State v. Sainz

• Decision Date: 18 June 1987
• Citation: 526 A.2d 1015,107 N.J. 283
• Parties: STATE of New Jersey, Plaintiff-Appellant, v. Carlos Rafael SAINZ, Defendant-Respondent.
• Court: New Jersey Supreme Court

Page 283

107 N.J. 283

526 A.2d 1015

STATE of New Jersey, Plaintiff-Appellant, v. Carlos Rafael SAINZ, Defendant-Respondent.

Supreme Court of New Jersey.

Argued March 3, 1987.

Decided June 18, 1987.

Jeffrey L. Menkin, Deputy Atty. Gen., for appellant (W. Cary Edwards, Atty. Gen., attorney).

Louis N. Rainone, for respondent (Karcher, McDonnell & Rainone, attorneys).

The opinion of the Court was delivered by

HANDLER, J.

This appeal raises several issues regarding sentencing for defendants who plead guilty to drug-related offenses. In particular we must determine whether explicit consideration of aggravating and mitigating factors must be undertaken when a court sentences a defendant for violation of the Controlled Dangerous Substances Act. We also consider the appropriate standards for appellate review of sentences imposed on defendants who plead guilty pursuant to a negotiated plea agreement.

In a search conducted pursuant to a warrant, the police discovered 108.6 grams of cocaine, of which 38 grams were pure free base, at the home of Carlos Rafael Sainz. Sainz and his wife were indicted for possession of one or more ounces of cocaine, including at least 3.5 grams pure free base, N.J.S.A. 24:21-10c(2), and possession of cocaine with intent to distribute, N.J.S.A. 24:21-19b(2).

Sainz agreed to a plea bargain, according to which he would plead guilty to the charge of possession with intent to distribute, the State would move to dismiss the other count against him and both counts against his wife, and the State would recommend a maximum custodial sentence of ten years. Sainz was sentenced to a term of ten years with three years of parole ineligibility, and a $25.00 penalty payable to the Victims Crime Compensation Board. Sainz appealed to the Appellate Division, challenging the validity of the search warrant and the trial court's failure to consider aggravating and mitigating factors in its sentencing decision. The Appellate Division in a reported decision upheld the validity of the search warrant but vacated Sainz's sentence and remanded the case for resentencing. State v. Sainz, 210 N.J.Super. 17, 509 A.2d 192 (1986). The State's petition for certification presenting the sentencing issues was granted, and Sainz's cross-petition for certification seeking review of the validity of the search was denied. 104 N.J. 453, 517 A.2d 440 (1986).

I.

The sentencing provisions of the Code of Criminal Justice (Code), N.J.S.A. 2C:1-1 to 98-4, are generally applicable to Controlled Dangerous Substances Act (CDS) violations, N.J.S.A 24:21-1 to -53. The only exceptions are the provisions relating to the degree of a crime. State v. Sobel, 183 N.J.Super. 473, 444 A.2d 598 (App.Div.1982); State v. Tremblay, 185 N.J.Super. 137, 447 A.2d 604 (Law Div.1982). The following language appears in the subsection of the Code dealing with degrees of crimes:

The provisions of this subsection shall not, however, apply to the sentences authorized by the "New Jersey Controlled Dangerous Substances Act," P.L. 1970, c. 226, which shall be continued in effect. A sentence imposed upon violation of the "New Jersey Controlled Dangerous Substances Act" shall be governed by this subtitle [Subtitle 3: Sentencing] but shall be subject to the maximum sentence authorized for the relevant offenses under said act.... [ N.J.S.A. 2C:43-1(b).]

Under the Code, the degree of crime has direct relevance to sentencing. An elaborate and integrated scheme correlates crimes to sentencing options. The degree of crime defines its gravity and is the most influential factor in dictating the appropriate sentence. N.J.S.A. 2C:43-1; State v. Roth, 95 N.J. 334, 471 A.2d 370 (1984); State v. Hodge, 95 N.J. 369, 471 A.2d 389 (1984). The Code has fairly specific standards for determining permissible sentences. For example, a crime of the first degree carries a presumptive term of 15 years and may, depending upon other factors, result in a maximum term of life imprisonment. N.J.S.A. 2C:43-6, 44-1, 44-2. The Code provides further that, in the application of its sentencing scheme, judicial discretion be expressly guided and limited by the determination and weighing of aggravating and mitigating factors. N.J.S.A. 2C:44-1 to -6. It is this process by which the sentencing court determines whether to follow or depart from the presumptive term that is a function of the degree of crime. Thus sentencing discretion under the Code involves an interplay between the degree of crime on the one hand and application of aggravating and mitigating factors on the other. See State v. Roth, supra.

The CDS had different provisions for determining a sentence. The CDS provided for terms of sentences without reference to a degree of crime. ¹ For example, possession of cocaine with the intent to distribute, the crime to which Sainz pled guilty, is punishable by imprisonment for up to life, a fine of up to $25,000, or both. N.J.S.A. 24:21-19b(2). Moreover, the CDS contained no express provisions that purport to prescribe standards to guide sentencing discretion. See N.J.S.A. 24:21-19 to -30 (1986 Supp.) (superseded). The narrow issue therefore is not whether Code aggravating and mitigating factors apply to CDS sentencing--they do apply by virtue of N.J.S.A. 2C:43-1(b)--but how these factors are to be used in imposing such sentences given the absence of degrees of crime under CDS to serve as the primary measure for an appropriate sentence.

We consider first the general purpose of aggravating and mitigating factors under the Code. Aggravating and mitigating factors are used to insure that sentencing is individualized without being arbitrary. The factors insure that the sentence imposed is tailored to the individual offender and to the particular crime he or she committed. By establishing under the Code presumptive sentences that could be supplanted only after a finding of a preponderance of aggravating or mitigating factors, the Legislature promoted a uniformity in sentencing practices. See N.J.S.A. 2C:44-1 to -6. Unlike the situation with Code offenses, there were no presumptive sentences for CDS Act violations. ² Nevertheless, the determination and weighing of aggravating and mitigating factors in CDS cases can serve the same purpose as in the Code. This process can guide judicial discretion and ensure uniformity and consistency in the exercise of this discretion. As observed by the Appellate Division, the determination and weighing of aggravating and mitigating factors is a "critical guideline for arriving at an appropriate sentence for a CDS Act offense[,] [i]n order to reduce unacceptable disparity" in sentencing. ³ Sainz, supra, 210 N.J.Super. at 24, 509 A.2d 192.

The further issue in this case is whether the trial court here properly exercised its sentencing discretion. We look first to the actual reasoning of the trial court when it sentenced Sainz to determine to what extent and with what effect it engaged in a consideration of aggravating and mitigating factors. The court in sentencing Sainz stated:

Do you understand what you've done, what this crime is all about, possession of pure free base cocaine with the intent to distribute it? Which means you were readily [sic] willing and able to distribute this poison to other persons without regard to what it might do to them or their family.

You were just here now. You heard this Court sentence a young lady who got in trouble because, at least in part, she was customer of persons like yourself, using that drug, using that controlled dangerous substance, upsetting her life, bringing tragedy to it and to her family.

The maximum sentence available to this Court for this crime is life imprisonment. The Court is asked to accept a plea agreement restricting the Court to only sentencing you to ten years in State's [sic] Prison. This Court rarely touches a presentence report in which there isn't an involvement in controlled dangerous substances, directly or indirectly. So, this poison goes on and on throughout our community, doing damage to the fabric of our community, its people, its families.

Because of those things that have been pointed out to this Court relative to the fact that you do not have a prior record this Court has resolved to accept this plea agreement, but nothing less than the plea agreement. Persons like yourself must be punished.

* * *

* * *

The Court resolved [sic] to accept the plea agreement, but no less. This is a most serious crime in the eyes of the legislature and in the eyes of this Court. This defendant must be punished for what he did, and his punishment not only be [sic] a deterrence to him, but to other persons.

Therefore, it is the sentence of this Court that the defendant be placed in the custody of the Commissioner of the Department of Corrections for a terms of ten years, with a three year parole disqualifier.

The State argued before the Appellate Division that the trial court's reasoning encompassed an implicit finding and weighing of aggravating and mitigating factors. ⁴ The State characterizes the trial court as finding three aggravating factors--the offense was a serious one, the offense involved the infliction of serious harm, and the need for deterrence--and one mitigating factor--Sainz had no prior record. See N.J.S.A. 2C:44-1a(1), -1a(2), -1a(9), -1b(7). However, even if it is correct to characterize the trial court's sentence as one based on a weighing of aggravating and mitigating factors, we believe that the determination and weighing of factors under the Code must be much more explicit especially when undertaken in imposing sentences under CDS. Appellate review of sentences under the Code, as well as under Title 24, would become nearly impossible if the appellate courts had to cull lengthy transcripts looking for hints of findings amid other discussions. See State v. Roth, supra; cf. Rule 3:21-4 ("At the time sentence is imposed the judge shall state his reasons for imposing such...