ALITO, J., DISSENTING
CUNNINGHAM V. CALIFORNIA
549 U. S. ____ (2007)
SUPREME COURT OF THE UNITED STATES
NO. 05-6551
JOHN CUNNINGHAM, PETITIONER
v.
CALIFORNIA
on writ of certiorari to the court of appeal of
california, first appellate district
[January 22, 2007]
Justice Alito, with whom Justice
Kennedy and Justice Breyer join, dissenting.
The California sentencing law
that the Court strikes down today is indistinguishable in any
constitutionally significant respect from the advisory Guidelines
scheme that the Court approved in
United States v.
Booker,
543
U. S. 220 (2005). Both sentencing schemes grant trial judges
considerable discretion in sentencing; both subject the exercise of
that discretion to appellate review for “reasonableness”; and
both—the California law explicitly, and the federal scheme
implicitly—require a sentencing judge to find some factor to
justify a sentence above the minimum that could be imposed based
solely on the jury’s verdict. Because this Court has held
unequivocally that the post-
Booker federal sentencing
system satisfies the requirements of the Sixth Amendment, the same
should be true with regard to the California system. I therefore
respectfully dissent.
I
In
Apprendi v.
New
Jersey,
530 U.
S. 466 (2000), and the cases that have followed in its wake,
the Court has held that under certain circumstances a criminal
defendant possesses the Sixth Amendment right to have a jury find
facts that result in an increased sentence. The Court, however, has
never suggested that all factual findings that affect a defendant’s
sentence must be made by a jury. On the contrary, in
Apprendi and later cases, the Court has consistently
stated that when a trial court makes a fully discretionary
sentencing decision (such as a sentencing decision under the
pre-Sentencing Reform Act of 1984 federal sentencing system), the
Sixth Amendment permits the court to base the sentence on its own
factual findings. See
id., at 481;
Blakely v.
Washington,
542 U. S. 296, 305
(2004);
Booker,
supra, at 233; see also
Harris v.
United States,
536 U. S. 545, 558
(2002).[
Footnote 1]
Applying this rule, the
Booker Court unanimously agreed that judicial factfinding
under a purely advisory guidelines system would likewise comport
with the Sixth Amendment. Writing for the five Justices who struck
down the mandatory Federal Sentencing Guidelines system, Justice
Stevens stated:
“If the Guidelines as currently
written could be read as merely advisory provisions that
recommended, rather than required, the selection of particular
sentences in response to differing sets of facts, their use would
not implicate the Sixth Amendment. We have never doubted the
authority of a judge to exercise broad discretion in imposing a
sentence within a statutory range… . For when a trial judge
exercises his discretion to select a specific sentence within a
defined range, the defendant has no right to a jury determination
of the facts that the judge deems relevant.”
Booker,
supra, at 233
.[Footnote 2]
In a similar vein, the
remedial portion of the Court’s opinion in Booker, written by
Justice Breyer, held that the Sixth Amendment permits a system of
advisory guidelines with reasonableness review.[
Footnote 3] Justice Breyer’s opinion avoided a
blanket invalidation of the Guidelines by excising the provision of
the Sentencing Reform Act, 18 U. S. C. §3553(b)(1) (2000 ed.,
Supp. IV), that required a sentencing judge to impose a sentence
within the applicable Guidelines range. See
Booker, 543 U.
S., at 259. As Justice Breyer explained, “the existence of
§3553(b)(1) is a necessary condition of the constitutional
violation. That is to say, without this provision … the statute
falls outside the scope of
Apprendi’s requirement.”
Ibid.
Under the post-
Booker federal
sentencing system, “[t]he district courts, while not bound to apply
the Guidelines, must consult those Guidelines and take them into
account when sentencing.”
Id., at 264. In addition,
sentencing courts must take account of the general sentencing goals
set forth by Congress, including avoiding unwarranted sentencing
disparities, providing restitution to victims, reflecting the
seriousness of the offense, promoting respect for the law,
providing just punishment, affording adequate deterrence,
protecting the public, and effectively providing the defendant with
needed educational or vocational training and medical care. See
id., at 260 (citing 18 U. S. C. §3553(a) (2000 ed.
and Supp. IV)).
It is significant that
Booker, while
rendering the Guidelines advisory, did not reinstitute the
pre-Guidelines federal sentencing system, under which
“well-established doctrine bar[red] review of the exercise of
sentencing discretion” within the broad sentencing ranges imposed
by the criminal statutes.
Dorszynski v.
United
States,
418 U.
S. 424, 443 (1974). Rather,
Booker conditioned a
district court’s sentencing discretion on appellate review for
“reasonableness” in light of the Guidelines and the §3553(a)
factors. See
Booker, supra, at 261 (“Section
3553(a) remains in effect, and sets forth numerous factors that
guide sentencing. Those factors in turn will guide appellate
courts, as they have in the past, in determining whether a sentence
is unreasonable”).
Although the
Booker Court did not
spell out in detail how sentencing judges are to proceed under the
new advisory Guidelines regime, it seems clear that this regime
permits—and, indeed, requires—sentencing judges to make factual
findings and to base their sentences on those findings. The federal
criminal statutes generally set out wide sentencing ranges, and
thus in each case a sentencing judge must use some criteria in
selecting the sentence to be imposed. In doing this, federal judges
have generally made and relied upon factual determinations about
the nature of the offense and the offender—and it is impossible to
imagine how federal judges could reasonably carry out their
sentencing responsibilities without making such factual
determinations.
Under the mandatory Federal Sentencing
Guidelines regime, these factual determinations were relatively
formal and precise. (For example, a trial judge under that regime
might have found based on a post-trial proceeding that a drug
offense involved six kilograms of cocaine or that the loss caused
by a mail fraud offense was $2.5 million.) By contrast, under the
pre-Sentencing Reform Act federal system, the factual
determinations were often relatively informal and imprecise. (A
trial judge might have concluded from the presentence report that
an offense involved “a large quantity of drugs” or that a mail
fraud scheme caused “a great loss.”) Under both systems, however,
the judges made factual determinations about the nature of the
offense and the offender and determined the sentence accordingly.
And as the Courts of Appeals have unanimously concluded, the
post-
Booker federal sentencing regime also permits trial
judges to make such factual findings and to rely on those findings
in selecting the sentences that are appropriate in particular
cases.[
Footnote 4]
Under the post-
Booker system, if a
defendant believes that his or her sentence was based on an
erroneous factual determination, it seems clear that the defendant
may challenge that finding on appeal. As noted, the
post-
Booker system permits a defendant to obtain appellate
review of the reasonableness of a sentence, and a sentence that the
sentencing court justifies solely on the basis of an erroneous
finding of fact can hardly be regarded as reasonable. Thus, under
the post-
Booker system, there will be cases—and, in all
likelihood, a good many cases—in which the question whether a
defendant will be required to serve a greater or lesser sentence
depends on whether a court of appeals sustains a finding of fact
made by the sentencing judge.
A simple example illustrates this point.
Suppose that a defendant is found guilty of 10 counts of mail fraud
in that the defendant made 10 mailings in furtherance of a scheme
to defraud. See 18 U. S. C. §1341 (2000 ed., Supp. IV). Under
the mail fraud statute, the district court would have discretion to
sentence the defendant to any sentence ranging from probation up to
50 years of imprisonment (5 years on each count). Suppose that the
sentencing judge imposes the maximum sentence allowed by statute—50
years of imprisonment—without identifying a single fact about the
offense or the offender as a justification for this lengthy
sentence. Surely that would be an unreasonable sentence that could
not be sustained on appeal.
Suppose, alternatively, that the sentencing
court finds that the mail fraud scheme caused a loss of $1 million
and that the victims were elderly people of limited means, and
suppose that the court, based on these findings, imposes a sentence
of 10 years of imprisonment. If the defendant challenges the
sentence on appeal on the ground that these findings are erroneous,
the question whether the defendant will be required to serve 10
years or some lesser sentence may well depend on the validity of
the district court’s findings of fact.
Booker, then, approved a sentencing
system that (1) requires a sentencing judge to “consult” and “take
into account” legislatively defined sentencing factors and
guidelines; (2) subjects a sentencing judge’s exercise of
sentencing discretion to appellate review for “reasonableness”; and
(3) requires sentencing judges to make factual findings in order to
support the exercise of this discretion.
II
The California sentencing law
that the Court strikes down today is not meaningfully different
from the federal scheme upheld in
Booker.
As an initial matter, the
California law gives a judge at least as much sentencing discretion
as does the post-
Booker federal scheme. California’s
system of sentencing triads and separate “enhancements”[
Footnote 5] was enacted to achieve
sentences “in proportion to the seriousness of the offense as
determined by the Legislature to be imposed by the court with
specified discretion.” Cal. Penal Code Ann. §1170(a)(1) (West Supp.
2006). This “specified discretion” is quite broad. Under the
statute, a sentencing court “shall order imposition of the middle
term” of the base-term triad, “unless there are circumstances in
aggravation or mitigation of the crime.” §1170(b). While the court
may not rely on any fact that is an essential element of the crime
or of a proven enhancement, the “sentencing judge retains
considerable discretion to identify aggravating factors.”
People v.
Black, 35 Cal. 4th 1238, 1247, 113
P. 3d 534, 538 (2005).
In exercising its sentencing
discretion, a California court can look to any of the 16 specific
aggravating circumstances, see Cal. Rule of Court (Criminal Cases)
4.421 (West 2006), or 15 specific mitigating circumstances, see
Rule 4.423, itemized in the California Rules of Court. A California
trial court can also consider the “[g]eneral objectives of
sentencing,” including protecting society, punishing the defendant,
encouraging the defendant to lead a law-abiding life and deterring
the defendant from committing future offenses, deterring others
from criminal conduct by demonstrating its consequences, preventing
the defendant from committing new crimes by means of incarceration,
securing restitution for crime victims, and achieving uniformity in
sentencing.[
Footnote 6] Rule
4.410(a). And if a California trial court finds that its sentencing
authority is unduly restricted by these factors, which the
California Supreme Court has recognized “are largely the
articulation of considerations sentencing judges have always used
in making these decisions,”
People v.
Hernandez,
46 Cal. 3d 194, 205, 757 P. 2d 1013, 1019, (1988) (in bank),
overruled on other grounds,
People v.
King, 5
Cal. 4th 59, 78, n. 5, 851 P. 2d 27, 39, n. 5 (1993)
(in banc), a California sentencing judge is also authorized to
consider any “additional criteria reasonably related to the
decision being made.” Rule 4.408(a); see also
Black,
supra, at 1256, 113 P. 3d, at 544 (“The Legislature
did not identify all of the particular facts that could justify the
upper term”).[
Footnote 7]
In short, under California law, the
“ ‘circumstances’ the sentencing judge may look to in
aggravation or in mitigation of the crime include … ‘practically
everything which has a legitimate bearing’ on the matter in issue.”
People v.
Guevara, 88 Cal. App. 3d 86, 93, 151
Cal. Rptr. 511, 516 (1979); see also Rule 4.410(b) (“The sentencing
judge should be guided by statutory statements of policy, the
criteria in these rules, and the facts and circumstances of the
case”). Indeed, as one California court has explained, sentencing
discretion may even be guided by a “judge’s subjective
determination of … the appropriate aggregate sentence” based on his
“experiences with prior cases and the record in the defendant’s
case.”
People v.
Stevens, 205 Cal. App. 3d 1452,
1457, 253 Cal. Rptr. 173, 177 (1988). “A judge’s subjective belief
regarding the length of the sentence to be imposed is not improper
as long as it is channeled by the guided discretion outlined in the
myriad of statutory sentencing criteria.”
Ibid.
The California scheme—like the
federal “advisory Guidelines”—does require that this discretion be
exercised
reasonably. Indeed, the California Supreme
Court, authoritatively construing the California statute,[
Footnote 8] has explained that
§1170(b)’s “requirement that an aggravating factor exist is merely
a requirement that the decision to impose the upper term be
reasonable.”
Black, 35 Cal. 4th, at 1255, 113
P. 3d, at 544 (emphasis in original); see also
id.,
at 1257–1258, 113 P. 3d, at 545 (“The jury’s verdict of guilty
on an offense authorizes the judge to sentence a defendant to any
of the three terms specified by statute as the potential
punishments for that offense, as long as the judge exercises his or
her discretion in a reasonable manner that is consistent with the
requirements and guidelines contained in statutes and court
rules”). Even when a court imposes the “presumptive” middle term,
its decision is reviewable for abuse of discretion—that is, its
decision to sentence at the “standard” term must be reasonable. See
People v.
Cattaneo, 217 Cal. App. 3d 1577,
1587–1588, 266 Cal. Rptr. 710, 716 (1990).
Moreover, the California system, like the
post-
Booker federal regime, recognizes that a sentencing
judge must have the ability to look at
all the relevant
facts—even those outside the trial record and jury verdict—in
exercising his or her discretion. “The judicial factfinding that
occurs during that selection process is the same type of judicial
factfinding that traditionally has been a part of the sentencing
process.”
Black,
supra, at 1258, 113 P. 3d,
at 545.
III
Despite these similarities
between the California system and the “advisory Guidelines” scheme
approved in
Booker, the Court nevertheless holds that the
California regime runs afoul of the Sixth Amendment. The Court
reasons as follows: (1) California requires that some aggravating
fact, apart from the elements of the offense found by the jury,
must support an upper term sentence; (2)
Blakely defined
the “statutory maximum” to be “the maximum sentence a judge may
impose
solely on the basis of the facts reflected in the jury
verdict or admitted by the defendant,” 542 U. S., at 303
(emphasis in original); and therefore (3) the California regime
violates “
Apprendi’s bright-line rule,”
id., at
308, that “any fact that increases the penalty for a crime beyond
the prescribed statutory maximum must be submitted to a jury, and
proved beyond a reasonable doubt.”
Apprendi, 530 U. S., at
490.
This argument is flawed. For one
thing, it is not at all clear that a California court must find
some case-specific, adjudicative “fact” (as opposed to identifying
a relevant policy consideration) before imposing an upper term
sentence. What a California sentencing court must find is a
“
circumstanc[e] in aggravation,” Cal. Penal Code
Ann. §1170(b) (emphasis added), which, California’s Court Rules
make clear, can include any “criteria reasonably related to the
decision being made.” Rule 4.408(a).
California courts are thus empowered to take
into account the full panoply of factual and policy considerations
that have traditionally been considered by judges operating under
fully discretionary sentencing regimes—the constitutionality of
which the Court has repeatedly reaffirmed. California law
explicitly authorizes a sentencing court to take into account, for
example, broad sentencing objectives like punishment, deterrence,
restitution, and uniformity, see Rule 4.410, and even a judge’s
“subjective belief” as to the appropriateness of the sentence, see
Stevens,
supra, at 1457, 253 Cal. Rptr., at 177,
as long as the final result is reasonable.[
Footnote 9] Policy considerations like these have
always been outside the province of the jury and do not implicate
the Sixth Amendment concerns expressed in
Apprendi.
In short, the requirement that a California
court find some “circumstanc[e] in aggravation” before imposing an
upper term sentence is not the same as a requirement that it find
an aggravating
fact. And if a California sentencing court
need not find a fact beyond those “reflected in the jury verdict or
admitted by the defendant,”
Blakely, supra, at 303
(emphasis deleted), then
Apprendi’s “bright-line rule”
plainly does not apply.[
Footnote
10]
But even if the California law did require
that a sentencing court find some aggravating “fact” before
imposing an upper term sentence, that would not make this case
constitutionally distinguishable from
Booker. As
previously explained, the “advisory Guidelines,” bounded by
reasonableness review, effectively (albeit less explicitly) impose
the same requirement on federal judges.
Booker’s
reasonableness review necessarily supposes that some sentences will
be unreasonable in the absence of additional facts justifying them.
(Recall the prior hypothetical case in which it was posited that
the district court imposed a sentence of 50 years of imprisonment
for mail fraud without citing a single aggravating fact about the
offense or the offender.) Thus, although the post-
Booker
Guidelines are labeled “advisory,” reasonableness review imposes a
very real constraint on a judge’s ability to sentence across the
full statutory range without finding some aggravating
fact.[
Footnote 11]
The Court downplays the significance of
Booker reasonableness review on the ground that
Booker-style “reasonableness … operates
within
the Sixth Amendment constraints delineated in our precedent, not as
a substitute for those constraints.”
Ante, at 20 (emphasis
in original). But this begs the question, which concerns the scope
of those “Sixth Amendment constraints.” That question is answered
by the Court’s remedial holding in
Booker, which
necessarily stands for the proposition that it is consistent with
the Sixth Amendment for the imposition of an enhanced sentence to
be conditioned on a factual finding made by a sentencing judge and
not by a jury.
The Court relies heavily on
Blakely’s
admonition that “the ‘statutory maximum’ for
Apprendi
purposes is the maximum sentence a judge may impose
solely on
the basis of the facts reflected in the jury verdict or admitted by
the defendant.” 542 U. S., at 303 (emphasis in original). But
the Court fails to recognize how this statement must be understood
in the wake of
Booker.
For each statutory offense, there must be a
sentence that represents the least onerous sentence that can be
regarded as reasonable in light of the bare statutory elements
found by the jury. To return to our prior example of a mail fraud
offense, there must be some sentence that represents the least
onerous sentence that would be appropriate in a case in which the
statutory elements of mail fraud are satisfied but in which the
offense and the offender are as little deserving of punishment as
can be imagined. (Whether this sentence is the statutory minimum
(probation, see 18 U. S. C. §1341 (2000 ed., Supp. IV)) or the
minimum under the advisory Guidelines (also probation, see United
States Sentencing Commission, Guidelines Manual §2B1.1 and
Sentencing Table (Nov. 2006)) is irrelevant for present purposes;
what is relevant is that there must be
some minimum
reasonable sentence.) This sentence is “the maximum sentence” that
could reasonably be imposed “solely on the basis of the facts
reflected in the jury verdict or admitted by the defendant.”
Blakely,
supra, at 303 (emphasis deleted).
Booker’s reasonableness review
necessarily anticipates that the imposition of sentences above this
level may be conditioned upon findings of fact made by a judge and
not by the jury.
Booker held that a system of “advisory
Guidelines” with reasonableness review is consistent with the Sixth
Amendment, and the same analysis should govern California’s
“requirement that the decision to impose the upper term be
reasonable.”
Black, 35 Cal. 4th, at 1255, 113
P. 3d, at 544 (emphasis in original). That the California
requirement is explicit, while the federal aggravating factor
requirement is (at least for now) implicit, should not be
constitutionally dispositive.
Unless the Court is prepared to overrule the
remedial decision in
Booker, the California sentencing
scheme at issue in this case should be held to be consistent with
the Sixth Amendment. I would therefore affirm the decision of the
California Court of Appeal.
Footnote 1
The Court’s recognition of this is hardly
surprising since, as Judge McConnell has pointed out, “fully
discretionary sentencing … was the system [that was] in place when
the Sixth Amendment was adopted” and that “prevailed in the federal
courts from the Founding until enactment of the Sentencing Reform
Act of 1984 … without anyone ever suggesting a conflict with the
Sixth Amendment.” McConnell, The
Booker Mess, 83 Denver U.
L. Rev. 665, 679 (2006). Indeed, the original federal criminal
statute enacted by the First Congress set forth indeterminate
sentencing ranges for a variety of offenses, leaving the
determination of the precise sentence to the judge’s discretion.
See,
e.g., Act of Apr. 30, 1790, ch. 9, §2, 1 Stat. 112
(crime of misprision of treason punishable by imprisonment not
exceeding seven years and fine not exceeding $1,000); §6,
id., at 113 (crime of misprision of a felony punishable by
imprisonment not exceeding three years and fine not exceeding
$500); §15,
id., at 115–116 (crime of falsifying federal
records punishable by imprisonment not exceeding seven years, fine
not exceeding $5,000, and whipping not exceeding 39 stripes); see
generally Little & Chen, The Lost History of
Apprendi
and the
Blakely Petition for Rehearing, 17 Fed. Sentencing
Rep. 69 (2004).
Footnote 2
The four Justices who would have upheld the
constitutionality of the mandatory Federal Sentencing Guidelines
system did not, of course, disagree with this basic point. Indeed,
they were of the view that “[h]istory does not support a ‘right to
jury trial’ in respect to sentencing facts.”
Booker, 543
U. S., at 328 (Breyer, J., dissenting in part).
Footnote 3
While the dissenters from the remedial
portion of the Court’s opinion disagreed with Justice Breyer’s
severablity analysis, they did not suggest that the resulting
“advisory Guidelines” structure was unconstitutional. Rather, they
recognized—as Justice Stevens explained in his portion of the
Court’s opinion—that “[i]f the Guidelines as currently written
could be read as merely advisory provisions that recommended,
rather than required, the selection of particular sentences in
response to differing sets of facts, their use would not implicate
the Sixth Amendment.”
Id., at 233.
Footnote 4
Every Court of Appeals to address the issue
has held that a district court sentencing post-
Booker may
rely on facts found by the judge by a preponderance of the
evidence. See
United States v.
Kilby, 443
F. 3d 1135, 1141 (CA9 2006);
United States v.
Cooper, 437 F. 3d 324, 330 (CA3 2006);
United
States v.
Vaughn, 430 F. 3d 518, 525–526 (CA2
2005);
United States v.
Morris, 429 F. 3d
65, 72 (CA4 2005);
United States v.
Price, 418
F. 3d 771, 788 (CA7 2005);
United States v.
Magallanez, 408 F. 3d 672, 684–685 (CA10 2005);
United States v.
Pirani, 406 F. 3d 543, 551,
n. 4 (CA8 2005) (en banc);
United States v.
Yagar, 404 F. 3d 967, 972 (CA6 2005);
United
States v.
Mares, 402 F. 3d 511, 519, and
n. 6 (CA5 2005);
United States v.
Duncan,
400 F. 3d 1297, 1304–1305 (CA11 2005);
United States
v.
Antonakopoulos, 399 F. 3d 68, 74 (CA1 2005).
Footnote 5
These enhancements, which add additional
years onto the base-triad term selected by the court, see
ante, at 7–8, must be pleaded and proved to a jury beyond
a reasonable doubt. They are not at issue in this case.
Footnote 6
These factors are similar to the federal
sentencing policies set forth in 18 U. S. C. §3553(a) (2000
ed. and Supp. IV), which directs a court to consider, among other
things, the need to promote respect for the law, to provide just
punishment for the offense, to afford adequate deterrence to
criminal conduct and to protect the public.
Footnote 7
As the California Supreme Court explained in
Black,
“In adopting the sentencing rules, the
Judicial Council considered and rejected proposals that the rules
provide an exclusive list of sentencing criteria and that the
criteria be assigned specific weights, on the ground that the
Legislature intended to give the sentencing judge discretion in
selecting among the lower, middle, and upper terms. The report on
which the Judicial Council acted in adopting the rules explains
that ‘an exclusive listing would be inconsistent with the statutory
mandate to adopt “rules providing criteria for the consideration of
the trial judge” [§1170.3] since this language does not purport to
limit the discretion afforded the court in each of the five
enumerated sentencing decisions, but calls for criteria which will
assist the courts in the exercise of that discretion.’ (Judicial
Council of Cal., Advisory Com. Rep., Sentencing Rules and
Sentencing Reporting System (1977) p. 6.) ‘Any attempt to impose a
weighting system on trial courts … would be an infringement on the
sentencing power of the court.’ (
Id., p. 8.) ‘The
substantive law, and section 1170(a)(1), give discretion to the
trial court; the rules can guide, but cannot compel, the exercise
of that discretion. ’ (
Id., p. 11.)” 35 Cal. 4th, at
1256, n. 11, 113 P. 3d, at 544, n. 11.
Footnote 8
The Court correctly notes that we need not
defer to the California Supreme Court’s construction of federal
law, including its judgment as to whether California law is
consistent with our Sixth Amendment jurisprudence. See
ante, at 21, n. 16. But the California Supreme Court’s
exposition of California law is authoritative and binding on this
Court. See,
e.g.,
Mullaney v.
Wilbur,
421 U. S. 684,
691 (1975) (“[S]tate courts are the ultimate expositors of state
law [and] we are bound by their constructions except in extreme
circumstances”);
Wainwright v.
Goode,
464 U. S. 78, 84 (1983)
(per curiam) (“[T]he views of the State’s highest court with
respect to state law are binding on the federal courts”);
Ring v.
Arizona,
536 U. S. 584, 603
(2002) (recognizing the Arizona Supreme Court’s construction of
Arizona sentencing law as authoritative).
Footnote 9
The State of California acknowledged in its
brief that “[t]he court can rely on essentially any reason placing
the defendant’s particular offense outside the mean when selecting”
which term of the triad to impose. Brief for Respondent 32. As
California’s counsel acknowledged at oral argument, a concern for
deterrence in light of an uptick in crime in a particular
community, for example, could be a “circumstance in aggravation”
supporting imposition of an upper term sentence under California
law, even though that concern is not based on judge-found,
case-specific facts. See Tr. of Oral Arg. 32–40.
Footnote 10
It is true that California’s Court Rules also
itemize more concrete aggravating circumstances that they label
“[f]acts relating to the crime” and “[f]acts relating to the
defendant.” See Cal. Rules of Court (Criminal Cases) 4.421 and
4.423 (West 2006). But these lists are not exhaustive, and they do
not impair a court’s ability to take into account more general
sentencing objectives in deciding whether to sentence a defendant
to the upper term. The Rules’ provision that “[c]ircumstances in
aggravation and mitigation shall be established by a preponderance
of the evidence,” Rule 4.420(b), is clearly meant to cover the
types of crime- and defendant-specific adjudicative facts set forth
in the Rules immediately following; there is nothing to suggest
that this provision excludes consideration of more general
sentencing objectives that are not conducive to such trial-type
proof. As the Rules explicitly recognize, these different
categories of sentencing considerations are not mutually exclusive.
See Rule 4.410(b) (“The sentencing judge should be guided by
statutory statements of policy, the criteria in these rules, and
the facts and circumstances of the case”).
Footnote 11
The Court believes that in order to reach
this conclusion, I must “previe[w] … how ‘reasonableness review,’
post-
Booker, works,”
ante, at 15, n. 13, and
perhaps even prejudge this Court’s forthcoming decisions in
Rita and
Claiborne,
ante, at 20,
n. 15. But my point is much more modest. We need not map all
the murky contours of the post-
Booker landscape in order
to conclude that reasonableness review must mean
something. If reasonableness review is more than just an
empty exercise, there inevitably will be
some sentences
that, absent any judge-found aggravating fact, will be
unreasonable. One need not embrace any presumption of
reasonableness or unreasonableness to accept this simple point. If
this is the case—and I cannot see how it is not, given the Court’s
endorsement of reasonableness review in
Booker—then there
is no meaningful Sixth Amendment difference between California’s
sentencing system and the post-
Booker "advisory
Guidelines." Under both, a sentencing judge operating under a
reasonableness constraint must find facts beyond the jury’s verdict
in order to justify the imposition of at least some sentences at
the high end of the statutory range.
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