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IN THE COURT OF APPEALS OF THE STATE OF ALASKA
EUGENE CLAYTON PHELPS,
Appellant, Court of Appeals No. A-10709
Trial Court No. 3AN-93-4521 Cr
v.
STATE OF ALASKA, O P I N I O N
Appellee.
End of Caption No. 2272 July 23, 2010
Appeal from the District Court, Third Judi
cial District, Anchorage, J. Patrick Hanley,
Judge.
Appearances: Cynthia L. Strout, Anchorage,
for the Appellant. James J. Fayette,
Assistant District Attorney, Anchorage, and
Daniel S. Sullivan, Attorney General, Juneau,
for the Appellee.
Before: Coats, Chief Judge, and Mannheimer
and Bolger, Judges.
MANNHEIMER, Judge.
This case requires us to re-examine and apply the Neal-
Mutschler rule the rule that, when a defendant is being
sentenced for two or more crimes, the defendants composite
sentence of imprisonment may not exceed the maximum sentence of
imprisonment for the defendants single most serious offense
unless the sentencing judge affirmatively finds that a longer
term of imprisonment is necessary to protect the public.
See Neal v. State, 628 P.2d 19,
21 (Alaska 1981 ); Powell v. State, 88 P.3d 532, 537 & n.
9 (Alaska App. 2004 ).
In the present case, the defendant was convicted of
four class A misdemeanors, each with a maximum sentence of 1
years imprisonment. Thus, the Neal ceiling was 1 year. The
sentencing judge affirmatively found that the need to protect the
public did not require a sentence of more than 1 year.
Nevertheless, the judge concluded that the facts of the case
required a more severe sentence and, accordingly, he sentenced
the defendant to a composite term of 545 days (i.e.,
approximately 1 years ).
As we explain in more detail in this opinion, we
conclude that the facts of this case provide sufficient
justification for imposing a more severe composite sentence than
the 1-year Neal ceiling. Even though Neal seemingly allows only
one justification for such a sentence (viz., the need to protect
the public ), the Alaska Supreme Courts post-Neal
decisions show that the court has altered its position regarding
sentencing benchmark rules. In its more recent sentencing
decisions in particular, State v. Hodari, 996 P.2d 1230 (Alaska
2000 ), State v. Bumpus, 820 P.2d 298 (Alaska
1991 ), and State v. Wentz, 805 P.2d 962 (Alaska
1991 ) the supreme court has declared that appellate
courts should not place inflexible restrictions on a sentencing
judges authority based on pre-established criteria. Instead, the
supreme court has taken the position that sentencing benchmarks
serve only as guidelines, and that any sentencing decision
ultimately must be justified on the particular facts of a
defendants offense and background, evaluated in light of the
sentencing criteria codified in AS 12.55.005 and the range of
sentences authorized by the legislature.
Based on Hodari, Bumpus, and Wentz, we conclude that
the Neal rule must be construed in a manner flexible enough to
encompass other compelling justifications for a longer sentence.
And given the facts of the present case (as found by the district
court ), we conclude that the district court had a
compelling justification for imposing a sentence exceeding 1 year
to serve.
Underlying facts
In 1994, Eugene Clayton Phelps was on trial
for three counts of aggravated indecent exposure,
former AS 11.41.460. This offense, a class A
misdemeanor, was defined as knowingly exposing ones
genitals in the presence of another person under 16
years of age, acting with reckless disregard for the
offensive, insulting, or frightening effect that this
conduct may have.1
Phelps was charged with exposing himself and
masturbating at the bedside of his girlfriends teenage
daughter between December 1990 and March 1991, when the
girl was 13 and 14 years old. On the first day of
Phelpss trial, the State made an offer of proof
(outside the presence of the jury) in support of its
motion to be allowed to present evidence of other bad
acts. Specifically, the State presented the testimony
of the victims older sister, who told the court that,
over the course of several months in 1988, Phelps had
masturbated at her bedside and had attempted to engage
in sexual penetration with her. The victims sister was
15 years old at the time.
The day after the victims sister presented
this in camera testimony, Phelps failed to appear for
trial. His trial continued without him, and Phelps was
convicted of the three counts of indecent exposure
although, of course, he was not sentenced at that time.
Nearly sixteen years later, Phelps was located and
taken into custody. At that time, he was tried for,
and convicted of, misdemeanor failure to appear, AS
12.30.060.
Phelpss sentencing hearing in the district court
Each of Phelpss four offenses (the three
counts of indecent exposure, and the single count of
failure to appear) carried a maximum penalty of 1 years
imprisonment.2 Phelps was sentenced for all four
crimes at a consolidated sentencing hearing before
District Court Judge J. Patrick Hanley.
Judge Hanley found that Phelps had
masturbated in front of the younger sister (i.e., the
named victim in the three indecent exposure counts)
approximately one dozen times, and that Phelps would
watch her when she slept. Judge Hanley also found that
Phelpss crimes took an emotional toll on the victim and
on her family. The victim began wearing a swimsuit
when she bathed, so that Phelps would not see her naked
if he came into the bathroom, and she affixed a wind
chime to her bedroom door, so that she would know if
Phelps entered her room during the night.
Judge Hanley found that Phelpss conduct was
among the most serious types of indecent exposure, both
because of the conduct itself and also because of its
emotional effect on the victim and the divide that it
created in the victims family. Weighing the Chaney
sentencing criteria now codified in AS 12.55.005,3
Judge Hanley declared that there was no doubt in [his]
mind that the ... criteria of community condemnation
and deterrence of Mr. Phelps requires a ... substantial
jail sentence, and [his offense] does constitute the
worst offense of the types of [conduct encompassed
within] indecent exposure.
Having found that Phelpss crime of indecent
exposure was among the worst offenses within the
definition of that crime, Judge Hanley then addressed
the Neal-Mutschler rule, as interpreted by Judge
Singleton (a former judge of this Court) in his
concurrence in Peruski v. State, 711 P.2d 573, 575
(Alaska App. 1985):
The Court: [My finding] leads us ...
next [to] the [Neal-]Mutschler rule. ...
[Under that rule,] in order to impose
consecutive sentences that exceed the [1-
year] maximum sentence for the single most
serious count, the sentencing court must
expressly find that the [greater] term of
imprisonment is necessary for the protection
of the public[,] ... and [that] the defendant
can neither be rehabilitated nor deterred by
a shorter sentence. ... [I]ts a pretty
strong rule[, and it can not be satisfied by]
the [sentencing] judges perception of a need
for the deterrence of other wrongdoers or the
affirmation of community norms.
Judge Hanley noted that there was
no evidence that Phelps had engaged in
further sexual misconduct indeed, further
criminal activity of any kind during the
more than fifteen years between the time he
absconded from his trial and the time he was
caught and arrested. Based on the fact that
Phelps had apparently been law-abiding for
the immediately preceding fifteen years,
Judge Hanley concluded that he could not, in
good faith, find that Phelps could not be
rehabilitated or deterred by a sentence of
1 year or less, or that the protection of the
public required a composite sentence of more
than 1 years imprisonment.
Accordingly, Judge Hanley ruled
that even though Phelpss acts of indecent
exposure were among the most serious offenses
within the definition of that crime, Phelpss
sentences for these three counts of indecent
exposure should not cumulatively exceed
1 year.
However, Judge Hanley then turned
to Phelpss separate offense of failure to
appear.
Judge Hanley noted that if Phelpss
sentence for this crime was included within
the Neal-Mutschler rule in other words, if
the judge was barred from giving Phelps
additional jail time for this offense, over
and above the 1 year that the judge believed
was the proper composite prison term for
Phelpss three acts of indecent exposure then
this result would seemingly conflict with the
doctrine that a defendant should normally
receive consecutive jail time for crimes of
escape or failure to appear. See Walton v.
State, 568 P.2d 981, 986 (Alaska 1977); Hayes
v. State, 790 P.2d 713, 717 (Alaska App.
1990).
Judge Hanley noted that Phelpss act
of failing to appear wasnt a garden-variety
failure to appear at a pre-trial conference,
or even [at] a trial call. Instead, Phelpss
failure to appear was significantly more
serious because (as Judge Hanley found)
Phelps committed this offense after [his]
trial had begun, [and] after [he] ... hear[d]
what the [other crimes] evidence was, ... and
after he ... reach[ed] the conclusion that it
wasnt looking good for him.
Judge Hanley concluded that Phelpss
failure to appear also was serious for a
separate reason: the effect that it had on
other people. Because Phelps absconded in
the middle of trial, he remained unsentenced
(and his whereabouts remained unknown) for
more than 15 years. Judge Hanley found that,
as a result of the unfinished status of the
criminal prosecution against Phelps, the
emotional problems that the victim and her
sister experienced as a result of Phelpss
underlying conduct (his acts of indecent
exposure) were exacerbated and prolonged.
Based on all of this, Judge Hanley
concluded that Phelps should receive a
composite sentence of more than 1 years
imprisonment for the three acts of indecent
exposure and the separate act of failure to
appear:
The Court: [Phelpss] indecent exposures
are so significant that they require ... [a
sentence of] one year in jail[, just] for
those. ... [His] failure to appear is
significant also. ... [But] if that
[offense is] governed by [Neal-]Mutschler, it
would be as if nothing ever happened [to
Phelps] because of it. It [would] be [as if]
it was never considered in [Phelpss]
sentencing and never reflected in [his
sentence].
. . .
[I conclude] that if there is no
consequence [to Phelps] for the failure to
appear, [that] would frustrate the sentencing
criteria [codified in AS 12.55.005]. ...
[It] would have the same effect as if he had
no conviction for failure to appear.
. . .
And so, for those reasons, [even though]
the indecent exposure [sentences] are bound
by the [Neal-]Mutschler rule, ... I dont
think that the failure to appear sentence [is
covered by that rule]. ... [And] I am going
to make [the failure to appear sentence]
consecutive to the indecent exposure
[sentences] for those reasons.
Judge Hanley then sentenced Phelps
to serve a total of 365 days on the three
indecent exposure counts, with a consecutive
180 days for the failure to appear count. In
other words, Phelps received a total of 1
years to serve for his four offenses.
Why we uphold the district courts sentencing decision
On appeal, Phelps argues that Judge Hanley
violated the Neal-Mutschler rule when he imposed a
composite sentence of more than 1 year (the
maximum sentence for any single one of Phelpss
crimes) after explicitly finding that a sentence
of more than 1 year was not required by the
sentencing goal of protecting the public.
Almost thirty years ago, in Neal v. State,
628 P.2d 19 (Alaska 1981), the Alaska Supreme Court
endorsed the rule that a sentencing judge should not
impose a composite sentence exceeding the maximum term
of imprisonment that could be imposed for the
defendants single most serious offense unless the judge
make[s] a formal finding that confinement for the
combined term is necessary to protect the public. Id.
at 21.
This sentencing rule was derived from the
American Bar Associations Standards Relating to
Sentencing Alternatives and Procedures (Approved Draft,
1968), 3.4(b)(iv): Imposition of a consecutive
sentence should require the affirmative action of the
sentencing court. The court should be authorized to
impose a consecutive sentence only after a finding that
confinement for such a term is necessary in order to
protect the public from further criminal conduct by the
defendant. (Quoted in footnote 3 of Neal, 628 P.2d at
20.)
(For many years, this Court referred to the
supreme courts sentencing rule as the Mutschler rule,
even though the supreme court expressly declined to
reach this issue in Mutschler v. State, 560 P.2d 377,
381 (Alaska 1977), and did not adopt the rule until
Neal. For the last several years, this Court has
referred to the rule using the names of both supreme
court decisions: the Neal-Mutschler rule.)
This Court has repeatedly applied the Neal-
Mutschler rule to both felony sentences and misdemeanor
sentences.4 However, in the years since the Neal
decision, both the Alaska Supreme Court and the
American Bar Association have reconsidered their
approach to the type of sentencing rule epitomized by
Neal-Mutschler that is, a rule that sets an absolute
limit on a sentencing judges discretion (in addition to
the limits already contained in the pertinent
sentencing statutes) unless the record supports one
specific finding: that a greater sentence is necessary
to protect the public from the continuing danger posed
by the defendant.
(a) The American Bar Associations changed policy
toward consecutive sentences
The American Bar Associations 1968 Standards
Relating to Sentencing Alternatives and Procedures have
been superseded by the Standards for Criminal Justice:
Sentencing. The most recent version of the ABAs
Sentencing Standards is the third edition, approved by
the ABA House of Delegates in February 1993 and
published in 1994.5
This current edition of the ABA Sentencing
Standards contains no provision like former Standard
3.4(b)(iv) which the supreme court relied on in Neal
that is, no provision prohibiting sentencing judges
from imposing a composite sentence above a specified
level of severity unless the judge affirmatively finds
that a more severe sentence is necessary to protect the
public. This is no accident: the current ABA
Standards disavow this position and, instead, the ABA
now advocates different policies to govern situations
where a defendant is being sentenced for more than one
offense.
ABA Sentencing Standard 18-3.7, Convictions
of multiple offenses, states that an offender who is
convicted of multiple offenses should receive a
composite sentence that appropriately takes into
account all of the offenders current offenses. See 18-
3.7(a).
Under Standard 18-3.7, when the defendants
crimes are all part of a single criminal episode,
sentencing courts should not ... increase the severity
of [the defendants composite sentence] merely as a
result of the number of counts or charges made from
[that] single episode, see 18-3.7(b)(ii), and the
defendants composite sentence should reflect [a] level
of severity that take[s] into account the fact that the
separate offenses occurred as part of [a single]
episode. See 18-3.7(b)(iii).
The ABA continues to recommend that when a
defendant is being sentenced for two or more offenses
that are not all part of a single episode, the baseline
sentence should be derived by reference to the sentence
appropriate for the [defendants] most serious offense.
18-3.7(d). However, the ABA no longer endorses a rule
forbidding a judge from exceeding the sentence for the
defendants most serious offense except in special
situations. Rather, 18-3.7(d) declares that if the
sentencing judge determines that a more severe sentence
is appropriate, the enhancement should ordinarily be
determined as if the other current offenses were
treated as part of the offenders criminal history or as
factors aggravating the [defendants] most serious
offense.
(See also Standard 18-6.5, Sentencing for
more than one offense, which reiterates these
guidelines.)
In the History of Standard section that
accompanies Sentencing Standard 18-3.7, the ABA
explains its new position on this issue:
[I]n contrast to the second edition [of the
sentencing standards], the current Standards
do not continue the policy of premising the
most severe sanctions on a finding of the
offenders future dangerousness. See former
Standard 18-4.5(b)(iv) (consecutive sentences
available only when [the] court finds that
confinement for such a term is necessary in
order to protect the public from further
serious criminal conduct by the defendant).
ABA Standards for Criminal Justice,
Sentencing (3rd ed. 1994), p. 71.
The footnote that accompanies this
text states that [t]his former policy is
rejected consistently in the new Standards,
and the footnote directs readers to the
Commentary to Standard 18-3.5 (Criminal
history; recidivism) for an explanation of
the ABAs reasons for abandoning this policy.
The Commentary to Sentencing
Standard 18-3.5 explains that the former
policy concerning consecutive sentencing was
premised on the idea that courts would use
lengthy terms of incarceration to selectively
incapacitate those offenders who present[ed]
the greatest danger to the public. ABA
Sentencing Standards (3rd ed. 1994), p. 61.
However, the ABA was led to re-examine this
premise because of the disappointing results
of considerable research ... performed in the
1980s to test the power of [a defendants]
criminal history, and other variables, to
predict future dangerousness. Ibid. The
results of this research were disappointing
because, even though past offenders are, as a
group, more likely to re-offend, attempts to
make predictions about [particular]
individuals within the group [based on these
criteria were] more often wrong than right.
Ibid.
The Commentary to Sentencing
Standard 18-3.5 concludes with these
observations:
This [third] edition of the Standards
rejects prior ABA policy that the operation
of habitual offender statutes should turn
upon a specific finding of a substantial
possibility of future serious criminal
conduct by the defendant. As discussed
above, research has failed to develop
reliable predictors of future dangerousness
in individual cases. ... [W]e have no
empirical tool to make such judgments.
ABA Sentencing Standards, p. 64.
Returning, then, to Standard 18-3.7
(the standard dealing with consecutive
sentencing), the Commentary to this standard
declares that the ABAs goal was to steer a
course between fully consecutive sentences
for multiple crimes, which can result in
sentences of extraordinary harshness, and the
former policy of generally limiting a
defendants composite sentence to the amount
of imprisonment that the defendant could
receive for their most serious crime a
policy that [made] the remaining counts ...
free as far as determination of the
[defendants] sentence [was] concerned. Id.
at 72. Rather, the current standard
advocates an approach to ... sentencings for
multiple convictions that is neither
[presumptively] consecutive nor
[presumptively] concurrent. Ibid.
Under this revised policy, multiple
offenses normally ought to be punished more
harshly than single offenses, but not through
the stacking of the individual sentences.
Ibid. Instead, the sentence for the
defendants most serious offense is used as a
foundation, with principled enhancements for
the defendants other offenses, so that, in
the words of 18-3.7(a), the defendants
composite sentence appropriately takes into
account all of the offenders current
offenses.
(This is similar to the rule that
this Court employs when reviewing a
defendants composite term of imprisonment for
two or more criminal convictions: we assess
whether the combined sentence is clearly
mistaken, given the whole of the defendants
conduct and criminal history. See Brown v.
State, 12 P.3d 201, 210 (Alaska App. 2000);
Comegys v. State, 747 P.2d 554, 558-59
(Alaska App. 1987).)
(b) The Alaska Supreme Courts policy toward
benchmark sentencing rules
Although we believe it is significant that
the American Bar Association no longer endorses its
former strict limitation on consecutive sentences, the
new approach taken by the ABA in its current Sentencing
Standards does not alter the fact that we are an
intermediate appellate court, and that we have no
authority to change a sentencing rule established by
our supreme court, even though the supreme court relied
on the ABA standards when it promulgated that rule and
even though the ABA now advocates a different approach.
The ABAs altered approach to consecutive sentencing
would simply be an interesting footnote to this
discussion if we were not also convinced that, in the
years since the Alaska Supreme Court issued its
decision in Neal, the supreme court has changed its
position on the issue of benchmark sentencing rules.
In the last twenty years, the supreme court
has repeatedly declared that sentencing benchmarks must
not be applied in a manner that places inflexible
restrictions on a sentencing judges authority based on
pre-established criteria. Rather, even though
sentencing benchmarks provide useful guidelines for the
exercise of sentencing discretion, these benchmarks
must allow for exceptions based on the particular facts
of unusual cases. The supreme courts altered approach
to benchmark sentencing rules is reflected in a series
of three decisions: State v. Wentz, 805 P.2d 962
(Alaska 1991), State v. Bumpus, 820 P.2d 298 (Alaska
1991), and State v. Hodari, 996 P.2d 1230 (Alaska
2000).
Wentz involved a defendant who was sentenced
to serve 12 years for a severe assault on his wife.6
This Court reversed Wentzs sentence and directed the
superior court to impose a sentence of 10 years or
less. In reaching this decision, we relied on a
sentencing guideline that we and the Alaska Supreme
Court had developed in several previous decisions.7
This 10-year rule originated in the Alaska
Supreme Courts decision in Donlun v. State, 527 P.2d
472 (Alaska 1974), as modified six years later in
Pascoe v. State, 628 P.2d 547 (Alaska 1980). In
Donlun, our supreme court adopted the ABAs recommen
dation that maximum terms of imprisonment should not
exceed 5 years except for cases involving particularly
serious offenses, dangerous offenders, or professional
criminals.8 Later, in Pascoe, the supreme court
endorsed the ABAs modified recommendation that
sentences of imprisonment normally should not exceed 5
years, and that sentences of greater than 10 years
should be reserved for unusual cases.9 And in Skrepich
v. State, 740 P.2d 950 (Alaska App. 1987), this Court
relied on the ABAs definition of habitual offender10 to
support our definition of which cases would qualify as
unusual under the Pascoe rule (i.e., situations where
the defendants composite sentence might exceed 10
years). We held that, normally, a composite sentence
exceeding 10 years was permissible only when the
offender ha[d] previously been convicted of [felonies]
for which a sentence [of] at least one full year of
incarceration was imposed. Skrepich, 740 P.2d at 956.
In our decision in Wentz, we relied on this
sentencing rule to reach the conclusion that Wentzs
sentence should not exceed 10 years imprisonment. Even
though Wentz had an extensive misdemeanor record, and
even though the sentencing judge found (based on prior
failed attempts at rehabilitation) that Wentz was a
dangerous offender who needed to be isolated to protect
the public, this Court held that the 10-year ceiling
applied to Wentzs composite sentence because Wentz had
no felony record. 777 P.2d at 216.
When Wentzs case went to the Alaska Supreme
Court, the supreme court disapproved this 10-year
sentencing ceiling not just in Wentzs case, but as a
general rule. The court gave two reasons for its
decision: first, the 10-year ceiling unjustifiedly
restricted the superior courts sentencing discretion
within the statutory framework established by the
legislature; and second, the 10-year ceiling was
contrary to [the supreme courts own] prior decisions
concerning the proper role of appellate courts in
reviewing sentencing decisions.11
With regard to the first reason (the
unjustified restriction on the superior courts
statutory sentencing authority), the supreme court
noted that the 10-year ceiling [had the] practical
effect of ... reduc[ing] by two-thirds the range of
acceptable sentences expressly authorized by the
legislature [for Wentzs felonies].12
The supreme court then noted that the narrow
category of exceptions to the 10-year ceiling (i.e.,
the exceptions for defendants who had previously served
substantial sentences for felony offenses, or who were
guilty of premeditated attempts to kill or injure) was
inconsistent with the legislatures codification of a
broad range of aggravating factors in AS 12.55.155(c):
The legislative scheme allows imprisonment
for up to twenty years for class A felonies,
upon proof of one or more of twenty-six
enumerated aggravating factors. See
AS 12.55.125; AS 12.55.155(c)(1)-(26). Under
the court of appeals ruling, a trial court
cannot sentence an offender to the maximum
term, regardless of the presence, strength,
or number of statutory aggravating factors,
unless it can demonstrate that the case meets
one of the two exceptions to the court of
appeals ten-year rule. We hold that such a
result is in direct conflict with the
language of the statute and is therefore
impermissible.
Wentz, 805 P.2d at 965 (emphasis in the
original).
With regard to the second reason
(the departure from the proper role of an
appellate court in reviewing sentencing
decisions), the supreme court declared:
There are drawbacks ... to relying too
heavily on appellate review to articulate
sentencing principles and to fine-tune
sentences. Appellate review by its very
nature is backward-looking. It is the proper
role of the appellate court to examine what
has occurred in a specific case, and to pass
on the propriety of the result in that case
only. It is generally accepted that an
appellate court is effective only when it
decides cases based on the factual record
before it and only after the record in that
case has been completely developed. As a
rule, it cannot and should not anticipate
what other factual situations might arise in
the future, nor should it fashion rules
prospectively.
Wentz, 805 P.2d at 967, n. 6.13
The supreme court cautioned that
any benchmark sentencing rule had to be
sufficiently flexible to allow a sentencing
judge to reach a fair sentence based on the
particular facts of an individual defendants
case, even though the defendants case might
not fit neatly into the categories of
aggravated cases that the appellate court had
foreseen when it established the benchmark:
Whether a particular offense is
sufficiently serious to justify placing it in
the upper rather than lower end of the
sentencing range ... cannot be determined
with mathematical certainty. Such questions
are not easily resolved by resort to bright
line rules or pronouncements concerning the
correct sentence to be applied under varying
factual circumstances. For example, it
cannot be stated categorically that a felony
assault committed by an offender with a long
string of prior misdemeanor assaults is
necessarily less serious than a felony
assault committed by an offender with a
single prior felony conviction. Such
questions must be answered by reference to
the particular facts of the individual case,
and are therefore matters properly left to
the sound discretion of the sentencing judge.
Wentz, 805 P.2d at 966.
Because the supreme court concluded
that the rigid approach embodied in the 10-
year sentencing ceiling was inconsistent with
the principle of individualized sentencing
described in the preceding quotation, and
because the court concluded that the 10-year
ceiling artificially group[ed] substantially
different offenses and offenders together in
the lower end of the authorized sentencing
range, the court disapproved the 10-year
rule. Ibid.
The supreme court then cited this
Courts Austin rule the benchmark sentencing
rule for first felony offenders that this
Court adopted in Austin v. State, 627 P.2d
657 (Alaska App. 1981) as an example of a
proper benchmark rule which conformed to the
principles the supreme court had endorsed:
[W]e do not mean to suggest that the
court of appeals may not adopt any standards
in order to guide the trial courts in the
exercise of their discretion in sentencing.
On the contrary, in Karr v. State, 686 P.2d
1192, 1195 (Alaska 1984), we applied, without
disapproval, the court of appeals
longstanding Austin rule, which provides that
[n]ormally a first [felony] offender should
receive a more favorable sentence than the
presumptive sentence for a second [felony]
offender. ... As the court of appeals
observed in Austin, however, [this rule does]
not suggest that a first offender [may] never
receive more time to serve than the
presumptive term for a second offender; it
merely limit[s] application of the higher
term to the exceptional case. [Austin, 627
P.2d] at 658.
Properly applied[,] the exceptional case
standard enunciated in Austin allows the
trial court sufficient discretion to exceed
the presumptive term for second felony
offenders where a particularly compelling set
of aggravating factors (AS 12.55.155) or
[the] Chaney criteria (AS 12.55.005) militate
in favor of an increased sentence.
Wentz, 805 P.2d at 966-67. (The emphasis of
the word never was added by the supreme
court; it is not in the original quotation
from Austin).
Shortly after the supreme court
issued its decision in Wentz, the supreme
court directed this Court to reconsider our
sentencing decision in Williams v. State, 800
P.2d 955 (Alaska App. 1990), in light of
Wentz.
In our first Williams decision (the
one cited in the preceding paragraph), this
Court established three benchmark sentencing
categories for cases involving a kidnapping
and an accompanying sexual assault. The
first benchmark sentences of no more than 20
years to serve was for first offenders. The
second benchmark sentences of between 20 and
30 years was for defendants with at least
one felony conviction but with insufficient
criminal history to be considered dangerous
offenders within the definition found (at
that time) in the ABA Sentencing Standards.14
The third benchmark sentences exceeding 30
years was for cases [that] involved
kidnappings of prolonged duration or
offenders whose prior criminal histories
established them as persistent, violent
criminals. Williams, 800 P.2d at 958-960.
After the supreme court directed us
to reconsider these benchmark sentencing
categories, we issued our decision in
Williams II i.e., Williams v. State, 809
P.2d 931 (Alaska App. 1991). In that second
Williams decision, depending on the readers
viewpoint, we either clarified or backed away
from the benchmark sentencing rules announced
in the first Williams decision. Here is what
we said about benchmarks:
[I]n Williams[,] we did not purport to
formulate or apply any hard and fast
sentencing rule restricting the appropriate
sentence for a broad class of disparate
offenders or limiting the factors that could
properly be taken into account in deciding
the relative seriousness of a particular
case. Instead, [we] collected past
sentencing decisions involving offenders
convicted of crimes generally similar to
Williamss and organized [those past
decisions] into benchmark sentencing ranges
... [to] provide assistance and guidance to
sentencing courts faced with difficult
sentencing decisions in comparable cases.
Our benchmarks in Williams and other
cases are not intended to be inflexible rules
confining the permissible range of a sentence
in a given case; rather, they are meant to
act as historically-based starting points for
individualized analysis in each case[.] []A
basic precept of sentencing [continues to be
that] the defendants sentence must be based
upon an individualized consideration of the
offender and the offense.[] McPherson v.
State, 800 P.2d 928, 933 (Alaska App. 1990)
(Bryner, C.J., concurring and dissenting).
Williams II, 809 P.2d at 933.
We then summed up our view of
sentencing benchmarks. We declared that
benchmark sentencing rules are meant only to
provide a framework for an individualized
analysis of the facts of a defendants case in
light of the applicable sentencing criteria
originally specified in State v. Chaney, 477
P.2d 441, 443-44 (Alaska 1970), and now
codified in AS 12.55.005. We immediately
added:
If the language of our original opinion in
this case, or any of our other cases,
suggests that sentencing benchmarks establish
hard and fast limits, we disapprove that
language. We similarly disapprove any
language in this or prior cases suggesting
that the benchmarks we have described can
only be deviated from when certain specific,
limited exceptions are established. We
stress that any sound reason may be relied on
to differentiate one case from another. The
legitimate role of benchmarks is to promote
careful consideration of whether actual
differences exist between a given case and
prior, generally similar cases, and to
encourage courts to make clear their reliance
on those differences when they do exist.
Williams II, 809 P.2d at 933-34.
Shortly after this Court issued our
clarification of the principles governing the
use of benchmark sentencing ranges in
Williams II, the supreme court had occasion
to again disapprove this Courts use of
sentencing benchmarks. The case was State v.
Bumpus, 820 P.2d 298 (Alaska 1991).
Bumpus involved a defendant who
committed a series of burglaries and thefts,
and who received a composite sentence of 23
years imprisonment.15
This Court found that the superior
court had failed to justify a sentence of
this severity for a non-violent offender, and
we directed the superior court to reduce
Bumpuss sentence to no more than 15 years to
serve (more specifically, 20 years with 5
years suspended).16
The supreme court agreed with this
Court that the superior court had failed to
adequately analyze Bumpuss sentence, but the
supreme court also concluded that this Courts
15-year sentencing ceiling was unjustified.17
In particular, the supreme court disapproved
of this Courts prior decisions in which we
held that, among the sentencing goals
codified in AS 12.55.005, only the sentencing
goal of protecting the public as opposed to
the other sentencing goals of rehabilitation,
deterrence (both of the defendant and of
others), and the reaffirmation of societal
norms could normally justify a sentence
exceeding 10 years to serve.
Here is what the supreme court said
on this issue:
The court of appeals noted that [the
sentencing judge] placed great reliance on
the sentencing goals of deterrence, community
condemnation, and isolation. [However,
citing] its own [prior] decisions and this
courts decision in Pears v. State, 698 P.2d
1198 (Alaska 1985), the court of appeals ...
concluded that [the sentencing] goals [of
deterrence and community condemnation] could
never support imposition of [the]
twenty-three-year aggregate term [of
imprisonment imposed in Bumpuss case].
The [court of appeals] conclusion is no
longer valid in the wake of this courts
decision in State v. Wentz, 805 P.2d 962
(Alaska 1991), where we stated that dicta in
Pears purporting to limit the circumstances
under which sentences may exceed ten years
could not be applied beyond the particular
facts of that case. [Wentz, 805 P.2d] at 966
n. 5.
Wentz established that it is no longer
appropriate for courts to rigidly define the
length of sentence that can be justified by
any particular criterion, provided that the
sentence is ultimately within the range
allowed by the legislature.
Bumpus, 820 P.2d at 302 (footnote omitted).
See also Griffin v. State, 9 P.3d
301, 308 (Alaska App. 2000), where this Court
expressly acknowledged that the supreme
courts decision in Bumpus abrogated the
earlier 10-year sentencing guideline based on
the ABA sentencing standard.
Thus, Bumpus reiterated the Wentz
decisions criticism of sentencing rules that
rigidly define the length of sentence that
can be justified by any particular criterion.
But, perhaps more important to our decision
of Phelpss case, the Bumpus decision contains
a footnote in which the supreme court
questioned the continued vitality of the Neal-
Mutschler rule (although the court did not
refer to the rule by this name):
The public defender, [appearing] as
amicus curiae, also [relies on] the [Court of
Appealss] requirement that sentences which
exceed the maximum term for the [defendants]
most serious offense here, ten years must
be based on the need to isolate the defendant
for the entire sentence. Contreras v. State,
767 P.2d 1169, 1174 (Alaska App. 1989). The
vitality of this rule is also open to
question after Wentz ... .
Bumpus, 820 P.2d at 302 n. 5.
As can be seen from the text of
this footnote, the supreme court erroneously
attributed the Neal-Mutschler sentencing rule
to this Court, rather than acknowledging that
the rule is derived from its own decision in
Neal. However, this does not alter the fact
that the supreme court apparently viewed its
decisions in Wentz and Bumpus as inconsistent
with Neal.
Eight and a half years after its
decision in Bumpus, the Alaska Supreme Court
revisited the issue of sentencing benchmarks
in State v. Hodari, 996 P.2d 1230 (Alaska
2000). Hodari involved a defendant who broke
into a house and then robbed, raped, and
brutalized a mother and her pregnant
daughter, while forcing the mothers other
child (a fourteen-year-old boy) to watch.18
The superior court sentenced Hodari to a
composite sentence of 55 years imprisonment,
but this Court reversed Hodaris sentence and
directed the superior court to impose no more
than 40 years.19 We acknowledged that
Hodaris crimes were aggravated and deserving
of a ... severe sentence, but we held that
Hodaris composite sentence could not exceed
40 years to serve because we have approved
composite terms of forty years or more only
for violent crimes committed by offenders
with backgrounds that included habitual
criminality or repeated acts of criminal
violence criteria that were not present in
Hodaris background.20
The supreme court reversed this
Courts decision, characterizing this Courts
analysis of Hodaris case as the kind of
formulaic benchmark sentencing that the
supreme court rejected in Wentz, and that we
ourselves disavowed in Williams II.21 The
supreme court approvingly quoted this Courts
own post-Wentz discussion of benchmark
sentencing rules in Ross v. State, 877 P.2d
777 (Alaska App. 1994):
[Benchmark sentencing rules are] a mechanism
to protect against the disparate treatment of
similarly situated offenders when sound
reason for disparity cannot be found. At the
same time, however, ... sentencing benchmarks
[are,] at most[,] ... an imprecise starting
point for determining appropriate sentences
in individual cases. Sentencing benchmarks
place no hard and fast restrictions on the
scope of the sentencing courts authority in
any given case.
Hodari, 996 P.2d at 1237 (quoting Ross, 877
P.2d at 780) (emphasis omitted).
In Hodari, the supreme court
reiterated what it said in Wentz: that the
question of [w]hether a particular offense is
sufficiently serious to justify placing it in
the upper rather than [the] lower end of the
sentencing range ... cannot be determined
with mathematical certainty[, or answered] by
resort to bright line rules or pronouncements
concerning the correct sentence to be applied
under varying factual circumstances. Id. at
1235.22
(c) Our assessment of the district courts
sentencing decision in Phelpss case, and our re-
assessment of the Neal rule, based on the supreme
courts post-Neal decisions
Now that we have examined the Alaska Supreme
Courts jurisprudence on the issue of benchmark
sentencing rules, we turn to what is seemingly the
last bright-line sentencing rule remaining under
Alaska law: the supreme courts own sentencing
rule in Neal.
As we have explained, Neal declares that a
defendants composite sentence for two or more
crimes can not exceed the maximum term of
imprisonment for the defendants single most
serious offense unless the more severe sentence is
justified by one particular sentencing goal: the
need to protect the public from the defendants
continued criminal acts or, as this goal is
phrased in AS 12.55.005(3), the need to confine
the defendant to prevent further harm to the
public.
In the past, this Court has indicated that
Neal must be applied to the letter that a sentence
above the Neal ceiling can be justified only by the
need to protect the public, and not by any other
sentencing goal such as community condemnation of the
defendants conduct or reaffirmation of societal values.
See, e.g., Peruski v. State, 711 P.2d 573, 575 (Alaska
App. 1985) (Singleton, J., concurring), Brown v. State,
693 P.2d 324, 331 (Singleton, J., concurring).
But the goal of protecting the public from
the defendants further crimes is but one of the seven
sentencing goals listed in AS 12.55.005.23 As the
supreme court has repeatedly stated in its decisions on
the issue of benchmarks, sentencing benchmarks are not
to be interpreted or applied in a manner that places
hard and fast restrictions on the scope of the
sentencing courts authority in any given case. Because
the proper sentence in any given case can not be
determined with mathematical certainty, appellate
courts should not impose bright-line rules that allow
no exceptions for unusual cases, nor should appellate
courts make before-the-fact pronouncements concerning
the correct sentence that must invariably be imposed on
particular categories of offenders, or that must
invariably be imposed for particular categories of
offenses.
In other words, even though the goal of
protecting the public is important, there are times
when it is simply improper for a court to ignore other
sentencing goals, and other facets of the case, when
sentencing a defendant for multiple crimes.
As this Court acknowledged in our post-Hodari
decision, Brown v. State, 4 P.3d 961 (Alaska App.
2000):
In Hodari and ... Wentz, the supreme
court admonished this court not to interpret
or apply benchmark ranges inflexibly. The
[supreme] court stressed that any sentencing
decision ultimately must be justified on the
particular facts of a defendants offense and
background, evaluated in light of the range
of sentences authorized by the legislature
for that offense. Thus, the supreme court
warned, appellate courts should not rely too
heavily on appellate review to articulate
sentencing principles and to fine-tune
sentences [by] anticipat[ing] what other
factual situations might arise in the future
[or by] fashion[ing] rules prospectively.
In Williams ... , this court responded
to the supreme courts concerns. We clarified
that benchmark ranges were intended to serve
only as starting points for sentencing
analysis, not hard and fast limits on a
judges sentencing discretion. We explicitly
rejected the notion that sentencing judges
could deviate from a benchmark range only
when certain specific, limited exceptions are
established. Rather, we stressed that a
sentencing judge could properly rely on any
sound reason to deviate up or down from the
benchmark.
Brown, 4 P.3d at 963 (footnotes omitted).
As we noted earlier, we have
repeatedly interpreted and applied the Neal-
Mutschler rule as a bright-line sentencing
rule that imposes a strict and unvarying
boundary on a sentencing judges discretion.
But this view of the Neal-Mutstchler rule is
fundamentally inconsistent with the
principles enunciated by the supreme court in
Wentz, Bumpus, and Hodari. We now hold that
the Neal-Mutschler ceiling is simply a
starting point or guide for analyzing the
proper severity of a defendants composite
sentence and that a composite sentence
greater than the Neal ceiling can sometimes
be justified by sentencing goals other than
the particular goal of protecting the public.
Our remaining task is to evaluate
Judge Hanleys sentencing decision in Phelpss
case in light of our holding.
As we explained in the earlier
portion of this opinion where we detailed
Judge Hanleys findings at the sentencing
hearing, Judge Hanley found that Phelpss
indecent exposure offenses were among the
most serious, and that a maximum sentence was
appropriate for these offenses i.e., 1 years
imprisonment. Phelps does not dispute this
conclusion. Thus, the only remaining issue
is whether there was sufficient justification
for Judge Hanleys decision to impose a
consecutive 180 days to serve (i.e., an
additional 6 months) for Phelpss separate
offense of failure to appear.
Obviously, Phelpss decision to
abscond in the middle of his trial was a
completely separate criminal episode from the
acts of indecent exposure that he was charged
with. And, as we noted earlier in this
opinion, Alaska courts have recognized that a
defendant should normally receive consecutive
jail time for the crimes of escape or failure
to appear. See Walton v. State, 568 P.2d
981, 986 (Alaska 1977); Hayes v. State, 790
P.2d 713, 717 (Alaska App. 1990).
In Walton, our supreme court
observed that the goals of sentencing ...
would be largely frustrated if no real or
effective additional sanction or detriment
flowed from [a defendants] conviction [for]
escape [while incarcerated for another
crime]. 568 P.2d at 986. And in Hayes, this
Court stated that, [i]n general, where a
defendant commits the crime of escape or
failure to appear, there is a strong argument
for the imposition of a consecutive sentence.
790 P.2d at 717.
In Phelpss case, as Judge Hanley
indicated in his sentencing remarks, Phelpss
act of failing to appear was not a garden-
variety example of this crime for instance,
a failure to appear at a pre-trial conference
or calendar call that was soon remedied.
Instead, Phelpss failure to appear was
significantly more serious: he absconded
during his trial (after he was confronted
with strong evidence against him), and he
remained a fugitive for more than 15 years.
Judge Hanley concluded that Phelpss
failure to appear was serious for a separate
reason: the effect that it had on the victim
of his underlying offenses and on her older
sister, who testified that Phelps also abused
her. Judge Hanley found that, because the
criminal prosecution against Phelps remained
unfinished for fifteen years, the emotional
problems that the victim and her sister
experienced as a result of Phelpss underlying
acts of indecent exposure were exacerbated
and prolonged.
Judge Hanley then noted that,
unless he imposed some additional jail time
for Phelpss crime of failure to appear, it
[would] be as if nothing ever happened [to
Phelps] because of it. Accordingly, Judge
Hanley concluded that the sentencing goals
codified in AS 12.55.005 would affirmatively
be frustrated unless Phelps received some
amount of consecutive imprisonment for the
crime of failure to appear.
AS 12.55.005 declares that the two
paramount purposes of sentencing law are the
elimination of unjustified disparity in
sentences and the attainment of reasonable
uniformity in sentences, as evaluated under
the seven sentencing goals listed in the
statute. Given the facts of Phelpss failure
to appear, and given Judge Hanleys
unchallenged conclusion that Phelpss acts of
indecent exposure (considered by themselves)
merited a 1-year term of imprisonment, we
agree with Judge Hanley that, unless Phelps
received an additional term of imprisonment
for his failure to appear, this would create
an unjustified sentencing disparity and would
frustrate the goal of reasonable uniformity
in sentencing.
Given the facts of this case, Judge
Hanley could reasonably conclude that, even
though the sentencing goal of protecting the
public might have been satisfied by a
sentence of only 1 year, other sentencing
goals codified in AS 12.55.005 would remain
unsatisfied: the reasonable assessment of the
seriousness of Phelpss offenses in relation
to other offenses; the extent to which
Phelpss conduct harmed the victim; the effect
of the sentence in deterring other members of
society from similar criminal conduct; and
the effect of the sentence as a reflection of
the communitys condemnation of the criminal
act and as a reaffirmation of societal norms.
For these reasons, Judge Hanley had
sufficient reasons to impose a sentence that
exceeded the Neal ceiling. And, given the
totality of Phelpss conduct, we conclude that
Phelpss composite sentence of 545 days to
serve is not clearly mistaken.24
Conclusion
The sentencing decision of the district court
is AFFIRMED.
_______________________________
1 At the time of Phelpss offenses, there was a single crime of
indecent exposure. Effective June 11, 1998, the Alaska
Legislature split the offense into two degrees, one a felony and
the other a misdemeanor. See SLA 1998, ch. 81, 3-4, which
enacted AS 11.41.458 and amended AS 11.41.460.
l ska 1970). 5.135(a) (setting the maximum penalty for class A
misdemeanors) and AS 12.30.060(2) (setting the maximum
penalty for failure to appear in connection with a
misdemeanor).
3 See State v. Chaney, 477 P.2d 441, 443-44 (Alaska 1970).
4 See, e.g., Tice v. State, 199 P.3d 1175, 1178 (Alaska App.
2008); Vandergriff v. State, 125 P.3d 360, 363-64 (Alaska
App. 2005); Powell v. State, 88 P.3d 532, 537-38 (Alaska
App. 2004) (felony cases); Peruski v. State, 711 P.2d 573,
574 (Alaska App. 1985); Brown v. State, 693 P.2d 324, 331
(Alaska App. 1984) (misdemeanor cases).
5 The text of these Standards (without the accompanying
commentary) is available at the American Bar Associations
web site:
http://new.abanet.org/sections/criminaljustice/Pages/Standards
.aspx
6 Wentz, 805 P.2d at 962-63.
7 See Wentz v. State, 777 P.2d 213, 215-16 (Alaska App. 1989).
8 Donlun, 527 P.2d at 475. See former ABA Sentencing
Alternatives and Procedures Standard 2.1 (1968), cited in
footnote 9 of Donlun, 527 P.2d at 475.
9 Pascoe, 628 P.2d at 550, citing the 1971 version of ABA
Sentencing Standard 2.1.
10Under former ABA Sentencing Standard 18-4.4(c) (1982), a
habitual offender was one who had been convicted of at least
two prior felonies (committed on different occasions) within
five years of the current offense, and who had previously
served a sentence of greater than 1 years imprisonment.
(Cited in Skrepich, 740 P.2d at 956.)
11Wentz, 805 P.2d at 965.
12Ibid.
13 Quoting Susanne DiPietro, The Development of Appellate
Sentencing Law in Alaska, 7 Alaska L. Rev. 265, 296
(1990).
14 See footnote 5 of the Williams opinion, 800 P.2d at 959.
15 Bumpus, 820 P.2d at 299-300.
16 Id. at 300-01, 305.
17 Id. at 305.
18 Hodari, 996 P.2d at 1231.
19 Hodari v. State, 954 P.2d 1048, 1052 (Alaska App. 1998).
20 Id. at 1051-52.
21 Hodari II, 996 P.2d at 1236.
22 Quoting Wentz, 805 P.2d at 966.
23AS 12.55.005 declares that the goals of sentencing are:
(1) the seriousness of the defendants present offense in
relation to other offenses;
(2) the prior criminal history of the defendant and the
likelihood of rehabilitation;
(3) the need to confine the defendant to prevent further
harm to the public;
(4) the circumstances of the offense and the extent to which
the offense harmed the victim or endangered the public
safety or order;
(5) the effect of the sentence to be imposed in deterring
the defendant or other members of society from future
criminal conduct;
(6) the effect of the sentence to be imposed as a community
condemnation of the criminal act and as a reaffirmation of
societal norms; and
(7) the restoration of the victim and the community.
24 See McClain v. State, 519 P.2d 811, 813-14 (Alaska 1974)
(an appellate court is to affirm a sentencing decision
unless the decision is clearly mistaken).
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