SUPREME COURT OF THE UNITED STATES
_________________
No. 15–8544
_________________
TRAVIS BECKLES, PETITIONER
v. UNITED
STATES
on writ of certiorari to the united states
court of appeals for the eleventh circuit
[March 6, 2017]
Justice Sotomayor, concurring in the
judgment.
Justice Ginsburg explains why the Court’s
holding today is unnecessary. See
ante, at 1–2 (opinion
concurring in judgment). Petitioner Travis Beckles was sentenced to
30 years in prison on the basis of commentary promul-gated by the
U. S. Sentencing Commission interpreting a sentencing provision
identical to the “residual clause” we held unconstitutionally vague
two years ago in
Johnson v.
United States, 576
U. S. ___ (2015). But
Johnson affords Beckles no
relief, because the commentary under which he was sentenced was not
unconstitutionally vague. Had the majority limited itself to this
conclusion, I would have joined its opinion. Instead, the majority
reaches far beyond what is necessary to resolve this case and
announces that the U. S. Sentencing Guidelines as a whole are
immune from vagueness challenges.
I write separately to explain why that holding
is not only unnecessary, but also deeply unsound. The Guidelines
anchor every sentence imposed in federal district courts. They are,
“ ‘in a real sense[,] the basis for the sentence.’ ”
Molina-Martinez v.
United States, 578 U. S. ___,
___ (2016) (slip op., at 9) (quoting
Peugh v.
United
States, 569 U. S. ___, ___ (2013) (slip op., at 11);
emphasis deleted). The Due Process Clause requires that rules this
weighty be drafted “with sufficient definiteness that ordinary
people can understand” them, and “in a manner that does not
encourage arbitrary and discriminatory enforcement.”
Kolender v.
Lawson, 461 U. S. 352, 357 (1983) .
Because I cannot agree with the majority’s conclusion to the
contrary, I respectfully concur in the judgment only.
I
A
The Due Process Clause prohibits the
Government from “taking away someone’s life, liberty, or property
under a criminal law so vague that it fails to give ordinary people
fair notice of the conduct it punishes, or so standardless that it
invites arbitrary enforcement.”
Johnson, 576 U. S., at
___ (slip op., at 3). The prohibition against vagueness in criminal
proceedings is “a well-recognized requirement, consonant alike with
ordinary notions of fair play and the settled rules of law.”
Connally v.
General Constr. Co., 269 U. S. 385,
391 (1926) . The doctrine rests on two justifications. First, it
ensures that people receive “fair notice of what is prohibited.”
United States v.
Williams, 553 U. S. 285, 304
(2008) . Second, it safeguards the integrity of the judicial system
by ensuring that criminal adjudications are not conducted in an
arbitrary manner and that terms of imprisonment are not imposed “on
an
ad hoc and subjective basis.”
Grayned v.
City of Rockford, 408 U. S. 104, 109 (1972) .
“These principles apply not only to statutes
defining elements of crimes, but also to statutes fixing
sentences.”
Johnson, 576 U. S., at ___ (slip op., at
4). Just two Terms ago, we struck down a sentencing law—the Armed
Career Criminal Act’s (ACCA) residual clause, 18 U. S. C.
§924(e)(2)(B)—as unconstitutionally vague. See 576 U. S., at
___ (slip op., at 15). We spent little time on whether the
vagueness doctrine applied to such provisions.
Id., at ___
(slip op., at 4). And for good reason: A statute fixing a sentence
imposes no less a deprivation of liberty than does a statute
defining a crime, as our Sixth Amendment jurisprudence makes plain.
See
Apprendi v.
New Jersey, 530 U. S. 466, 490
(2000) . We instead analyzed the residual clause in light of
“[n]ine years’ experience trying to derive meaning from” it, 576
U. S., at ___ (slip op., at 10), and declared the experiment a
failure. “Invoking so shapeless a provision to condemn someone to
prison for 15 years to life,” we held, “does not comport with the
Constitution’s guarantee of due process.”
Ibid.
B
The question before us is how these principles
apply to the U. S. Sentencing Guidelines.
Congress established the U. S. Sentencing
Commission in 1984 in order to address “[f]undamental and
widespread dissatisfaction” with the then-prevailing regime of
discretionary sentencing.
Mistretta v.
United States,
488 U. S. 361 –366 (1989); see Sentencing Reform Act of 1984,
§217(a), 98Stat. 2017. It charged the Commission with reducing “the
great variation among sentences imposed by different judges upon
similarly situated offenders” and the resulting “uncertainty as to
the time [each] offender would spend in prison.”
Mistretta,
488 U. S., at 366. The Sentencing Guidelines are the product
of that mandate. The Guidelines establish a framework “under which
a set of inputs specific to a given case (the particular
characteristics of the offense and offender) yiel[d] a
predetermined output (a range of months within which the defendant
[can] be sentenced).”
Peugh, 569 U. S., at ___ (slip
op., at 4). In doing so, the Guidelines ensure “
uniformity
in sentencing . . . imposed by different federal courts
for similar criminal conduct” and “
proportionality in
sentencing through a system that imposes appropriately different
sentences for criminal conduct of different sever-ity.”
Rita
v.
United States, 551 U. S. 338, 349 (2007) (in-ternal
quotation marks omitted).
The Guidelines today play a central role in
federal sentencing. Although no longer binding on federal courts,
see
United States v.
Booker, 543 U. S. 220, 245
(2005) , the Guidelines nonetheless “provide the framework for the
tens of thousands of federal sentencing proceedings that occur each
year,”
Molina-Martinez, 578 U. S., at ___ (slip op., at
2). A district court must “begin all sentencing proceedings by
correctly calculating the applicable Guidelines range.”
Gall
v.
United States, 552 U. S. 38 –50 (2007). The court
must entertain the parties’ arguments and consider the factors set
forth in 18 U. S. C. §3553(a) as possible grounds for
deviation from the Guidelines range, 552 U. S., at 49–50, and
“may not presume the . . . range is reasonable,”
id., at 50. But it must explain any deviation from the range
on the record, and it must “ensure that the justification is
sufficiently compelling to support the degree of the variance.”
Ibid.; see
Peugh, 569 U. S., at ___–___ (slip
op., at 17–18). A district court that incorrectly calculates the
Guidelines range commits reversible procedural error, see
Gall, 552 U. S., at 51; a district court that imposes a
sentence within the correct Guidelines range, by contrast, may be
afforded a presumption that the sentence it has imposed is
reasonable, see
Rita, 551 U. S., at 347.
The importance of the Guidelines in this
process, as we explained last Term, makes them “not only the
starting point for most federal sentencing proceedings but also the
lodestar.”
Molina-Martinez, 578 U. S., at ___ (slip
op., at 10). In most cases, it is the range set by the Guidelines,
not the minimum or maximum term of imprisonment set by statute,
that specifies the number of years a defendant will spend in
prison. District courts impose a sentence within the Guidelines (or
below the Guidelines based on a Government motion) over 80% of the
time.
Ibid.; see 2015 Annual Report and 2015 Sourcebook of
Federal Sen-tencing Statistics (20th ed.) (Figure G), online at
http://www.ussc.gov/sites/default/files/pdf/research-and-publications/annual-reports-and-sourcebooks/2015/FigureG.pdf
(as last visited Feb. 27, 2017). And when Guidelines ranges
change—because the Guidelines themselves change, or because the
court is informed of an error it made in applying them—sentences
change, too.[
1] See
Molina-Martinez, 578 U. S., at ___ (slip op., at 10);
Peugh, 569 U. S., at ___ (slip op., at 13). It is
therefore no exaggeration to say that the Guidelines are,
“ ‘in a real sense[,] the basis for the sentence’ ”
imposed by the district court.
Molina-Martinez, 578
U. S., at ___ (slip op., at 9) (quoting
Peugh, 569
U. S., at ___ (slip op., at 11); emphasis deleted).
C
It follows from the central role that the
Guidelines play at sentencing that they should be susceptible to
vagueness challenges under the Due Process Clause.
Contrary to the majority’s conclusion, an
inscrutably vague Guideline implicates both of the concerns
animating the prohibition on vagueness. First, a district court’s
reliance on such a Guideline deprives an ordinary person of “fair
notice” of the consequences of his actions. See
Johnson, 576
U. S., at ___ (slip op., at 3). A defendant is entitled to
understand the legal rules that will determine his sentence. But a
vague Guideline is by definition impossible to understand. Take the
career-offender Guideline at issue here. We explained in
Johnson that the identically worded provision in the ACCA
created “pervasive disagreement” among courts imposing sentences as
to “the nature of the inquiry” that they were required to conduct.
Id., at ___ (slip op., at 9). The result was a law that was
“ ‘nearly impossible to apply consistently.’ ”
Ibid. (quoting
Chambers v.
United States, 555
U. S. 122, 133 (2009) (Alito, J., concurring in judgment)). An
ordinary person cannot be expected to understand the consequences
that such a shapeless provision will have on his sentence.[
2]
Second, and more importantly, a district court’s
reliance on a vague Guideline creates a serious risk of “arbitrary
enforcement.” See
Johnson, 576 U. S., at ___ (slip op.,
at 3). As set out above, although the Guidelines do not bind a
district court as a
formal matter, as a
functional
matter they “anchor both the district court’s discretion and the
appellate review process.”
Peugh, 569 U. S., at ___
(slip op., at 18). It introduces an unacceptable degree of
arbitrariness into sentencing proceedings to begin by applying a
rule that is so vague that efforts to interpret it boil down to
“guesswork and intuition.”
Johnson, 576 U. S., at ___
(slip op., at 8). One judge may conduct a statistical analysis to
decide that a defendant’s crime of conviction is not a crime of
violence. Another may rely on gut instinct to conclude that it is.
Still a third may “throw [our] opinions into the air in
frustration, and give free rein to [her] own feelings” in making
the decision.
Derby v.
United States, 564 U. S.
1047, 1049 (2011) (Scalia, J., dissenting from denial of
certiorari). Importantly, that decision is the end of the ballgame
for a criminal defendant. Although he may ask the judge to vary
downward from the Guidelines range, he must take the range as the
starting point for his request. He may ask for a month here or a
month there, but he is negotiating from a baseline he cannot
control or predict. The result is a sentencing proceeding
hopelessly skewed from the outset by “unpredictability and
arbitrariness.”
Johnson, 576 U. S., at ___ (slip op.,
at 6). The Due Process Clause does not tolerate such a
proceeding.
Consider, by way of example, a hypothetical
version of Beckles’ own sentencing proceeding in which the
commentary played no clarifying role. Beckles was convicted of
possessing a firearm as a convicted felon, in violation of 18
U. S. C. §922(g)(1), and sentenced to 360 months in
prison. That sentence sat at the bottom end of the applicable
Guidelines range, factoring in the career-offender Guideline: 360
months to life. But had the career-offender Guideline
not
applied to Beckles, the Guidelines range calculated by the District
Court would have been significantly lower: 262 to 327 months. See
Beckles v.
United States, Civ. No. 10–23517 (SD Fla.,
Mar. 4, 2013), App. 129–130. Absent that Guideline, Beckles would
have been sentenced to between 33 and 98 fewer months in prison.
The District Court admitted as much, explaining that had the
Guideline not applied, she “would not have imprisoned Beckles to
360 months” in prison.
Id., at 149 (emphasis deleted). Years
of Beckles’ life thus turned solely on whether the career-offender
Guideline applied. There is no meaningful way in which the
Guideline exerted less effect on Beckles’ sentence than did the
statute setting his minimum and maximum terms of imprisonment;
indeed, it was the Guidelines, not just the statute, that “fix[ed]”
Beckles’ “sentenc[e]” in every meaningful way.
Johnson, 576
U. S., at ___ (slip op., at 4). Nothing of substance, in other
words, distinguishes the Guidelines from the kind of laws we held
susceptible to vagueness challenges in
Johnson; both law and
Guideline alike operate to extend the time a person spends in
prison. The Due Process Clause should apply equally to each.
II
The majority brushes past this logic in its
decision to shield the Guidelines from vagueness challenges. In
doing so, it casts our sentencing jurisprudence into doubt and
upends the law of nearly every Court of Appeals to have considered
this question.[
3] None of its
explanations justify its novel and sweeping conclusion.
A
The majority first reasons that the Guidelines
are not susceptible to vagueness challenges because they “do not
fix the permissible range of sentences,”
ante, at 5, but
merely “guide district courts in exercising their discretion,”
ante, at 8. But we have not embraced such formalism before,
and the majority provides no coherent justification for its
decision to do so here.
Indeed, we have refused before to apply exactly
the formalistic distinction that the majority now embraces. In
Espinosa v.
Florida, 505 U. S. 1079, 1081 (1992)
(
per curiam), we held that a state’s capital aggravating
factor that was drafted in a manner “so vague as to leave the
sentencer without sufficient guidance for determining the presence
or absence of the factor” violated the Eighth Amendment. The factor
was unconstitutional, we explained, notwithstanding the fact that
only the jury, not the judge, was instructed on the factor; that
the judge, not the jury, made the final decision to sentence the
defendant to death; and that the judge, in doing so, was not
required to defer to the jury’s recommendation. “This kind of
indirect weighing of an invalid aggravating factor,” we explained,
“creates the same potential for arbitrariness as the direct
weighing of an invalid aggravating factor.”
Id., at 1082. In
doing so, we effectively rejected just the argument the majority
now embraces: that advisory guidelines lack the kind of binding
legal effect that subject them to constitutional scrutiny.
If there were any doubt that advisory sentencing
guidelines are subject to constitutional limits, we dispelled it in
Peugh, where we held that the Guidelines are amenable to
challenges under the
Ex Post Facto Clause. See 569
U. S., at ___ (slip op., at 1). There, the Government argued
that the “advisory” nature of the Guidelines rendered them immune
from such claims.
Id., at ___ (slip op., at 8). But we
rejected such an argument. “The federal system,” we explained,
“adopts procedural measures intended to make the Guidelines the
lodestone of sentencing,” and “considerable empirical evidence
indicate[s] that the . . . Guidelines have the intended
effect.”
Id., at ___–___ (slip op., at 12–13). We declined
the Government’s invitation to limit our
ex post facto
jurisprudence to rules that, as a formal matter, “increase[d] the
maximum sentence for which a defendant is eligible.”
Id., at
___ (slip op., at 8). And we explained that a rule may exert
“ ‘binding legal effect’ through . . . procedural
rules and standards for appellate review that, in combination,
encourag[e] district courts to sentence within the guidelines.”
Id., at ___ (slip op., at 16). It was not true, we
concluded, that “the Guidelines are too much like guideposts and
not enough like fences,”
ibid.; instead, the Guidelines were
just fencelike enough—just lawlike enough—that they cannot be
shielded from the Constitution’s reach.
The same principle should dictate the same
result in this case. How can the Guidelines carry sufficient legal
weight to warrant scrutiny under the Eighth Amendment and the
Ex
Post Facto Clause, but not enough to warrant scrutiny under the
Due Process Clause? Cf.
United States v.
Hurlburt,
835 F. 3d 715, 724 (CA7 2016) (en banc) (“We see no principled way
to distinguish
Peugh on doctrinal grounds”). The majority
offers no convincing answer. It asserts that the Due Process Clause
“requires a different inquiry” than these provisions do.
Ante, at 10. But it does not explain why it views this as
relevant to the constitutional status of the Guidelines. A court
considering a challenge to a criminal statute under the
Ex Post
Facto Clause will apply a different legal standard than will a
court considering a vagueness challenge to the same statute; that
does not make the statute more or less susceptible to
constitutional challenge in one context than the other. Our opinion
in
Peugh is particularly difficult for the majority to
escape, given that the
Ex Post Facto Clause, like the Due
Process Clause’s prohibition against vagueness, is rooted in
concerns about “fair warning” and “ ‘fundamental
fairness.’ ” 569 U. S., at ___ (plurality opinion) (slip op.,
at 13). The majority musters no persuasive explanation for why
those concerns would have less force in this context than in that
one. That is because none exists.[
4]
B
The majority next posits that because courts
have long sentenced defendants under purely discretionary regimes,
there can be no vagueness concern with any system that, like the
Guidelines regime, sets guideposts on the exercise of discretion.
Ante, at 6–7. But this argument fundamentally misunderstands
the problem caused by a court’s reliance on a vague sentencing
guideline.
True enough, for many years, federal courts
relied on “a system of indeterminate sentencing” in criminal cases.
Mistretta, 488 U. S., at 363; see also K. Stith &
J. Cabranes, Fear of Judging: Sentencing Guidelines in the Federal
Courts 9–14 (1998). Under such a scheme, a sentencing judge
considers the full range of relevant aggravating and mitigating
facts and circumstances, as well as his view of proper sentencing
policy, and then imposes a sentence in light of those
considerations. See
Koon v.
United States, 518
U. S. 81, 113 (1996) (“It has been uniform and constant in the
federal judicial tradition for the sentencing judge to consider
every convicted person as an individual and every case as a unique
study in the human failings that sometimes mitigate, sometimes
magnify, the crime and the punishment to ensue”). As the majority
notes, no party here “suggests that a system of purely
discretionary sentencing could be subject to a vagueness
challenge.”
Ante, at 7. The majority reasons that the
Guidelines—which limit the sentencing judge’s discretion from what
he otherwise would have enjoyed—must therefore also be immune from
vagueness attacks.
Ibid.
But the majority misapprehends the nature of the
constitutional infirmity that occurs when a sentencing judge relies
on an inscrutably vague guideline. A defendant who is sentenced
under a purely discretionary regime does not face the prospect of
“arbitrary enforcement” by the sentencing judge,
Kolender,
461 U. S., at 358; rather, he faces a fact- and
context-sensitive determination informed by the exercise of
reasoned judgment. A defendant sentenced pursuant to an impossibly
vague Guideline, by contrast, is put in an untenable position. The
“lodestone” of his sentence—the baseline against which the district
court will assess his characteristics and his conduct—is set by a
rule that is impossible to understand. Such a proceeding is the
antithesis of due process. See
Giaccio v.
Pennsylvania, 382 U. S. 399, 403 (1966) (“Implicit in
[due process] is the premise that the law must be one that carries
an understandable meaning with legal standards that courts must
enforce”). It is not reliance on discretion that makes a sentencing
regime vague; it is reliance on an impenetrable rule as a baseline
for the exercise of that discretion. Reliance on a rule of this
kind, whether set out in a statute or in a Guideline, does not
comport with “ ‘ordinary notions of fair play.’ ”
Johnson, 576 U. S.
, at ___ (slip op., at 4).
C
The majority ends by speculating that
permitting vagueness attacks on the Guidelines would call into
question the validity of many Guidelines, and even the factors that
Congress has instructed courts to consider in imposing sentences.
See
ante, at 11–12. In doing so, the major-ity once more
resuscitates arguments we have already considered and
dismissed.
Johnson confronted and rejected a version
of this argument. There, the Government contended that “dozens of
federal and state criminal laws use terms like ‘substantial risk,’
‘grave risk,’ and ‘unreasonable risk,’ ” terms that—in its
view—were indistinguishable from the residual clause at issue in
that case. 576 U. S., at ___ (slip op., at 12). We rejected
the argument, explaining that such rules “call[ed] for the
application of a qualitative standard such as ‘substantial risk’ to
real-world conduct; ‘the law is full of instances where a man’s
fate depends on his estimating rightly . . . some matter
of degree.’ ”
Ibid. (quoting
Nash v.
United
States, 229 U. S. 373, 377 (1913) ). What rendered the
ACCA’s residual clause unconstitutionally vague, we explained, was
not that it required “gauging the riskiness of conduct in which an
individual defendant engages
on a particular occasion,” but
that it required the application of an ambiguous standard “to an
idealized ordinary case of the crime.” 576 U. S., at ___ (slip
op., at 12). Holding the residual clause unconstitutionally vague,
in other words, cast no doubt on the dozens of laws elsewhere in
the U. S. Code requiring the application of general standards to
particular conduct.
The same is true here. The sentencing factors
described by the majority bear no similarity to the categorical
risk analysis that the Court held unconstitutionally vague in
Johnson, nor to any other statutes it has previously found
vague. Congress’ instruction to district courts to consider, for
instance, “the nature and circumstances of the offense and the
history and characteristics of the defendant,” §3553(a)(1), bears
little resemblance to statutes requiring subjective determinations
as to whether conduct is “annoying” or “unjust.” See
Coates
v.
Cincinnati, 402 U. S. 611 –616 (1971);
United
States v.
L. Cohen Grocery Co., 255 U. S. 81, 89
(1921) .[
5] And to the extent
that the majority’s concern is that subjecting sentencing factorsto
the Due Process Clause’s prohibition on vagueness would risk the
demise of discretionary sentencing regimes, that prospect is
unlikely, for the reasons I have already explained.
* * *
It violates the Due Process Clause “to condemn
someone to prison” on the basis of a sentencing rule “so shapeless”
as to resist interpretation. 576 U. S., at ___ (slip op., at
10). But the Court’s decision today permits exactly that result.
With respect, I concur only in the judgment.