State v. Sasai. , 429 P.3d 1214 ( 2018 )

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Electronically Filed
Supreme Court
SCWC-XX-XXXXXXX
29-OCT-2018
08:24 AM
IN THE SUPREME COURT OF THE STATE OF HAWAIʻI
---oOo---
________________________________________________________________
STATE OF HAWAIʻI, Respondent/Plaintiff-Appellant,
vs.
MATTHEW SEAN SASAI, Petitioner/Defendant-Appellee,
(CAAP-XX-XXXXXXX; CASE NO. 1DCW-XX-XXXXXXX)
AND
STATE OF HAWAIʻI, Respondent/Plaintiff-Appellant/Cross-Appellee,
vs.
BRENT N. TANAKA, Petitioner/Defendant-Appellee/Cross-Appellant
(CAAP-XX-XXXXXXX; CASE NO. 1DCW-XX-XXXXXXX).
________________________________________________________________
SCWC-XX-XXXXXXX
CERTIORARI TO THE INTERMEDIATE COURT OF APPEALS
(CAAP-XX-XXXXXXX)
OCTOBER 29, 2018
RECKTENWALD, C.J., NAKAYAMA, McKENNA, POLLACK, AND WILSON, JJ.
OPINION OF THE COURT BY McKENNA, J.
I. Introduction
In this consolidated appeal, Matthew Sean Sasai and Brent
N. Tanaka (“Sasai” and “Tanaka,” respectively; collectively,
“Petitioners”) assert that their due process and equal
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protection rights were violated when they were each charged with
one count of Prostitution under Hawaii Revised Statutes (“HRS”)
§ 712-1200(1)(b) (2014). When Petitioners were charged, HRS §
712-1200(1)(b) provided that “[a] person commits the offense of
prostitution if the person . . . [p]ays, agrees to pay, or
offers to pay a fee to another to engage in sexual conduct,” and
HRS § 712-1200(1)(a) provided that “[a] person commits the
offense of prostitution if the person . . . [e]ngages in, or
agrees or offers to engage in, sexual conduct with another
person for a fee[.]” In their motions to dismiss, Petitioners
argued that HRS §§ 712-1200(1)(a) and (1)(b) prohibited the same
conduct, but subsection (1)(b) carried a harsher penalty because
it made them ineligible for a deferred acceptance of a guilty or
no contest plea (“DAG/DANC plea”) under HRS § 853-4(a)(13)(V)
(2014). They argued that pursuant to State v. Modica, 58 Haw.
249, 567 P.2d 420 (1977), where two crimes prohibit the same
conduct, it would violate their due process and equal protection
rights to convict them of the crime carrying the harsher
penalty. The District Court of the First Circuit (“district
court”)1 agreed and entered its Findings of Fact, Conclusions of
Law, and Order (“FOF/COL and Order”) on October 6, 2015,
1
The Honorable James H. Ashford presiding.
2
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granting Petitioners’ motions to dismiss based on Modica and
dismissing the charges with prejudice.
On appeal, a majority of the Intermediate Court of Appeals
(“ICA”) vacated the district court’s rulings in a Summary
Disposition Order (“SDO”), determining that HRS § 712-1200(1)(a)
applied only to sellers of sexual conduct while subsection
(1)(b) pertained only to purchasers. The ICA majority concluded
that subsections (1)(a) and (1)(b) therefore prohibited
different conduct, and that the district court erred in finding
a Modica violation. Judge Ginoza2 dissented, agreeing with the
district court that a person charged under HRS § 712-1200(1)(b)
could be charged under HRS § 712-1200(1)(a), and that subsection
(1)(b) carried a harsher penalty by virtue of ineligibility for
a DAG/DANC plea.
On certiorari, Petitioners assert the ICA majority erred in
vacating the district court’s order granting dismissal. We
agree, and we therefore vacate the ICA’s SDO and Judgment on
Appeal. Because the district court did not provide reasons for
its dismissal with prejudice, however, we remand these cases to
the district court for further proceedings consistent with this
opinion.
2
Judge Ginoza became Chief Judge effective April 24, 2018.
3
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II. Background
A. District Court Proceedings
On September 10, 2014, Sasai was charged with one count of
Prostitution, in violation of HRS § 712-1200(1)(b).3 Tanaka was
charged with the same offense on December 18, 2014.4
1. Petitioners’ Motions to Dismiss
On May 15, 2015, Tanaka filed his Motion to Dismiss for
Violation of Defendant’s Right to Due Process and Equal
Protection of the Laws (“Tanaka Combined Motion”). On June 9,
2015, Sasai filed his Motion to Dismiss for Violation of
Defendant’s Right to Due Process and Equal Protection of the
Laws (“Sasai Modica Motion”).5
In their respective motions, Petitioners requested their
charges be dismissed, arguing that being charged under HRS §
712-1200(1)(b) violated their due process and equal protection
rights under the United States and Hawaiʻi constitutions because
HRS § 712-1200(1)(b) carried a harsher punishment, but contained
“the exact same elements” as HRS § 712-1200(1)(a). They noted
that this court, in Modica, ruled that a felony conviction would
3
This case was 1DCW-14-4628, which became CAAP-15-865.
4
This case was 1DCW-14-5843, which became CAAP-15-866.
5
Sasai filed his Motion to Dismiss for Violation of Defendant’s Right to
Equal Protection of the Laws (“Sasai Equal Protection Motion”). That motion,
as well as part of the Tanaka Combined Motion, made an equal protection
argument based on alleged discriminatory enforcement of the prostitution
statute. Petitioners have not pursued that argument on certiorari.
4
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violate the defendant’s rights to due process and the equal
protection of the laws “where the same act committed under the
same circumstances is punishable either as a felony or as a
misdemeanor, under either of two statutory provisions, and the
elements of proof essential to either conviction are exactly the
same[.]” 58 Haw. at 251, 567 P.2d at 422 (citations omitted).
Petitioners argued “the Modica rule applies to any situation
where the elements of two different crimes regardless of their
classification are the same, but the statutory penalties are
different.”
Petitioners urged the district court to analyze “the
elements of the charges based on the particular facts of the
case[,]” as this court had done in State v. Hoang, 86 Hawai‘i 48,
947 P.2d 360 (1997), and the ICA had done in State v. Hatori, 92
Hawai‘i 217, 990 P.2d 115 (App. 1999). They contended that both
HRS §§ 712-1200(1)(a) and (1)(b) required “the ‘same act’ of
entering into an agreement for sexual conduct for a fee, which
implicitly involves agreement for payment,” and therefore that
act was punishable “under either HRS § 712-1200(1)(a) and HRS §
712-1200(1)(b) ‘precisely because the elements of proof
essential to either conviction are exactly the same.’” This
conclusion was supported, Petitioners contended, by the
legislative history of HRS § 712-1200.
5
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At the time Petitioners were charged, both HRS § 712-
1200(1)(a) and (1)(b) were petty misdemeanors punishable by a
mandatory $500 fine and up to thirty days in jail, but
convictions under subsection (1)(b) were not eligible for
deferred acceptance of guilty or no contest plea under HRS §
853-4(13)(V) (2014). Because the punishment for subsection
(1)(b) was more severe, that is, violators of subsection (1)(a)
could seek a deferred plea but violators of (1)(b) could not,
Petitioners asserted that their respective charges should be
dismissed as a violation of their due process and equal
protection rights under Modica.
In its memoranda in opposition to Petitioners’ respective
motions, the State submitted, based on its interpretation of HRS
§ 712-1200, that subsection (1)(a) should be read to apply only
to “those persons offering sex for a fee,” whereas subsection
(1)(b) should be read to apply to “those persons who offer a fee
for sex. . . .” The State urged the district court to read the
statute this way “to give proper meaning to all portions of §
712-1200,” and avoid rendering subsection (1)(b) a “nullity.”
Further, the State argued the legislative history of the statute
made clear that subsection (1)(b) was intended to apply to the
patrons of prostitutes.
The State contended that HRS §§ 712-1200(1)(a) and (1)(b)
did not have the same elements and did not prohibit the same act
6
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because “subsection (1)(a) applies to those who offer sex for
money, whereas subsection (1)(b) applies to those [who] offer
money for sex.” The State asserted “[t]he acts . . . reside on
opposite sides of the transaction or agreement and cannot,
therefore, be the same act.” Additionally, the State argued the
statutory penalties for violating subsections (1)(a) and (1)(b)
were the same, and asserted that a deferral is a “non-penalty”
because “[w]hether or not a deferral is an option is not the
punishment itself but is a delayed dismissal given certain
conditions.”
2. District Court’s FOF/COL and Order
The district court held a two-day consolidated hearing on
the motions to dismiss. Petitioners called three witnesses and
the district court accepted several stipulations.6 On July 21,
2015, the district court granted the Petitioners’ motions, based
on Modica, and dismissed their respective charges with
prejudice.7
On October 6, 2015, the district court filed its written
6
Petitioners called two Honolulu Police Department (“HPD”) officers and
one former prosecutor to testify to the State and HPD’s enforcement practices
with respect to HRS §§ 712-1200(1)(a) and (1)(b). The majority of that
testimony relates to the equal protection argument not before this court.
7
The district court took Petitioners’ discriminatory enforcement
argument under advisement, and later denied their motions with respect to
that argument.
7
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FOF/COL and Order.8 Based on the testimony of former Deputy
Prosecuting Attorney Klemen Urbanc (“Urbanc”), the district
court found that before the 2011 amendment to HRS § 712-1200(1),
“both [purchasers and sellers of sexual conduct] were prosecuted
under the same provision - HRS § 712-1200(1); the subdivisions
in what would later become HRS §§ 712-1200(1)(a) and (1)(b) did
not exist yet. The language in HRS § 712-1200 did not prohibit
Urbanc from prosecuting any [purchasers of sexual conduct]
charged with prostitution.” Factual stipulations, entered into
by the parties and the district court on June 26, 2015, further
explained how HRS § 712-1200 changed over time:
1. Prior to 1990, HRS § 712-1200(1) provided: “A person
commits the offense of prostitution if the person engages
in, or agrees or offers to engage in, sexual conduct with
another person in return for a fee.”
2. In 1990, HRS § 712-1200(1) was amended to delete the
phrase “in return” such that HRS § 712-1200(1) then read:
“A person commits the offense of prostitution if the person
engages in, or agrees or offers to engage in, sexual
conduct with another person for a fee.”
3. The language of HRS § 712-1200 remained the same from
1990 until July 1, 2012.[9]
4. Effective April 25, 2013, HRS [§] 853-4 excludes
persons charged under HRS § 712-1200(1)(b) from being able
to move for a deferred acceptance of a no contest or guilty
plea.
5. Conference Committee Report No. 76 provides that one of
the purposes of House Bill No. 240 [(the 2011 amendment to
8
Specifically, the district court’s Order (1) granted Sasai’s Modica
Motion; (2) denied Sasai’s Equal Protection Motion; and (3) granted in part
and denied in part Tanaka’s Combined Motion.
9
House Bill No. 240, which amended HRS § 712-1200 to include the
language at issue in this case, actually became effective July 1, 2011. H.B.
240, S.D. 1, C.D. 1, 26th Leg., Reg. Sess. (2011).
8
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HRS § 712-1200)] was to “[e]xtend the offenses of
prostitution and solicitation of prostitution to reach
those who pay, agree to pay, or offer to pay a fee to
another person to engage in sexual conduct.”
. . . .
The district court concluded that only a purchaser of
sexual conduct “can properly be charged under HRS § 712—
1200(1)(b)” but that “all persons charged with prostitution—
whether [purchasers of sexual conduct] or [sellers of sexual
conduct]—can properly be charged under HRS § 712-1200(1)(a).”
This conclusion was “evident from the plain language of HRS §
712-1200(1)(a),” the district court held, “as both (i) a
prospective or actual buyer of sex, and (ii) a prospective or
actual seller of sex, can be said to engage in, agree to engage
in, or offer to engage in sexual conduct with another person for
a fee (as required by HRS § 712-1200(1)(a)).” The enforcement
history of the statute also supported this conclusion, because
“[f]or many years, the State prosecuted both [purchasers and
sellers of sexual conduct] under an identical statute (HRS §
712-1200(1)),” and the fact that “the State prosecuted [sellers
and purchasers of sexual conduct] alike under a statute
substantively identical to the current HRS § 712-1200(1)(a) is
further evidence to support the conclusion that all persons now
charged with prostitution . . . can properly be charged under
HRS § 712-1200(1)(a).”
9
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The district court rejected the State’s argument “that the
Court’s interpretation of HRS § 712-1200(1)(a) would render HRS
§ 712-1200(1)(b) a nullity,” relying on its plain language
interpretation of the statute:
10. . . . HRS § 712-1200(1)(b) properly can be used to
charge [purchasers of sexual conduct], at least insofar as
charging a [purchaser of sexual conduct] with prostitution
would comport with the plain language of the statute.
Therefore, the Court’s interpretation of HRS § 712-
1200(1)(a) does not render HRS § 712-1200(1)(b) a nullity.
The Court does, however, find that HRS § 712-1200 (1)(b) is
superfluous. However, neither HRS § 712-1200(1)(a) nor HRS
§ 712-1200(1)(b) are ambiguous. Although the Hawai[ʻ]i
Legislature may have adopted a superfluous statute, the
Court cannot ignore the plain language of HRS § 712-
1200(1)(a); and it cannot ignore the legislative history of
HRS § 712-1200, or the history of enforcement of the
prostitution statute. Therefore, the Court cannot accept
the State's argument on this point.
11. In all cases that were brought under HRS § 712-
1200(1), and are or can be brought under HRS § 712-
1200(1)(a), the fundamental bargain is identical: the
accused offers to engage in sex (or agrees to engage in sex
or does, in fact, engage in sex) with another person in
exchange for a fee. This bargain is the same for both
parties involved, as they both agree to engage in sex for a
fee. Thus, the conduct is the same—engaging in sex for a
fee—regardless of whether the involved party is a [seller
of sexual conduct] or a [purchaser of sexual conduct].
Because a person charged under HRS § 712-1200(1)(b) is
prohibited from seeking a deferral of a guilty or no contest
plea under HRS § 853-4(a)(13)(V), the district court concluded
that “in practical effect, a person charged under HRS § 712-
1200(1)(b) is exposed to the possibility of a far harsher result
than a person charged under HRS § 712-1200(1)(a).” That
“harsher result” included a guaranteed fine, a potential jail
10
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sentence, and the inability to seek “deferral, dismissal and
expungement[.]”
The district court recognized that under Modica, “if a
violation of a misdemeanor statute would invariably and
necessarily also constitute a violation of a felony statute,
then it is a violation of equal protection and due process to
proceed against a defendant under the felony statute.”
Additionally, it noted a felony conviction is a due process and
equal protection violation “when the same act committed under
the same circumstances is punishable either as a felony or as a
misdemeanor[.]” Because Modica applied to differently classed
felonies in State v. Arceo, 84 Hawai‘i 1, 928 P.2d 843 (1996),
the district court concluded it should logically apply “to
differentially classed petty misdemeanors, such as charges under
HRS §[§] 712-1200(1)(a) and (1)(b).”
Finally, the district court concluded that the conduct
prohibited by HRS §§ 712-1200(1)(a) and (1)(b) was the same, and
“[t]herefore, the result should be the same, but it is not—due
to HRS § 853-4(a)(13)(V), which essentially discriminates
against defendants charged under HRS § 712-1200(1)(b).” The
district court further concluded that because “[t]he guiding
principle of Modica is that if the same conduct can be charged
more harshly under one statute than another,” it would be a
violation of the due process and equal protection clauses for
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the State to prosecute Petitioners under the “statute which
yields a harsher penalty.” The district court summarily
dismissed the charges against Sasai and Tanaka with prejudice.
The district court’s Judgment and Notice was entered on
October 10, 2015. The State appealed and Tanaka cross-
appealed.10
B. ICA Proceedings
On the State’s motion, Petitioners’ cases were consolidated
under CAAP-15-865.
In its opening brief, the State raised three points of
error related to the Petitioners’ Modica motions. First, the
State challenged COLs 5 through 12, in which the district court
interpreted the language of HRS §§ 712-1200(1)(a) and (1)(b) as
prohibiting the same conduct. The State reasserted its argument
that subsection (1)(a) applies solely to sellers of sexual
conduct because subsection (1)(b) applies solely to purchasers.
Second, the State disputed COLs 17 through 19, which analyzed
HRS §§ 712-1200(1)(b) and 853-4, asserting that even if HRS §
712-1200(1)(b) was subject to a harsher penalty, Modica did not
apply to the Petitioners’ cases because “the elements of the two
subsections are not the same.” Third, the State noted that
10
Tanaka’s cross appeal argued the Petitioners’ discriminatory
enforcement argument, and challenged errors in the FOF that Tanaka ultimately
conceded did not “significantly affect the district court’s ruling denying
Tanaka’s motion in part (or granting Tanaka’s motion in part).”
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Petitioners conceded the State could refile the charges under
HRS § 712-1200(1)(a) if the charges under subsection (1)(b) were
dismissed without prejudice.
The State asserted the district court’s interpretation of
HRS §§ 712-1200(1)(a) and (1)(b), in addition to rendering
subsection (1)(b) “superfluous,” also rendered HRS § 853-
4(a)(13)(V) void. The State opined that if the legislature
thought HRS § 712-1200(1)(a) applied to purchasers of sexual
conduct as well as sellers, “it could and it would have amended
the language . . . so that it would have been even clearer that
HRS § 712-1200(1)(a) is not a proper charge for those who buy
sex.”
Petitioners argued their alleged conduct would be a
violation of HRS § 712-1200(1)(a) that necessarily constituted a
violation of HRS § 712-1200(1)(b). They explained that in
Hoang, this court looked to the elements of the statutes,
language of the charging document, and the specific facts of the
case to determine whether a Modica violation had occurred. 86
Hawai‘i at 58, 947 P.2d at 370. Petitioners noted that in
Hatori, the ICA performed a similar analysis to conclude that,
as applied to the facts of that case, charging under a higher-
grade felony statute was a Modica violation. 92 Hawai‘i at 227,
990 P.2d at 125. Based on these cases, Petitioners asserted the
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State was required to prove the same facts under HRS §§ 712-
1200(1)(a) and (1)(b):
Under either of the two statutory provisions, the State
essentially must establish the following: a defendant
intentionally or knowingly entered into agreement with
another person; the first term of the agreement is to
engage in sexual conduct; and the second term of the
agreement is payment of a fee. Thus, the act of “agreeing
to engage in sexual conduct with another person for a fee,”
which is required for a conviction for HRS § 712-1200(1)(a)
is identical to the act of “agreeing to pay a fee to
another to engage in sexual conduct”, which is required for
the [sic] a conviction under HRS § 712-1200(1)(b). Clearly,
the harm, which the Modica rule seeks to prevent, is
perpetuated when the State is allowed to exercise unguided
discretion in choosing to charge a person under subsection
(1)(b) instead of (1)(a) when the elements of proof under
[sic] offense are identical.
Petitioners asserted subsections (1)(a) and (1)(b) provided
no limitations or guidance for their application, leaving the
State with unbridled discretion in choosing which defendants to
charge under which subsection. Although Petitioners conceded
that the legislature intended to render persons charged under
HRS § 712-1200(1)(b) ineligible for deferral, they contended the
legislature’s intent with respect to either HRS § 712-1200(1)(b)
or HRS § 853-4 was irrelevant to application of the Modica rule.
In reply, the State argued that a subsequent amendment to
HRS § 712-1200(1)(a) in 2016 “confirmed” the legislature’s
original intent was that HRS § 712-1200(1)(a) should apply to
sellers of sexual conduct and HRS § 712-1200(1)(b) should apply
to purchasers of sexual conduct. Specifically, the legislature
distinguished subsection (1)(a) from subsection (1)(b) by adding
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the phrase “in return,” so that subsection (1)(a) was violated
when a person engaged in sexual conduct “in return for a fee.”11
In its SDO, the ICA vacated the district court’s order
insofar as it granted the Petitioners’ motions based on Modica.
State v. Sasai, No. CAAP-15-865, State v. Tanaka, No. CAAP-15-
866 (App. Jun. 30, 2017) (SDO) at 2. While it concluded that
the district court’s reading of HRS § 712-1200(1)(b) was
correct, and that subsection applied only to purchasers of
sexual conduct, the ICA held that the district court erred in
determining that subsection (1)(b) was superfluous. Sasai, SDO
at 4. In order to “harmonize” subsections (1)(a) and (1)(b),
and give effect to them both, the ICA concluded that if
subsection (1)(b) applied to the purchasers of sexual conduct,
then subsection (1)(a) was meant to apply to the sellers of
sexual conduct. Sasai, SDO at 4-5. The ICA looked to the
legislative history of HRS § 712-1200(1)(b), as well as the
subsequent amendment to HRS § 712-1200(1)(a), to confirm its
interpretation of the statute. Sasai, SDO at 5.
Having determined that subsections (1)(a) and (1)(b)
prohibited different conduct, the ICA reasoned that the
subsections therefore contained different “essential elements
11
When the State filed its Reply Brief on June 2, 2016, it noted that the
amendment “was awaiting the Governor’s signature to go into effect.” The
amendment became effective on July 1, 2016. HRS § 712-1200 (2016).
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for each offense and can be punished differently.” Sasai, SDO
at 6. The ICA held that the Modica rule did not apply to
Petitioners’ cases and the district court erred in granting
their motions to dismiss. Id.
Judge Ginoza dissented. Sasai, SDO at 12 (Ginoza, J.,
dissenting). In her view, the history and plain language of HRS
§§ 712-1200(1)(a) and (1)(b) made clear that a person “who
pays/agrees to pay/offers to pay a fee to another to engage in
sexual conduct” could be charged under either subsection, and
that “the prohibited conduct was the same under both
subsections.” Sasai, SDO at 13 (Ginoza, J., dissenting). “In
short,” she explained, “for such person, the elements of proof
for conviction under either subsection (1)(a) or (1)(b) were the
same, and a violation of subsection (1)(a) would invariably and
necessarily constitute a violation of subsection (1)(b).”
Sasai, SDO at 13-14 (Ginoza, J., dissenting).
Judge Ginoza noted that although Modica addressed a felony
and a misdemeanor offense, this court has applied the Modica
rule to different grades of felonies in Arceo, and the ICA did
so in Hatori. Sasai, SDO at 14 (Ginoza, J., dissenting). She
opined that Modica applied to Petitioners’ cases, where both
subsection (1)(a) and subsection (1)(b) were petty misdemeanors
but “the penalty under subsection (1)(b) is more severe in that
a DAG is precluded under HRS § 853-4(a)(13)(V).” Id. In sum,
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Judge Ginoza would have affirmed the district court’s dismissal
of Petitioners’ charges. Id.
C. Application for Writ of Certiorari
Petitioners raise a single question in their Application:
“Whether the ICA majority gravely erred in holding that the
trial court erred in dismissing the charges due to violations of
Petitioners’ Due Process and Equal Protection rights pursuant to
State v. Modica, 58 Haw. 249, 567 P.2d 4[2]0 (1977).” They make
three arguments: first, the ICA majority incorrectly
interpreted HRS § 712-1200(1)(a) by relying on dictionary
definitions; second, the subsequent legislative history of HRS §
712-1200(1)(a) did not support the majority’s position; and
third, the majority judicially revised the statute, which was
improper.
Petitioners assert that, based on the ICA’s definition of
“engage” as “to do or take part in something,” a person can be
either the fee payer or fee recipient and commit prostitution
under HRS § 712-1200(1)(a). They contend that the “essence” of
the offense of prostitution “is that the parties enter into an
agreement or contract for sexual conduct for a fee.” Because
the statute contained no limitation to reduce the scope of
subsection (1)(a) to the sellers of sexual conduct, Petitioners
argue the plain language of HRS § 712-1200(1)(a) prohibited both
the buying and selling of sexual conduct.
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As to the ICA majority’s use of subsequent legislative
history, Petitioners assert that subsequent legislative history
“should be viewed with extreme caution,” citing precedent by
this court and persuasive authority from the United States
Supreme Court. Petitioners contend that, instead, the actual
legislative history of HRS § 712-1200(1)(a) is relevant, and its
1990 amendment made clear that the language of HRS § 712-1200(1)
was meant to apply to both sellers of sexual conduct and
purchasers. They assert the 2011 amendment splitting HRS § 712-
1200(1) into subsections (1)(a) and (1)(b) was intended to
prohibit the purchasing of sexual conduct. Based on committee
reports, Petitioners maintain, however, that the legislature
enacted the 2011 amendment because it was mistaken about the
effect of its 1990 amendment, which already prohibited that
behavior.
Petitioners argue that the 2016 amendment to HRS § 712-
1200(1)(a) was a substantive change to the law, not a
“clarification” of its language, because the statute was already
clear and unambiguous. Ultimately, they argue, the
legislature’s 2016 “clarification” of HRS § 712-1200(1)(a) to
“distinguish” it from subsection (1)(b) was indicative of the
fact that, previously, there was no distinction between the
sections, and purchasers of sexual conduct could have been
charged under either subsection (1)(a) or (1)(b).
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Finally, Petitioners assert the ICA majority’s
interpretation of HRS § 712-1200(1)(a) was an improper judicial
revision of the statute. They argue the ICA majority’s
interpretation of the word “engage” improperly limited the
application of subsection (1)(a) to the sellers of sexual
conduct, which did not comport with the plain and unambiguous
language of the statute. Furthermore, Petitioners opine that
the district court’s interpretation of subsection (1)(a) does
not render subsection (1)(b) superfluous. Rather, in their
view, it would mean that defendants charged under subsection
(1)(b) between April 25, 2013 and July 1, 2016, would have a
Modica challenge, as long as they were otherwise eligible for a
deferral.
II. Standards of Review
A. Questions of Law
Questions of law are reviewable de novo under the
right/wrong standard of review. State v. Jess, 117 Hawaiʻi 381,
391, 184 P.3d 133, 143 (2008).
B. Statutory Construction
This court’s construction of statutes is guided by the
following rules:
First, the fundamental starting point for statutory
interpretation is the language of the statute itself.
Second, where the statutory language is plain and
unambiguous, our sole duty is to give effect to its plain
and obvious meaning. Third, implicit in the task of
statutory construction is our foremost obligation to
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ascertain and give effect to the intention of the
legislature, which is to be obtained primarily from the
language contained in the statute itself. Fourth, when
there is doubt, doubleness of meaning, or indistinctiveness
or uncertainty of an expression used in a statute, an
ambiguity exists.
State v. Wheeler, 121 Hawaiʻi 383, 390, 219 P.3d 1170, 1177
(2009) (quoting Citizens Against Reckless Dev. v. Zoning Bd. of
Appeals of the City & Cty. of Honolulu, 114 Hawaiʻi 184, 193, 159
P.3d 143, 152 (2007)).
III. Discussion
A. Evolution of HRS § 712-1200
Before its amendment in 1990, HRS § 712-1200 provided: “A
person commits the offense of prostitution if the person engages
in, or agrees or offers to engage in, sexual conduct with
another person in return for a fee.” HRS § 712-1200(1) (1986)
(emphasis added). In 1990, the phrase “in return” was removed,
so that HRS § 712-1200(1) provided: “A person commits the
offense of prostitution if the person engages in, or agrees or
offers to engage in, sexual conduct with another person for a
fee.” 1990 Haw. Sess. Laws Act 204, § 1 at 442. As recounted
by the ICA in State v. Espinosa, 120 Hawai‘i 478, 210 P.3d 1
(App. 2009), “both the Senate and House Judiciary committees
noted . . . that the purpose of . . . amend[ing] HRS § 712–1200
[was] ‘to make it clear that the customer of a prostitute is
also guilty of the offense of prostitution[.]’” 120 Hawai‘i at
480, 201 P.3d at 3 (citing S. Stand. Comm. Rep. No. 325, in 1989
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Senate Journal, at 946; H. Stand. Comm. Rep. No. 1205–90, in
1990 House Journal, at 1316).
In 2011, the legislature further amended HRS § 712-1200(1),
splitting it into the two subsections at issue in this case.
H.B. 240, S.D. 1, C.D. 1, 26th Leg., Reg. Sess. (2011).
Although the 1990 amendment already rendered HRS § 712-1200(1)
applicable to the purchasers of sexual conduct, Espinosa, 121
Hawai‘i at 480, 210 P.3d at 3, the legislature’s 2011 amendment
intended to “[e]xtend the offense[] of prostitution . . . to
reach those who pay, agree to pay, or offer to pay a fee to
another person to engage in sexual conduct[.]” Conf. Comm. Rep.
No. 76 on H.B. No. 240 in 2011 House Journal, at 1630, 2011
Senate Journal, at 732. The Senate Standing Committee Report
specifically states the amendment was intended “to address the
concerns raised from the case State v. Espinoza[sic][.]” S.
Stand. Comm. Rep. No. 1137, in 2011 Senate Journal, at 1285.
Whether or not the legislature was mistaken as to the
effect of the 1990 amendment, the 2011 amendment retained the
language of HRS § 712-1200(1) (Supp. 1990) when it created HRS §
712-1200(1)(a) (Supp. 2011), which provided: “A person commits
the offense of prostitution if the person . . . [e]ngages in, or
agrees or offers to engage in, sexual conduct with another
person for a fee[.]” HRS § 712-1200(1)(a) (Supp. 2011). In
contrast, the newly created subsection (1)(b) contained new
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language: “A person commits the offense of prostitution if the
person . . . [p]ays, agrees to pay, or offers to pay a fee to
another to engage in sexual conduct.” HRS § 712-1200(1)(b)
(Supp. 2011).
Effective July 1, 2016, HRS § 712-1200(1)(a) now provides:
“A person commits the offense of prostitution if the person . .
. [e]ngages in, or agrees or offers to engage in, sexual conduct
with another person in return for a fee[.]” H.B. 2561, 28th
Leg., Reg. Sess. (2016) (emphasis in original). This amendment
was intended to “clarify” HRS § 712-1200(1)(a), “distinguishing
the offense from the offense under section 712-1200(1) . . . in
which the other person pays the fee[.]” Id. This case,
however, is governed by the previous version of the statute.
B. The Modica Rule
In Modica, this court held that a defendant’s rights to due
process of law and equal protection of the laws would be
violated when “a violation of [a] misdemeanor statute . . .
would invariably and necessarily constitute a violation of the
felony provision.” 58 Haw. at 250, 567 P.2d at 421 (citations
omitted). A defendant may not be convicted of an offense that
carries a harsher penalty than another offense containing the
same elements:
[W]here the same act committed under the same circumstances
is punishable either as a felony or as a misdemeanor, under
either of two statutory provisions, and the elements of
proof essential to either conviction are exactly the same,
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a conviction under the felony statute would constitute a
violation of the defendant’s rights to due process and the
equal protection of the laws.
58 Haw. at 251, 567 P.2d at 422 (citations omitted). However,
where the defendant’s conduct violates either of two statutes,
but the defendant is charged or convicted of the offense that
carries the lesser punishment, there is no Modica violation.
See Hoang, 86 Hawaiʻi at 59, 947 P.2d at 371 (holding that
because the defendant was charged with the misdemeanor offense,
he could not be convicted of the felony, and therefore “was not
threatened with unbridled, capricious, and prejudicial
prosecutorial discretion.”).
Although “[s]tatutes may on occasion overlap, depending on
the facts of a particular case, . . . it is generally no defense
to an indictment” that the defendant could have been charged
under another statute. Modica, 58 Haw. at 251, 567 P.2d at 422.
Rather, when statutes overlap, “the matter is necessarily and
traditionally subject to the prosecuting attorney’s discretion.”
58 Haw. at 251, 567 P.2d at 422. Overlapping statutes raise
constitutional concerns when, lacking legislative guidance,
prosecutors are left with unbridled discretion to charge
defendants with a more severe offense. 58 Haw. at 251, 567 P.2d
at 422 (citing State v. Pirkey, 281 P.2d 698, 703 (Or.
1955)(overruled on different grounds by City of Klamath Falls v.
Winters, 619 P.2d 217 (Or. 1980)) (holding it was
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unconstitutional “to vest in a grand jury or magistrate the
unguided and untrammeled discretion to determine whether a
defendant shall be charged with a felony or a misdemeanor[.]”);
Olsen v. Delmore, 295 P.2d 324, 327 (Wash. 1956) (citing Pirkey
for the proposition that the statute at issue “lodged . . .
discretion with prosecuting officials” and was therefore
unconstitutional)).12
Unbridled prosecutorial discretion has remained a chief
concern in this court’s application of the Modica rule. In
Arceo, the defendant was charged with one count of sexual
assault in the first degree, in violation of HRS § 707-
12
In United States v. Batchelder, 442 U.S. 114 (1979), the United States
Supreme Court held that it was not unconstitutional for two statutes with
different penalties to prohibit identical conduct, as long as the government
“does not discriminate against any class of defendants.” 442 U.S. at 124-25.
The Court held that a prosecutor’s decision to charge under one statute or
the other is never “unfettered” because “[s]electivity in the enforcement of
criminal laws is, of course, subject to constitutional constraints.” 442
U.S. at 125-26. In effect, Batchelder overruled Pirkey and Olsen insofar as
they held that it was unconstitutional under the equal protection clauses of
the federal constitution to grant such discretion to charging officials.
Some states have adopted the Batchelder analysis. See City of Klamath
Falls v. Winters, 619 P.2d 217 (Or. 1980) (recognizing that Batchelder
overruled Pirkey); see generally State v. Rooney, 19 A.3d 92 (Vt. 2011);
State v. Williams, 175 P.3d 1029 (Utah 2007); Johnson v. State, 61 P.3d 1234
(Wyo. 2003).
Some states have declined to follow Batchelder on state law grounds.
See generally State v. Thompson, 200 P.3d 22 (Kan. 2009); People v. Sharpe,
839 N.E.2d 492 (Ill. 2005); People v. Estrada, 601 P.2d 619 (Colo. 1979).
This court has continued to embrace the Modica rule. See Arceo, 84
Hawaiʻi 1, 928 P.2d 843 (applying the Modica rule in 1996, after Batchelder
was announced). We decline to adopt Batchelder. Our state constitution may
afford our citizens broader protections than the federal constitution.
Arceo, 84 Hawai‘i at 28, 928 P.2d at 870 (quoting State v. Wallace, 80 Hawai‘i
382, 397 n.14, 910 P.2d 695, 710 n.14 (1996)); State v. Hoey, 77 Hawai‘i 17,
36, 881 P.2d 504, 523 (1994)). As our cases after Batchelder could not have
been based on the federal constitution, they were based on the due process
and equal protection clauses of Article I, Section 5 of the Constitution of
the State of Hawaiʻi.
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730(1)(b)(1993), and one count of sexual assault in the third
degree, in violation of HRS § 707-732(1)(b)(1993). 84 Hawaiʻi at
2-3, 928 P.2d at 844-45. The State argued those offenses could
be charged as continuing offenses. 84 Hawaiʻi at 4, 928 P.2d at
846. This court disagreed, holding instead that each act in
violation of those statutes was a separate offense. 84 Hawaiʻi
at 21, 928 P.2d at 863. To hold otherwise, we concluded, would
have meant that “the same acts committed under the same
circumstances could, by virtue of the prosecution’s charging
option or whim, be punishable either as a single offense or as
multiple offenses, even though the elements of proof essential
to either result would be exactly the same.” 84 Hawaiʻi at 22,
928 P.2d at 864.
Although Modica analyzed a misdemeanor and a felony
statute, this court applied the Modica rule to two differently
classed felonies in Arceo. 84 Hawaiʻi at 22, 928 P.2d at 864.
As the focus of the Modica rule is curbing unbridled
prosecutorial discretion when identical conduct could constitute
crimes carrying punishments of differing severity, the Modica
rule can apply to offenses with the same or different statutory
classes. Thus, as in the present case, the Modica rule can
apply—if its requirements are otherwise met—to two petty
misdemeanors.
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In sum, the Modica rule requires the court to answer three
questions: (1) whether defendant’s alleged conduct is
punishable under either of two statutory provisions; (2) whether
the elements of proof essential to conviction under the statutes
are exactly the same; and, (3) whether the punishment for the
offense with which the defendant was charged or convicted is
greater than the punishment for the alternative offense. 58
Haw. at 250-51, 567 P.2d at 421-22.
C. Petitioners’ Charges Violated the Modica Rule
1. Petitioners’ conduct was punishable under either HRS
§§ 712-1200(1)(a) or (1)(b)
The threshold question of the Modica inquiry is whether the
defendant’s alleged conduct is punishable under either of two
statutory provisions. 58 Haw. at 251, 567 P.2d at 422. This
court’s analysis must begin with the plain language of the
statute. Wheeler, 121 Hawai‘i at 390, 219 P.3d at 1177.
When Petitioners were charged, HRS § 712-1200(1)(a)
provided that a person who “[e]ngages in, or agrees or offers to
engage in, sexual conduct with another person for a fee”
committed the offense of prostitution. HRS § 712-1200(1)(a)
(2014). Subsection (1)(b) provided that one who “[p]ays, agrees
to pay, or offers to pay a fee to another to engage in sexual
conduct” also commits the offense of prostitution. HRS § 712-
1200(1)(b) (2014).
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The ICA reasoned that because subsection (1)(b) was limited
to purchasers, subsection (1)(a) must therefore be limited to
sellers. Sasai, SDO at 4-5. The ICA looked to a 2016 amendment
of HRS § 712-1200(1)(a) to “confirm” its interpretation of the
pre-2016 text, and sought to “harmonize” subsections (1)(a) and
(1)(b) under the guidance of State v. Davis, 63 Haw. 191, 624
P.2d 376 (1981).13 Sasai, SDO at 4. The ICA erred in attempting
to “harmonize” the subsections of HRS § 712-1200 “to give effect
to them both” because the plain text of each subsection was
unambiguous.
Although HRS § 712-1200(2) (2014) defined “sexual conduct”
by reference to HRS § 707-700 (2014), neither of those sections
defined the terms “engages in” or “pays.” As the ICA noted,
courts may look to “legal or other well accepted dictionaries”
to ascertain the “ordinary meaning” of words in a statute.
State v. Jing Hua Xiao, 123 Hawai‘i 251, 259, 231 P.3d 968, 976
(2010). To “engage” is “[t]o employ or involve oneself; to take
13
Davis stated:
Statutes should be interpreted according to the intent and
meaning, and not always according to the letter, and every
part thereof must be viewed in connection with the whole so
as to make all parts harmonize, if practicable, and give a
sensible and intelligent effect to each.
Davis, 63 Haw. at 193, 624 P.2d at 380. Davis stands for the proposition
that statutes should be read in pari materia to discern their meaning. Davis
is not relevant to determining whether a defendant’s constitutional rights
under the Modica rule are implicated by different statutes or different
subsections of a statute.
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part in[.]”14 Black’s Law Dictionary (10th ed. 2014). The word
“pay” has multiple definitions, but HRS § 712-1200(1)(b) employs
it as a verb, and as such “pay” generally connotes a monetary
transaction between two or more parties. See Black’s Law
Dictionary (10th ed. 2014) (defining “pay” as “1. To give money
for a good or service that one buys; to make satisfaction . . .
3. To give (someone) money for the job that he or she does; to
compensate a person for his or her occupation[.]”)
By use of the phrase “[e]ngages in,” subsection (1)(a) made
it illegal to “involve oneself” or “to take part in” any “sexual
conduct with another person for a fee.” As the district court
correctly concluded, this language prohibits conduct on both
sides of the prostitution transaction. The purchasers and
sellers of sexual conduct both “take part in” and “involve
themselves” with prostitution. A person who offers sexual
conduct for a fee literally “employs” themselves in
prostitution, but the purchaser of sexual conduct is no less
“engaged” in the transaction.
Thus, because Petitioners’ alleged conduct was punishable
under either HRS § 712-1200(1)(a) or HRS § 712-1200(1)(b), the
first part of the Modica test is satisfied.
14
The ICA defined “engage” as “to do or take part in something.” Sasai,
SDO at 3 (quoting Merriam-Webster, https://www.merriam-
webster.com/dictionary/engage (last visited May 1, 2018)).
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2. The elements of proof essential to conviction under
HRS §§ 712-1200(1)(a) and (1)(b) are identical, as
applied to purchasers of sexual conduct
Turning to the second part of the Modica inquiry, a denial
of the defendant’s constitutional rights occurs “only if a
violation of the misdemeanor statute . . . would invariably and
necessarily constitute a violation of the felony provision.” 58
Haw. at 250, 567 P.2d at 421. Further, “the elements of proof
essential to either conviction” must be “exactly the same.” 58
Haw. at 251, 567 P.2d at 422.
As discussed above, all violations of HRS § 712-1200(1)(b)
would also be violations of subsection (1)(a), as it existed
before July 1, 2016. Subsection (1)(a), however, contains
broader language than subsection (1)(b), such that there are at
least two ways to “engage” in prostitution under that
subsection: one may pay, or one may otherwise “engage” by
selling sexual conduct. As a result, violation of subsection
(1)(a), the offense with the lesser punishment, is not
invariably and necessarily a violation of subsection (1)(b), the
offense with the greater punishment, and ordinarily the Modica
rule would not be violated. See State v. Kuuku, 61 Haw. 79, 82,
595 P.2d 291, 294 (1979) (finding no Modica rule violation where
there were “any number of ways by which the [misdemeanor]
statute may be violated without also violating the [felony]
statute.”); but see Hatori, 92 Hawai‘i at 227, 990 P.2d at 125
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(finding a Modica violation where the lesser offense prohibited
a broader range of conduct, but the conduct at issue would
always constitute a violation of both the lesser and greater
offenses).
Nonetheless, the 2011 amendment to HRS § 712-1200(1) made
possible the existence of “the very evils rendered unlawful by
the Modica rule.” See Arceo, 84 Hawaiʻi at 22, 928 P.2d at 864
(identifying due process and equal protection violations in a
charging practice subject to “the prosecution’s charging option
or whim”). The language of HRS § 712-1200(1) (Supp. 1990)
applied to both purchasers and sellers of sexual conduct, and
that language was used verbatim in HRS § 712-1200(1)(a) (2011).
Given that they have identical language, subsection (1)(a)
(Supp. 2011) should logically be interpreted the same way that
section (1) (Supp. 1990) once was — to apply to both purchasers
and sellers of sexual conduct.
As explained in Part III, Section C(1), the plain language
of HRS §§ 712-1200(1)(a) and (1)(b) (Supp. 2011) gave
prosecutors the ability to charge purchasers under either
subsection, at their discretion.15 The amendment of HRS § 712-
15
At the hearing on the motions to dismiss, a list of defendants charged
under HRS § 712-1200(1)(b) and the known dispositions of their cases was
admitted into evidence. That list of dispositions indicated that at least
four defendants charged under HRS § 712-1200(1)(b) after April 25, 2013, were
ultimately granted deferred pleas after the State amended their charges to
HRS § 712-1200(1)(a).
(continued. . .)
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1200(1) in 2011 created a Modica problem, because it leaves the
determination of the defendant’s charges and ultimate punishment
to be governed by the prosecutor’s discretion. See State v.
Lee, 75 Haw. 80, 93, 856 P.2d 1246, 1254 (1993) (“[A] criminal
statute is void for vagueness unless it . . . provides explicit
standards for those who apply the statute, in order to avoid
arbitrary and discriminatory enforcement and the delegation of
basic policy matters to policemen, judges, and juries for
resolution on an ad hoc and subjective basis.” (internal
quotations, brackets, and citation omitted)).
Whether a purchaser is charged under subsection (1)(a) or
(1)(b), the State must prove that the purchaser “engaged”
themselves in prostitution by paying, agreeing to pay, or
offering to pay another person to engage in sexual conduct. As
applied to the purchasers of sexual conduct, subsections (1)(a)
and (1)(b) prohibit the same conduct but prescribe different
punishment. Because elements of proof essential to conviction
under HRS §§ 712-1200(1)(a) and (1)(b) are the same, as applied
to purchasers of sexual conduct, the second part of the Modica
(. . . continued)
While the factual bases for these charges are not present in the
record, the fact that such amendments were possible supports our conclusion
that prosecutorial discretion, not the text of the statute or intent of the
legislature, determined whether defendants were prosecuted under HRS § 712-
1200(1)(b) instead of HRS § 712-1200(1)(a).
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test is met.16 Our holding is also consistent with the ICA’s
holding in Hatori that a Modica violation exists where the
lesser felony prohibited a broader range of conduct, but the
conduct at issue would always constitute a violation of both the
lesser and greater felonies. Hatori, 92 Hawai‘i at 227, 990 P.2d
at 125.
3. The punishment for HRS § 712-1200(1)(b) is greater
than the punishment for HRS § 712-1200(1)(a)
The final question in the Modica inquiry is whether the
punishment for the offense with which the defendant was charged
is greater than the punishment for the alternative offense. 58
Haw. at 251, 567 P.2d at 420.
Prostitution, under either subsection of HRS § 712-1200(1),
is a petty misdemeanor. HRS § 712-1200(3) (2014). First time
offenders face a mandatory fine of no less than $500 but no more
than $1000, with the possibility of up to thirty days of
imprisonment, unless the court has granted a deferred plea under
HRS Chapter 853. HRS § 712-1200(4)(a) (2014); HRS § 853-1(c)
(2014). Granting a DAG/DANC plea is discretionary. HRS § 853-
1(a). Under HRS § 853-4(a)(13)(V) (2014), the deferral statute
is not applicable if the offense charged is a violation of HRS §
712-1200(1)(b).
16
We emphasize that this “as applied” analysis is appropriate because the
amendment history of HRS § 712-1200(1) created uncertainty in the application
of previously understood language, which in turn significantly undermined the
legislative guidance provided by the text of the statute.
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Ineligibility for a DAG/DANC plea means that all defendants
charged under HRS § 712-1200(1)(b) are subject to the
aforementioned penalties for the crime of prostitution. Without
more specific guiding language in subsection (1)(a), it is the
prosecutor’s charging decision that ultimately determines
whether a defendant is charged under subsection (1)(a) or
(1)(b), and can attempt to seek deferral, or must face the
ordinary statutory penalty. Because the ability of first-time
offenders to seek a DAG/DANC has significant effect on their
potential punishment, HRS § 712-1200(1)(b) carries a harsher
punishment than subsection (1)(a), and the third part of the
Modica test is satisfied.
Based on the plain language of HRS §§ 712-1200(1)(a) and
(1)(b), as they existed at the time Petitioners were charged, we
conclude that Petitioners’ charges violated the Modica rule.17
The ICA erred in holding that Petitioners’ due process and equal
protection rights had not been violated.
D. Dismissal With Prejudice
Citing State v. Estencion, 63 Haw. 264, 625 P.2d 1040
17
The potential for the Modica violation challenged by Petitioners was
created when HRS § 712-1200(1)(b) was excluded from the DAG/DANC statute on
April 25, 2013. See S.B. 194, 27th Leg., Reg. Sess. (2013) (amending HRS §
853-4, effective April 25, 2013).
The 2016 amendment to HRS § 712-1200(1)(a) added the phrase “in return”
to subsection (1)(a) to further distinguish it from subsection (1)(b). H.B.
2561, 28th Leg., Reg. Sess. (2016). Only defendants who were otherwise
eligible for a DAG/DANC plea and were convicted under HRS § 712-1200(1)(b)
between April 25, 2013 and July 1, 2016 may be affected by the issue
Petitioners present here.
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(1981), the State asserted before the ICA that the district
court erred in dismissing the charges with prejudice, without
engaging in “any on the record balancing of the factors
necessary to determine whether dismissal should be with or
without prejudice.”
The Estencion factors must be analyzed when dismissing a
case for violation of Hawaiʻi Rules of Penal Procedure (“HRPP”)
Rule 48. In Estencion, we adopted factors listed in the Federal
Speedy Trial Act § 101, 18 U.S.C. § 3162(a)(1) (Supp. 1980), to
determine whether a charge should be dismissed with or without
prejudice for a HRPP Rule 48 violation, stating:
In determining whether to dismiss the case with or without
prejudice, the court shall consider, among others, each of
the following factors: the seriousness of the offense; the
facts and the circumstances of the case which led to the
dismissal; and the impact of a reprosecution on the
administration of this chapter and on the administration of
justice.
63 Haw. at 269, 625 P.2d at 1044 (quoting 18 U.S.C. § 3162(a)(1)
(Supp. 1980)).
We have yet to set out factors for a trial court to
consider to determine whether a criminal charge should be
dismissed before conviction with or without prejudice based on a
Modica violation. In general, trial courts have the inherent
power to dismiss a charge, and although the exercise of that
power is not limited to “extraordinary situations,” it must be
done “upon ‘balancing the interest of the state against
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fundamental fairness to a defendant with the added ingredient of
the orderly functioning of the court system[.]’” State v.
Hinton, 120 Hawai‘i 265, 277, 204 P.3d 484, 496 (2009) (quoting
State v. Moriwake, 65 Haw. 47, 56, 647 P.2d 705, 712 (1982)).
In State v. Fukuoka, 141 Hawaiʻi 48, 404 P.3d 314 (2017), a HRPP
Rule 48 case, we noted that in State v. Coyaso, 73 Haw. 352,
357, 833 P.2d 66, 69 (1992), we stated that “prejudice to the
defendant may [also] be a relevant consideration in the trial
court's decision to dismiss with or without prejudice”
under HRPP Rule 48. Fukuoka, 141 Hawaiʻi at 56, 404 P.3d at 322.
Estencion and its progeny lay out appropriate
considerations for a trial court in its determination of whether
to dismiss a criminal charge with or without prejudice in the
context of a pre-conviction dismissal for a Modica violation.
We hold that in the context of a pre-conviction dismissal for a
Modica violation, in determining whether to dismiss the case
with or without prejudice, the court must consider each of the
following factors: the seriousness of the offense, the facts
and the circumstances of the case that led to the dismissal, the
impact of a reprosecution on the administration of justice, and
prejudice to the defendant. Estencion referred to the
delineated factors as being “among others”; therefore, a court
may also consider other factors it deems relevant. The court
must, however, articulate the reasons for its decision to
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dismiss with or without prejudice. Cf. Fukuoka, 141 Hawaiʻi at
65, 404 P.3d at 331 (“In analyzing whether to dismiss a case
with or without prejudice for a violation of HRPP Rule 48, the
court must evaluate each Estencion factor and determine whether
the balance of factors weighs in favor of permitting or
prohibiting reprosecution.”)
In this case, as argued by the State, the district court
dismissed the charges with prejudice without providing any
reasons for its decision. We therefore remand these cases to
the district court for application of the appropriate factors
regarding whether the charges should be dismissed with or
without prejudice.
IV. Conclusion
For the reasons stated above, we vacate the ICA’s July 31,
2017 judgment on appeal, filed pursuant to its June 30, 2017
SDO, which vacated the district court’s October 16, 2015 order,
and we remand these cases to the district court for further
proceedings consistent with this opinion.
Antoinette Lilley and /s/ Mark E. Recktenwald
James S. Tabe
(John M. Tonaki and /s/ Paula A. Nakayama
Audrey L. Stanley
with them on the briefs) /s/ Sabrina S. McKenna
for petitioners
/s/ Richard W. Pollack
Brian R. Vincent
(Keith M. Kaneshiro /s/ Michael D. Wilson
with him on the briefs)
for respondent
36