Opinion ID: 1060560
Heading Depth: 1
Heading Rank: 5

Heading: Conflicting Goals of Alternative Sentencing and Incarceration Based on Deterrence

Text: The inconsistent application of the law after the 1989 Criminal Sentencing Reform Act may be attributed, at least in part, to the apparent conflict between the goals of the Act and the policies supporting deterrence theory generally. The 1989 Act is clear that among its purposes is the elimination of unjustified disparity in sentencing and the giving of first priority in prison sentencing to convicted felons committing the most serious offenses. Tenn.Code Ann. § 40-35-102(2), (5). The rebuttable presumption of alternative sentencing in section 40-35-102(6) was drafted so as to give recognition and effect to these principles. Nevertheless, because some aspect of deterrence is present in every case, a blanket policy allowing incarceration based solely upon deterrence could do significant harm to these purposes, if not eliminate them all together. In an effort to balance these competing interests and goals, we re-emphasize that the record must contain some proof of the need for deterrence before a defendant, who is otherwise eligible for probation or other alternative sentence, may be incarcerated. The proof of deterrence requirement, despite its unique ability to elude definition, is perhaps the only method by which to prevent wholesale damage to the goals of the 1989 Criminal Sentencing Reform Act. In retaining the proof requirement, though, we must necessarily overrule all of the prior cases which have found certain crimes to be deterrable per se. Although we have stated that the need for deterrence varies according to the class of the offense, Ashby, 823 S.W.2d at 170, not every infraction of a given class of offenses signals a need for deterrence. See id. Indeed, such a rationale is contrary to the notion of individualized sentencing, which underlies alternative sentencing theory under the 1989 Act generally. See State v. Dowdy, 894 S.W.2d 301, 305 (Tenn.Crim.App.1994). Nevertheless, because we recognize the General Assembly's continued policy of allowing incarceration based solely on the need for deterrence, we cannot require that the proof of deterrence be so overwhelming as to effectively remove deterrence as a consideration. [11] Deterrence is a complex psychological process, and the focus on deterrence through changes in the penalty structure or sentencing behavior represents but one part of the calculus. Section 40-35-103(1)(B) recognizes this reality as the language of the statute requires only that confinement be particularly suited to provide a deterrent effect, and it does not require proof that incarceration will or should deter others from committing similar crimes. Although some casesmost notably State v. Bingham, 910 S.W.2d 448 (Tenn.Crim.App.1995) and State v. Bonestel, 871 S.W.2d 163, 169 (Tenn.Crim.App.1993) have required that the record show that the sentence imposed will have a deterrent effect, this standard is contrary to the language of the statute. Therefore, to the extent that Bingham , Bonestel , or any other case can be read to require proof that incarceration will or should result in deterrence, it is hereby overruled. Although research on the deterrence aspects of criminal law has progressed since the earliest attempts to empirically study the subject fifty years ago, we doubt whether the marginal deterrence of a defendant receiving incarceration over probation can ever be proven to the extent seemingly required by some of our cases. Deterrence involves undemonstrable predications about human behavior, but the theory is as hard to disprove as it is to prove for the same reasons.... However, the strength of the theory is in its generality; its foundation is in common sense and there is some evidence to support it. United States v. Lucas, 2 M.J. 834, 840 (A.C.M.R.1976) (citing Bailey and Smith, Punishment: Its Severity and Certainty, 63 J.Crim.L. & Criminology 530, 531 (1974)). Although no system of punishments can ever ensure total deterrence, common sense tells us that the risk of unpleasant consequences should be a very strong motivational factor for most people in most situations. Because the science of deterrence is imprecise at best, the trial courts should be given considerable latitude in determining whether a need for deterrence exists and whether incarceration appropriately addresses that need. Accordingly, we will presume that a trial court's decision to incarcerate a defendant based on a need for deterrence is correct so long as any reasonable person looking at the entire record could conclude that (1) a need to deter similar crimes is present in the particular community, jurisdiction, or in the state as a whole, and (2) incarceration of the defendant may rationally serve as a deterrent to others similarly situated and likely to commit similar crimes. [12] To be certain, the General Assembly has envision[ed] an examination of the deterrence factor in the context of each case and assigning it such weight, credit and value as the circumstances warrant. State v. Michael, 629 S.W.2d 13, 15 (Tenn.1982). Therefore, in order to facilitate more meaningful appellate review, and to ensure greater consistency in this aspect of sentencing, trial courts should consider factors, such as the following, when deciding whether a need for deterrence is present and whether incarceration is particularly suited to achieve that goal: 1) Whether other incidents of the charged offense are increasingly present in the community, jurisdiction, or in the state as a whole. This factor speaks to the particular need for deterrence, and it is a slight modification of one standard that has been used by the Court of Criminal Appeals. See Horne, 612 S.W.2d at 187; Vance, 626 S.W.2d at 290. We note that this standard has typically been limited to showing that deterrence would occur in the jurisdiction. See, e.g., State v. Bingham, 910 S.W.2d 448, 455 (Tenn.Crim.App.1995); Horne, 612 S.W.2d at 187. Neither section 40-35-103(1)(B), nor our decision in Ashby , however, supports limiting the deterrent effect to the jurisdiction of the sentencing court. Indeed, such a limitation ignores that many crimes can have tangible effects in parts of the state other than where jurisdiction is first obtained. Accordingly, to the extent that any case does not permit proof of deterrence beyond the jurisdictional confines of the sentencing court, it is overruled. Use of statistics may be helpful in establishing the increasing level of the particular crime in the community, jurisdiction, or in the state. See State v. Boggs, 932 S.W.2d 467, 477 & n.9 (Tenn.Crim.App.1996). We do not require such evidence, though, and testimony by someone with special knowledge of the level of a particular crime will generally be sufficient to establish the presence of this factor. 2) Whether the defendant's crime was the result of intentional, knowing, or reckless conduct or was otherwise motivated by a desire to profit or gain from the criminal behavior. Actions that are the result of intentional, knowing, or reckless behavior or those motivated by a desire to profit from illegal activity are probably more deterrable than those which are not the result of a conscious effort to break the law. Indeed, this is the very rationale that underlies the deterrence aspect of punitive damages in tort law. See Hodges v. S.C. Toof & Co., 833 S.W.2d 896, 901 (Tenn.1992). Common sense tells us that we may have less ability to deter crimes which are the result of provocation, sudden and extreme passion, or even negligent behavior, irrespective of whether others who commit similar crimes are incarcerated or given probation. 3) Whether the defendant's crime and conviction have received substantial publicity beyond that normally expected in the typical case. A fundamental requirement of deterrence is that others know of the punishment received. If others are generally unaware of the defendant's conviction and sentence, then the defendant's punishment cannot reasonably serve as a deterrent to others. For example, in State v. Downey, 945 S.W.2d 102 (Tenn.1997), we recognized that advance publicity of roadblocks significantly enhanced their value as deterrents to intoxicated drivers. Id. at 111 (stating that [w]e believe advance publicity furthers the deterrence rationale for the use of a sobriety roadblock.... The State's contention that advanced publicity was unnecessary because the roadblock was well-marked at the scene completely ignores the deterrence rationale.). See also United States v. Danilow Pastry Co., 563 F.Supp. 1159, 1167 (S.D.N.Y.1983) (Finally, deterrence is fostered by the publicity garnered by the sentences.); United States v. Braun, 382 F.Supp. 214, 215 (S.D.N.Y.1974) (stating that it remains a source of queasiness to realize that deterrence means `making examples' of people (despite the moral and philosophic questions that raises); [and] that our relatively anonymous defendant adds at most to a mass of indistinguishable examples). It should be stressed, however, that in this age of instant access to virtually all types of information, something more than a newspaper article or television report is necessary to fulfill this factor. The defendant's crime and conviction need not be known to the community, jurisdiction, or state as a whole, so long as they are known to that discrete community of individuals likely to commit similar crimes. Criminal acts by a professional in his or her official capacity, for example, need not be publicized statewide before deterrence may be considered as a factor. In most cases, substantial publicity within the defendant's professional community would probably suffice to meet this factor. 4) Whether the defendant was a member of a criminal enterprise, or substantially encouraged or assisted others in achieving the criminal objective. Other persons commonly engaged in a criminal enterprise with the defendant should be less likely to engage in the criminal conduct if the defendant is convicted and incarcerated. See State v. Boyd, 925 S.W.2d 237, 245 (Tenn.Crim.App.1995) (upholding denial of probation, in part, on deterrence grounds when defendant was a leader in a criminal enterprise); see also United States v. Sessa, 821 F.Supp. 870, 875 (E.D.N.Y.1993) (imposing life imprisonment in excess of federal sentencing guidelines based on deterrence because defendants were leaders of organized crime family). For deterrence purposes, this factor extends to those who are following the directions of another, as well as to those actually leading the criminal enterprise. 5) Whether the defendant has previously engaged in criminal conduct of the same type as the offense in question, irrespective of whether such conduct resulted in previous arrests or convictions. Repeated occurrences of the same type of criminal conduct by a defendant generally warrant a more emphatic reminder that criminal actions carry consequences. Although the statute speaks in terms of general deterrence, it has been recognized that general deterrence is possible only after specific deterrence has first been achieved. See State v. Jarbath, 114 N.J. 394, 555 A.2d 559, 564 (1989) (stating that the absence of any personal deterrent effect greatly undermines the efficacy of a sentence as a general deterrent. We have recognized recently that general deterrence unrelated to specific deterrence has relatively insignificant penal value.). This factor is also similar to the enhancement factor in section 40-35-114(1), and for deterrence purposes, other similar behavior not resulting in arrest may be taken into consideration. Cf. State v. Robinson, 971 S.W.2d 30, 46 (Tenn. Crim.App.1997) (There is no per se rule in Tennessee against considering unadjudicated conduct [in sentencing]. The trial court is merely prohibited from relying upon a mere arrest record to enhance a defendant's sentence.). We recognize that any enumeration of factors in this nebulous area is imperfect, and we do not preclude proof of any other factors deemed relevant by the sentencing court. These factors are meant to serve only as a guide, and a court need not find that all of these factors are present before ordering incarceration based on a need to deter similar crimes. Additional factors may be considered by the sentencing court, provided that (1) the sentencing court states these additional factors on the record with specificity, and (2) the presence of these additional factors is supported by at least some proof.