OCTOBER TERM, 1996
Syllabus
UNITED STATES
v. LABONTE ET AL.
CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FIRST
CIRCUIT
No. 95-1726. Argued January 7, 1997-Decided May 27,1997
Title 28 U. S. C. § 994(h) directs the United States Sentencing
Commission to "assure" that its Sentencing Guidelines specify a
prison sentence "at or near the maximum term authorized for
categories of" adult offenders who commit their third felony drug
offense or violent crime. The Commission sought to implement this
directive in its "Career Offender Guideline," Guidelines Manual
§4Bl.l. That Guideline initially failed to designate which "maximum
term" a sentencing court should use when federal law establishes a
basic statutory maximum for persons convicted of a particular
offense, but also provides an enhanced penalty for career offenders
convicted of that same offense. The District Court used such an
enhancement in sentencing respondents, each of whom was convicted
of federal drug felonies and qualified as a career offender under §
4Bl.l. After the First Circuit affirmed the convictions and
sentences, the Commission adopted Amendment 506, which,
inter
alia, altered § 4Bl.1's commentary to preclude consideration of
statutory sentence enhancements. One District Court Judge found
that Amendment 506 was contrary to § 994(h) and refused to reduce
the sentences of respondents Dyer and Hunnewell, but another such
judge upheld the amendment and reduced respondent LaBonte's prison
term. The First Circuit consolidated the ensuing appeals and held
that § 4Bl.1, as construed under Amendment 506, was a reasonable
implementation of § 994(h)'s directive.
Held: Amendment 506 is inconsistent with § 994(h)'s plain
and unambiguous language and therefore must give way.
Stinson v.
United States, 508 U. S. 36, 38. Assuming
that Congress said what it meant in drafting § 994(h), and giving
the words used their "ordinary meaning,"
Moskal v.
United
States, 498 U. S.
103, 108, the phrase "maximum term authorized" must be read to
include all applicable statutory sentencing enhancements.
Respondents' contrary argument that the phrase refers only to the
highest penalty authorized by the offense of conviction, excluding
any enhancements, has little merit. Their assertion that § 994(h)
is ambiguous is based, at least in part, on a strained and flawed
construction of the phrase "categories of defendants." Their claim
that Amendment 506 satisfies Congress' mandate to sentence repeat
offenders "at or near" the maximum sentence authorized is also
rejected. Although the phrase "at or near" unquestionably permits a
certain degree
752
of flexibility for upward and downward departures and
adjustments, it does not license the Commission to select as the
relevant "maximum term" a sentence that is different from the
congressionally authorized maximum term. Finally, this Court is
unmoved by respondents' heavy reliance on the Commission's
inapposite assertions that Amendment 506 avoids unwarranted double
counting of prior offenses and eliminates unwarranted disparity
associated with variations in the exercise of prosecutorial
discretion in seeking enhanced penalties. pp. 757-762.
70 F.3d
1396, reversed and remanded.
THOMAS, J., delivered the opinion of the Court, in which
REHNQUIST, C. J., and O'CONNOR, SCALIA, KENNEDY, and SOUTER, JJ.,
joined. BREYER, J., filed a dissenting opinion, in which STEVENS
and GINSBURG, JJ., joined,
post, p. 762.
Deputy Solicitor General Dreeben argued the cause for the United
States. With him on the briefs were Acting Solicitor General
Dellinger, Acting Assistant Attorney General Keeney, Malcolm L.
Stewart, and
J. Douglas Wilson.
David N.
Yellen argued the cause for respondents.
With him on the brief were
John A. Giraldo, by appointment
of the Court, 518 U. S. 1037,
Peter Goldberger, by
appointment of the Court, 518 U. S. 1037, and
Michael C.
Bourbeau, by appointment of the Court, 518 U. S. 1037.*
JUSTICE THOMAS delivered the opinion of the Court.
In 28 U. S. C. § 994(h), Congress directed the United States
Sentencing Commission (Commission) to "assure" that the Sentencing
Guidelines specify a prison sentence "at or near the maximum term
authorized for categories of" adult offenders who commit their
third felony drug offense or violent crime. We are asked to decide
whether, by "maximum term authorized," Congress meant (1) the
maximum term available for the offense of conviction including any
applicable
* David Duncan, Lisa B. Kemler, and
David M.
Zlotnick filed a brief for the National Association of Criminal
Defense Lawyers et al. as
amici curiae urging
affirmance.
753
statutory sentencing enhancements, as the United States argues,
or (2) the maximum term available without such enhancements, as the
Commission has determined. We conclude that the Commission's
interpretation is inconsistent with § 994(h)'s plain language, and
therefore hold that "maximum term authorized" must be read to
include all applicable statutory sentencing enhancements.
I A
In 1984, Congress created the Commission and charged it with
"establish[ing] sentencing policies and practices for the Federal
criminal justice system." 28 U. S. C. § 991; see
Mistretta
v.
United States, 488 U. S. 361, 367-370
(1989). The Commission, however, was not granted unbounded
discretion. Instead, Congress articulated general goals for federal
sentencing and imposed upon the Commission a variety of specific
requirements. See §§ 994(b)-(n). Among those requirements, Congress
directed that the Commission
"shall assure that the guidelines specify a sentence to a term
of imprisonment at or near the maximum term authorized for
categories of defendants in which the defendant is eighteen years
old or older and-
"(1) has been convicted of a felony that is"(A) a crime of
violence; or
"(B) an offense described in section 401 of the Controlled
Substances Act (21 U. S. C. 841) ... ; and
"(2) has previously been convicted of two or more
prior [such] felonies .... " 28 U. S. C. § 994(h).
The Commission sought to implement this directive by
promulgating the "Career Offender Guideline," which created a table
of enhanced total offense levels to be used in calculating
sentences for "career offenders." United States Sentencing
Commission, Guidelines Manual § 4B1.1 (Nov. 1987)
754
(USSG). Pursuant to that Guideline, each defendant who qualifies
for career offender status is automatically placed in criminal
history "Category VI," the highest available under the Guidelines.
The table then assigns the appropriate offense level based on the
so-called "offense statutory maximum."
When the Commission coined the phrase "offense statutory
maximum," it defined it, unhelpfully, as "the maximum term of
imprisonment authorized for the offense of conviction." USSG App.
C, amdt. 267 (Nov. 1989) (adding §4B1.1, comment., n. 2). Neither
the Career Offender Guideline itself, however, nor the accompanying
commentary designated which "maximum term" was to be used when
federal law established a basic statutory maximum for persons
convicted of a particular offense, but also provided an enhanced
maximum penalty for career offenders convicted of that same
offense.1 The Courts of Appeals, required to choose between
sentencing "at or near the maximum" of the base sentence, or of the
base sentence plus the relevant statutory enhancements, uniformly
concluded that the "offense statutory maximum" for a defendant with
prior convictions was the enhanced maximum term.2
The Commission subsequently amended the Career Offender
Guideline's commentary to preclude consideration of statutory
enhancements in calculating the "offense statutory maximum."
Rejecting the approach prevailing in the
1 We note that imposition of an enhanced penalty is not
automatic. Such a penalty may not be imposed unless the Government
files an information notifying the defendant in advance of trial
(or prior to the acceptance of a plea) that it will rely on that
defendant's prior convictions to seek a penalty enhancement. 21 U.
S. C. § 851(a)(1). If the Government does not file such notice,
however, the lower sentencing range will be applied even though the
defendant may otherwise be eligible for the increased penalty.
2 See
United States v.
Smith, 984 F.2d
1084, 1087 (CAW), cert. denied, 510 U. S. 873 (1993);
United
States v.
Garrett, 959 F.2d
1005, 1009-1011 (CADC 1992);
United States v.
Amis, 926 F.2d
328, 329-330
(CA3 1991); United States v.
Sanchez-Lopez, 879 F.2d
541, 558-560
(CA9 1989).
755
Courts of Appeals, the Commission defined the phrase "offense
statutory maximum" as:
"the maximum term of imprisonment authorized for the offense of
conviction that is a crime of violence or controlled substance
offense, not including any increase in that maximum term under a
sentencing enhancement provision that applies because of the
defendant's prior criminal record .... " USSG App. C, amdt. 506
(Nov. 1994) (amending USSG § 4B1.1, comment., n. 2).
Pursuant to its authority under 28 U. S. C. § 994(u), the
Commission opted to give Amendment 506 retroactive effect,
providing sentencing courts with discretion to reduce sentences
imposed before the amendment's November 1, 1994, effective date.
See USSG § 1B1.10(c) (Nov. 1996).
B
Prior to the adoption of Amendment 506, respondents George
LaBonte, Alfred Lawrence Hunnewell, and Stephen Dyer were convicted
of various federal controlled substance offenses in the United
States District Court for the District of Maine. Each respondent
qualified as a career offender under USSG § 4B1.1 (Nov. 1987), had
received the required notice that an enhanced penalty would be
sought, and was sentenced under the Career Offender Guideline using
the enhancement. The First Circuit affirmed each respondent's
conviction and sentence. Following the adoption of Amendment 506,
however, each respondent sought a reduction in his sentence. In the
cases of respondents Dyer and Hunnewell, the District Court found
that the amendment was contrary to 21 U. S. C. § 841(b)(1)(C) and
28 U. S. C. § 994(h), and refused to reduce the sentences. In
respondent LaBonte's case, however, a different judge of the same
District Court upheld the amendment and reduced LaBonte's sentence.
The First Circuit consolidated the ensuing appeals and a divided
panel, applying the approach set forth in
Chevron U.
S.
A. Inc. v.
Natural Resources Defense Council,
Inc.,
756
467 U. S. 837
(1984), upheld Amendment 506 as an appropriate exercise of the
Commission's discretion.
70 F.3d
1396,1403-1409 (1995). The First Circuit looked to the
statutory language and "f[ou]nd no clear congressional directive
regarding the meaning of the term 'maximum' as that term is used in
section 994(h)."
Id., at 1406. In the court's view, the
meaning of the word "maximum" was influenced by its presence in the
phrase" 'maximum term authorized for [certain] categories of
defendants.'"
Id., at 1404 (bracketed term in original).
While acknowledging that the phrase could apply exclusively to that
category of repeat offenders for whom the Government filed a notice
to seek sentence enhancement, the court also observed that the word
"categories" could plausibly be defined "to include
all
offenders (or all repeat offenders) charged with transgressing the
same criminal statute, regardless of whether the prosecution
chooses to invoke the sentence-enhancing mechanism against a
particular defendant."
Id., at 1404-1405 (emphasis added).
Under the latter view, the court reasoned, the word "maximum" would
necessarily refer to the
unenhanced statutory maximum "since
this represents the highest possible sentence applicable to all
defendants in the category."
Id., at 1405.
Based on that perceived ambiguity, the court explained that the
"Career Offender Guideline, read through the prism of Amendment
506, adopts an entirely plausible version of the categorical
approach that the statute suggests."
Id., at 1407. The court
thus held that the Career Offender Guideline, as construed under
Amendment 506, was a reasonable implementation of § 994(h)'s
command to designate sentences at or near the authorized maximum
term.
Id., at 1409.
In validating Amendment 506, the First Circuit here reached the
same conclusion as the Ninth Circuit later did in
United
States v.
Dunn, 80 F.3d
402, 404 (1996). Five other Courts of Appeals, however, have
reached the opposite conclusion, finding Amendment 506 at odds with
the plain lan-
757
guage of § 994(h).3 We granted certiorari to resolve this
conflict, 518 U. S. 1016 (1996), and now reverse.
II
Congress has delegated to the Commission "significant discretion
in formulating guidelines" for sentencing convicted federal
offenders.
Mistretta, 488 U. S., at 377. Broad as that
discretion may be, however, it must bow to the specific directives
of Congress. In determining whether Amendment 506 accurately
reflects Congress' intent, we turn, as we must, to the statutory
language. If the Commission's revised commentary is at odds with §
994(h)'s plain language, it must give way. Cf.
Stinson v.
United States, 508 U. S. 36, 38 (1993)
(explaining that the Guidelines commentary "is authoritative unless
it violates the Constitution or a federal statute").
In § 994(h), Congress directed the Commission to "assure" that
for adult offenders who commit their third felony drug offense or
crime of violence, the Guidelines prescribe a sentence of
imprisonment "at or near the maximum term authorized." 28 U. S. C.
§ 994(h). We do not start from the premise that this language is
imprecise. Instead, we assume that in drafting this legislation,
Congress said what it meant. Giving the words used their "ordinary
meaning,"
Moskal v.
United States, 498 U. S. 103, 108
(1990), we find that the word "maximum" most naturally connotes the
"greatest quantity or value attainable in a given case." Webster's
New International Dictionary 1396 (2d ed. 1958); Black's Law
Dictionary 979 (6th ed. 1990) ("The highest or greatest amount,
quality, value, or degree"). We similarly
3 See
United States v.
McQuilkin, 97 F.3d
723, 731-733
(CA3 1996), cert. pending, No. 96-6810;
United States v.
Branham, 97 F.3d
835, 845-846
(CA6 1996);
United States v.
Hernandez, 79 F.3d
584, 595-601
(CA7 1996), cert. pending, Nos. 95-8469,
95-9335;
United States v.
Fountain, 83 F.3d
946, 950-953
(CA8 1996), cert. pending, No. 96-6001;
United States v.
Novey, 78 F.3d
1483, 1486-1488 (CAlO 1996), cert. pending, No. 95-8791.
758
conclude, and the parties do not dispute, that the phrase "term
authorized" refers not to the period of incarceration specified by
the Guidelines, but to that permitted by the applicable sentencing
statutes.4 Accordingly, the phrase "maximum term authorized" should
be construed as requiring the "highest" or "greatest" sentence
allowed by statute.
Respondents, however, argue that "maximum term authorized"
refers only to the highest penalty authorized by the offense of
conviction, excluding any statutory sentencing enhancements. We
find little merit in that contention. In calculating the "highest"
term prescribed for a specific offense, it is not sufficient merely
to identify the basic penalty associated with that offense.
Congress has expressly provided enhanced maximum penalties for
certain categories of repeat offenders in an effort to treat them
more harshly than other offenders. Section 994(h) explicitly
refers, for example, to 21 U. S. C. § 841, which establishes a base
"term of imprisonment of not more than 20 years" for certain drug
traffickers, but then adds that "[i]f any person commits such a
violation after a prior conviction for a felony drug offense has
become final, such person shall be sentenced to a term
4 Indeed, the Commission has explicitly recognized that "the
phrase 'maximum term authorized' should be construed as the maximum
term authorized by
statute." USSG §4B1.1, comment., backg'd
(Nov. 1987) (emphasis added). And, in our view, the phrase refers
to all applicable statutes that would affect the district court's
calculation of the prison term. Contrary to the dissent's
suggestion, however, 18 U. S. C. § 3584 does not affect the maximum
term authorized. Section 3584 merely instructs a sentencing
court whether to run "multiple
terms of imprisonment"
consecutively or concurrently; it says nothing about how the
individual term is to be calculated. § 3584 (emphasis added). Of
course, § 3584(c), which the dissent highlights,
post, at
770, directs that "[m]ultiple terms of imprisonment ... shall be
treated for
administrative purposes as a single, aggregate
term of imprisonment." 18 U. S. C. §3584(c) (emphasis added). Each
of the sections cited by the dissent falls within this
"administrative purposes" carve-out, which in no way undercuts, and
in fact plainly bolsters, our point.
759
of imprisonment of not more than 30 years." § 841(b)(1)(C).
Where Congress has enacted a base penalty for first-time offenders
or nonqualifying repeat offenders, and an enhanced penalty for
qualifying repeat offenders, the "maximum term authorized" for the
qualifying repeat offenders is the enhanced, not the base, term. As
a consequence, the "maximum term authorized" for repeat offenders
convicted under § 841(b)(1)(C) is 30 years-the enhanced statutory
maximum-not the unenhanced maximum of 20 years.
Respondents' assertion that § 994(h) is ambiguous is based, at
least in part, on a strained construction of the phrase "categories
of defendants." They claim that the word "categories" can be
defined broadly to encompass all repeat offenders charged with
violating the same criminal statuteincluding those for whom the
Government did not file a notice under § 851(a)(1) and who are
therefore ineligible for the penalty enhancement. See n. 1,
supra. If "categories of defendants" is defined in this way,
respondents argue, a sentence "at or near the maximum term
authorized" for this broader "category" of repeat offenders would
necessarily permit only the unenhanced maximum because this is the
highest possible sentence that could apply to all of the defendants
within that category.
We see at least two serious flaws in this reasoning. First,
respondents' construction of the word "categories" is overinclusive
because it subsumes within a single category both defendants who
have received notice under § 851(a)(1) and those who have not. The
statutory scheme, however, obviously contemplates two distinct
categories of repeat offenders for each possible crime. The
Commission is no more free to ignore this distinction than it is to
ignore the distinction made between those defendants who
distributed certain controlled substances and those whose
distribution also directly resulted in the death of a user. See,
e. g., 21 U. S. C. § 841(b)(1)(C). Thus, for
defendants who have received the
760
notice under § 851(a)(1), as respondents did here, the "maximum
term authorized" is the enhanced term. For defendants who did not
receive the notice, the unenhanced maximum applies.
Second, to read the phrase "categories of defendants" as
respondents suggest would largely eviscerate the penalty
enhancements Congress enacted in statutes such as § 841. We are
unwilling to read § 994(h) as essentially rendering meaningless
entire provisions of other statutes to which it expressly refers.
Under respondents' novel construction, a repeat drug or violent
felon could only receive a sentence at or near the maximum allowed
for defendants who had no such prior qualifying convictions or who
had never received the notice under § 851(a)(1). Indeed, if this
interpretation of the term "categories" were adopted, a sentencing
court could be
forbidden to impose the enhanced maximum
penalty. Congress surely did not establish enhanced penalties for
repeat offenders only to have the Commission render them a virtual
nullity.
Respondents further seek to circumvent § 994(h)'s plain meaning
by claiming that Amendment 506 satisfies Congress' mandate to
sentence repeat offenders "at or near" the maximum sentence
authorized. The flexibility afforded by the phrase "at or near,"
respondents contend, justifies the Commission's decision to rely on
the unenhanced maximum. This statutory phrase unquestionably
permits a certain degree of flexibility for upward and downward
departures and adjustments. The pertinent issue, however, "is not
how close the sentence must be to the statutory maximum, but to
which statutory maximum it must be close."
United States v.
Fountain, 83 F.3d
946, 952 (CA8 1996), cert. pending, No. 96-6001. Whatever
latitude § 994(h) affords the Commission in deciding how close a
sentence must come to the maximum to be "near" it, the statute does
not license the Commission to select as the relevant "maximum term"
a sen-
761
tence that is different from the congressionally authorized
maximum term.5
Finally, respondents rely heavily on the Commission's stated
justifications for choosing the unenhanced maximum. We are unmoved.
First, the Commission asserted that, by precluding the use of the
statutory enhancements, Amendment 506 "avoids unwarranted double
counting" of the defendant's prior offenses. 59 Fed. Reg. 23608,
23609 (1994). That argument is entirely beside the point. Congress
has instructed the Commission to assure that the sentences of
repeat offenders closely track the statutory maximum. The number of
steps the Commission employs to achieve that requirement is
unimportant, provided the Commission's mechanism results in
sentences "at or near" the "maximum term authorized."
Second, respondents invoke the Commission's assertion that its
amended commentary eliminates "unwarranted disparity associated
with variations in the exercise of prosecutional discretion in
seeking enhanced penalties based on prior convictions."
Ibid. As we understand it, this argument posits that if the
Government provides notice under § 851(a)(1) to one defendant, but
not to another, the resulting
5 Respondents' reliance on
United States v.
R. L.
C., 503 U. S.
291 (1992), is inapposite. There, we construed 18 U. S. C. §
5037(c), which provides that the sentence ordered by a court for a
juvenile delinquent may not extend beyond "the maximum term of
imprisonment that would be authorized if the juvenile had been
tried and convicted as an adult." We held that the applicable
"maximum" term authorized was the upper limit of the Guidelines
range that would apply to a similarly situated adult offender. 503
U. S., at 306-307.
R. L. C. involved a directive to a
sentencing court, however, whereas 28 U. S. C. § 994(h) is a
directive to the Commission. Because § 994(h) is designed to cabin
the Commission's discretion in the promulgation of guidelines for
career offenders, it would be entirely circular to suggest that the
Commission had complied with § 994(h) merely by specifying
sentences "at or near" the top of the
Guidelines range. The
Commission itself recognizes that the "maximum term authorized"
within the meaning of § 994(h) is the
statutory maximum, not
the otherwise applicable Guidelines maximum. See n. 4,
supra.
762
difference in the maximum possible term is an "unwarranted
disparity." Insofar as prosecutors, as a practical matter, may be
able to determine whether a particular defendant will be subject to
the enhanced statutory maximum, any such discretion would be
similar to the discretion a prosecutor exercises when he decides
what, if any, charges to bring against a criminal suspect. Such
discretion is an integral feature of the criminal justice system,
and is appropriate, so long as it is not based upon improper
factors. See
United States v.
Armstrong, 517 U. S. 456, 464-465
(1996);
Wayte v.
United States, 470 U. S. 598, 607
(1985). Any disparity in the maximum statutory penalties between
defendants who do and those who do not receive the notice is a
foreseeablebut hardly improper-consequence of the statutory notice
requirement.6
III
In sum, we hold that the phrase "at or near the maximum term
authorized" is unambiguous and requires a court to sentence a
career offender "at or near" the "maximum" prison term available
once all relevant statutory sentencing enhancements are taken into
account. Accordingly, we reverse the judgment below and remand the
case for further proceedings consistent with this opinion.
It is so ordered.
JUSTICE BREYER, with whom JUSTICE STEVENS and JUSTICE GINSBURG
join, dissenting.
The United States Sentencing Commission has interpreted three
statutory words-the words "maximum term authorized"-to mean
"maximum term of imprisonment authorized for the offense of
conviction ... not including ... sentencing enhancement
provision[s]" for recidivists. 28 U. S. C.
6 Inasmuch as we find the statute at issue here unambiguous, we
need not decide whether the Commission is owed deference under
Chevron U. S.
A. Inc. v.
Natural Resources Defense
Council, Inc., 467 U. S. 837 (1984).
763
§ 994(h); United States Sentencing Commission, Guidelines Manual
§ 4B1.1, comment., n. 2 (Nov. 1995) (USSG). The majority finds this
interpretation unlawful. It believes that the three statutory words
are unambiguous; that they are not susceptible to the Commission's
interpretation; and that the only possible interpretation is one
that does not except recidivist enhancement provisions.
In my view, however, the words "maximum term authorized" are
ambiguous. They demand an answer to the question "authorized by
what?" The statute itself does not tell us "what." Nor does
the statute otherwise "directly [speak] to the precise [Guideline]
question at issue."
Chevron U. S.
A. Inc. v.
Natural Resources Defense Council, Inc., 467 U. S. 837, 842
(1984); see
Smiley v.
Citibank (South Dakota), N.
A., 517 U. S.
735 (1996). In light of the statutory ambiguity, we should
defer to the Commission's views about what Guideline the statute
permits it to write; and we should uphold the Guideline the
Commission has written because it "is based on a permissible
construction of the statute."
Chevron, supra, at 843.
I A
To understand the legal issue before us, one must keep in mind
both what the Guidelines are and how they work. The Guidelines
themselves are a set of legal rules written by the United States
Sentencing Commission acting under authority delegated to it by a
congressional statute, the Sentencing Reform Act of 1984
(Sentencing Act), Pub. L. 98-473, § 217, 98 Stat. 2017- 2026, as
amended, 28 U. S. C. §§ 991-998. See generally
Mistretta v.
United States, 488 U. S. 361 (1989).
Congress established the United States Sentencing Commission both
to create a more honest sentencing system (through the elimination
of parole, see Pub. L. 98-473, § 218(a)(5), 98 Stat. 2027) and to
create a fairer system by reducing the "unjustifiably wide range of
sentences [pre-
764
viously imposed upon] offenders with similar histories,
convicted of similar crimes, committed under similar
circumstances," under the pre-existing indeterminate system of
sentencing. S. Rep. No. 98-225, p. 38 (1983). See also
Mistretta, supra, at 366.
At the same time, Congress said that the Commission, when
reducing disparity, should not "sacrific[e] proportionality"-the
principle that criminal conduct of greater severity should be
punished more harshly than less serious conduct. United States
Sentencing Commission, Supplementary Report on the Initial
Sentencing Guidelines and Policy Statements 13 (June 1987)
(Supplementary Report). See also 18 U. S. C. § 3553(a)(2)(A)
(sentences should "reflect the seriousness of the offense" and
"provide just punishment"); 28 U. S. C. §§ 994(a)(2) and (g). This
effort to achieve proportionality required the Commission to
identify those factors that make criminal conduct more or less
serious and provide a way for those factors to be taken into
account in the Guidelines. Yet because the list of relevant
sentencing factors is long, and their interaction impossibly
complex, the Commission had to strike a compromise between the need
for proportionality on the one hand and the need for Guidelines
that were simple enough to be administered. USSG ch. 1, pt. A3, p.
s. The upshot is a Guidelines system that balances various,
sometimes conflicting, general goals, including reduction of
disparity, proportionality, and administrability.
The Guidelines divide sentencing factors into two basic
categories: "offense" characteristics and "offender"
characteristics. See generally USSG § lB1.1. The Guidelines first
look to the characteristics of the "offense." The Guidelines tell a
sentencing judge to consider the behavior in which an offender
engaged when he committed the crime of which he was convicted. They
assign a number-called a "Base Offense Level"-to the behavior that
constituted the crime itself. (For example, they assign the Base
Offense Level 20 to robbery.
Id., § 2B3.1(a).) They next
tell the
765
judge to look to the
way in which the offender committed
the crime; and they provide specific upward adjustments in light of
certain aggravating features of the criminal behavior-adjustments
they call "Specific Offense Characteristics." (For example, if the
robber used a gun, the judge adds six levels.
Id., §
2B3.1(b)(2)(B).)
The Guidelines then tell the judge to turn to the relevant
characteristics of the defendant, see 28 U. S. C. § 994(d)-features
not of the crime, but of the criminal. In particular, they tell the
judge to assign a number of "points" determined by what the
Commission has determined to be the single most important offender
characteristic, namely, the offender's prior criminal behavior.
These points in turn correspond to one of six Criminal History
Categories. (For example, if the robber had one serious prior
criminal conviction, that is, one that led to a sentence of
imprisonment of more than 13 months, the judge will assign three
points, which places the offender in Criminal History Category II.
USSG § 4A1.1(a), and
id., ch. 5, pt. A (table).)
After determining the "offense level" and Criminal History
Category applicable to the offender, the sentencing judge (after
making various other possible adjustments) will consult a table,
the rows of which consist of "levels" and the columns of which
consist of "Categories." The intersection of the appropriate row
and column will normally indicate a narrow range of months of
imprisonment. (For example, at the intersection of level 26 and
Category II lies a sentencing range of 70-87 months' imprisonment.
Id., ch. 5, pt. A (table).) In an ordinary case, the judge
will sentence within that indicated range.
I say "in an ordinary case" because almost all Guideline rules
are meant to govern typical cases. See 18 U. S. C. § 3553(b); 28 u.
S. C. §§ 991(b)(1)(B), 994(b)(2) (requiring strict limits upon
judge's sentencing discretion in ordinary cases). At the same time,
the sentencing judge is free to depart from the Guidelines sentence
in an atypical case-one
766
outside the "heartland" of cases embodying the conduct that
individual Guidelines describe. 18 U. S. C. § 3553(b); USSG ch. 1,
pt. A4(b);
Koon v.
United States, 518 U. S. 81, 92-96
(1996). This "departure authority" is important because no set of
Guidelines can anticipate every situation. Where "there exists an
aggravating or mitigating circumstance of a kind, or to a degree,
not adequately taken into consideration by the Sentencing
Commission in formulating the guidelines," a judge has the
authority to impose an appropriate sentence, so long as that
sentence is within the range authorized by the statute under which
the defendant was convicted. See 18 U. S. C. § 3553(b); see also 28
U. S. C. § 991(b)(1)(B).
As the Commission has pointed out, this system reflects the
Sentencing Act's "detailed instructions ... the most important of
which directs the Commission to create categories of
offense
behavior and
offender characteristics." USSG ch. 1, pt.
A2 (emphasis added). See also 28 U. S. C. §§ 994(c) and (d).
Twenty-five statutory subsections, §§ 994(a)-(y), contain these and
other "detailed instructions"-instructions that both "delegat[e]
broad authority to the Commission to ... rationalize the federal
sentencing process," USSG ch. 1, pt. A2, and also describe, at
least in rough outline, how the Commission should go about
exercising that authority. The case before us concerns 1 of those
25 subsections, 28 U. S. C. § 994(h), which I shall call the
"career offender" subsection.
B
The "career offender" subsection provides more specific
directions than most other subsections. It says that the
Commission
"shall assure that the guidelines specify a sentence to a term
of imprisonment at or near the maximum term authorized for
categories of defendants in which the defendant is eighteen years
old or older and-
"(1) has been convicted of a felony that is"(A) a crime of
violence; or
767
"(B) an offense described in section 401 of the Controlled
Substances Act (21 U. S. C. 841) ... ; and
"(2) has previously been convicted of two or more
[similar] prior felonies .... " § 994(h) (emphasis added).
This provision, for present purposes, is not quite as
complicated as it appears, for the words that follow the italicized
words
"maximum term authorized" do
not modify or
explain those italicized words. Rather, they describe the kind of
person whom the Commission must make certain is sentenced to a term
"at or near the maximum term authorized." It is as if the statute
said to the Commission: Focus upon "categories" of individuals who
have previously committed two serious crimes (involving drugs or
violence) and make certain that the Guidelines specify, for those
"categories" of individuals, "a sentence to a term of imprisonment
at or near the maximum term authorized."
The Commission has recently rewritten the Guideline so
that it now imposes sentences based upon
"the maximum term of imprisonment authorized for the offense of
conviction ... not including any increase in that maximum term
under a sentencing enhancement provision that applies because of
the defendant's prior criminal record." USSG § 4B1.1, comment., n.
2.
To understand how the new Guideline works, consider an example:
The basic drug distribution statute, 21 U. S. C. § 841, has two
relevant subsections, (a) and (b). Subsection (a) makes it a crime
to "possess" a "controlled substance," such as cocaine, with
"intent to distribute" it. Subsection (b) sets forth penalties-both
minimum and maximum penalties-for violating subsection (a). Those
penalties depend primarily upon the amount of drugs at issue, but
also upon recidivism. One part of subsection (b), namely,
subsection (b)(l)(B), for example, specifies a minimum penalty of 5
years and a maximum penalty of 40 years where the amount of cocaine
ranges from 500 grams to 5 kilograms. A later por-
768
tion of that part increases the minimum penalty to 10 years and
the maximum penalty to life if the offender has a previous drug
felony conviction. The Commission's Career Offender Guideline
treats the statutory term "authorized" as if it referred to the
"maximums" that § 841 provides,
except for this last-mentioned
part.
II
We must decide whether the career offender statute permits the
Commission to write this Career Offender Guideline-a Guideline that
looks to the maximum sentences that individual criminal statutes
authorize for the
behavior that constitutes the offense.
That Guideline does not look to the maximum sentence that an
individual criminal statute authorizes for recidivism-perhaps the
most important
offender characteristic. In a sense, it says
that the career offender statute, which tells the Commission to
transform statutory maximums into approximate Guideline minimums,
is Congress' basic recidivism provision. That is to say, the
Commission's Guideline essentially reads the career offender
statute as permitting an implementing Guideline that substitutes
for, rather than supplements, other statutory recidivism-based
maximum-sentence enhancements.
The question that divides this Court is not about the wisdom of
this implementing interpretation. It is whether the "career
offender" statute's words "maximum term authorized" are
open
to the Commission's interpretation or whether they
unambiguously forbid it. In my view, the words, whether read
by themselves, read within the context of sentencing law, or read
against the historic background of sentencing reform, do not
unambiguously forbid the Guideline. Rather, their ambiguity
indicates that Congress simply has not "addressed the precise
question."
Chevron, 467 U. S., at 843.
First, the language itself-the words "maximum term
authorized"-is ambiguous. As I previously pointed out,
769
supra, at 767, the immediately subsequent words (about
categories of offenders) do not explain the words "maximum term
authorized," for they do not modify those words. Hence the question
remains, "authorized by what?" All parties agree that the relevant
maximum is the maximum set by sentencing statutes and not, for
example, the top of the otherwise applicable Guideline range. But
still, to
which sentencing statutes does the phrase refer?
The answer to this question is not written upon the statute's
face.
The phrase could not possibly refer to every sentencing statute,
nor to every statute that controls the length of the maximum
legally possible sentence for a particular offender or kind of
offender. It seems most unlikely that the phrase was intended to
include, for example, 18 U. S. c. § 3565(a)(2)-a statute that
authorizes a sentence for a probation violator up to the maximum
initially available for the underlying crime. I have never heard
anyone claim that an offender who commits his third drug crime
while on probation for, say, a minor part in a counterfeiting
offense, see § 471; USSG § 2B5.1, should receive a sentence that
approximates the statutory maximum for the drug offense
plus
the 15-year counterfeiting statutory maximum added in addition. But
see
ante, at 757-758.
Nor, to take another example, could the phrase mean to include
the federal statute that governs "[m]ultiple sentences of
imprisonment," 18 U. S. C. § 3584-a statute that grants sentencing
judges broad authority to "run" multiple sentences either
"concurrently or consecutively." That statute would permit a judge
to impose, say, a 20-year maximum sentence for each count of a
six-count indictment and run those sentences consecutively,
producing a total sentence of 120 years. Yet judges would not
impose a sentence of 120 years upon an offender who engaged in a
single related set of six 10-gram cocaine sales, even if each sale
were the subject of a separate count in a prosecutor's indictment.
(The Guidelines would not permit this 120-year imaginary sen-
770
tence. See USSG §§ 3D1.2(d), 3D1.3(b).) No one thinks that
Congress intended the Commission to write its "career offender"
Guideline with an eye toward the maximum sentences that this kind
of statute (the "multiple sentences" statute) theoretically would
authorize.
The majority, in providing a set of arguments for the correct
conclusion that the phrase "maximum term authorized" does not
include the statute just mentioned, effectively concedes this
point. The majority cannot say that the terms of imprisonment
authorized by this statute do not even
potentially fall
within the scope of the phrase "maximum term authorized," for the
majority's interpretation of this statute-intended to avoid its
application-is itself neither obvious nor even necessarily correct.
(Compare the majority's use of the words "term of imprisonment,"
for example, see
ante, at 758, n. 4, with the numerous
instances in which sentencing law, including a portion of the
"multiple sentence" statute itself, 18 U. S. C. § 3584(c), uses
those words to refer to the actual time to be served as the result
of a sentence imposed on a defendant.
E. g., §§ 3582, 3585,
3621, 3624.) And once one understands the need to engage in rather
complex exercises in statutory interpretation to separate out, from
the set of all potentially applicable sentencing statutes, those to
which the word "authorized" refers, one understands that the
referent of that word "authorized" is not
obvious-and that
is the main point here at issue.
Nor can one resolve the linguistic ambiguity by claiming (as the
drafters of the relevant statutory language seem to have claimed,
see
infra, at 775) that Congress simply meant to refer to
the maximum statutory penalties for the "offenses" of which
offenders are convicted. That is because the word "offense" is a
technical term in the criminal law, referring to a crime made up of
statutorily defined "elements." See
Staples v.
United
States, 511 U. S.
600, 604
(1994); Liparota v.
United States,
471 U. S. 419,
424 (1985). Although some criminal statutes consider recidivism an
ele-
771
ment of the offense,
e. g., 18 U. S. C. § 922(g)
(felon in possession of a firearm), many other important criminal
statutes do not. Under the drug possession statute, for example,
recidivism is
not an element of the offense, but, rather, a
sentencing-related circumstance that the prosecution need not
charge or prove at trial. Compare 21 U. S. C. § 841(a) (defining
the offense) with § 841(b) (setting penalties). Thus, one might
read the statute as referring to the maximum sentences imposed for
"offenses" technically defined (a reading that would leave out most
statutory recidivism enhancements) or one might not. The language
of the statute, even if read as referring to offenses, does not
say.
Second, background sentencing law does not provide an
unambiguous answer to the "authorized by what" question. That
background law includes a fundamental distinction between "offense
characteristics" and "offender characteristics." This distinction
underlies the Guidelines' basic structure, see
supra, at
764-766; it is embodied in the Commission's authorizing statute, 28
U. S. C. §§ 994(c) and (d); and it grows out of pre-Guideline
sentencing law, see,
e. g., Woodson v.
North
Carolina, 428 U.
S. 280, 304 (1976) (plurality opinion);
Pennsylvania ex rel.
Sullivan v.
Ashe, 302 U. S. 51, 55 (1937).
Thus, it is not surprising that the Commission should write a
Career Offender Guideline that itself reflects that distinction;
nor can one consider the distinction arbitrary, as if, for example,
the Commission were to have picked and chosen among different
offense characteristics. Cf.
ante, at 759. To the
contrary, this aspect of background sentencing law makes plausible
a reading that sees this directive to create a generally applicable
Career Offender Guideline as, in a sense, a
substitute for
other, more specific recidivism-based sentence enhancements already
scattered throughout the Federal Criminal Code. Of course, one
could also read the statute as a supplement to those provisions.
But the statute itself does not tell us which reading is
correct.
772
One further background circumstance helps to explain why the
Commission's reading of the statute is not arbitrary, i.
e.,
why it is not unreasonable for the Guideline to treat recidivist
enhancements differently from enhancements based on conduct. The
career offender subsection was enacted in the context of a sweeping
overhaul of the federal system of criminal sentencing brought about
by the Sentencing Act. One objective of the Act was honesty in
sentencing, the idea that an offender actually should serve
approximately the time stated in the sentence that the judge
imposed. S. Rep. No. 98-225, at 56. Congress achieved this
objective by abolishing parole. It thereby transformed the sentence
the judge pronounced from an enormous overstatement (given the fact
that the offender would have spent perhaps one-third to one-half or
even more of that time on parole), into
real-time years
almost all of which the offender would actually spend in prison. In
other words, given parole, a 30-year sentence might mean 10 to 20
years; a 15-year sentence might mean 5. See generally
id.,
at 46-49; Supplementary Report, App. C.
When it abolished parole, however, Congress did not expect the
Commission to write Guidelines that automatically transformed into
"real time" the parole-inflated 20- or 30year terms that judges had
previously imposed upon, say, bank robbers or drug offenders.
Rather Congress expected the Commission to adjust the length of the
sentence the judge pronounced downward to reflect the fact that
henceforth there would be no parole and the offender would really
serve close to the entire term. See 28 U. S. C. § 994(m). That is
what the Commission did. Supplementary Report 21.
This contextual circumstance helps to explain why Congress
might indeed have expected that the Commission would read
the career offender subsection to refer to statutory offenses plus
conduct-based enhancements alone (without recidivism-based sentence
enhancements). Congress realized that the pre-Guideline sentencing
system would have
773
translated the words "20 years maximum" in, say, a drug statute
into maximum sentences that approximated, say, 12 real-time years.
Congress similarly realized that the preGuideline sentencing system
would have translated the words "30 years maximum" in, say, a drug
statute's recidivism provision, into maximum sentences that
approximated, say, 20 real-time years. That is to say, Congress
realized that, pre-Guidelines (because of parole), even the most
serious class of recidivist offenders (in the absence of other
aggravating
conduct) would have likely been imprisoned for
no more than 20 real-time years. Under these circumstances, a
legislator could reasonably have taken the career offender
statute's basic objective as one of assuring that all three-time
recidivists serve the, say, 20 real-time years that only the worst
of them would previously have served. That is to say, by mandating
sentences at or near the (newly enacted) 20 year nonrecidivist
maximum (for large quantities of cocaine), the career offender
subsection would ensure that
all career offenders serve
terms at or near the real-time maximum that only the most serious
offenders would have served under a pre-Guidelines (parole-based)
system. And in this way as well, the career-offender provision
would significantly increase the likely real-time sentences served
by most threetime offenders.
To understand the impact of real-time sentencing thus helps
explain why recidivist maximums are different from maximums
associated with
offense characteristics; it shows how the
Commission's reading is consistent with Congress' obvious intent to
increase recidivist sentences significantly; it shows how a general
recidivist Guideline has an effect of a different kind than the
statutory recidivist enhancements contained in prior law and hence
might have been thought of as operating without reference to those
enhancements; and it explains how legislators
might
reasonably have sought the goals implicit in the Commission's
reading of the statute. Of course, it may also be the case that no
legislator actually
774
considered the problem before us. Or Congress instead might have
had quite different goals in mind. As the majority says, Congress
might have intended the Commission to insist that all
three-time career offenders serve a real-time sentence
significantly longer that the worst of them would likely have
served before the Guidelines. The important point for present
purposes is that the statute itself does not tell us
which
of these alternative goals Congress sought to achieve. The basic
objectives of the career offender subsection-ensuring increased
penalties for recidivist offenders who have committed crimes
involving drugs or violenceand of sentencing reform are consistent
with either basic purpose and thus do not resolve the
ambiguity.
Third, the statute's legislative history, insofar as it is
relevant, helps to explain why any search for a clear expression of
congressional intent is pointless. When first enacted into law, the
career offender subsection did not leave the word "authorized"
hanging in midair. Rather, it said "maximum term authorized
by section 3581
(b) of title 18,
United States
Code." Pub. L. 98-473, 98 Stat. 2021 (emphasis added). The
subsection to which the word "authorized" referred-a subsection
that classified crimes by letter-read as follows:
"Authorized Terms.- The authorized terms of imprisonment
are-
"(1) for a Class A felony, the duration of the defendant's life
or any period of time;
"(2) for a Class B felony, not more than twenty-five
years;
"(3) for a Class C felony, not more than twelve years; "(4) for
a Class D felony, not more than six years; "(5) for a Class E
felony, not more than three years; "(6) for a Class A misdemeanor,
not more than one
year;
"(7) for a Class B misdemeanor, not more than six months;
775
"(8) for a Class C misdemeanor, not more than thirty days;
and
"(9) for an infraction, not more than five days." 18
U. S. C. § 3581(b).
A cross-reference to this classifying subsection does not help,
however, for that subsection serves almost no significant purpose
in the Federal Criminal Code. In fact, Congress later enacted a
technical amendment that eliminated the cross-reference (leaving
the word "authorized" without an explicit reference), Pub. L.
99-646, 100 Stat. 3592, because the cross-reference was
"misleading" and "incorrect" in that "[t]o date, no Federal
offense" uses the classification system in the section to which it
referred. H. R. Rep. No. 99-797, p. 18 (1986). The drafters of the
technical amendment thought that the "maximum term of an offense is
that term prescribed by the provision of law defining the offense."
Ibid. But, as we have seen, this view of the matter is not
conclusive. See
supra, at 770-771.
One can find a possible historical explanation for what
occurred. The classifying subsection, like the sentencing law
itself, originated in a congressional effort to rewrite the entire
Federal Criminal Code. See,
e. g., S. 1, 94th Cong.,
1st Sess. (1975); S. 1437, 95th Cong., 2d Sess. (1978); S. 1630,
97th Cong., 2d Sess. (1981). That rewrite attached a classifying
letter to each substantive crime. The classifying subsection
attached a maximum penalty to each letter; and the penalty was a
real-time penalty, for the rewrite contained the later enacted new
sentencing law, which abolished parole and created real-time
sentences. For example, the rewrite characterized its only drug
recidivism provision-an enhanced penalty for a recidivist opiate
crime-as a Class B felony; to which the classifying subsection
attached a 25-year maximum sentence. See,
e. g., S.
Rep. No. 95-605, pt. 1, pp. 798, 801 (1977). The rewrite did not
become law. Congress, instead, enacted into law its sentencing
provisions, which included a career offender statute that initially
contained a
776
cross-reference to the classifying subsection that no longer
served any significant purpose.
This history may help to explain why Congress did not directly
provide a clear cross-reference in the career offender subsection.
But it does not itself provide such a reference. A reader still
might see in that subsection a predominating congressional focus
upon increasing
all career offenders' real-time terms to a
typical real-time
maximum term (in which case it is natural
to read the subsection as omitting statutory recidivism provisions)
or one might see in it a predominating congressional insistence
upon further major increases in the real-time maximum terms
themselves (in which case it is natural to read the subsection's
crossreference as picking up statutory recidivism provisions). The
subsection's language, whether read by itself, read in a broader
context of sentencing law, or read against the provision's history,
is consistent with
either interpretation.
Finally, the majority is wrong when it argues that the Career
Offender Guideline "eviscerate[s] the penalty enhancements Congress
enacted in statutes such as § 841."
Ante, at 760. Section
841 increases maximum penalties for recidivists, for example, for
crimes involving less than 500 grams of cocaine, from 20 years to
30 years. The Commission's career offender penalties for these
offenses yield sentences "at or near" the "non-recidivist" maximum.
This increased statutory maximum increases what would otherwise be
a statutory cap on any sentence imposed, thereby permitting the
sentencing judge to sentence a recidivist to more than the
statute's first offender maximum (20 years for 30 grams).
Consequently, the statutory increase authorizes a higher sentence
when the relevant Guideline range reaches beyond that first
offender maximum (as it does in the case of some of the ranges
prescribed by the Career Offender Guideline). See,
e.
g., USSG § 4B1.1 (table);
id., ch. 5, pt. A (table).
It authorizes a higher sentence when the sentencing judge faces an
atypical case warranting a departure upward. See 18
777
u. S. C. § 3553(b). And, most important, it authorizes a higher
sentence should the Commission decide to write
other
Guidelines with specific offense characteristics that tell a judge
to sentence certain especially dangerous recidivists (say, violent
drug offenders) to more than the first offender maximums. See,
e. g., USSG § 2D1.1(a)(1).
The upshot is that the majority cannot find here, or anywhere
else in sentencing law, a clear indication of what Congress
must
have meant by its open-ended term "authorized." The term is
ambiguous.
III
Although the Court does not "decide whether the Commission is
owed deference under
Chevron," ante, at 762, n. 6, I believe
that it is.
Chevron directs courts to defer to "an agency's
construction of the statute which it administers," 467 U. S., at
842, when Congress, because it has not clearly addressed an issue
in the statute itself, likely intends that the consequent
"ambiguity would be resolved, first and foremost, by the agency,
and desired the agency (rather than the courts) to possess whatever
degree of discretion the ambiguity allows. See Chevron,
supra, at 843-844." Smiley v. Citibank (South
Dakota), N. A., 517 U. S., at 741.
This kind of inference makes sense in this case. Although the
Commission is in the "judicial branch" of Government, 28 U. S. C. §
991(a);
Mistretta, 488 U. S., at 384-397, Congress intended
it to carry out a task similar to rulemaking tasks that Congress
has often delegated to administrative agencies. The Commission's
overall congressional mandate is sweeping. See 28 U. S. C. § 994(f)
("providing certainty and fairness in sentencing and reducing
unwarranted sentence disparities"); § 991(b). Without broad
delegated authority, it would not be possible to reconcile
Congress' general objectives-of uniformity, proportionality, and
administrabilitynor to reconcile those general objectives with a
host of more
778
specific statutory instructions. § 994. Thus the very nature of
the task, along with the structure of the Sentencing Act, indicates
a congressional intent to delegate primarily to the Commission the
job of interpreting, and harmonizing, the authorizing Act's
specific statutory instructions-subject, of course, to the kind of
judicial supervision and review that courts would undertake were
the Commission a typical administrative agency. This Court has
previously implied that this is so. See
Stinson v.
United
States, 508 U. S.
36, 44-45 (1993); cf.
Mistretta, supra, at 393-394.
Were the Commission a typical administrative agency, we would
ask whether its "policy" choice is "reasonable," hence
"permissible," given the statute.
Chevron, supra, at 843844,
866. And we would give the Commission considerable interpretive
leeway in light of the fact that the choice here at issue lies at
the very heart of the Commission's policyrelated "expertise."
Pension Benefit Guaranty Corporation v.
LTV Corp.,
496 U. S. 633,
651-652 (1990) ("[P]ractical agency expertise is one of the
principal justifications behind
Chevron deference");
Commodity Futures Trading Comm'n v.
Schor, 478 U. S. 833, 845
(1986). The Commission's exercise of that expertise here-its Career
Offender Guidelinemeets this legal requirement.
As a matter of policy, the Commission could take account of the
fact that the Guideline that the majority believes the statute
requires would significantly interfere with one of the Sentencing
Act's basic objectives-greater uniformity in sentencing. 28 U. S.
C. §§ 991(b)(1)(B), 994(f). That is because at least one important
set of statutory recidivist enhancements-the drug crime
enhancements contained in 21 U. S. C. § 841(b)-may be imposed only
when the prosecutor files a specific document requesting it. §
851(a). Consequently, the majority's interpretation of 28 U. S. C.
§ 994(h) places significant power in the hands of the prosecutor to
determine the length of the offender's sentence; and different
prosecutors at different times may exercise that power in
779
different ways. The Commission concluded that its interpretation
avoids "unwarranted disparity associated with variations in the
exercise of prosecut[orial] discretion," 59 Fed. Reg. 23608, 23609
(1994), in furtherance of the overriding congressional objective.
28 U. S. C. § 991(b)(1)(B).
The majority counters that "any such discretion would be similar
to the discretion a prosecutor exercises when he decides what, if
any, charges to bring against a criminal suspect."
Ante, at
762. But this reply overlooks the fact that the Guidelines
themselves, by basing punishments primarily upon the actual
behavior that underlies an offense, are written to diminish the
impact of such prosecutorial discretion. See USSG § lB1.3. The
Commission recognized that the problem is one of diminishing,
rather than aggravating, sentencing disparity among similarly
situated defendants. And the Commission's interpretation finds
support in that basic objective.
As a matter of policy, the Commission was free to consider the
practical impact of the competing interpretations-in terms both of
their comparative effectiveness in furthering the basic goals of
punishment (deterrence, incapacitation, just deserts,
rehabilitation), 18 U. S. C. § 3553(a); 28 U. S. C. § 994(a)(2);
USSG ch. 1, pt. A3, and their comparative costs in terms of real
resources, 28 U. S. C. § 994(g). And it might have thought that its
present interpretation better balanced these objectives.
Consider an example: The
ordinary (non-Career Offender)
Guideline sentence, applicable to a three-time offender, for
possession with intent to distribute a single dose of cocaine is 18
months; for possession with intent to distribute 400 grams it is 6
years. The statutory first-offender maximum is 20 years. The
recidivist maximum is 30 years. As a matter of policy, the
Commission might have thought that an increase from 18 months (or 6
years) to 20 real-time years adequately served basic punishment
objectives (as well as Congress' specific instruction to assure
"substantial prison
780
terms" for repeat drug offenders, S. Rep. No. 98-225, at 175).
And, at the same time, it might have thought an increase to 30
real-time years would have added significantly to costs, without
significantly advancing any other punitive purpose. See generally
Supplementary Report 71, 73 (predicting an 8%-10% increase in
federal prison populations from 1987 to 2002 due solely to the
effects of the career offender subsection).
Finally, as a matter of policy, the Commission might have
believed the Guidelines would create a more coherent sentencing
system if its Career Offender Guideline basically recreated
recidivist real-time
maximums, rather than increasing those
maximums by folding in the additional time that previously had
represented parole.
Supra, at 772-774.
This discussion of policy may help to make clear one reason why
I find the majority's decision regrettable. The decision interferes
with a legitimate exercise of the Commission's authority to write
Guidelines that reconcile the various, sometimes competing, goals
that Congress set forth. The United States Criminal Code contains a
highly complicated group of statutes. Congress wrote many of them
long before it thought of creating sentencing Guidelines. Congress
continues to write other statutes that the Commission, when
revising its Guidelines, may, or may not, find easy to reconcile
with what has gone before. Congress understood that the
Commission's task is complex. Congress understood the importance of
the statute's general goals-a fairer and more rational sentencing
system. I believe that courts, when interpreting the authorizing
Act, should recall Congress' overriding objectives and Congress'
understood need to grant to this arm of the "judicial branch of the
United States," 28 U. S. C. § 991(a), the discretionary authority
necessary to achieve them. I would allow the Commission to
interpret the ambiguous words of the statute before us with these
general congressional objectives in mind.
I would affirm the judgment of the Court of Appeals.
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