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- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
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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 Ginsburg delivered the opinion of the Court.
- This case presents a question of statutory interpreta-
- tion regarding revocation of a federal sentence of
- probation. The law at issue provides that if a person
- serving a sentence of probation possesses illegal drugs,
- -the court shall revoke the sentence of probation and
- sentence the defendant to not less than one-third of the
- original sentence.- 18 U. S. C. 3565(a). Congress did
- not further define the critical term -original sentence,-
- nor are those words, unmodified, used elsewhere in the
- Federal Criminal Code chapter on sentencing. Embed-
- ded in that context, the words -original sentence- in
- 3565(a) are susceptible to at least three interpretations.
- Read in isolation, the provision could be taken to
- mean the reimposition of a sentence of probation, for a
- period not less than one-third of the original sentence of
- probation. This construction, however, is implausible,
- and has been urged by neither party, for it would
- generally demand no increased sanction, plainly not
- what Congress intended.
- The Government, petitioner here, reads the provision
- to draw the time period from the initially imposed
- sentence of probation, but to require incarceration, not
- renewed probation, for not less than one-third of that
-
- period. On the Government's reading, accepted by the
- District Court, respondent Granderson would face a
- 20-month mandatory minimum sentence of imprison-
- ment.
- Granderson maintains that -original sentence- refers
- to the sentence of incarceration he could have received
- initially, in lieu of the sentence of probation, under the
- United States Sentencing Guidelines. Granderson's
- construction calls for a 2-month mandatory minimum.
- The Court of Appeals accepted Granderson's interpreta-
- tion, see 969 F. 2d 980 (CA11 1992); returns in other
- circuits are divided.
- The -original sentence- prescription of 3565(a) was a
- late-hour addition to the Anti-Drug Abuse Act of 1988,
- a sprawling enactment that takes up 364 pages in
- Statutes at Large. Pub. L. 100-690, 102 Stat.
- 4181-4545. The provision appears not to have received
- Congress' careful attention. It may have been composed,
- we suggest below, with the pre-1984 federal sentencing
- regime in the drafter's mind; it does not easily adapt to
- the regime established by the Sentencing Reform Act of
- 1984.
- According the statute a sensible construction, we
- recognize, in common with all courts that have grappled
- with the -original sentence- conundrum, that Congress
- prescribed imprisonment as the type of punishment for
- drug-possessing probationers. As to the duration of
- that punishment, we rest on the principle that -`the
- Court will not interpret a federal criminal statute so as
- to increase the penalty . . . when such an interpretation
- can be based on no more than a guess as to what
- Congress intended.'- Bifulco v. United States, 447 U. S.
- 381, 387 (1980), quoting Ladner v. United States, 358
- U. S. 169, 178 (1958). We therefore adopt Granderson's
- interpretation and affirm the judgment of the Court of
- Appeals.
- I
- Granderson, a letter carrier, pleaded guilty to one
- count of destruction of mail, in violation of 18 U. S. C.
- 1703(a). Under the Sentencing Guidelines, the poten-
- tial imprisonment range, derived from the character of
- the offense and the offender's criminal history category,
- was 0-6 months. The District Court imposed no prison
- time, but sentenced Granderson to 5 years' probation
- and a $2,000 fine. As a standard condition of proba-
- tion, Granderson was required to submit periodically to
- urinary testing for illegal drug use.
- Several weeks after his original sentencing, Grander-
- son tested positive for cocaine, and his probation officer
- petitioned for revocation of the sentence of probation.
- Finding that Granderson had possessed cocaine, the
- District Court revoked Granderson's sentence of proba-
- tion and undertook to resentence him, pursuant to
- 3565(a), to incarceration for -not less than one-third of
- the original sentence.- The term -original sentence,- the
- District Court concluded, referred to the term of proba-
- tion actually imposed (60 months) rather than the im-
- prisonment range authorized by the Guidelines (0-6
- months). The court accordingly sentenced Granderson
- to 20 months' imprisonment.
- The Court of Appeals upheld the revocation of the
- sentence of probation but vacated Granderson's new
- sentence. 969 F. 2d 980 (CA11 1992). That court
- observed that the probation revocation sentence of 20
- months' imprisonment imposed by the District Court
- was far longer than the sentence that could have been
- imposed either for the underlying crime of destroying
- mail (six months) or for the crime of cocaine possession
- (one year). Id., at 983, and n. 2. The Court of Appeals
- called it -legal alchemy- to convert an -original sen-
- tence- of -conditional liberty,- with a correspondingly
- long term, into a sentence of imprisonment with a time
- span geared to the lesser restraint. Id., at 984, quoting
- United States v. Gordon, 961 F. 2d 426, 432 (CA3 1992).
- Invoking the rule of lenity, id., at 983, the court con-
- cluded that the phrase -original sentence- referred to
- -the [0-6 month] sentence of incarceration faced by
- Granderson under the Guidelines,- not to the 60-month
- sentence of probation. Id., at 984. Because Granderson
- had served 11 months of his revocation sentence-more
- than the 6-month maximum-the Court of Appeals
- ordered him released from custody. Id., at 985.
- II
- The text of 3565(a) reads:
- -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 . . . 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 posses-
- sion of a controlled substance . . . 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 Government argues that the italicized proviso is
- unambiguous. The -original sentence- that establishes
- the benchmark for the revocation sentence, the Govern-
- ment asserts, can only be the very sentence actually
- imposed, i.e., the sentence of probation. In this case,
- the sentence of probation was 60 months; -one-third of
- the original sentence- is thus 20 months. But for two
- reasons, the Government continues, Granderson's
- 20-month revocation sentence must be one of imprison-
- ment rather than probation. First, the contrast in
- subsections (1) and (2) between -continu[ing]- and -re-
- vok[ing]- probation suggests that a revocation sentence
- must be a sentence of imprisonment, not a continuation
- of probation. Second, the Government urges, it would
- be absurd to -punish- drug-possessing probationers by
- revoking their probation and imposing a new term of
- probation no longer than the original. Congress could
- not be taken to have selected drug possessors, from the
- universe of all probation violators, for more favorable
- treatment, the Government reasons, particularly not
- under a provision enacted as part of a statute called
- -The Anti-Drug Abuse Act.-
- We agree, for the reasons stated by the Government,
- that a revocation sentence must be a term of imprison-
- ment. Otherwise the proviso at issue would make little
- sense. We do not agree, however, that the term -origi-
- nal sentence- relates to the duration of the sentence set
- for probation. The statute provides that if a probationer
- possesses drugs, -the court shall revoke the sentence of
- probation and sentence the defendant to not less than
- one-third of the original sentence.- This language ap-
- pears to differentiate, not to equate or amalgamate, -the
- sentence of probation- and -the original sentence.- See
- United States v. Penn, __ F. 3d ___, ___ (CA4 1994)
- (slip op., at 6) (-a sentence of probation does not equate
- to a sentence of incarceration-). If Congress wished to
- convey the meaning pressed by the Government, it could
- easily have instructed that the defendant be incarcer-
- ated for a term -not less than one-third of the original
- sentence of probation,- or -not less than one-third of the
- revoked term of probation.-
- The Government's interpretation has a further textual
- difficulty. The Government reads the word -sentence,-
- when used as a verb in the proviso's phrase -sentence
- the defendant,- to mean -sentence to imprisonment-
- rather than -sentence to probation.- Yet, when the
- word -sentence- next appears, this time as a noun
- (-original sentence-), the Government reads the word to
- mean -sentence of probation.- Again, had Congress
- designed the language to capture the Government's
- construction, the proviso might have read: -the court
- shall revoke the sentence of probation and sentence the
- defendant to a term of imprisonment whose length is not
- less than one-third the length of the original sentence of
- probation.- Cf. Reves v. Ernst & Young, 507 U. S. ___,
- ___ (1993) (slip op., at 7) (-it seems reasonable to give
- . . . a similar construction- to a word used as both a
- noun and a verb in a single statutory sentence).
- As the Court of Appeals commented, -[p]robation and
- imprisonment are not fungible-; they are sentences
- fundamentally different in character. 969 F. 2d, at 984.
- One-third of a 60-month term of probation or -condi-
- tional liberty- is a sentence scarcely resembling a
- 20-month sentence of imprisonment. The Government
- insists and, as already noted, we agree, that the revoca-
- tion sentence, measured as one-third of the -original
- sentence,- must be a sentence of imprisonment. But
- that -must be- suggests that -original sentence- refers
- the resentencer back to an anterior sentence of impris-
- onment, not a sentence of probation.
- III
- Granderson's reading of the 3565(a) proviso entails
- such a reference back. The words -original sentence,-
- he contends, refer back to 3565(a)(2), the prescription
- immediately preceding the drug-possession proviso: the
- -other sentence that was available under subchapter A
- [the general sentencing provisions] at the time of the
- initial sentencing.- The Guidelines sentence of impris-
- onment authorized by subchapter A was the -original
- sentence,- Granderson argues, for it was the presump-
- tive sentence, the punishment that probation, as a
- discretionary alternative, replaced. The Guidelines
- range of imprisonment available at Granderson's initial
- sentencing for destruction of mail was 0-6 months.
- Starting at the top of this range, Granderson arrives at
- 2 months as the minimum revocation sentence.
- A
- Granderson's interpretation avoids linguistic anomalies
- presented by the Government's construction. First,
- Granderson's reading differentiates, as does the proviso,
- between -the sentence of probation- that the resentencer
- must revoke and -the original sentence- that determines
- the duration of the revocation sentence. See supra, at
- 6. Second, Granderson's construction keeps constant the
- meaning of -sentence- in the phrases -sentence the
- defendant- and -original sentence.- See supra, at 6-7.
- While the Government cannot easily explain how multi-
- plying a sentence of probation by one-third can yield a
- sentence of imprisonment, Granderson's construction
- encounters no such shoal. See Gordon, 961 F. 2d, at
- 433 (-one-third of three years probation is one year
- probation, not one year imprisonment-).
- Granderson's reading of the proviso also avoids the
- startling disparities in sentencing that would attend the
- Government's interpretation. A 20-month minimum
- sentence would exceed not only the 6-month maximum
- punishment under the Guidelines for Granderson's
- original offense; it would also exceed the one-year statu-
- tory maximum, see 21 U. S. C. 844(a), that Grander-
- son could have received, had the Government prosecuted
- him for cocaine possession and afforded him the full
- constitutional protections of a criminal trial, rather than
- the limited protections of a revocation hearing. In-
- deed, a 20-month sentence would exceed consecutive
- sentences for destruction of mail and cocaine possession
- (18 months in all).
- Furthermore, twenty months is only the minimum
- revocation sentence, on the Government's reading of the
- proviso. The Government's interpretation would have
- allowed the District Court to sentence Granderson to a
- term of imprisonment equal in length to the revoked
- term of probation. This prison term-five years-would
- be ten times the exposure to imprisonment Granderson
- faced under the Guidelines for his original offense, and
- five times the applicable statutory maximum for cocaine
- possession. It seems unlikely that Congress could have
- intended so to enlarge the District Court's discretion.
- See Penn, __ F. 3d, at ___ (slip op., at 6).
- B
- Two of the Government's arguments against Grander-
- son's interpretation are easily answered. First, the
- Government observes that the purpose of the Anti-Drug
- Abuse Act was to impose tough sanctions on drug abus-
- ers. See Brief for United States 22-26 (listing new
- penalties and quoting statements from members of
- Congress that they intended to punish drug offenders
- severely). But we cannot divine from the legislators'
- many -get tough on drug offenders- statements any
- reliable guidance to particular provisions. None of the
- legislators' expressions, as the Government admits,
- focuses on -the precise meaning of the provision at issue
- in this case.- Id., at 24, and n. 4; cf. Busic v. United
- States, 446 U. S. 398, 408 (1980) (-[W]hile Congress had
- a general desire to deter firearm abuses, that desire
- was not unbounded. Our task here is to locate one of
- the boundaries, and the inquiry is not advanced by the
- assertion that Congress wanted no boundaries.-). Under
- Granderson's interpretation, moreover, drug possessors
- are hardly favored. Instead, they are singled out among
- probation violators for particularly adverse treatment:
- They face mandatory, rather than optional, terms of
- imprisonment.
- Next, the Government argues that the drug-possession
- proviso must be construed in pari materia with the
- parallel provision, added at the same time, governing
- revocation of supervised release upon a finding of drug
- possession. In the latter provision, the Government
- observes, Congress ordered a revocation sentence of -not
- less than one-third of the term of supervised release,-
- and it expressly provided that the revocation sentence
- should be -serve[d] in prison.- 18 U. S. C. 3583(g).
- Correspondingly, the Government maintains, the proba-
- tion revocation proviso should be construed to require a
- minimum prison term of one-third the term of proba-
- tion. The Government acknowledges that, while Con-
- gress spelled out -one-third of the term of supervised
- release,- Congress did not similarly say -one-third of the
- term of probation.- However, the Government attributes
- this difference to the fact that, unlike probation under
- the current sentencing regime, supervised release is not
- itself an -original sentence,- it is only a component of a
- sentence that commences with imprisonment.
- We are not persuaded that the supervised release
- revocation prescription should control construction of the
- probation revocation proviso. Supervised release, in
- contrast to probation, is not a punishment in lieu of
- incarceration. Persons serving post-incarceration terms
- of supervised release generally are more serious offend-
- ers than are probationers. But terms of supervised
- release, because they follow up prison terms, are often
- shorter than initial sentences of probation. Thus,
- under the Government's in pari materia approach, drug
- possessors whose original offense warranted the more
- serious sanction of prison plus supervised release would
- often receive shorter revocation sentences than would
- drug-possessing probationers.
- The Government counters that Congress might have
- intended to punish probationers more severely because
- they were -extended special leniency.- Reply Brief for
- United States 13, n. 14. A sentence of probation, how-
- ever, even if -lenient,- ordinarily reflects the judgment
- that the offense and offender's criminal history were not
- so serious as to warrant imprisonment. In sum, proba-
- tion sans imprisonment and supervised release following
- imprisonment are sentences of unlike character. This
- fact weighs heavily against the argument that the dis-
- crete, differently worded probation and supervised re-
- lease revocation provisions should be construed in pari
- materia.
- C
- The history of the probation revocation proviso's enact-
- ment gives us additional cause to resist the Govern-
- ment's interpretation. The Anti-Drug Abuse Act, in
- which the proviso was included, was a large and com-
- plex measure, described by one member of the House of
- Representatives as -more like a telephone book than a
- piece of legislation.- 134 Cong. Rec. 33290 (1988) (re-
- marks of Rep. Conte). The proviso seems first to have
- appeared in roughly its present form as a Senate floor
- amendment offered after both the House and the Senate
- had passed the bill. See id., at 24924-24925 (House
- passage, Sept. 22); id., at 30826 (Senate passage, Oct.
- 14); id., at 30945 (proviso included in lengthy set of
- amendments proposed by Sen. Nunn, Oct. 14). No con-
- ference report addresses the provision, nor are we aware
- of any post-conference discussion of the issue. The
- proviso thus seems to have been inserted into the Anti-
- Drug Abuse Act without close inspection. Cf. United
- States v. Bass, 404 U. S. 336, 344 (1971) (applying rule
- of lenity, noting that statutory provision -was a last-
- minute Senate amendment- to a long and complex bill
- and -was hastily passed, with little discussion, no hear-
- ings, and no report-).
- Another probation-related provision of the Anti-Drug
- Abuse Act, proposed shortly before the proviso, casts
- further doubt on the Government's reading. That provi-
- sion amends the prohibition against using or carrying
- an explosive in the commission of a federal felony, to
- provide in part: -Notwithstanding any other provision of
- law, the court shall not place on probation or suspend
- the sentence of any person convicted of a violation of
- this subsection . . . .- Pub. L. 100-690, 6474(b), 102
- Stat. 4380, codified at 18 U. S. C. 844(h) (emphasis
- supplied). This provision, notwithstanding its 1988 date
- of enactment, is intelligible only under pre-1984 law: the
- 1984 Sentencing Reform Act had abolished suspended
- sentences, and the phrase -place on probation- had
- yielded to the phrase -impose a sentence of probation.-
- Granderson's counsel suggested at oral argument, see
- Tr. of Oral Arg. 22-23, 29-31, 36-41, that the proviso's
- drafters might similarly have had in mind the pre-1984
- sentencing regime, in particular, the pre-1984 practice of
- imposing a sentence of imprisonment, suspending its
- execution, and placing the defendant on probation. See
- 18 U. S. C. 3651 (1982) (for any offense -not punish-
- able by death or life imprisonment,- the court may
- -suspend the imposition or execution of sentence and
- place the defendant on probation for such period and
- upon such terms and conditions as the court deems
- best-). The proviso would fit the suspension-of-execution
- scheme precisely: The -original sentence- would be the
- sentence imposed but not executed, and one-third of
- that determinate sentence would be the revocation
- sentence. In that application, the proviso would avoid
- incongruities presented in Granderson's and the Govern-
- ment's interpretations of the words -original sentence-:
- an imposed, albeit unexecuted, term of imprisonment
- would be an actual rather than a merely available
- sentence, and one-third of that sentence would be a
- term of imprisonment, not probation. If Granderson
- could demonstrate that the proviso's drafters in fact
- drew the prescription to match the pre-1984 suspension-
- of-execution scheme, Granderson's argument would be
- all the more potent: The closest post-1984 analogue to
- the suspended sentence is the Guidelines sentence of
- imprisonment that could have been implemented, but
- was held back in favor of a probation sentence.
- We cannot say with assurance that the proviso's draft-
- ers chose the term -original sentence- with a view to-
- ward pre-1984 law. The unexacting process by which
- the proviso was enacted, however, and the evident
- anachronism in another probation-related section of the
- Anti-Drug Abuse Act, leave us doubtful that it was
- Congress' design to punish drug-possessing probationers
- with the extraordinarily disproportionate severity the
- Government urges.
- In these circumstances-where text, structure, and
- history fail to establish that the Government's position
- is unambiguously correct-we apply the rule of lenity
- and resolve the ambiguity in Granderson's favor. See,
- e.g., Bass, 404 U. S., at 347-349. We decide that the
- -original sentence- that sets the duration of the revoca-
- tion sentence is the applicable Guidelines sentence of
- imprisonment, not the revoked term of probation.
- IV
- We turn, finally, to the Government's argument that
- Granderson's theory, and the Court of Appeals' analysis,
- are fatally flawed because the Guidelines specify not a
- term but a range-in this case, 0-6 months. Calculat-
- ing the minimum revocation sentence as one-third of
- that range, the mandatory minimum term of imprison-
- ment would be 0-2 months, the Government asserts,
- which would permit a perverse result: A resentencing
- court could revoke a drug possessor's sentence of proba-
- tion, and then impose no sentence at all. Recognizing
- this curiosity, lower courts have used not 0-6 months as
- their starting place, but the top of that range, as the
- -original sentence,- which yields two months as the
- minimum revocation sentence. The Government com-
- plains that no court has explained why the top, rather
- than the middle or the bottom of the range, is the
- appropriate point of reference.
- The reason for starting at the top of the range, how-
- ever, is evident: No other solution yields as sensible a
- response to the -original sentence- conundrum. Four
- measures of the minimum revocation sentence could be
- hypothesized as possibilities, if the applicable Guidelines
- range is the starting point: The sentence could be calcu-
- lated as (1) one-third of the Guidelines maximum, (2)
- one-third of the Guidelines minimum, (3) one-third of
- some point between the minimum and maximum, such
- as the midpoint, or (4) one-third of the range itself.
- The latter two possibilities can be quickly eliminated.
- Selecting a point between minimum and maximum,
- whether the midpoint or some other point, would be
- purely arbitrary. Calculating the minimum revocation
- sentence as one-third of the Guidelines range, in practi-
- cal application, yields the same result as setting the
- minimum revocation sentence at one-third of the Guide-
- lines minimum: To say, for example, that a 2-4 month
- sentence is the minimum revocation sentence is effec-
- tively to say that a 2-month sentence is the minimum.
- Using the Guidelines minimum in cases such as the
- present one (0-6 month range), as already noted, would
- yield a minimum revocation sentence of zero, a result
- incompatible with the apparent objective of the provi-
- so-to assure that those whose probation is revoked for
- drug possession serve a term of imprisonment. The
- maximum Guidelines sentence as the benchmark for the
- revocation sentence, on the other hand, is -a sensible
- construction- that avoids attributing to the legislature
- either -an unjust or an absurd conclusion.- In re
- Chapman, 166 U. S. 661, 667 (1897).
- V
- We decide, in sum, that the drug-possession proviso of
- 3565(a) establishes a mandatory minimum sentence of
- imprisonment, but we reject the Government's contention
- that the proviso unambiguously calls for a sentence
- based on the term of probation rather than the origi-
- nally applicable Guidelines range of imprisonment.
- Granderson's interpretation, if not flawless, is a securely
- plausible reading of the statutory language, and it
- avoids the textual difficulties and sentencing disparities
- we identified in the Government's position. In these
- circumstances, in common with the Court of Appeals, we
- apply the rule of lenity and resolve the ambiguity in
- Granderson's favor. The minimum revocation sentence,
- we hold, is one-third the maximum of the originally
- applicable Guidelines range, and the maximum revo-
- cation sentence is the Guidelines maximum.
- In this case, the maximum revocation sentence is 6
- months. Because Granderson had served 11 months
- imprisonment by the time the Court of Appeals issued
- its decision, that court correctly ordered his release.
- The judgment of the Court of Appeals is therefore
-
- Affirmed.
-