Opinion ID: 2056690
Heading Depth: 3
Heading Rank: 5

Heading: Facial Analysis of SORNA of 1999 in Conjunction with the Seven Mendoza-Martinez Factors

Text: [¶ 35] The first Mendoza-Martinez factor is whether SORNA of 1999 involves an affirmative disability or restraint. 372 U.S. at 168, 83 S.Ct. 554. Here, we inquire how the effects of the [a]ct are felt by those subject to it. If the disability or restraint is minor and indirect, its effects are unlikely to be punitive. Smith, 538 U.S. at 99-100, 123 S.Ct. 1140. [¶ 36] In Smith, the Supreme Court concluded that this factor indicated that the Alaska statute was civil because it imposes no physical restraints, it restrains no activities sex offenders may pursue, and it leaves them free to change jobs or residences. Id. at 100, 123 S.Ct. 1140. The Court further concluded that any occupational or housing disadvantages that could occur as a result of the procedures employed under the statute would occur in any event because the information about the individual's conviction is already in the public domain. Id. Any adverse consequences flow not from the availability of the information by virtue of the Alaska sex offender statute, but from the fact of a criminal conviction that is already a matter of public record. Id. at 100-01, 123 S.Ct. 1140. [¶ 37] Letalien asserts that the Alaska statute is distinguishable because it does not contain provisions similar to those in SORNA of 1999 requiring quarterly, in-person verification procedures. We agree. These provisions, which require lifetime registrants, under threat of prosecution, to physically appear at their local law enforcement agencies within five days of receiving a notice by mail, place substantial restrictions on the movements of lifetime registrants and may work an impractical impediment that amounts to an affirmative disability. See Doe, 2007 ME 139, ¶ 32, 932 A.2d at 562. The majority in Smith concluded that the procedure at issue, which did not require updates to be made in person, did not amount to a form of supervision. 538 U.S. at 101, 123 S.Ct. 1140. Here, however, quarterly, in-person verification of identity and location of home, school, and employment at a local police station, including fingerprinting and the submission of a photograph, for the remainder of one's life, is undoubtedly a form of significant supervision by the state. In this respect, SORNA of 1999 imposes a disability or restraint that is neither minor nor indirect. [9]
[¶ 38] For the second Mendoza-Martinez factor, we consider whether sanctions imposed by SORNA of 1999 have historically been regarded as punishment. 372 U.S. at 168, 83 S.Ct. 554. In Smith, the Supreme Court considered Alaska's statute in light of the colonial punishments of public shaming, humiliation, and banishment, and concluded that the dissemination of truthful information in furtherance of a legitimate governmental objective could not be considered punishment. See Smith, 538 U.S. at 97-98, 123 S.Ct. 1140. The use of the Internet to disseminate sex offender registrant information did not alter the Supreme Court's conclusion. See id. at 99, 123 S.Ct. 1140. The Court found that [t]he purpose and the principal effect of notification are to inform the public for its own safety, not to humiliate the offender. Widespread public access is necessary for the efficacy of the scheme, and the attendant humiliation is but a collateral consequence of a valid regulation. Id. Maine's statutory scheme is indistinguishable in this respect and, for the reasons articulated by the Supreme Court in Smith, we conclude that Internet posting pursuant to SORNA of 1999 is not punitive in purpose or effect. However, Internet posting aside, there is another aspect of Maine's statutory scheme that is distinguishable from that considered in Smith. [¶ 39] The unique history of the development of sex offender registration laws in Maine is integral to the question of whether the retroactive application of SORNA of 1999 to offenders who were sentenced on or after June 30, 1992, and before September 18, 1999, should be regarded as punishment. [10] SORA of 1991 authorized sentencing judges, as part of the sentencing process, to waive an offender's duty to register. See 34-A M.R.S.A. § 11003(4)(D) (Supp.1992). This same sentencing authority was continued in SORNA of 1995. See 34-A M.R.S. § 11121(6)(D) (Supp.1996). In addition, a statutory provision enacted contemporaneously with SORNA of 1995 explicitly provided:  As part of a sentence, the court shall order every natural person who is a convicted sex offender ... to satisfy all requirements set forth in the Sex Offender Registration and Notification Act. 17-A M.R.S.A. § 1152(2-C) (Supp.1996) (emphasis added) (enacted by P.L. 1995, ch. 680, § 4). [¶ 40] As previously discussed, the District Court determined that Letalien's conviction was in 1996, and thus the version of the sex offender registration statute in effect at the time of his conviction was enacted in 1995, effective in 1996 [SORNA of 1995]. P.L. 1995, ch. 680, § 13 (effective July 4, 1996) (codified at 34-A M.R.S.A. §§ 11101-11144 (Supp.1996)). Section 4 of P.L. 1995, ch. 680, provided: As part of a sentence, the court shall order every natural person who is a convicted sex offender ... to satisfy all requirements set forth in the Sex Offender Registration and Notification Act. P.L. 1995, ch. 680, § 4 (codified at 17-A M.R.S.A. § 1152(2-C) (Supp.1996)). Although this provision was in effect on August 30, 1996, the day Letalien was convicted, the separate section of the public law establishing the registration requirements provided, This chapter applies to all sex offenders sentenced or placed in institutional confinement under Title 15, section 103 on or after September 1, 1996. P.L. 1995, ch. 680, § 13 (codified at 34-A M.R.S.A. § 11102 (Supp.1996)). Thus, while the sentencing provision in the 1995 Public Law was in effect and controlled Letalien's sentence imposed on August 30, 1996, the registration provisions of SORNA of 1995 specifically applied to sex offenders sentenced on or after September 1, 1996. [¶ 41] In this appeal, the State has not assigned as error the District Court's legal conclusion that Letalien was subject to SORNA of 1995. Nonetheless, its brief proceeds from the premise that Letalien's registration requirement arose initially under Chapter 11 [(SORA of 1991)]. Letalien's brief on appeal also treats SORA of 1991 as the applicable law. [¶ 42] We have not previously addressed whether offenders who were sentenced on or after July 4, 1996, but before September 1, 1996, were subject to SORNA of 1995 through the operation of 17-A M.R.S.A. § 1152(2-C) (Supp.1996). We decline to resolve the question in this case because it has not been cited as error, it has not been briefed, and it does not bear on the outcome. In addition, the registration requirements for Letalien were the same under both laws. Whether Letalien was originally subject to SORA of 1991 or SORNA of 1995, sex offender registration was an integral part of the sentencing process and, thus, the resulting sentence. Unlike the sentence imposed on offenders after the effective date of SORNA of 1999 (September 18, 1999), the sentences of offenders imposed after the effective date of SORA of 1991 (June 30, 1992), and continuing after the effective date of SORNA of 1995 (July 4, 1996), rested, at least in part, on the sentencing court's exercise of judicial discretion. We thus reject the State's contention that those offenders whose registration obligations [under SORNA of 1999] arose after they had been sentenced received no prior court `determination' or `sentence' to comply with SORNA. [¶ 43] Because sex offender registration was required to be part of Letalien's criminal sentence, the retroactive application of SORNA of 1999's requirements to Letalien modified and enhanced a portion of his criminal sentence. The requirement that he register for fifteen years, with the possibility of early termination after five years, has been superseded by the requirement that he register for life with no possibility of early termination. Although the State correctly points out that courts may order defendants to comply with various civil regulatory provisions as a condition of probation if the court imposes a partially or wholly suspended sentence, the fact remains that sex offender registration was required to be an integral part of the original sentencing process and resulting sentence for Letalien's crime of gross sexual assault at the time of his conviction. Because of this, the retroactive application of SORNA of 1999 makes more burdensome the punishment for a crime after its commission. Joubert, 603 A.2d at 869 (quoting Collins, 497 U.S. at 42, 110 S.Ct. 2715). The second Mendoza-Martinez factor suggests that SORNA of 1999 is punitive as applied to those offenders who were originally made subject to SORA of 1991 or SORNA of 1995. [11]
[¶ 44] The third factor asks whether the obligation to register according to SORNA is triggered only on a finding of scienter. Mendoza-Martinez, 372 U.S. at 168, 83 S.Ct. 554. In Haskell we concluded that it is not and that this factor supports SORNA being viewed as non-punitive. 2001 ME 154, ¶ 17, 784 A.2d at 12.
[¶ 45] The fourth factor requires consideration of whether SORNA of 1999 promotes retribution and deterrence, the traditional aims of punishment. Mendoza-Martinez, 372 U.S. at 168, 83 S.Ct. 554. The Supreme Court in Smith found that Alaska's statute was not punitive merely because the statute might deter future crimes, nor was it retributive, even though it was applied based upon the extent of the wrongdoing rather than the extent of the risk posed. 538 U.S. at 102, 123 S.Ct. 1140. Like the Alaska statute considered in Smith, Maine's SORNA of 1999 differentiates between individuals convicted of aggravated or multiple offenses and those convicted of a single nonaggravated offense. Id. ; see 34-A M.R.S. § 11203(5), (8) (2008). The Court recognized in Smith that [t]he broad categories, however, and the corresponding length of the reporting requirement, are reasonably related to the danger of recidivism, and this is consistent with the regulatory objective. 538 U.S. at 102, 123 S.Ct. 1140. [¶ 46] The categories considered in Smith are different from those at issue here. Under the Alaska law, Letalien's offense would have required him to register for fifteen years. See Alaska Stat. §§ 11.41.436, 12.63.020(2), 12.63.100(6) (LEXIS through 2009 First Special Session). Under SORNA of 1999, Letalien must register for life. The record of this case provides us little basis to assess the reasonableness of this widely disparate treatment and whether Maine's requirement of lifetime registration is reasonably related to the danger of recidivism. We thus treat this factor as neutral on the issue of SORNA of 1999's punitive effect.
[¶ 47] The fifth factor requires us to consider whether the behavior to which SORNA applies is already a crime. Mendoza-Martinez, 372 U.S. at 168, 83 S.Ct. 554. This factor was addressed only briefly by the majority in Smith, which found it to be of little weight in the case. 538 U.S. at 105, 123 S.Ct. 1140. Justice Souter noted in his concurring opinion, however: The fact that the [a]ct uses past crime as the touchstone, probably sweeping in a significant number of people who pose no real threat to the community, serves to feed suspicion that something more than regulation of safety is going on; when a legislature uses prior convictions to impose burdens that outpace the law's stated civil aims, there is room for serious argument that the ulterior purpose is to revisit past crimes, not prevent future ones. Id. at 109, 123 S.Ct. 1140. [¶ 48] Because registration under SORNA of 1999 only applies to offenders who were convicted of specified crimes, does not arise based on individualized assessment of an offender's risk of recidivism, and cannot be waived based on proof that an offender poses little or no risk, SORNA of 1999 applies exclusively to behavior that is already a crime. It is punitive in effect in this respect. See generally Smith, 538 U.S. at 112-13, 123 S.Ct. 1140 (Stevens, J., dissenting); Doe v. Alaska, 189 P.3d 999, 1015 (Alaska 2008).
[¶ 49] Next, we consider the sixth factorwhether SORNA of 1999 has a rational connection to a non-punitive purpose. Mendoza-Martinez, 372 U.S. at 168-69, 83 S.Ct. 554. As was the case in Smith, SORNA of 1999 was enacted to serve the legitimate non-punitive purpose of public safety. See Smith, 538 U.S. at 102-03, 123 S.Ct. 1140; 34-A M.R.S.A. § 11201 (Pamph.1999). The Supreme Court concluded that Alaska's statute was rationally connected to its purpose and narrowly drawn, despite the statute's applicability to all convicted sex offenders as a class, despite the requirement that registrants register for their lifetimes regardless of the duration of the threat posed by any individual registrant, and even though it placed no limits on who had access to the information on the sex offender registry. Id. at 90, 103-05, 123 S.Ct. 1140. [¶ 50] There is no doubt that SORNA of 1999 serves a valid governmental purpose separate from punishment. The Legislature declared that SORNA of 1999 is intended to protect the public from potentially dangerous registrants by enhancing access to information concerning those registrants. 34-A M.R.S. § 11201 (2008). Protecting the public from potentially dangerous sex offenders is, without question, a compelling state interest in furtherance of the state's police powers. Among the fundamental natural rights recognized by the Maine Constitution is the right of all people to pursu[e] and obtain[ ] safety and happiness. Me. Const. art. I, § 1. The protection advanced by SORNA is among the most basic obligations state government owes its peopleensuring their safety. In accord with the sixth Mendoza-Martinez factor, SORNA of 1999 has a rational connection to a non-punitive purpose.
[¶ 51] The seventh factor addresses whether SORNA of 1999 appears excessive in relation to the alternative purpose assigned. Mendoza-Martinez, 372 U.S. at 169, 83 S.Ct. 554. In Smith, the Supreme Court described excessiveness in the following terms: The excessiveness inquiry of our ex post facto jurisprudence is not an exercise in determining whether the legislature has made the best choice possible to address the problem it seeks to remedy. The question is whether the regulatory means chosen are reasonable in light of the nonpunitive objective. 538 U.S. at 105, 123 S.Ct. 1140. Reasonableness is an objective standard. We analyze excessiveness in this case as it relates to the increased burdens resulting from SORNA of 1999's retroactive application to individuals who were originally subject to a fifteen-year registration period under SORA of 1991 or SORNA of 1995, but who are now subject to lifetime registration and quarterly in-person verification. [¶ 52] To determine reasonableness, we rely on the record before us, the authorities cited by the parties and amicus curiae, the published decisions of other courts, and common sense. From these sources, we find insufficient information with which to gauge whether the regulatory means chosenin particular, increasing the registration period from fifteen years to life without the possibility of a waiver, and increasing the verification from infrequent notices to quarterly in-person reporting and fingerprinting at a police stationare reasonable in light of the law's non-punitive purpose. In Smith, the Supreme Court found the durational requirements of the Alaska law were reasonably related to the danger of recidivism and, therefore, were not excessive. 538 U.S. at 104, 123 S.Ct. 1140. However, under the Alaska statute considered in that case, Letalien would have been required to report for fifteen years, not for life, and, after his initial registration, his verification would have been in writing on an annual basis. [12] See 538 U.S. at 90, 101, 123 S.Ct. 1140; see also Alaska Stat. §§ 12.63.010(d)(1), 12.63.020(2) (LEXIS through 2009 First Special Session). We are left uncertain as to whether the vastly longer degree of regulation of registered offenders such as Letalien required by SORNA of 1999 is reasonable. [13] What is more certain is the substantial impact that this change will have, first on the lives of the affected offenders, and second, on public safety. [¶ 53] First, regarding SORNA of 1999's impact on registered offenders, although the law disseminates truthful information, much of which may be otherwise available to the public through far less accessible means, many of the persons included in the registry may no longer pose a danger to the public. One of the primary objectives of criminal sentencing is the rehabilitation of the offender, 17-A M.R.S. § 1151(1) (2008). No statistics have been offered to suggest that every registered offender or a substantial majority of the registered offenders will pose a substantial risk of re-offending long after they have completed their sentences and probation, including any required treatment. The registry, however, makes no such distinctions. For the public, the substantiality of the risk every registrant poses is suggested by the government's initiative in establishing the registration, verification, and community notification requirements in the first place. All registrants, including those who have successfully rehabilitated, will naturally be viewed as potentially dangerous persons by their neighbors, co-workers, and the larger community. [14] It is unknown to what extent this reality will impair the opportunity for rehabilitated offenders to reintegrate and become productive members of society. [¶ 54] Second, the over-inclusive aspect of the registration requirement has a corresponding positive benefit in that it assures that the public has ready access to information for a longer period regarding a group of individuals who, at least as a class of persons, pose a public safety risk. Even in the absence of individualized risk assessments of registrants, information concerning the conviction history and current whereabouts of every sex offender benefits public safety. [¶ 55] Although we lean toward the view that the increased regulatory scheme of SORNA of 1999 appears excessive when applied to registered offenders previously made subject to SORA of 1991 or SORNA of 1995 because there is no consideration of the individual circumstances or rehabilitation of each offender, we are left uncertain. Accordingly, we treat this factor as neutral.