it seems to us that there is all the
more urgent necessity that the courts should enforce it. And it also seems to us
that there are few evils which can be inflicted by a strict adherence to the
law, so great as that which is done by the habitual disregard, by any department
of the government, of a plain requirement of that instrument from which it
derives its authority, and which ought, therefore, to be scrupulously observed
and obeyed.
1 T. Cooley, supra at 312-13.
[¶309] The Nebraska court, in considering a
comparable constitutional provision in State
ex rel. School Dist. No. 6 of Pierce County v. Board of County Com'rs of Pierce
County,
10 Neb. 476, 6 N.W. 763 (1880), found an
amendment of a bill without a change in the title unconstitutional in purpose
extension. In a succeeding lien controversy, that court restated the principled
purpose of constitutional provisions in Miller
v. Hurford,
11 Neb. 377, 9 N.W. 477, 479 (1881):
Our
constitutional provision, that "no bill shall contain more than one subject,
which shall be clearly expressed in the title," is but making inviolable
the rule governing legislative bodies that "no proposition or subject different
from that under consideration shall be admitted under color of amendment."
Experience has shown that in the absence of constitutional restrictions the rule
at times is liable to be overthrown, and objectionable and pernicious
legislation is the result. To guard against this evil our constitution prohibits
more than one subject being embraced in a bill. And while this provision has
sometimes been attended with inconvenience, as in case of a revision of the
laws, it is a safeguard against corrupt or improvident legislation, and its
effect has been to simplify legislation and place every bill upon its true
merits. But if, under the pretext of amending a section, a subject entirely
foreign to the subject-matter of the section to be amended can be introduced,
this barrier will be entirely broken down, and the constitutional guaranty is
effect destroyed.
See likewise Trumble
v. Trumble,
37 Neb. 340, 55 N.W. 869, 871 (1893), which
stated:
We are fully conscious of the importance of the principle which
forbids the courts to declare a statute unconstitutional where any substantial
doubt exists, but we have no doubts in this case. The act is, upon its face,
clearly violative of several constitutional provisions. To sustain it would be
to invite their disregard in the future, if not to countenance the practice
suggestively designated as "logrolling." In such a case the duty of the court to
set aside an act is as clear as its duty generally to presume the validity of
statutes, and no considerations based upon the importance of interests affected
can discharge the courts from performing such duty.
IX.
CONCLUSION
[¶306] In
terms of legislative enactment process, this prosecutorial veto was not
constitutionally inserted; in terms of notice for citizen participation, nothing
was provided. The majority fails in constitutional responsibility on this test
also.28
[¶309]
The ability of many nonviolent persons to function as productive members
of society will be destroyed by the ability of prosecutors to insist
unilaterally that they be branded as felons despite the judgment to the contrary
by the trial judge. I dissent against the grant of power to an advocate to act
as a judge then empowered needlessly to add numbers to our members of society
who are stigmatized as felons and more likely to be unproductive burdens on
those of us who must work. Who is pushing and who is leading all of us to the
cliff of economic non-competitiveness is painfully obvious. I also dissent with
profound concern for what has been done to the precious division of governmental
power which helps keep tyranny at bay.
MACY, Justice, dissenting,
with whom URBIGKIT, Chief Justice, joins.
[¶340] I dissent. I commend the author for his
struggle to compose the prestigious opinion for the majority. I simply disagree
and dissent with the hope that somehow it will help to discourage further
erosion of our constitution.
[¶341]
I am firmly dedicated to the proposition that the power and duty to
adjudicate should remain exclusively in the judiciary. It is axiomatic that it
is a violation of the separation of powers doctrine for the legislature to
require a presiding judge to obtain the consent of a member of the executive
branch of government before he can enter an order imposing a legislatively
determined alternative for the disposition of a criminal
charge.
[¶342] I cannot
submit to the majority's view that the framers of our constitution had in mind
"a pragmatic, flexible view of differentiated governmental power." To believe
this is to ignore Article 2, Section 1 of the Wyoming Constitution, which
plainly states:
The powers of the government of this state are divided
into three distinct departments: The legislative, executive and judicial, and no
person or collection of persons charged with the exercise of powers properly
belonging to one of these departments shall exercise any powers properly
belonging to either of the others, except as in this constitution expressly
directed or permitted.
[¶343]
I am convinced that each of the three distinct departments of government,
or, if you prefer, the "three air-tight compartments," has exclusive power of
its own not to be compromised in the interest of another branch of government.
It was intended that there be a balance of power. If we continue to merge the
powers, who is going to balance them?
[¶344] We cannot carve out exceptions to our
constitution without threatening the existence of the rights guaranteed by it.
Once exceptions are made, the guarantees become shallow and meaningless, and
further erosion becomes inevitable. Former Supreme Court Justice William O.
Douglas once commented:
But that guarantee is not self-executing. As
nightfall does not come all at once, neither does oppression. In both instances,
there is a twilight when everything remains seemingly unchanged. And it is in
such twilight that we all must be most aware of change in the air -- however
slight -- lest we become unwitting victims of the darkness.
The
Douglas Letters: Selections from the Private Papers of Justice William O.
Douglas at 162 (M. Urofsky ed. 1987).
[¶344] I am informed that at least one city
council has instructed its prosecutor not to give his consent to allowing the
first offender status, now permitted by Wyo.
Stat. § 7-13-301 (1977), for
an accused if he is charged with driving while under the influence of alcohol.
It does not take a mental giant to foresee how the exception to the separation
of powers doctrine carved out by the majority will expand and fall into
common abuse, depending upon the whims of the prosecutor or his boss. Hopefully,
we will not become victims of the darkness.
Macy, J.,
joins.
FOOTNOTES
1 W.S. 7-12-102 through 7-12-104 (June 1987 Repl.):
The district
attorney may take exceptions to any opinion or decision of the court made during
the prosecution of a criminal case. Before being filed in the supreme court, the
bill of exceptions shall be presented to the trial court which shall certify
whether the contents of the bill are correct. If certified, the trial court
shall sign the bill containing the exceptions and affix the seal of the court
and the bill shall be made part of the record. The bill of exceptions shall be
governed by rules as shall be promulgated by the Wyoming supreme
court.
Following certification of a bill of exceptions by the trial court
as provided by W.S. 7-12-102, the attorney general may apply to the supreme
court for permission to file the bill for review and decision upon the points
presented. If the supreme court allows the bill to be filed, the judge who
presided at the trial in which the bill was taken shall appoint a competent
attorney to argue the case against the state and shall fix a reasonable fee for
his service to be paid out of the treasury of the county in which the bill was
taken.
(a) If the bill of exceptions is allowed to be filed, the supreme
court shall render a decision on each point presented.
(b) The decision
of the supreme court shall determine the law to govern in any similar case which
may be pending at the time the decision is rendered, or which may afterwards
arise in the state, but shall not reverse nor in any manner affect the judgment
of the court in the case in which the bill of exceptions was
taken.
2 W.S. 35-7-1037 (June 1988 Repl.) also provides a
procedure for probation and discharge of first-time drug offenders. That statute
is not, however, involved in any of these cases on
appeal.
3 We note in passing that in White v. Fisher, 689 P.2d 102, 105 (Wyo. 1984), in which the parties had not raised the constitutionality of W.S. 1-1-114 (1977), relating to the legislatively imposed requirement that the prayer for damages in a personal injury or wrongful death action shall not state any dollar amount or demand a sum as judgment, this court was compelled to consider the statute's constitutionality because of its apparent infringement upon the doctrine of separation of powers.
4 § 7-13-203. Parole before sentence; generally; terms and conditions;
discharge; revocation of parole and imposition of sentence.
If any person
is found guilty of or pleads guilty to any felony except murder, sexual assault
in the first or second degree or arson of a dwelling house or other human
habitation in the actual occupancy of a human being, the court shall ascertain
whether the offense of which the accused is guilty is his first offense, the
extent of moral turpitude involved in the act committed, and other facts and
circumstances relating to the accused as he may desire to know. If the court is
satisfied that he was a person of good reputation before the commission of the
offense charged and had never before been convicted of any felony, and that if
permitted to go at large would not again violate the law, the court may in its
discretion, by an order entered of record, delay passing sentence and then
parole the person and permit him to got at large upon his own recognizance,
conditioned that he will personally appear and report to the court twice in each
year at times and places fixed in the order and that he will demean himself
while at large in a law-abiding manner and live a worthy, respectable life, and
that he will not leave the state without the consent of the court. The court, if
satisfied at the time of appearance, that the person has demeaned himself in a
law-abiding manner and lived a worthy, respectable life, may be an order of
record, continue parole for the period of five (5) years, at the expiration of
which the court shall enter an order finally discharging the person, and no
further proceedings shall be had upon such verdict or plea. At any time after
the expiration of one (1) year from the date of the original parole the court
shall have the power in its discretion to terminate parole and finally discharge
the person and annul the verdict or plea of guilty. At any time before the final
discharge of the person that the court believes that the paroled person has
attempted to leave the state or failed to comply with the terms of his parole
the court shall cause a warrant to issue for the apprehension and arrest of the
person and require him to be brought before the court. The court shall inquire
into his conduct since his parole, and if satisfied from the inquiry that the
person has violated the terms of his parole and recognizance, the court may
impose sentence upon the verdict or plea against him in the manner and to the
same extent as though the passing of sentence had not been delayed and the
person had not been paroled or permitted to go at large.
5 § 7-13-301. Suspension of imposition or execution of sentence; placing
defendant on probation; fine and probation; suspension of trial and placing
defendant on probation.
After conviction or plea of guilty for any
offense, except crimes punishable by death or life imprisonment, the court may
suspend the imposition of sentence, or may suspend the execution of all or a
part of a sentence and may also place the defendant on probation or may impose a
fine applicable to the offense and also place the defendant on probation. With
the consent of a defendant charged with a crime, except a crime punishable by
death or life imprisonment, the court may suspend trial and place such defendant
on probation.
6 Prien, supra, appendix A, at 38.
7 The doctrine of separation of powers embodied in the Federal Constitution is not mandatory on the states. Dreyer v. People of the State of Illinois, 187 U.S. 71, 84, 23 S. Ct. 28, 32, 47 L. Ed. 79, 85 (1902).
8 Wyo. Const. art. 4, § 8.
Approval of veto of
legislation by governor; passage over veto. -- Every bill which
has passed the legislature shall, before it becomes a law, be presented to the
governor. If he approves, he shall sign it; but if not, he shall return it with
his objections to the house in which it originated, which shall enter the
objections at large upon the journal and proceed to reconsider it. If, after
such reconsideration, two-thirds of the members elected agree to pass the bill,
it shall be sent, together with the objections, to the other house, by which it
shall likewise be reconsidered, and if it be approved by two-thirds of the
members elected, it shall become a law; but in all such cases the vote of both
houses shall be determined by the yeas and nays, and the names of the members
voting for and against the bill shall be entered upon the journal of each house
respectively. If any bill is not returned by the governor within three days
(Sundays excepted) after its presentation to him, the same shall be law, unless
the legislature by its adjournment, prevent its return, in which case it shall
be a law, unless he shall file the same with his objections in the office of the
secretary of state within fifteen days after such
adjournment.
See U.S. Const. art. I, § 7.
9 Wyo. Const. art. 4, § 5:
Pardoning power of
governor. -- The governor shall have power to remit fines and
forfeitures, to grant reprieves, commutations and pardons after conviction, for
all offenses except treason and cases of impeachment; but the legislature may by
law regulate the manner in which the remission of fines, pardons, commutations
and reprieves may be applied for. Upon conviction for treason he shall have
power to suspend the execution of sentence until the case is reported to the
legislature at its next regular session, when the legislature shall either
pardon, or commute the sentence, direct the execution of the sentence or grant
further reprieve. He shall communicate to the legislature at each regular
session each case of remission of fine, reprieve, commutation or pardon granted
by him, stating the name of the convict, the crime for which he was convicted,
the sentence and its date and the date of the remission, commutation, pardon or
reprieve with his reasons for granting the same.
See U.S.
Const. art. II, § 2.
10 The United States Supreme Court has consistently reaffirmed founded
James Madison's flexible approach to separation of powers, saying, "Madison
recognized that our constitutional system imposes upon the Branches a degree of
overlapping responsibility, a duty of interdependence as well as independence *
* *." Mistretta v. United States, 488 U.S. 361, 109 S. Ct. 647, 659, 102 L. Ed. 2d 714 (1989); see also Morrison v. Olson, 487 U.S. 654, 108 S. Ct. 2597, 2620, 101 L. Ed. 2d 569 (1988).
11 8B J. Moore, Moore's Federal Practice para.
48.02[1] (2d ed. 1989) n.1:
See United States v. Ammidown,
162 U.S. App. D.C. 28, 497 F.2d 615 (D.C. Cir. 1974); United States v.
Greater Blouse, Skirt and Neckwear Contractors Ass'n., 228 F. Supp. 483
(S.D.N.Y. 1964); United States v. Brokaw, 60 F. Supp. 100 (S.D.Ill.
1945); United States v. Woody, 2 F.2d 262 (D.C.Mont. 1924);
Confiscation Cases, 74 U.S. (7 Wall.) 454, 457, 19 L. Ed. 196
(1868).
12 W.R.Cr.P. 56:
From and after the effective date of these
rules, the sections of the Wyoming Statutes, 1957, as amended, hereinafter
enumerated, shall be superseded, and such statutes and all other laws in
conflict with these rules shall be of no further force or
effect:
1-59 through 1-63
The first sentence of
7-4
7-7
7-8
7-86
7-118 through 7-125
7-127 through 7-134
7-136
through 7-146
7-148 through 7-154
7-157 through 7-160
7-162 through
7-164
7-166 through 7-171
7-173 through 7-178
7-181 through
7-200
7-202
7-204 through
7-217
7-219
7-222
7-229
7-230
7-232
7-234
7-235
7-240
7-245
through 7-249
7-253 through 7-260
7-266
7-268 through
7-274
7-276
7-283
7-284
7-286
7-287
7-292 through
7-295
7-299 through 7-301
7-330 through
7-332
7-344
7-451
(Amended January 20, 1969, effective
February 11, 1969; amended July 12, 1971, effective November 18,
1971.)
13 As stated in 2 W. LaFave and J. Israel, Criminal
Procedure § 13.3, p. 569 (1985),
concern over this unbridled
discretion in the prosecution [to enter a nolle prosequi] resulted in
legislation or rules of court in many jurisdictions intended to restrain the
nol pros power of the prosecutor. These provisions, at a minimum, forced
the prosecutor to explain his reasons for doing so in writing, thus assuring
greater visibility of the manner in which the prosecutor acted; at a maximum
they required that he receive judicial approval to make his decision
effective.
See United States v. Cowan, 524 F.2d 504, 509,
n.11, 12 (5th Cir. 1975), cert. denied sub nom., Woodruff v. United
States, 425 U.S. 971, 96 S. Ct. 2168, 48 L. Ed. 2d 795 (1976).
14 See also Hopkinson v. State, 664 P.2d 43, 51-52 (Wyo. 1983), cert. denied, 464 U.S. 908, 104 S. Ct. 262, 78 L. Ed. 2d 246, for this court's brief examination of the history of this court's rule making. See Armstrong, The Wyoming Rules of Criminal Procedure, A View by the Judiciary, V Land & Water L.Rev. 581-86 (1970) -- part of a symposium on the Wyoming Rules of Criminal Procedure.
15 See e.g., Fuller v. State, 568 P.2d 900, 902 (Wyo. 1977) (W.R.Cr.P. 16(b)(2) identical to F.R.Cr.P. 12(b)(2)); Richmond v. State, 554 P.2d 1217, 1222 (Wyo. 1976); (W.R.Cr.P. 7 essentially the same as old F.R.Cr.P. 5(b) and (c)); Gonzales v. State, 551 P.2d 929, 931 (Wyo. 1976) (portions of W.R.Cr.P. 32(c) identical to F.R.Cr.P. 31(c)); and Simms v. State, 492 P.2d 516, 523 (Wyo. 1972), cert. denied, 409 U.S. 886, 93 S. Ct. 104, 34 L. Ed. 2d 142 (W.R.Cr.P. 18(b) practically identical to F.R.Cr.P. 16(b)).
16 Accord United States v. Kuntz, 908 F.2d 655 (10th Cir. 1990);
United States v. Ayarza, 874 F.2d 647 (9th Cir. 1989), cert.
denied, 493 U.S. 1047, 110 S. Ct. 847, 107 L. Ed. 2d 841 (1990); United
States v. Musser, 856 F.2d 1484 (11th Cir. 1988), cert. denied, 489 U.S. 1022, 109 S. Ct. 1145, 103 L. Ed. 2d 205 (1989); United States v.
Severich, 676 F. Supp. 1209 (S.D.Fla. 1988), aff'd 872 F.2d 434 (11th
Cir. 1989). See also United States v. Holmes, 838 F.2d 1175 (11th Cir.
1988), cert. denied, 486 U.S. 1058, 108 S. Ct. 2829, 100 L. Ed. 2d 930;
but see United States v. Roberts, 726 F. Supp. 1359 (D.D.C. 1989); and
United States v. Curran, 724 F. Supp. 1239 (C.D.Ill. (1989)).
17 W. LaFave and J. Israel, Criminal Procedure § 13.6, p. 585 (1985): "A decision by the prosecutor not to divert a particular defendant and instead to proceed with prosecution on the pre-existing charge is, in essence, a decision to prosecute * * *."
18 Woodward v. Haney, 564 P.2d 844, 846 (Wyo. 1977). For the United
States Supreme Court, Justice Cardozo put it this way: "We do not pause to
consider whether a statute differently conceived and framed would yield results
more consonant with fairness and reason. We take this statute as we find it."
Anderson v. Wilson, 289 U.S. 20, 27, 53 S. Ct. 417, 420, 77 L. Ed. 1004,
1010 (1933).
19 Constitution of the United States of America --
Analysis and Interpretation, pp. 491-94 (U.S. Gov't. Printing Office 1987),
where reference is made to Ex parte Garland, 71 U.S. (4 Wall.) 333, 380,
18 L. Ed. 366 (1867), for the point that a pardon may precede the indictment or
other beginning of the criminal proceeding.
20 Codification is defined as: "CODIFICATION. The process of collecting and
arranging the laws of * * * a state into a code, that is, into a complete system
of positive law, scientifically ordered, and promulgated by legislative
authority." 7 Words and Phrases 540, 14 C.J.S. 1306.
A general revision
of the laws, or of statutes, has been defined as follows:
"Revision of
the law" on any subject is a restatement of the law on that subject in a
correlated or improved form, which is intended as a substitute for the law as
previously stated, and displaces and repeals the former laws relating to the
same subject and within the purview of the revising statute. It implies a
reexamination of the law." People v. Gould, 345 Ill. 288, 178 N.E. 133, 144,
[1931].
Pitet, 69 Wyo. at 496, 243 P.2d at 184.
21 1987 Wyo. Sess. Laws, ch. 157:
TITLE 7 REVISION
AN ACT to
create W.S. 7-3-611; to amend W.S. 1-40-112(c) introductory paragraph,
6-10-106(a)(iii), 9-1-627(c), 20-3-101(a), 25-3-104(b)(iv) and 25-4-102; to
amend, amend and renumber or number W.S. 6-3-702(c), 6-10110, 7-1-101 through
7-5-309, 7-13-101 through 7-15-107 and 7-17-101 through 7-17-103 as 7-1-101
through 7-6-115, 7-9-101 through 7-9-112 and 7-13-101 through 7-17-103; to
renumber W.S. 7-1-123 as 7-1-103, 7-6-101 as 7-1-104, 7-7-107 as 7-7-103,
7-7-108 as 7-7-104, 7-8-103 as 7-8-102, 7-8-107 as 7-8-103, 7-8-110, as
7-10-104, 7-8-124 as 7-8-105, 7-9-101 as 7-1-104, 7-9-107 as 7-1-105, 7-10-105
as 7-10-103, 7-10-106 as 7-10-104, 7-10-117 as 7-10-105, 7-10-120 as 7-10-106,
7-11-207 as 7-11-203, 7-11-210 through 7-11-212 as 7-11-204 through 7-11-206,
7-11-406 through 7-11-410 as 7-11-403 through 7-11-407, 7-11-503 as 7-11-502,
7-11-514 through 7-11-516 as 7-11-503 through 7-11-505, 7-11-518 as 7-11-506,
7-12-105 as 7-12-104 and 7-12-205 as 7-12-201 as enacted by Chapter 147, Wyoming
Session Laws, 1985; and to amend or amend and renumber W.S. 7-7-102, 7-7-109 as
7-7-105 and 7-10-101(b) as enacted by Chapter 147, Wyoming Session Laws, 1985
relating to criminal procedure; revising Chapters 1 through 5, 13 through 15 and
17 of Title 7 of the Wyoming Statutes; eliminating duplications, redundancies
and archaic provisions; moving, combining, deleting and renumbering sections;
providing definitions; repealing procedural provision superseded by court rules;
specifying when peace officers may issue citations for misdemeanors; modifying
the offense of desertion and reducing the penalty; eliminating power of sheriff
granted to railroad conductors and engineers; modifying procedures relating to
the disposition of property seized or held by peace officers and eliminating the
provision authorizing allocation of forfeited property to law enforcement
agencies; repealing provisions relating to the governor's reward for fugitives;
modifying procedures relating to peace bonds; providing for limited personal
items of a deceased to be released to his next of kin following a coroner's
investigation; providing procedures for drawing and impaneling grand juries;
limiting the term of county grand juries; deleting requirement of publication of
grand jury report; providing for secrecy of grand jury indictment and
proceedings; providing that in imposing an indeterminate sentence in a felony
case the court shall set the minimum term at no more than 90% of the maximum
term imposed; providing procedures for placing certain defendants on probation
prior to entry of a judgment of conviction and for their discharge without
adjudication of guilt upon successful completion of probation and conforming
related statutes; providing that a defendant given a split sentence of
incarceration followed by probation is not subject to parole and good time
provisions and is under the jurisdiction of the sentencing court while
incarcerated; specifying when probation revocation proceedings may be commenced;
creating the department of probation and parole and providing powers and duties
of the director and probation and parole agents; providing for the arrest by a
peace officer of alleged probation or parole violators upon the written
statement of a probation and parole agent; providing when restitution shall be
made a condition of parole; specifying how earnings of certain defendants and
prisoners shall be disbursed; specifying sex crimes for which special
examination and sentencing provisions apply, designating who shall perform
examinations and designating where such convicted defendants may be committed;
placing control of the reentry furlough program under the board of charities and
reform; modifying provisions relating to the issuance and execution of death
warrants; providing procedures relating to the examination of female prisoners
sentenced to death who are believed to be pregnant; providing the public
defender shall represent certain prisoners asserting violation of constitutional
rights; specifying in which cases the state will indemnify sheriffs or other
officers from civil liability in connection with prisoner labor; eliminating the
state commission on prison labor and transferring functions to the board of
charities and reform; providing for work release programs at each of the state's
adult penal institutions; and providing for an effective
date.
22 W.S. 7-6-106(d) (June 1987 Repl.):
If
the court orders probation before sentence, suspended sentence or probation, the
court shall order the needy person as a condition of sentence or probation to
repay the state for expenses and services provided by appointed attorneys
pursuant to the state public defender's standard fee
schedule.
23 Wyo. Const., art. 1:
§ 2. Equality of all. --
In their inherent right to life, liberty and the pursuit of happiness, all
members of the human race are equal.
§ 7. No absolute,
arbitrary power. -- Absolute, arbitrary power over the lives, liberty
and property of freemen exists nowhere in a republic, not even in the largest
majority.
Footnotes for the Dissent
1 Wyo. Const. art. 2, § 1 states:
The powers of the government of
this state are divided into three distinct departments: The legislative,
executive and judicial, and no person or collection of persons charged with the
exercise of powers properly belonging to one of these departments shall exercise
any powers properly belonging to either of the others, except as in this
constitution expressly directed or permitted.
2 W.S. 7-13-301 (emphasis added) provides in pertinent
part:
Placing person found guilty, but not convicted, on
probation.
(a) If a person who has not previously been convicted of any
felony is charged with or is found guilty of or pleads guilty to
any misdemeanor * * *, or any felony except murder, sexual assault in the first
or second degree or arson in the first or second degree, the court may, with
the consent of the defendant and the state and without entering a
judgment of guilt or conviction, defer further proceedings and place the
person on probation * * *.
3 See Cooney v. Park County, 792 P.2d 1287 (Wyo.
1990).
4 It is
also harsh, but appropriate, to reflect that the prosecutorial veto would be
more acceptableif the
appropriateness of punishment was visited upon those responsible authorities in
Gale v. State, 792 P.2d 570 (Wyo.1990) by challenge to the non-prosecution of
the principal wrongdoers or in Cooney, 792 P.2d 1287 by a perjury conviction and
sentence for the prosecutor. Crime
does not first exist when the unwashed are apprehended. It is the ignored, absolved and
protected that set the standard for absolved and protected that set the standard
for an offensive and criminally infected society.
In context of Madison and Jefferson, ideals of democracy, individual rights, worthiness and the individual within a civilized humane society, these prosecutorial veto cases personify a result-oriented adjudication at its most virulent manifestation. Twenty or twenty-five years from now someone could easily win a Pulitzer or like award by following the future activities of the twelve people whose lives as potentially productive people were damaged or destroyed by the decision to require a conviction of a felony in contravention of the constitutional directive of our penal code of reformation and, usually, for no definable reason.
Status as a felon deals in undescribable and undiscernible present damage to both the individual and, through them, our society. Each miscreant who may seek to rehabilitate but then becomes a hardened criminal by societal failure is the direct responsibility of those who author these failures of fairness. Each future offense and each life lost by the criminalization of a broad group of our younger generation is a loss to all of us for which this court must take the primary responsibility. Inevitably, it wil be those unable to protect themselves because of limited wealth or ineffective legal assistance upon whom prosecutorial veto will be most heavily inflicted.
It would be imbecilic or juvenile to ignore the recognition of the sweep of power and effect in the reorganized authority in our society of the prosecutorial veto. The unanchored and uncontrolled power will be implicit, explicit and omnipresent within the totality of the first offense violator and plea bargaining in criminal sentences. This is unanchored increased advocacy power beyond any reasoned fair trial constitutional concepts.
5 It is interesting to acknowledge the perspective of Justice William J. Brennan, Jr. that the most important case ever decided in his judicial career, extended as it has been, came to be the reapportionment cases required to correct legislative malfeasance and judicial impotence. Baker v. Carr, 369 U.S. 186, 82 S. Ct. 691, 7 L. Ed. 2d 663 (1962) as followed by Reynolds v. Sims, 377 U.S. 533, 84 S. Ct. 1362, 12 L. Ed. 2d 506, reh'g denied 379 U.S. 870, 85 S. Ct. 12, 13 L. Ed. 2d 76 (1964). Unfortunately, federal judicial response was called when state political opportunism was more important than the legislator's constitutional oath and directed constitutional reapportionment obligations, and while nothing happened legislatively, the state courts collectively wrung their hands in disdain, despair and inaction. Gage, 377 P.2d 299.
6 Consider A. Hamilton, J. Madison and J. Jay, The Federalist (1961).
7 I would also consider Gale, 792 P.2d 570 important in this
context due to the fact that prosecutors gave criminal immunity to a father
after nearly a decade of sexually abusing his daughters.
8 See State v. Leonardis, 71 N.J. 85, 363 A.2d 321 (1976),
reh'g 73 N.J. 360, 375 A.2d 607 (1977).
9 A thorough exploration of the probationary sentence
without felony conviction occurs in People v. Banks, 53 Cal. 2d 370, 1 Cal. Rptr. 669, 348 P.2d 102 (1959), which involved criminal statutes similar in
result to the pre-1987 Wyoming law.
In distinguishing the intermediate
probationary sentence from the felony conviction, that court
described:
By contrast, the defendant whose guilt has been established
(by plea, finding or verdict) but who has not been sentenced to prison, i. e.,
where probation has been granted and the proceedings have been suspended without
entry of judgment, is subject to no disabilities whatsoever except those
specifically declared by some other provision of law or affirmatively prescribed
by the court as terms or conditions of probation. The probationer in the latter
case still retains his ordinary civil rights, unless the court has restricted
them, among them being as a matter of law the right to a hearing and
arraignment, with counsel, before judgment in the even that he is charged with a
violation of the terms of his probation order. * * * He does, however, for some
specific purposes -- for administration of the probation law and other laws
expressly made applicable to persons so situated -- stand convicted of a felony.
For example, under the statute probation may be revoked at any time * * * and
the probationer may be arrested without warrant. * * * Such conviction, in
itself and without pronouncement of judgment, establishes a status which is
attended by certain disabilities.
Id. at 113. See Berman
v. United States, 302 U.S. 211, 58 S. Ct. 164, 82 L. Ed. 204
(1937).
10
The present provisions of W.S. 7-13-301 are essentially the same as Wyo. Sess.
Laws ch. 84 (1909), except for the Duffy v. State, 789 P.2d 821 (Wyo.
1990) amendment found in the last sentence. It is also effectively the same
within its indeterminate sentence structure since enactment of a general
criminal code for Wyoming. See The Compiled Laws of Wyoming, ch. 35
(1876).
11 The act initially provided an upper age limit of twenty-five years. The reduction to twenty-one years occurred by amendment during debate. Senate Journal, p. 299. To correlate the Modified Juvenile Sentencing Act to the majority opinion, this statutory proceeding is found in W.S. 7-13-203, 7-13-204 and 7-13-205 (1977) and is the ancestor of W.S. 7-13-301 into which the prosecutorial veto was inserted. See King v. State, 720 P.2d 465 (Wyo. 1986).
12 The revised statute cited above in introduced bill form raised the age
limitation back to the twenty-five originally anticipated by the sponsor in
1909. During the 1931 passage, an amendment was successfully introduced which
eliminated any age limitation and provided the structure of the statute which
then continued until 1987 to be available without regard for an age limitation.
This history justifies the description of Modified Juvenile Sentencing Act,
although the law was essentially directed toward young people and particularly
so because of the first offense limitation.
13 Wyo. Sess. Laws ch. 91, § 6 (1939), W.S. 7-13-306,
entitled "Governor's Power of Pardon Unaffected," also achieved an interesting
metamorphosis in the recodification process which was originally found in the
session laws as W.S. 7-13-307, captioned "Governor's Power of Pardon
Unaffected." The new text with the same caption stated that "nothing in W.S.
7-13-301 through 7-13-306 shall be construed to authorize the court to expunge
the record of a person charged with or convicted of a criminal offense."
Somehow, the caption got re-edited in the current supplements to the statutes
and now states as a title, "Expungement of criminal record." The new language
added by recodification and the disappearance of the prior statute is not
explained. A title change for this text substitution was not included in the
enacted legislation.
14 Because of the importance to understand what occurred in recodification,
the terminology provided in recodification was
restated:
7-13-301. Probation before
sentence; generally; terms and conditions; discharge; revocation of probation
and imposition of sentence.
(a) If a person who has not
previously been convicted of any felony is charged with or is found guilty of or
pleads guilty to any misdemeanor except any second or subsequent violation of
W.S. 31-5-233 or any similar provisions of law, or any felony except murder,
sexual assault in the first or second degree or arson in the first or second
degree, the court may, with the consent of the defendant and the state and
without entering a judgment of guilt or conviction, defer further proceedings
and place the person on probation for a term not to exceed five (5) years upon
terms and conditions set by the court. The terms of probation shall include that
he:
(i) Report to the court not less than twice in each year at times and
places fixed in the order;
(ii) Conduct himself in a law-abiding
manner;
(iii) Not leave the state without the consent of the court;
and
(iv) Conform his conduct to any other terms of probation the court
finds proper.
(b) If the court finds the person has fulfilled the terms
of probation and that his rehabilitation has been attained to the satisfaction
of the court, the court may at the end of five (5) years, or at any time after
the expiration of one (1) year from the date of the original probation,
discharge the person and dismiss the proceedings against him.
(c) If the
defendant violates a term or condition of probation at any time before final
discharge, the court may:
(i) Enter an adjudication of guilt and
conviction and proceed to impose sentence upon the defendant if he previously
pled guilty to or was found guilty of the original charge for which probation
was granted under this section; or
(ii) Order that the trial of the
original charge proceed if the defendant has not previously pled or been found
guilty.
(d) Discharge and dismissal under this section shall be without
adjudication of guilt and is not a conviction for any purpose.
(e) There
shall be only one (1) discharge and dismissal under this section or under any
similar section of the probationary statutes of any other
jurisdiction.
7-13-302. Suspension of
imposition or execution of sentence; placing defendant on probation; fine and
probation.
(a) After conviction or plea of guilty for any
offense, except crimes punishable by death or life imprisonment, and following
entry of the judgment of conviction, the court may:
(i) Suspend the
imposition or execution of sentence and place the defendant on probation;
or
(ii) Impose a fine applicable to the offense and place the defendant
on probation.
7-13-303. Investigation of
defendant by district attorney or state probation officer; report of
investigation prerequisite to probation or suspension of sentence; copies of
report to institution and board of charities and reform.
(a) When
directed by the court, the district attorney or the state probation and parole
officer shall fully investigate and report to the court in writing:
(i)
The circumstances of the offense;
(ii) The criminal record, social
history and present conditions of the defendant; and
(iii) If
practicable, the findings of a physical and mental examination of the
defendant.
(b) No defendant charged with a felony, and, unless the court
directs otherwise, no defendant charged with a misdemeanor, shall be placed on
probation or released under suspension of sentence until the report of the
investigation under this section is presented to and considered by the court. If
the defendant is committed to a state penal institution, a copy of the report of
the investigation shall be sent to the institution at the time of commitment. In
all felony cases the clerk of court shall forward copies of the report to the
board of charities and reform together with copies of all orders entered by the
court.
7-13-304. Imposition or
modification of conditions; work as a condition of probation.
(a)
The court may impose, and at any time modify, any condition of probation or
suspension of sentence.
(b) As a condition of any probation, the court,
subject to W.S. 7-13-701 through 7-13-704 [7-16-101 through 7-16-104], may order
the defendant to perform work for a period not exceeding the maximum probation
period.
7-13-305. Determination,
continuance or extension of suspension or probation; discharge; violation of
conditions.
(a) The period of probation or suspension of sentence
under W.S. 7-13-302 shall be determined by the court and may be continued or
extended.
(b) Upon the satisfactory fulfillment of the conditions of
suspension of sentence or probation under W.S. 7-13-302 the court shall enter an
order discharging the defendant.
(c) For a violation of a condition of
probation occurring during the probationary period, revocation proceedings may
be commenced at any time during the period of suspension of sentence or
probation under W.S. 7-13-302, or within thirty (30) days thereafter, in which
case the court may issue a warrant and cause the defendant to be arrested. If
after hearing the court determines that the defendant violated any of the terms
of probation or suspension of sentence, the court may proceed to deal with the
case as if no suspension of sentence or probation had been ordered.
(d)
The time for commencing revocation proceedings shall be automatically extended
for any period of time in which the probationer is incarcerated outside this
state during the probationary period for the conviction of an offense which is a
violation of the conditions of probation, unless the probationer has made a
valid request for final disposition under the interstate agreement on detainers,
W.S. 7-15-101 through 7-15-106.
7-13-306. Payment of fine in
installments. When imposing a fine and also placing the defendant
on probation, the district judge may permit the fine to be paid in installments
over a reasonable period of time.
7-13-307. Governor's power
of pardon unaffected. Nothing in W.S. 7-13-301 through 7-13-306 shall be
construed to authorize the court to expunge the record of a person charged with
or convicted of a criminal offense.
Wyo. Sess. Laws ch. 157
(1987).
15Petition of Padget, 678 P.2d 870; State v.
Faltynowicz, 660 P.2d 368 (Wyo. 1983); United States v. Thompson, 251 U.S. 407, 40 S. Ct. 289, 64 L. Ed. 333 (1920); In re Confiscation Cases,
74 U.S. (7 Wall) 454, 19 L. Ed. 196 (1868); United States v. Schumann, 2
Abb. 523, 7 Sawy. 439, 27 F. Cas. 984 (C.C.Cal. 1866); United States v.
Ammidown, 162 U.S. App. D.C. 28, 497 F.2d 615 (D.C. Cir. 1973); United
States v. Woody, 2 F.2d 262 (D.C.Mont. 1924); United States v. Greater
Blouse, Skirt & Neckwear Contractors Ass'n., 228 F. Supp. 483 (S.D.N.Y.
1964); United States v. Brokaw, 60 F. Supp. 100 (S.D.Ill. 1945); Comment,
The Nolle Porsequi Under Rule 48(a) of the Federal Rules of Criminal
Procedure, 1978 Det. C.L. Rev. 491 (1978). This subject is more generously
pursued in Section IV of this dissent.
16 Not one of those cases stands as authority for an unqualified right of
the prosecutor to make the decision that the offense, without necessarily
affording a difference in probationary term, will result in a felony status.
That is all this appeal and these cases are about -- the uncontrolled power of
the prosecutor to require in sentencing that a felony conviction will result.
17 Responsible authority exists to implement judicial authority over
the prosecutorial discretion to nolle prosequi even before the plea is entered
and without regard for a plea bargain status in special situations. See Hook
v. State, 315 Md. 25, 553 A.2d 233 (1989). Cf. Jackson v. State, 82
Md.App. 438, 572 A.2d 567 (1990), in stating a plausible exception.
18 The California court in Superior Court of San Mateo County, 11 Cal. 3d 59, 520 P.2d 405, 113 Cal. Rptr. 21 extended Tenorio, Esteybar
and Navarro further than is required for application to the Wyoming
statutes where pretrial diversion veto was also rejected. Superior Court of
San Mateo County is like the cases cited by the majority, not really
relevant to the Wyoming statute. See, however, Sledge v. Superior Court of
San Diego County, 11 Cal. 3d 70, 113 Cal. Rptr. 28, 520 P.2d 412 (1974) where
the preliminary determination of the eligibility for division exercised by the
district attorney did not constitute an invasion of the separation of powers
prohibition.
In a most recent consideration in People v. Ames, 213 Cal. App. 3d 1214, 261 Cal. Rptr. 911 (1989), the sentencing separation of power
concept was revisited to determine whether judicial authority to change a plea
bargain existed or the options were either acceptance or rejection. The court
noted that "the imposition of sentence and exercise of discretion are
fundamentally and inherently judicial functions. * * * While no bargain or
agreement can divest the court of the sentencing discretion it inherently
possesses * * *, a judge who has accepted a plea bargain is bound to impose a
sentence within the limits of that bargain." Id. at 913.
19 Unbending to the reasoning of the Colorado Supreme Court in People ex
rel. Carroll v. District Court of Second Judicial Dist., 106 Colo. 89, 101 P.2d 26 (1940) that a prosecutor had the right to prevent the judge from
suspending sentence by withholding his approval as decidedly unpersuasive, the
Arizona court severed the unconstitutional veto provision and upheld the balance
of the statute. The court noted the differentiating status of Greenlee,
228 Kan. 712, 620 P.2d 1132 as a diversion agreement process and not involving a
sentencing statute.
20 In generic terms, State ex rel. Light v.
Sheffield, 768 S.W.2d 590, 592 (Mo.App. 1989) stated:
At the time
Light entered her pleas of guilty to the drug charges, several sentencing
alternatives were available to the trial court. It could have sentenced Light to
a term of imprisonment as authorized by Chapter 558, RSMo, or pronounced
sentence and suspended its execution, placing Light on probation, or, as the
trial court did, suspend imposition of the sentence, with or without placing
Light on probation. * * * The trial court, evidently in hopes that Light would
mend her ways, suspended imposition of sentence and placed her on supervised
probation for a term of three years, in which case, if Light successfully
completed her probation, she would not have a criminal conviction on her record.
* * * Suspension of imposition of sentence is an entirely different matter from
imposing sentence and then suspending execution of it. In the first instance,
the person has no criminal conviction, in the second, he does.
State
v. Anderson, 645 S.W.2d 251 (Tenn.Cr.App. 1982) considered an apparent
requirement of the prosecutor for guilty pleas before a pre-indictment approval
of a memorandum of understanding for pretrial diversion. The court said that if
the requirement existed, it was a nullity and "is in irreconcilable conflict
with the provisions of the statute. A plea of guilty is a confession. It is an
admission, or proof of guilt." Id. at 253.
The court noted that
the statute provided that no confession or admission against interest during the
pendency and relevant to the charges contained in the memorandum of
understanding was admissible and stated "there is no rule in this State which
requires a defendant to admit his guilt in order to seek probation. To deny
probation on that basis is an abuse of discretion." Id. at 253. The
Louisiana Supreme Court achieved a similar result denying prosecutorial veto to
accord constitutionality to the statute in State v. LeCompte, 406 So. 2d 1300 (La. 1981).
21 The ideological battle that is reflected in the
philosophic differences between the majority and this dissent in application of
separation of powers identifies the broad jurisprudential dispute. Minimizing
separation of powers maximizes statism and dilutes and diminishes individual
liberties and personal rights. Cf. Alfange, The Supreme Court and the
Separation of Powers; A Welcome Return to Normalcy?, 58 Geo. Wash. L. Rev.
668 (1990). "The doctrine is not an end in itself, but a means of avoiding
threats to individual liberty and of insuring that no branch of the government
is disabled from effectively carrying out its constitutional responsibilities."
Id. at 669-70.
Comparable contemporary literature when closely
read details the testiness between institutional power and individual rights
implicit in blending separation of powers out of the constitution either
nationally or within the state's adjudicatory responsibility when inquiry is
made about the intrinsic operation of functional government. Anderson, The
Separation Doctrine -- Prescription for Conflict or Cause for Creative
Constitutionalism?, 14 Nova L. Rev. 227 (1989); Gibbons, The
Interdependence of Legitimacy: An Introduction to the Meaning of Separation of
Powers, 5 Seton Hall L. Rev. 435 (1974); Gressman, Separation of Powers:
The Third Circuit Dimension, 19 Seton Hall L. Rev. 491 (1989); Gusman,
Rethinking Boyle v. United Technologies Corp. Government Contractor Defense:
Judicial Preemption of the Doctrine of Separation of Powers?, 39 Am. U.L.
Rev. 391 (1990); Marshall, "No Political Truth:" The Federalist and Justice
Scalia on the Separation of Powers, 12 U. Ark. Little Rock L.J. 245
(1989-90); Redish, Separation of Powers, Judicial Authority, and the Scope of
Article III: The Troubling Cases of Morrison and Mistretta, 39 De Paul L.
Rev. 299 (1990); Wald, The Sizzling Sleeper: The Use of Legislative History
in Construing Statutes in the 1988-89 Term of the United States Supreme
Court, 39 Am. U.L. Rev. 277 (1990); Comment, Separation of Powers and the
Independent Governmental Entity After Mistretta v. United States, 50 La. L.
Rev. 117 (1989); Note, Separation of Powers: A New Look at the Functionalist
Approach, 40 Case W. Res. 331 (1989-90). For result without recognition,
consider Peters, Schall v. Martin and the Transformation of Judicial
Precedent, XXXI B.C.L. Rev. 641 (1990).
The issue within a democratic
society is how is power created, defined and applied. For a discussion of the
results without a delineation of the reasons, compare the three statutory
interpretation discussions in Eskridge, Spinning Legislative Supremacy,
76 Geo. L.J. 319 (1989); Farber, Statutory Interpretation and Legislative
Supremacy, 76 Geo. L.J. 281 (1989); and Zeppos, Judicial Candor and
Statutory Interpretation, 76 Geo. L.J. 353 (1989).
22 Doubling the number of persons incarcerated in the states'
penitentiaries, see Wyoming State Tribune, June 5, 1990, in one decade
while the adult population declines by perhaps twenty-five percent should
suffice. We do not need a prosecutorial veto of judicial decisions and
sentencing to add to the despair of societal illness involved in and resulting
from the prevalence of crime in our society. Included in that category is that
which may be committed by the prosecutors themselves. See Cooney, 792 P.2d 1287, Urbigkit, J., dissenting. See also current newspaper reports that the
planned new Wyoming prison must be now doubled in size since a year or so ago
when the selection committee stated its site studies. The planned facility is
over crowded before a site is selected or funding for architectural planning
provided. Casper Star-Tribune, Sept. 22, 1990, at B1.
23 Victoria Lowry, Supreme Court No. 88-312, bill of exceptions from
Campbell County Court, DUI case, April 14, 1988, disposition by plea bargain,
guilty plea entered July 13, 1988 and sentenced August 16, 1988 pursuant to the
plea bargain and upon objection by the State to application of the provisions of
W.S. 7-13-301. The sentence entered was one year supervised probation and
reimbursement in $ 200 in attorney's fees. The original arrest came for speeding
forty-four miles per hour in a thirty miles per hour zone in Gillette, Wyoming.
Lowry was twenty, single, regularly employed, and had no prior record of any
kind. The stated reason for the State's objection to the use of W.S. 7-13-301
was the alcohol test result of .185.
Elmer Cambio, Supreme Court No.
89-169, Natrona County, April 30, 1988, child abuse. On February 21, 1989,
Cambio entered a guilty plea to the misdemeanor of battery. On May 31, 1989, he
was sentenced to six month's supervised probation. At age fifty-seven, Cambio
had minor traffic offenses and was regularly employed. The stated basis for the
prosecutorial veto was the fact that the plea bargain arrangement had reduced
the charges to a misdemeanor. The prosecutor stated:
Your Honor, I
guess one of the first things [defense counsel] brought up, the State would
oppose any 7-13-301 treatment. That was discussed time and time again in the
negotiations involving this case. If [defense counsel] wants to apply for
7-13-301 treatment, and the Court deems that would be appropriate in this case,
I would ask the court to dissolve the plea and proceed on the two felonies.
[This is an absolute misstatement of fact. There was only one felony originally
charged.] If a negotiated disposition, stay with it and don't come back into
court later and ask for more lenient treatment than negotiated with the district
attorney.
(There is nothing in the record reflecting a negotiated
agreement that Cambio would not try to achieve disposition under the purview of
W.S. 7-13-301, although the functionality of the difference is de minimis
considering that the conviction itself was a misdemeanor only.)
Jeffrey
D. Billis,
Supreme Court No. 88-250, Laramie County, December 1 & 10, 1987, two counts,
delivery of controlled substance. Undercover agent solicitation at place of
employment. On May 24, 1987, a plea bargain negotiated to one count and the
second count was dismissed. Billis was sentenced on July 22, 1988
to three to five years, which was suspended. He was placed on supervised
probation for three years. Billis, age thirty-three, had a wife
and three children. His occupation was a mechanic. He had an epileptic honorable
discharge from the Navy and had no prior record of any kind. The justification
for the prosecutorial veto given was his age and the method of operation for the
offense charged looked professional. Drug offense factor.
Vicki Moon,
Supreme Court No. 88-304, Natrona County. On September 24, 1987, Moon was
charged with delivery and conspiracy of a controlled substance. Undercover agent
purchase, actual delivery by third party. Charges were amended to conspiracy
only. A plea bargain was obtained on December 23, 1987 and Moon pled guilty to
conspiracy on May 12, 1988. She was sentenced on October 11, 1988 for a two year
supervised probation period. At age twenty-nine, Moon was a single parent with
three children, no prior felonies, two minor traffic offenses, was
self-supporting, and had regular employment. Sentencing under W.S. 7-13-301 was
rejected by the prosecutor without a reason stated. The basis argued by Moon was
a somewhat innocent victim status and her desire to pursue a higher education at
a Montana university.
Scott P. McIver, Supreme Court No. 88-311, Laramie
County, conspiracy to commit a burglary of a bottling truck in Cheyenne, two
offenses. The crime was committed by another party. The plea was entered July
22, 1988 on the conspiracy charge. McIver was sentenced on October 21, 1988 for
eighteen to thirty-six months in the penitentiary, which was suspended, three
years probation was given. At age twenty-two, McIver was unmarried, a hard
worker, and had a steady record of employment. The prosecutor objected to W.S.
7-3-301 treatment on the basis of the prior planning involved in the trip to
Cheyenne by the three participants.
Willard Vigil, Supreme Court No.
88-310, Laramie County, January 22, 1988, delivery of a controlled substance to
an undercover agent. The plea bargain was entered August 19, 1988 and he was
sentenced on October 21, 1988 to two to five years in the penitentiary, which
was suspended, and five years probation was given. At age twenty-six, Vigil had
no prior record of criminal activity. The activity was the basis of
prosecutorial rejection of W.S. 7-13-301 consideration by the trial
court.
Nellie Magarahan, Supreme Court No. 89-4, Natrona County, March
31, 1988, improper endorsement of a federal income tax return check. The plea
bargain was entered on August 11, 1988 and she was sentenced on November 15,
1988. Magarahan was sentenced to eighteen months of supervised probation. At age
twenty, she had no prior felony convictions. 1982 Girls' School custody, 1985
dismissed burglary charge. She was self-supporting and had prior restaurant
employment. No justification for the prosecutorial veto was given.
Kirk
Hudson, Supreme Court No. 89-83, Natrona County, July 5, 1988, delivery of a
controlled substance. Hudson pled guilty and the plea bargain was entered on
November 15, 1988. He was sentenced on February 14, 1989 to supervised probation
for two years. At age twenty-nine, he was a petroleum engineer, married, had no
children, regularly employed and had no prior record except traffic offenses.
This is a case of a user who became available as a source. The prosecutor
opposed W.S. 7-13-301 usage without reason stated by veto.
Thomas Heggen,
Supreme Court No. 89-84, Natrona County, March 29, 1987, false unemployment
compensation claims, intent to defraud, nine counts totalling $ 1,584. On
October 6, 1988, a plea bargain was arranged bring the charge down to only one
count. Heggen was sentenced on February 14, 1989 to two years supervised
probation. At age thirty-one, he was married with a family. These events
occurred from a period of unemployment; child adoption problem with attendant
difficulties and expenses. No prior criminal record. No reason was stated for
the exercise of the prosecutorial veto.
Matthew Mollman, Supreme Court
No. 89-21, Natrona County, May 4, 1988, larceny in taking a television set from
an adjacent apartment. A plea bargain was arranged on August 26, 1988 and was
sentenced to one year supervised probation. Guilty plea entered to a burglary
offense. This case is unusual as one of the two among the dozen where the
subject of sentencing under W.S. 7-13-301 was specifically included in the plea
bargain decision. The prosecutor agreed that he would not object to a sentence
W.S. 7-3-301 application if the presentence investigation report showed nothing
more serious than "minor traffic offenses." On November 18, 1988, Mollman was
sentenced pursuant to the guilt plea and plea bargain when the prosecutor then
objected to a W.S. 7-13-301 sentence. In addition to very minor traffic offense
charges, the presentence investigation report included reference to one
conviction of driving while under the influence and "12/29/85, Vandalism,
Glenrock, Wyoming, Fine suspended, damages repaired." Testimony reflected that
conviction had not occurred since restitution was arranged for the damage caused
in a juvenile "horsing around" occurrence. At age twenty-two, Mollman had no
prior felony convictions, no significant misdemeanor charges except one, driving
while under the influence, and the dismissed vandalism complaint. Justification
for the prosecutorial veto was that the dismissed vandalism did not fit into the
plea bargain.
Sandra Gezzi, Supreme Court No. 89-275, Laramie County.
Gezzi's husband, a Cheyenne, Wyoming businessman, was sentenced to the Wyoming
penitentiary for delivery offenses and she was charged with writing eleven bad
checks in an amount of $ 510.41 on a discontinued bank account. On June 23,
1989, a plea bargain was obtained and she pled guilty to two charges, nine were
dismissed. This is the second case where it is indicated that the W.S. 7-13-301
status was specifically the subject of the plea bargain and, in this case, no
W.S. 7-13-301 consideration would be given by the trial court as a condition for
the dismissed charges and the prospective probationary sentence. On September
15, 1989, Gezzi was sentenced to two to three years incarceration, which was
suspended, and three years supervised probation was given. The file does not
include the presentence investigation report so her age is indeterminate,
although there are three minor children at home. The offenses were committed by
economic necessity by virtue of her husband's incarceration in order to have
food for her children. The basis of the W.S. 7-13-301 rejection was continued
sequence of crimes over a period of time and that the subject of W.S. 7-13-301
consideration was a specific decision in the plea bargain.
Carl Kruzich,
Supreme Court No. 90-15, Natrona County, October 12, 1988, two counts of
delivery and conspiracy to deliver a controlled substance. A change of plea from
an earlier guilty plea was entered on June 29, 1989. The plea bargain
encompassed two years of supervised probation. On November 17, 1989, Kruzich was
sentenced to two years supervised probation. At age thirty-five, he was a
homeowner, had no prior record except misdemeanor driving charges, and was
regularly employed. The reason given for the prosecutorial veto was that drug
cases were not appropriate for W.S. 7-13-301 type treatment in the opinion of
the prosecutor.
These are only the presently appealed cases and do not
include cases where the prosecutorial veto is used for bargaining "leverage" or,
as in one city, the city council directed the city prosecutor to veto all
requests as a city council determination for client direction to attorney. The
W.S. 7-13-301 prosecutorial veto has apparently become involved in many
sentencing decisions since enactment.
24 A poll of each of the ninety-four members of the 1987 Wyoming
Legislature would be interesting to determine whether they were aware of any
change and whether they knowingly voted to re-delegate prior judicial sentencing
discretion after entry of the jury verdict or guilty plea to a prosecutorial
right of veto over the historical structure of Wyoming law for avoidance of
felony conviction status if the probationary term was successfully served.
Unquestionably, there is nothing in the title to give notice to the legislator
or to the public generally. Cf. Ex parte Hilsabeck, 477 So. 2d 472 (Ala.
1985), Adams, J., dissenting, and Knight v. West Alabama Environmental Imp.
Authority, 287 Ala. 15, 246 So. 2d 903 (1971), Coleman, J., dissenting.
25 The Connecticut court addressed statutory amendment compared to revision
in recognition that an amendment contemplated change while "a revision is by its
nature not intended to change anything, but only to restate what has already
been legislated. * * * It is for that reason that "revisors of statutes are
presumed not to change the law if the language which they use fairly admits of a
construction which makes it consistent with the former statute." State v.
Baker, 195 Conn. 598, 489 A.2d 1041, 1045 n.4 (1985) (quoting
Bassett, 115 Conn. at 400-01), 161 A. 852.
26 Even speed readers could not be informed as to the content in the mass
of proposed legislation unless the title adequately describes and the specific
language provides clues. At best, eternal vigilance against both accident and
undisclosed intent is required.
27 Any experienced legislator can cite samples and examples, but the most
significant example occurred in the Wyoming legislature in the 1965 session when
an Albany County legislator achieved a minor change in the state's eminent
domain statute which effectively gave the Union Pacific Railroad a stranglehold
and veto on future underground trona development in southern Wyoming. In the
following session, perhaps the most heavily lobbied and most changes in the
state's history occurred in reversal of the minor 1965 provision of Wyo. Sess.
Laws ch. 35 (1965). H.B. 208, 39th Leg. (1967), co-sponsored by the late
Governor of the State of Wyoming, Ed Herschler, present United States Senator
Alan K. Simpson, and Republican leader Harold Hellbaum, produced monumental
expenditures in support and opposition, but when passed as Wyo. Sess. Laws ch.
244 (1967), became the inducement for a billion dollar trona mining industry in
Sweetwater County. In 1965, the statutory change was "housekeeping." In 1967, it
was a million dollar investment in legislative effort correction.
28 It is interesting to speculate if the amending Senate committee had known what they were being asked to do and had consequently inserted that subject, "providing a veto of the judicial discretion for sentencing to grant status to the prosecution to demand commission of a felony status first offender," in the title of the bill to provide a properly completed amendment whether consideration and approval of the ultimate legislation would have differed, either in the Senate committee or later during the enactment process with floor debate.
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