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- SUPREME COURT OF THE UNITED STATES
- --------
- No. 92-1662
- --------
- UNITED STATES, PETITIONER v. RALPH STUART
- GRANDERSON, Jr.
- on writ of certiorari to the united states court
- of appeals for the eleventh circuit
- [March 22, 1994]
-
- Justice Kennedy, concurring in the judgment.
- The Court's holding that the drug proviso in 18
- U. S. C. 3565(a) calls for a mandatory minimum
- sentence of two months in prison rests upon two prem-
- ises: first, that the term -original sentence- means the
- maximum Guidelines sentence that the district court
- could have, but did not, impose at the initial sentencing;
- and, second, that the verb -sentence- means only
- -sentence to imprisonment.- Neither premise is correct.
- As close analysis of the text and structure of the statute
- demonstrates, the proviso requires a mandatory mini-
- mum sentence of a probation term one-third the length
- of the initial term of probation. I concur in the judg-
- ment only because Granderson, under my reading of the
- statute, was entitled to release from prison.
-
- I
- Section 3565(a) provides, in relevant part:
- -If the defendant violates a condition of probation at
- any time prior to the expiration or termination of
- the term of probation, the court may . . .
- -(1) continue him on probation, with or without
- extending the term or modifying or enlarging the
- conditions; or
- -(2) revoke the sentence of probation and impose
- any other sentence that was available under sub-
- chapter A at the time of the initial sentencing.
- -Notwithstanding any other provision of this
- section, if a defendant is found by the court to be in
- possession of a controlled substance, thereby violat-
- ing the condition imposed by section 3563(a)(3), the
- court shall revoke the sentence of probation and
- sentence the defendant to not less than one-third of
- the original sentence.- (Emphasis supplied.)
- The Court construes the term -original sentence- to
- refer to the maximum sentence of imprisonment avail-
- able under the Guidelines at the initial sentencing. I
- accept, in substantial part, The Chief Justice's critique
- of the Court's strained interpretation, and agree with
- him that -original sentence- refers to the sentence of
- probation a defendant in fact received at the initial
- sentencing. It is true that the term ``original sentence,''
- standing alone, could be read to encompass the entire
- original sentence, including any fine imposed. When
- considered in context, however, it is preferable to
- construe the term to refer only to the original sentence
- of probation. The proviso instructs the district court to
- ``revoke the sentence of probation,'' but says nothing
- about the fine imposed at the initial sentencing. Given
- this, the subsequent reference to ``one-third of the
- original sentence'' is better read to mean the probation
- component of the original sentence, and not the whole
- sentence.
- I disagree with both the Court and The Chief Jus-
- tice, however, in their conclusion that the verb -sen-
- tence- in the proviso means only -sentence to imprison-
- ment.- Given the statutory text and structure, the verb
- -sentence- can mean either -sentence to probation- or
- -sentence to imprisonment.- It follows, in my view, that
- the drug proviso calls for a mandatory minimum sen-
- tence equal to a probation term one-third the length of
- the original term of probation.
- Before 1984, fines and imprisonment were the only
- sentences in the federal system; probation, by contrast,
- was an alternative to sentencing. See 18 U. S. C. 3651
- (1982). In the Sentencing Reform Act of 1984, Congress
- altered this understanding and made probation a kind
- of sentence. See 3561(a) (defendant -may be sentenced
- to a term of probation-); United States Sentencing
- Commission, Guidelines Manual ch. 7, pt. A2(a), at 379
- (Nov. 1993) (-[T]he Sentencing Reform Act recognized
- probation as a sentence in itself-). Probation no longer
- entails some deviation from a presumptive sentence of
- imprisonment, as the facts of this case illustrate.
- Granderson's conviction for destruction of mail, when
- considered in light of his criminal history category,
- placed him in Zone A of the Guidelines Sentencing
- Table, which carries a presumptive sentence of 0 to 6
- months. The Sentencing Guidelines authorize a sen-
- tence of probation for defendants falling within Zone A,
- see USSG 5B1.1(a)(1), and set a maximum probation
- term of five years for the subset of Zone A defendants
- of which Granderson is a member, see 5B1.2(a)(1). For
- defendants like Granderson, then, probation is a sen-
- tence available at the initial sentencing, no less so than
- a sentence of imprisonment. See 18 U. S. C. 3553(a)(4)
- (the court, in determining sentence, -shall consider . . .
- the kinds of sentence and the sentencing range estab-
- lished for the applicable category of offense . . . as set
- forth in the guidelines-) (emphasis supplied). Because
- the term -to sentence,- if left unadorned, can bear any
- one of three meanings, Congress took care, as a general
- matter, to specify the type of punishment called for
- when it used -sentence- as a verb in Chapter 227 of
- Title 18, the sentencing provisions of the criminal code.
- See, e.g., 3561(a) (-sentenced to a term of probation-),
- 3572(e) (-sentenced to pay a fine-), 3583(a) (-impos[e]
- a sentence to a term of imprisonment-).
- Congress was less careful when drafting the provision
- now before us, which does not specify whether the dis-
- trict court should impose a fine, imprisonment, or
- another term of probation when revoking the original
- term of probation on account of drug possession. The
- Government brushes aside this significant ambiguity,
- contending that -the language of the statute, in context,-
- demonstrates that Congress -plainly intended- to require
- imprisonment. Brief for Respondent 14, 15. The Gov-
- ernment is correct to say that we must examine the con-
- text of the proviso to ascertain its meaning. See Davis
- v. Michigan Dept. of Treasury, 489 U. S. 803, 809
- (1989). Close attention to that context, however, leads
- me to conclude that Congress did not intend to require
- imprisonment upon revocation of the original term of
- probation.
- Congress enacted the drug proviso as 7303(a)(2) of
- the Anti-Drug Abuse Act of 1988 (1988 Act). Pub. L.
- 100-690, 102 Stat. 4181, 4464. Section 7303(b)(2) of
- the 1988 Act, which concerns defendants serving a term
- of supervised release, provides that -[i]f the defendant is
- found by the court to be in the possession of a controlled
- substance, the court shall terminate the term of super-
- vised release and require the defendant to serve in
- prison not less than one-third of the term of supervised
- release.- 102 Stat. 4464, codified at 18 U. S. C.
- 3583(g) (emphasis supplied).
- Sections 7303(a)(2) and (b)(2) are, as the Government
- puts it, -parallel and closely related.- Brief for United
- States 26. Both pertain to the consequences of drug
- possession for defendants under some form of non-
- custodial supervision. They differ, of course, in one
- fundamental respect: Section 7303(b)(2) explicitly pro-
- vides for a revocation sentence of imprisonment, while
- 7303(a)(2) does not. The difference is significant.
- -`[W]here Congress includes particular language in one
- section of a statute but omits it in another section of the
- same Act, it is generally presumed that Congress acts in-
- tentionally and purposely in the disparate inclusion or
- exclusion.'- Gozlon-Peretz v. United States, 498 U. S.
- 395, 404 (1991), quoting Russello v. United States, 464
- U. S. 16, 23 (1983) (internal quotations omitted). The
- presumption loses some of its force when the sections in
- question are dissimilar and scattered at distant points
- of a lengthy and complex enactment. But in this case,
- given the parallel structure of 7303(a)(2) and (b)(2)
- and the fact that Congress enacted both provisions in
- the same section of the same Act, the presumption is
- strong. The disparate use of the term -to serve in
- prison- is compelling evidence that Congress intended to
- mandate incarceration as a revocation punishment in
- 7303(b)(2), but not in 7303(a)(2) (the 3565(a) drug
- proviso).
- The Government interposes a structural argument of
- its own. Before enactment of the drug proviso in the
- 1988 Act, 3565(a) consisted only of subsections (a)(1)
- and (a)(2), which, for all relevant purposes, took the
- same form as they do now. Those provisions grant
- courts two options for defendants who violate probation
- conditions that do not involve drugs or guns. Section
- 3565(a)(1) permits a court to continue the defendant on
- probation, with or without extending the term or modi-
- fying or enlarging the conditions. As an alternative,
- 3565(a)(2) permits a court to -revoke the sentence of
- probation and impose any other sentence that was avail-
- able . . . at the time of the initial sentencing.- Accord-
- ing to the Government, the two provisions make clear
- that the consequence of revocation under 3565(a)(2)
- is that, in light of 3565(a)(1), the court must impose a
- sentence other than probation, namely imprisonment.
- The meaning borne by the phrase -revoke the sentence
- of probation- in 3565(a)(2), the Government concludes,
- must carry over when the same phrase appears in the
- drug proviso.
- This argument, which the Court accepts, see ante, at
- 5, is not convincing. The conclusion that 3565(a)(2)
- demands imprisonment upon revocation of the original
- sentence of probation does not rest upon anything
- inherent in the phrase -revoke the sentence of proba-
- tion.- Rather, it follows from the structure
- of 3565(a)(1) and (a)(2). Congress set off subsection
- (a)(2) as an alternative to subsection (a)(1), which
- provides for every conceivable probation option. Thus,
- in order to make sense of the statutory scheme,
- 3565(a)(2) should be read to require a punishment of
- something other than probation: imprisonment. That
- consequence, however, is due to the juxtaposition of
- subsection (a)(2) with subsection (a)(1), not to Congress'
- use of the phrase -revoke the sentence of probation- in
- 3565(a)(2). Taken by itself, that phrase requires ter-
- mination of the original sentence of probation, but does
- not indicate the kind of sentence that must be imposed
- in its place. The meaning assumed by the phrase -re-
- voke the sentence of probation- in the particular context
- of 3565(a)(2), then, does not travel when the same
- phrase appears in a different context.
- The Government's argument that -revoke the sentence
- of probation,- standing alone, must import a sentence of
- imprisonment also fails to account for how similar
- language is used in 7303(b)(2) of the 1988 Act. That
- provision, as noted above, states that -the court shall
- terminate the term of supervised release and require the
- defendant to serve in prison not less than one-third of
- the term of supervised release- if a defendant is found
- in possession of drugs. 18 U. S. C. 3583(g) (emphasis
- supplied). The statutory text suggests that a subsequent
- sentence of imprisonment is not implicit in the phrase
- -the court shall terminate the term of supervised
- release-; had it been, Congress would not have felt it
- necessary to mandate imprisonment in an explicit
- manner. So there is little reason to think that Congress
- believed imprisonment to be implicit in the parallel
- phrase -the court shall revoke the sentence of probation-
- in the 3565(a) drug proviso, 7303(a)(2) of the 1988 Act.
- The Government's view suffers from a final infirmity.
- The term -original sentence- refers to the sentence of
- probation imposed at the initial sentencing. So if the
- proviso imposed a minimum punishment of incarceration,
- the length of incarceration must be tied to the length of
- the revoked sentence of probation. That would be an
- odd result. -[I]mprisonment is an `intrinsically different'
- form of punishment- than probation. Blanton v. North
- Las Vegas, 489 U. S. 538, 542 (1989), quoting Muniz v.
- Hoffman, 422 U. S. 454, 477 (1975). Without belaboring
- the point, probation is a form of -conditional liberty,-
- Black v. Romano, 471 U. S. 606, 611 (1985), while im-
- prisonment is nothing of the sort. Transforming a sen-
- tence of probation into a prison term via some mathe-
- matical formula would, in the words of one court to have
- considered this issue, constitute a form of -legal al-
- chemy.- United States v. Gordon, 961 F. 2d 426, 433
- (CA3 1992). In all events, it is not what one would ex-
- pect in the ordinary course.
- The Chief Justice is correct, of course, to say that it
- would not be irrational for Congress to tie a mandatory
- minimum sentence of imprisonment to the length of the
- original probation term. Post, at 7. He is also correct
- to observe that Congress would have been within its
- powers to write such a result into law, and that Con-
- gress indeed provided for a similar result in 7303(b)(2)
- of the 1988 Act, 18 U. S. C. 3583(g). Post, at 8. But
- these observations do not speak to the only relevant
- question: whether Congress did so in the text of the
- 3565(a) drug proviso, viewed in light of the statutory
- structure. For all of the above reasons, in my view it
- did not.
- In sum, the drug proviso does not mandate incarcera-
- tion, but rather must be read to permit a revocation
- sentence of probation. Concluding that the mandatory
- minimum sentence is a term of imprisonment would be
- inconsistent with this reading, and would also lead to
- the anomaly of tying the length of the mandated prison
- term to the original term of probation. It follows that
- the mandatory minimum sentence required by the drug
- proviso is a probation term equal to one-third the length
- of the original term of probation. Given that Congress
- did not eliminate the possibility of incarceration (for
- example, by drafting the proviso to require a -sentence
- of probation-), the proviso gives the district court the
- discretion to impose any prison term otherwise available
- under the other portions of 3565(a), which is more
- severe than the mandatory minimum sentence of
- probation.
-
- II
- It is unfortunate that Congress has drafted a criminal
- statute that is far from transparent; more unfortunate
- that the Court has interpreted it to require imprison-
- ment when the text and structure call for a different
- result; but most unfortunate that the Court has chosen
- such a questionable path to reach its destination. I
- speak of the Court's speculation that Congress drafted
- the 3565(a) drug proviso with the pre-1984 federal sen-
- tencing regime in mind. See ante, at 13-14. Reading
- the proviso to require Granderson to serve a 2-month
- mandatory minimum sentence of imprisonment, the
- Court reasons, -would fit the [pre-1984] scheme pre-
- cisely.- Id., at 14. And viewing the proviso in that
- light, the Court adds, would avoid problems with both
- Granderson's and the Government's interpretations. See
- ibid. Although the Court purports not to place much
- reliance upon this venture in interpretive archaeology,
- its extended discussion of the matter suggests otherwise.
- This interpretive technique, were it to take hold,
- would be quite a novel addition to the traditional rules
- that govern our interpretation of criminal statutes.
- Some members of the Court believe that courts may look
- to -the language and structure, legislative history, and
- motivating policies- when reading a criminal statute in
- a manner adverse to a criminal defendant. See United
- States v. R. L. C., 503 U. S. ___, ___ (1992) (plurality
- opinion) (slip op., at 13) (internal quotation marks
- omitted). Others would eschew reliance upon legislative
- history and nebulous motivating policies when construing
- criminal statutes. See id., at ___-___ (Scalia, J., con-
- curring) (slip op., at 2-3). But, to my knowledge, none
- of us has ever relied upon some vague intuition of what
- Congress -might . . . have had in mind- (ante, at 13)
- when drafting a criminal law. And I am certain that we
- have not read a criminal statute against a criminal de-
- fendant by attributing to Congress a mindset that re-
- flects a statutory framework that Congress itself had
- discarded over four years earlier.
- Of course, the Court thinks it has done Granderson
- and probationers like him a great favor with its guess-
- work: Assuming that the drug proviso mandates incar-
- ceration, the Court's intuitions lead it to conclude that
- the mandatory minimum sentence of imprisonment here
- is 2, rather than 20, months. But in its rush to achieve
- what it views as justice in this case, the Court has
- missed a broader point: The statute, by word and de-
- sign, does not mandate a punishment of imprisonment
- on revocation. In my respectful submission, had the
- Court adhered to the text and structure of the statute
- Congress enacted and the President signed, rather than
- given effect to its own intuitions of what might have
- been on Congress' mind at the time, it would have come
- to a different conclusion. See Deal v. United States, 508
- U. S. ___, ___ (1993) (slip op., at 7-8). And the fortuity
- that Granderson himself does not contend that the
- proviso permits a revocation sentence of probation, see
- ante, at 15, n. 12, is no reason to overlook that option
- here, given that our interpretation of the statute binds
- all probationers, not just Granderson. Cf. Elder v.
- Holloway, ___ U. S. ___, ___, and n. 3 (1994) (slip op. at
- 4-6, and n. 3).
- Perhaps the result the Court reaches today may be
- sensible as a matter of policy, and may even reflect
- what some in Congress hoped to accomplish. That re-
- sult, however, does not accord with the text of the
- statute Congress saw fit to enact. Put in simple terms,
- if indeed Congress intended to require the mandatory
- minimum sentence of imprisonment the Court surmises,
- Congress fired a blank. See Puerto Rico Dept. of Con-
- sumer Affairs v. Isla Petroleum Corp., 485 U. S. 495,
- 501 (1988) (-[U]nenacted approvals, beliefs, and desires
- are not laws-). It is beyond our province to rescue
- Congress from its drafting errors, and to provide for
- what we might think, perhaps along with some members
- of Congress, is the preferred result. See Smith v.
- United States, 508 U. S. ___, ___, n. 4 (1993) (slip op.,
- at 7, n. 4) (Scalia, J., dissenting) (-Stretching language
- in order to write a more effective statute than Congress
- devised is not an exercise we should indulge in-); Pavelic
- & LeFlore v. Marvel Entertainment Group, 493 U. S.
- 120, 126 (1989) (-Our task is to apply the text, not to
- improve upon it-); United States v. Locke, 471 U. S. 84,
- 95 (1985) (-[T]he fact that Congress might have acted
- with greater clarity or foresight does not give courts a
- carte blanche to redraft statutes in an effort to achieve
- that which Congress is perceived to have failed to do-).
- This admonition takes on a particular importance when
- the Court construes criminal laws. -[B]ecause of the
- seriousness of criminal penalties, and because criminal
- punishment usually represents the moral condemnation
- of the community, legislatures and not courts should
- define criminal activity,- United States v. Bass, 404
- U. S. 336, 348 (1971), and set the punishments therefor,
- see Bifulco v. United States, 447 U. S. 381 (1980).
- Under any of the three interpretations set forth in the
- opinions filed today, there are bound to be cases where
- the mandatory sentence will make little sense or appear
- anomalous when compared with sentences imposed in
- similar cases. Some incongruities, however, are inherent
- in any statute providing for mandatory minimum
- sentences.
- In my view, it is not necessary to invoke the rule of
- lenity here, for the text and structure of the statute
- yield but one proper answer. But assuming, as the
- Court does, that the rule comes into play, I would have
- thought that it demands the interpretation set forth
- above. For these reasons, I concur only in the judg-
- ment.
-