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SUPREME COURT OF THE UNITED STATES
_________________
No. 17–155
_________________
ERIK LINDSEY HUGHES, PETITIONER
v.
UNITED STATES
on writ of certiorari to the united states
court of appeals for the eleventh circuit
[June 4, 2018]
Justice Kennedy delivered the opinion of the
Court.
The proper construction of federal sentencing
statutes and the Federal Rules of Criminal Procedure can present
close questions of statutory and textual interpretation when
implementing the Federal Sentencing Guidelines. Seven Terms ago the
Court considered one of these issues in a case involving a
prisoner’s motion to reduce his sentence, where the prisoner had
been sentenced under a plea agreement authorized by a specific Rule
of criminal procedure.
Freeman v.
United States, 564
U. S. 522 (2011). The prisoner maintained that his sentence
should be reduced under 18 U. S. C. §3582(c)(2) when his
Guidelines sentencing range was lowered retroactively. 564
U. S., at 527–528 (plurality opinion).
No single interpretation or rationale in
Freeman commanded a majority of the Court. The courts of
appeals then confronted the question of what principle or
principles considered in
Freeman controlled when an opinion
by four Justices and a concurring opinion by a single Justice had
allowed a majority of this Court to agree on the judgment in
Freeman but not on one interpretation or rule that courts
could follow in later cases when similar questions arose under the
same statute and Rule.
For guidance courts turned to this Court’s
opinion in
Marks v.
United States, 430 U. S. 188
(1977). Some courts interpreted
Marks as directing them to
follow the “narrowest” opinion in
Freeman that was necessary
for the judgment in that case; and, accordingly, they adopted the
reasoning of the opinion concurring in the judgment by Justice
Sotomayor. See
United States v.
Rivera-Martinez, 665
F. 3d 344, 348 (CA1 2011);
United States v.
Thompson, 682 F. 3d 285, 290 (CA3 2012);
United
States v.
Brown, 653 F. 3d 337, 340, n. 1 (CA4
2011);
United States v.
Benitez, 822 F. 3d 807,
811 (CA5 2016);
United States v.
Smith, 658
F. 3d 608, 611 (CA6 2011);
United States v.
Dixon, 687 F. 3d 356, 359 (CA7 2012);
United
States v.
Browne, 698 F. 3d 1042, 1045 (CA8 2012);
United States v.
Graham, 704 F. 3d 1275,
1277–1278 (CA10 2013).
In contrast, the Courts of Appeals for the
District of Columbia and Ninth Circuits held that no opinion in
Freeman provided a controlling rule because the reasoning in
the concurrence was not a “logical subset” of the reasoning in the
plurality.
United States v.
Davis, 825 F. 3d
1014, 1021–1022 (CA9 2016) (en banc);
United States v.
Epps, 707 F. 3d 337, 350 (CADC 2013). Those courts have
adopted the plurality’s opinion as the most persuasive
interpretation of §3582(c)(2).
Davis,
supra, at 1026;
Epps,
supra, at 351.
To resolve these differences over the proper
application of
Marks and the proper interpretation of
§3582(c)(2), the Court granted certiorari in the present case. 583
U. S. ___ (2017). The first two questions, relating to
Marks, are as follows: (1) “Whether this Court’s decision in
Marks means that the concurring opinion in a 4–1–4 decision
represents the holding of the Court where neither the plurality’s
reasoning nor the concurrence’s reasoning is a logical subset of
the other”; and (2) “Whether, under
Marks, the lower courts
are bound by the four-Justice plurality opinion in
Freeman,
or, instead, by Justice Sotomayor’s separate concurring opinion
with which all eight other Justices disagreed.” Pet. for Cert.
i.
The third question is directed to the underlying
statu- tory issue in this case, the substantive, sentencing issue
the Court discussed in the three opinions issued in
Freeman.
That question is: “Whether, as the four-Justice plurality in
Freeman concluded, a defendant who enters into a Fed. R.
Crim. P. 11(c)(1)(C) plea agreement is generally eligible for
a sentence reduction if there is a later, retroactive amendment to
the relevant Sentencing Guidelines range.” Pet. for Cert. ii.
Taking instruction from the cases decided in the
wake of
Freeman and the systemic concerns that have arisen
in some Circuits, and considering as well the arguments of the
parties as to question three, a majority of the Court in the
instant case now can resolve the sentencing issue on its merits. So
it will be unnecessary to consider questions one and two despite
the extensive briefing and careful argument the parties presented
to the Court concerning the proper application of
Marks. The
opinion that follows resolves the sentencing issue in this case;
and, as well, it should give the necessary guidance to federal
district courts and to the courts of appeals with respect to plea
agreements of the kind presented here and in
Freeman.
With that explanation, the Court now turns to
the circumstances of this case and the sentencing issue it
presents.
I
A
Under the Sentencing Reform Act of 1984, the
United States Sentencing Commission establishes Sentencing
Guidelines based on the seriousness of a defendant’s offense and
his criminal history.
Dillon v.
United States, 560
U. S. 817, 820 (2010). In combination, these two factors yield
a range of potential sentences for a district court to choose from
in sentencing a particular defendant. “The Sentencing Guidelines
provide the framework for the tens of thousands of federal
sentencing proceedings that occur each year.”
Molina-Martinez v.
United States, 578 U. S. ___,
___ (2016) (slip op., at 2).
After this Court’s decision in
United
States v.
Booker, 543 U. S. 220 (2005), the
Guidelines are advisory only. But a district court still “must
consult those Guidelines and take them into account when
sentencing.”
Id., at 264; see also 18 U. S. C.
§3553(a)(4). Courts must also consider various other sentencing
factors listed in §3553(a), including “the need to avoid
unwarranted sentence disparities among defendants with similar
records who have been found guilty of similar conduct.”
§3553(a)(6).
The Act requires the Commission to review and
revise the Guidelines from time to time. 28 U. S. C.
§994(o). When the Commission amends the Guidelines in a way that
reduces the Guidelines range for “a particular offense or category
of offenses,” the Commission must “specify in what circumstances
and by what amount the sentences of prisoners serving terms of
imprisonment for the offense may be reduced.” §994(u). In this way
the Act requires the Commission to decide whether amendments to the
Guidelines should have retroactive effect.
If an amendment applies retroactively, the Act
authorizes district courts to reduce the sentences of prisoners who
were sentenced based on a Guidelines range that would have been
lower had the amendment been in place when they were sentenced. 18
U. S. C. §3582(c)(2). Specifically, §3582(c)(2)
provides:
“[I]n the case of a defendant who has been
sentenced to a term of imprisonment based on a sentencing range
that has subsequently been lowered by the Sentencing Commission
pursuant to 28 U. S. C. §994(o), . . . the
court may reduce the term of imprisonment, after considering the
factors set forth in section 3553(a) to the extent that they are
applicable, if such a reduction is consistent with applicable
policy statements issued by the Sentencing Commission.”
B
The controlling issue here is whether a
defendant may seek relief under §3582(c)(2) if he entered a plea
agreement specifying a particular sentence under Federal Rule of
Criminal Procedure 11(c)(1)(C). This kind of plea agreement is
sometimes referred to as a “Type-C agreement.”
In a Type-C agreement the Government and a
defendant “agree that a specific sentence or sentencing range is
the appropriate disposition of the case, or that a particular
provision of the Sentencing Guidelines, or policy statement, or
sentencing factor does or does not apply,” and “such a
recommendation or request binds the court once the court accepts
the plea agreement.” Rule 11(c)(1)(C). When the Government and a
defendant enter a Type-C agreement, the district court has three
choices: It “may accept the agreement, reject it, or defer a
decision until the court has reviewed the presentence report.” Rule
11(c)(3)(A). If the court rejects the agreement, the defendant may
withdraw his guilty plea. Rule 11(c)(5)(B).
In deciding whether to accept an agreement that
includes a specific sentence, the district court must consider the
Sentencing Guidelines. The court may not accept the agreement
unless the court is satisfied that “(1) the agreed sentence is
within the applicable guideline range; or (2)(A) the agreed
sentence is outside the applicable guideline range for justifiable
reasons; and (B) those reasons are set forth with specificity.”
United States Sentencing Commission, Guidelines Manual §6B1.2(c)
(Nov. 2016) (USSG). “[T]he decision whether to accept the agreement
will often be deferred until the sentencing hearing,” which means
that “the decision whether to accept the plea agreement will often
be made at the same time that the defendant is sentenced.”
United States v.
Hyde, 520 U. S. 670, 678
(1997).
C
1
In 2013 petitioner Erik Hughes was indicted on
drug and gun charges for his participation in a conspiracy to
distribute methamphetamine. About four months later, the Government
and Hughes negotiated a Type-C plea agreement. Hughes agreed to
plead guilty to two of the four charges (conspiracy to distribute
methamphetamine and being a felon in possession of a gun); and in
exchange the Government agreed to dismiss the other two charges and
to refrain from filing an information giving formal notification to
the District Court of his prior drug felonies. If the Government
had filed the information, Hughes would have been subject to a
mandatory sentence of life in prison. See 21 U. S. C.
§§841(b)(1)(A), 851(a). The agreement stipulated that Hughes would
receive a sentence of 180 months, but it did not refer to any
particular Guidelines range.
Hughes entered his guilty plea in December 2013.
The District Court accepted the plea at that time, but it deferred
consideration of the plea agreement (and hence the stipulated
180-month sentence) until sentencing.
Three months later, at the sentencing hearing,
the District Court accepted the agreement and sentenced Hughes to
180 months in prison. The court stated that it had “considered the
plea agreement [and] the sentencing guidelines, particularly the
provisions of [§3553(a)],” and that it would “accept and approve
the binding plea agreement.” App. to Pet. for Cert. 32a–33a. The
court calcu- lated Hughes’ Guidelines range as 188 to 235 months in
prison and heard statements from Hughes’ daughter, mother, and
Hughes himself.
Id., at 37a–43a. When it imposed the agreed
180-month sentence the court reiterated that it was “a reasonable
sentence in this case compatible with the advisory United States
Sentencing Guidelines but in accordance with the mandatory matters
the Court is required to consider in ultimately determining a
sentence.”
Id., at 44a, 47a.
2
Less than two months after the District Court
sentenced Hughes, the Sentencing Commission adopted amendment 782
to the Guidelines. USSG App. C, Amdt. 782 (Supp. Nov. 2012–Nov.
2016). The amendment reduced the base offense level by two levels
for most drug offenses. The Commission later made amendment 782
retroactive for defendants who, like Hughes, already had been
sentenced under the higher offense levels. Amdt. 788. Under the
revised Guidelines, Hughes’ sentencing range is 151 to 188
months—about three to four years lower than the range in effect
when he was sentenced.
Hughes filed a motion for a reduced sentence
under §3582(c)(2). The District Court denied the motion, concluding
that Hughes is ineligible for relief; and the Court of Appeals for
the Eleventh Circuit affirmed. 849 F. 3d 1008, 1016 (2017);
App. to Pet. for Cert. 28a. Both courts concluded that the
Freeman concurrence stated the holding of this Court under
Marks, and that under the concurrence’s interpretation
Hughes was ineligible for a reduced sentence because his plea
agreement did not expressly rely on a Guidelines range. 849
F. 3d, at 1015; App. to Pet. for Cert. 25a. This Court granted
certiorari. 583 U. S. ___.
II
A principal purpose of the Sentencing
Guidelines is to promote “uniformity in sentencing imposed by
different federal courts for similar criminal conduct.”
Molina-Martinez, 578 U. S., at ___ (slip op., at 2)
(internal quotation marks and alteration omitted; emphasis
deleted). Yet in the aftermath of
Freeman, a defendant’s
eligibility for a reduced sentence under §3582(c)(2) turns on the
Circuit in which the case arises. Further, even within Circuits
that follow the
Freeman concurrence, unwarranted disparities
have resulted depending on the fortuity of whether a defendant’s
Type-C agreement includes a specific-enough reference to a
Guidelines range. See Brief for National Association of Criminal
Defense Lawyers et al. as
Amici Curiae 13–20. In some
cases defendants have been held ineligible for relief even where
the sentencing hearing makes it crystal clear that the Government
and the defendant agreed to a Guidelines sentence and the district
court imposed one. See,
e.g.,
United States v.
McNeese, 819 F. 3d 922, 929 (CA6 2016).
In addition this Court’s precedents since
Freeman have further confirmed that the Guidelines remain
the foundation of federal sentencing decisions. In
Peugh v.
United States, 569 U. S. 530 (2013), for example, the
Court held that the
Ex Post Facto Clause prohibits
retroactive application of amended Guidelines that increase a
defendant’s sentencing range.
Id., at 544. The Court
reasoned that,
Booker notwithstanding, the Guidelines remain
“the lodestone of sentencing.” 569 U. S., at 544. And in
Molina-Martinez, the Court held that in the ordinary case a
defendant suffers prejudice from a Guidelines error because of “the
systemic function of the selected Guidelines range.” 578
U. S., at ___ (slip op., at 10).
“The post-
Booker federal sentencing
scheme aims to achieve uniformity by ensuring that sentencing
decisions are anchored by the Guidelines.”
Peugh,
supra, at 541. In this context clarity and consistency are
essential. To resolve the uncertainty that resulted from this
Court’s divided decision in
Freeman, the Court now holds
that a sentence imposed pursuant to a Type-C agreement is “based
on” the defendant’s Guidelines range so long as that range was part
of the framework the district court relied on in imposing the
sentence or accepting the agreement.
A
As already mentioned, §3582(c)(2) authorizes a
district court to reduce a defendant’s sentence if the defendant
“has been sentenced to a term of imprisonment based on a sentencing
range that has subsequently been lowered by the Sentencing
Commission.” A district court imposes a sentence that is “based on”
a Guidelines range if the range was a basis for the court’s
exercise of discretion in imposing a sentence. To “base” means
“[t]o make, form, or serve as a foundation for,” or “[t]o use
(something) as the thing from which something else is developed.”
Black’s Law Dictionary 180 (10th ed. 2014). Likewise, a “base” is
“[t]he starting point or foundational part of something,” or “[a]
point, part, line, or quantity from which a reckoning or conclusion
proceeds.”
Ibid.; see also
ibid. (similarly defining
“basis”).
In the typical sentencing case there will be no
question that the defendant’s Guidelines range was a basis for his
sentence. The Sentencing Reform Act requires a district court to
calculate and consider a defendant’s Guidelines range in every
case. 18 U. S. C. §3553(a). Indeed, the Guidelines are
“the starting point for every sentencing calculation in the federal
system.”
Peugh,
supra, at 542; see also
Molina-Martinez, 578 U. S., at ___ (slip op., at 9)
(“The Court has made clear that the Guidelines are to be the
sentencing court’s starting point and initial benchmark” (internal
quotation marks and alteration omitted)). “Even if the sentencing
judge sees a reason to vary from the Guidelines, if the judge uses
the sentencing range as the beginning point to explain the decision
to deviate from it, then the Guidelines are in a real sense the
basis for the sentence.”
Ibid. (internal quotation marks
omitted; emphasis deleted). In general, §3582(c)(2) allows district
courts to reconsider a prisoner’s sentence based on a new starting
point—that is, a lower Guidelines range—and determine whether a
reduction in the prisoner’s sentence is appropriate.
A sentence imposed pursuant to a Type-C
agreement is no exception to the general rule that a defendant’s
Guidelines range is both the starting point and a basis for his
ultimate sentence. Although in a Type-C agreement the Government
and the defendant may agree to a specific sentence, that bargain is
contingent on the district court accepting the agreement and its
stipulated sentence.
Freeman, 564 U. S., at 529–530.
The Sentencing Guidelines prohibit district courts from accepting
Type-C agreements without first evaluating the recommended sentence
in light of the defendant’s Guidelines range. USSG §6B1.2(c). So in
the usual case the court’s acceptance of a Type-C agreement and the
sentence to be imposed pursuant to that agreement are “based on”
the defendant’s Guidelines range.
To be sure, the Guidelines are advisory only,
and so not every sentence will be consistent with the relevant
Guidelines range. See
Koons v.
United States,
post, at 5 (defendants’ Guidelines ranges “clearly did not”
form a basis of the ultimate sentences). For example, in
Koons the Court today holds that five defendants’ sentences
were not “based on” subsequently lowered Guidelines ranges because
in that case the Guidelines and the record make clear that the
sentencing judge “discarded” their sen- tencing ranges “in favor of
mandatory minimums and substantial-assistance factors.”
Post, at 5–6; see also
Molina-Martinez,
supra,
at ___ (slip op., at 11) (“The record in a case may show, for
example, that the district court thought the sentence it chose was
appropriate irrespective of the Guidelines range”).
If the Guidelines range was not “a relevant part
of the analytic framework the judge used to determine the sentence
or to approve the agreement,”
Freeman,
supra, at 530,
then the defendant’s sentence was not based on that sentencing
range, and relief under §3582(c)(2) is unavail- able. And that is
so regardless of whether a defendant pleaded guilty pursuant to a
Type-C agreement or whether the agreement itself referred to a
Guidelines range. The statutory language points to the reasons for
the sentence that the district court imposed, not the reasons for
the parties’ plea agreement. Still, cases like
Koons are a
narrow exception to the general rule that, in most cases, a
defendant’s sentence will be “based on” his Guidelines range. In
federal sentencing the Guidelines are a district court’s starting
point, so when the Commission lowers a defendant’s Guidelines range
the defendant will be eligible for relief under §3582(c)(2) absent
clear demonstration, based on the record as a whole, that the court
would have imposed the same sentence regardless of the Guidelines.
See
Koons,
post, at 4–6.
This interpretation furthers §3582(c)(2)’s
purpose, as well as the broader purposes of the Sentencing Reform
Act. “The Act aims to create a comprehensive sentencing scheme in
which those who commit crimes of similar severity under similar
conditions receive similar sentences.”
Freeman, 564
U. S., at 533. “Section 3582(c)(2) contri- butes to that goal
by ensuring that district courts may adjust sentences imposed
pursuant to a range that the Commission concludes [is] too severe,
out of step with the seriousness of the crime and the sentencing
ranges of analogous offenses, and inconsistent with the Act’s
purposes.”
Ibid. And there is no reason a defendant’s
eligibility for relief should turn on the form of his plea
agreement.
Two cases decided after
Freeman now
reinforce this proposition. See
Molina-Martinez, 578
U. S., at ___–___ (slip op., at 9–11);
Peugh, 569
U. S., at 541–544. These cases confirm that the Guidelines
remain a basis for almost all federal sentences. In
Peugh,
the Court recognized that “[e]ven after
Booker rendered the
Sentencing Guidelines advisory, district courts have in the vast
majority of cases imposed either within-Guidelines sentences or
sentences that depart downward from the Guidelines on the
Government’s motion.”
Id., at 543. And in
Molina-Martinez, the Court explained that “[t]he
Commission’s statistics demonstrate the real and pervasive effect
the Guidelines have on sentencing.” 578 U. S., at ___ (slip
op., at 10). In short, experience has shown that, although the
interpretation proffered by Justice Sotomayor’s concurring opinion
in
Freeman could be one permissible reading of §3582(c)(2),
the system Congress put in place is best implemented, as a
systemic, structural matter, by the interpretation confirmed in the
instant case.
B
In response, the Government largely recycles
arguments that a majority of this Court rejected in
Freeman.
For example, the Government contends that allowing defendants who
enter Type-C agreements to seek reduced sentences under §3582(c)(2)
would deprive the Government of one of the benefits of its
bargain—namely, the defendant’s agreement to a particular sentence.
But that has nothing to do with whether a defendant’s sentence was
based on the Sentencing Guidelines under §3582(c)(2).
Freeman, 564 U. S., at 531; see also
id., at 540
(opinion of Sotomayor, J.). And in any event, “[w]hat is at stake
in this case is a defendant’s eligibility for relief, not the
extent of that relief.”
Id., at 532 (plurality opinion).
Even if a defendant is eligible for relief, before a district court
grants a reduction it must consider “the factors set forth in
section 3553(a) to the extent that they are applicable” and the
Commission’s “applicable policy statements.” §3582(c)(2). The
district court can consider the benefits the defendant gained by
entering a Type-C agreement when it decides whether a reduction is
appropriate (or when it determines the extent of any reduction),
“for the statute permits but does not require the court to reduce a
sentence.”
Freeman,
supra, at 532
.
The Government also contends that allowing
courts to reduce the sentences of defendants like Hughes would be
inconsistent with the Commission’s policy statement in USSG
§1B1.10, which provides that when a district court modifies a
sentence under §3582(c)(2) it “shall substitute only the
[retroactive] amendments listed in subsection (d) for the
corresponding guidelines provisions that were applied when the
defendant was sentenced and shall leave all other guideline
application decisions unaffected.” USSG §1B1.10(b)(1). According to
the Government, no “guidelines provisions” are “applied” when a
defendant enters a Type-C agreement because at the moment of
sentencing—that is, after the court has already accepted the
agreement—Rule 11 prohibits the court from imposing any sentence
other than the one the parties bargained for.
This argument fails for at least two reasons.
First, the Government’s interpretation of §1B1.10 depends on an
artificial distinction between a court’s decision to accept a
Type-C agreement and its decision to impose the agreed-upon
sentence. As explained above, a district court must consider the
defendant’s “applicable Guidelines range” when it decides whether
to accept or reject the agreement, USSG §6B1.2(c)—often, as here,
at the sentencing hearing, after the court has reviewed the
presentence report. And as the Government itself points out, once
the district court accepts the agreement, the agreed-upon sentence
is the only sentence the court may impose. Thus, there is no
meaningful difference between a court’s decision to accept a Type-C
agreement that includes a particular sentence and the court’s
decision (sometimes, as here, just minutes later) to impose that
sentence.
Second, the Commission’s policy statement “seeks
to isolate whatever marginal effect the since-rejected Guideline
had on the defendant’s sentence.”
Freeman, 564 U. S.,
at 530. Accordingly, relief under §3582(c)(2) should be available
to permit the district court to reconsider a prior sentence to the
extent the prisoner’s Guidelines range was a relevant part of the
framework the judge used to accept the agreement or determine the
sentence.
Ibid. If the district court concludes that it
would have imposed the same sentence even if the defendant had been
subject to the lower range, then the court retains discretion to
deny relief.
C
In this case the District Court accepted
Hughes’ Type-C agreement after concluding that a 180-month sentence
was consistent with the Sentencing Guidelines. App. to Pet. for
Cert. 33a. The court then calculated Hughes’ sentencing range and
imposed a sentence that the court deemed “compatible” with the
Guidelines.
Id., at 36a, 47a. Thus, the sentencing range was
a basis for the sentence that the District Court imposed. That
range has “subsequently been lowered by the Sentencing Commission,”
so Hughes is eligible for relief under §3582(c)(2). The Court
expresses no view as to whether the District Court should exercise
its discretion to reduce Hughes’ sentence after considering the
§3553(a) factors and the Commission’s relevant policy statements.
See 18 U. S. C. §3582(c)(2).
* * *
For these reasons, the judgment of the Court
of Appeals is reversed, and the case is remanded for further
proceedings consistent with this opinion.
It is so ordered.
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