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- NOTICE: This opinion is subject to formal revision before publication in the
- 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
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 91-8685
- --------
- TERRY LYNN STINSON, PETITIONER v.
- UNITED STATES
- on writ of certiorari to the united states court
- of appeals for the eleventh circuit
- [May 3, 1993]
-
- Justice Kennedy delivered the opinion of the Court.
- In this case we review a decision of the Court of
- Appeals for the Eleventh Circuit holding that the commen-
- tary to the Sentencing Guidelines is not binding on the
- federal courts. We decide that commentary in the Guide-
- lines Manual that interprets or explains a guideline is
- authoritative unless it violates the Constitution or a
- federal statute, or is inconsistent with, or a plainly errone-
- ous reading of, that guideline.
- Petitioner Terry Lynn Stinson entered a plea of guilty
- to a five-count indictment resulting from his robbery of a
- Florida bank. The presentence report recommended that
- petitioner be sentenced as a career offender under the
- Sentencing Guidelines. See United States Sentencing
- Commission, Guidelines Manual 4B1.1 (Nov. 1989).
- Section 4B1.1 provided that a defendant is a career
- offender if:
- -(1) the defendant was at least eighteen years old at
- the time of the instant offense, (2) the instant offense
- of conviction is a felony that is either a crime of
- violence or a controlled substance offense, and (3) the
- defendant has at least two prior felony convictions of
- either a crime of violence or a controlled substance
- offense.-
- All concede that petitioner was at least 18 years old when
- the events leading to the indictment occurred and that he
- then had at least two prior felony convictions for crimes
- of violence, thereby satisfying the first and third elements
- in the definition of career offender. It is the second
- element in this definition, the requirement that the
- predicate offense be a crime of violence, that gave rise to
- the ultimate problem in this case. At the time of his
- sentencing, the guidelines defined -crime of violence- as,
- among other things, -any offense under federal or state
- law punishable by imprisonment for a term exceeding one
- year that . . . involves conduct that presents a serious
- potential risk of physical injury to another.- 4B1.2(1).
- The United States District Court for the Middle District
- of Florida found that petitioner's conviction for the offense
- of possession of a firearm by a convicted felon, 18 U. S. C.
- 922(g), was a crime of violence, satisfying the second
- element of the career offender definition. Although the
- indictment contained other counts, the District Court
- relied only upon the felon-in-possession offense in applying
- the career offender provision of the guidelines. In accord
- with its conclusions, the District Court sentenced peti-
- tioner as a career offender.
- On appeal, petitioner maintained his position that the
- offense relied upon by the District Court was not a crime
- of violence under USSG 4B1.1 and 4B1.2(1). The Court
- of Appeals affirmed, holding that possession of a firearm
- by a felon was, as a categorical matter, a crime of vio-
- lence. 943 F. 2d 1268, 1271-1273 (CA11 1991). After its
- decision, however, Amendment 433 to the Guidelines
- Manual, which added a sentence to the commentary to
- 4B1.2, became effective. The new sentence stated that
- -[t]he term `crime of violence' does not include the offense
- of unlawful possession of a firearm by a felon.- USSG
- App. C, at 253 (Nov. 1992). See 4B1.2 comment., n. 2.
- Petitioner sought rehearing, arguing that Amendment 433
- should be given retroactive effect, but the Court of Ap-
- peals adhered to its earlier interpretation of -crime of
- violence- and denied the petition for rehearing in an
- opinion. 957 F. 2d 813 (CA11 1992) (per curiam).
- Rather than considering whether the amendment should
- be given retroactive application, the Court of Appeals held
- that commentary to the Guidelines, though -persuasive,-
- is of only -limited authority- and not -binding- on the
- federal courts. Id., at 815. It rested this conclusion on
- the fact that Congress does not review amendments to the
- commentary under 28 U. S. C. 994(p). The Court of
- Appeals -decline[d] to be bound by the change in section
- 4B1.2's commentary until Congress amends section 4B1.2's
- language to exclude specifically the possession of a firearm
- by a felon as a `crime of violence.'- 957 F. 2d, at 815.
- The various courts of appeals have taken conflicting
- positions on the authoritative weight to be accorded to the
- commentary to the Sentencing Guidelines, so we granted
- certiorari. 506 U. S. ___ (1992).
- The Sentencing Reform Act of 1984, as amended, 18
- U. S. C. 3551 et seq. (1988 ed. and Supp. III), 28
- U. S. C. 991-998 (1988 ed. and Supp. III), created the
- Sentencing Commission, 28 U. S. C. 991(a), and charged
- it with the task of -establish[ing] sentencing policies and
- practices for the Federal criminal justice system,-
- 991(b)(1). See Mistretta v. United States, 488 U. S. 361,
- 367-370 (1989). The Commission executed this function
- by promulgating the Guidelines Manual. The Manual
- contains text of three varieties. First is a guideline
- provision itself. The Sentencing Reform Act establishes
- that guidelines are -for use of a sentencing court in
- determining the sentence to be imposed in a criminal
- case.- 28 U. S. C. 994(a)(1). The guidelines provide
- direction as to the appropriate type of punishment-proba-
- tion, fine, or term of imprisonment-and the extent of the
- punishment imposed. 994(a)(1)(A) and (B). Amend-
- ments to guidelines must be submitted to Congress for a
- 6-month period of review, during which Congress can
- modify or disapprove them. 994(p). The second variety
- of text in the Manual is a policy statement. The Sentenc-
- ing Reform Act authorizes the promulgation of -general
- policy statements regarding application of the guidelines-
- or other aspects of sentencing that would further the
- purposes of the Act. 994(a)(2). The third variant of text
- is commentary, at issue in this case. In the Guidelines
- Manual, both guidelines and policy statements are accom-
- panied by extensive commentary. Although the Sentenc-
- ing Reform Act does not in express terms authorize the
- issuance of commentary, the Act does refer to it. See 18
- U. S. C. 3553(b) (in determining whether to depart from
- a guidelines range, -the court shall consider only the
- sentencing guidelines, policy statements, and official
- commentary of the Sentencing Commission-). The Sen-
- tencing Commission has provided in a guideline that
- commentary may serve these functions: commentary may
- -interpret [a] guideline or explain how it is to be applied,-
- -suggest circumstances which . . . may warrant departure
- from the guidelines,- or -provide background information,
- including factors considered in promulgating the guideline
- or reasons underlying promulgation of the guideline.-
- USSG 1B1.7.
- As we have observed, -the Guidelines bind judges and
- courts in the exercise of their uncontested responsibility
- to pass sentence in criminal cases.- Mistretta v. United
- States, supra, at 391. See also Burns v. United States,
- 501 U. S. ___, ___ (1991) (slip op., at 3). The most
- obvious operation of this principle is with respect to
- guidelines themselves. The Sentencing Reform Act
- provides that, unless the sentencing court finds an aggra-
- vating or mitigating factor of a kind, or to a degree, not
- given adequate consideration by the Commission, a
- circumstance not applicable in this case, -[t]he court shall
- impose a sentence of the kind, and within the range,-
- established by the applicable guidelines. 18 U. S. C.
- 3553(a)(4), (b). The principle that the Guidelines
- Manual is binding on federal courts applies as well to
- policy statements. In Williams v. United States, 503 U. S.
- ___, ___ (1992) (slip op., at 6), we said that -[w]here . . .
- a policy statement prohibits a district court from taking
- a specified action, the statement is an authoritative guide
- to the meaning of the applicable guideline.- There, the
- District Court had departed upward from the guidelines'
- sentencing range based on prior arrests that did not result
- in criminal convictions. A policy statement, however,
- prohibited a court from basing a departure on a prior
- arrest record alone. USSG 4A1.3, p. s. We held that
- failure to follow the policy statement resulted in a sen-
- tence -imposed as a result of an incorrect application of
- the sentencing guidelines- under 18 U. S. C. 3742(f)(1)
- that should be set aside on appeal unless the error was
- harmless. 503 U. S., at ___, ___-___ (slip op., at 6, 8-9).
- In the case before us, the Court of Appeals determined
- that these principles do not apply to commentary. 957
- F. 2d, at 814-815. Its conclusion that the commentary
- now being considered is not binding on the courts was
- error. The commentary added by Amendment 433 was
- interpretive and explanatory of the guideline defining
- -crime of violence.- Commentary which functions to
- -interpret [a] guideline or explain how it is to be applied,-
- USSG 1B1.7, controls, and if failure to follow, or a
- misreading of, such commentary results in a sentence
- -select[ed] . . . from the wrong guideline range,- Williams
- v. United States, supra, at ___ (slip op., at 8), that sen-
- tence would constitute -an incorrect application of the
- sentencing guidelines- under 18 U. S. C. 3742(f)(1). A
- guideline itself makes this proposition clear. See USSG
- 1B1.7 (-Failure to follow such commentary could consti-
- tute an incorrect application of the guidelines, subjecting
- the sentence to possible reversal on appeal-). Our holding
- in Williams dealing with policy statements applies with
- equal force to the commentary before us here. Cf. USSG
- 1B1.7 (commentary regarding departures from the
- Guidelines should be -treated as the legal equivalent of
- a policy statement-); 1B1.7, comment. (-Portions of [the
- Guidelines Manual] not labeled as guidelines or commen-
- tary . . . are to be construed as commentary and thus
- have the force of policy statements-).
- It does not follow that commentary is binding in all
- instances. If, for example, commentary and the guideline
- it interprets are inconsistent in that following one will
- result in violating the dictates of the other, the Sentencing
- Reform Act itself commands compliance with the guide-
- line. See 18 U. S. C. 3553(a)(4), (b). Some courts have
- refused to follow commentary in situations falling short
- of such flat inconsistency. Thus, we articulate the stan-
- dard that governs the decision whether particular inter-
- pretive or explanatory commentary is binding.
- Different analogies have been suggested as helpful
- characterizations of the legal force of commentary. Some
- we reject. We do not think it helpful to treat commentary
- as a contemporaneous statement of intent by the drafters
- or issuers of the guideline, having a status similar to that
- of, for example, legislative committee reports or the
- advisory committee notes to the various federal rules of
- procedure and evidence. Quite apart from the usual
- difficulties of attributing meaning to a statutory or
- regulatory command by reference to what other documents
- say about its proposers' initial intent, here, as is often
- true, the commentary was issued well after the guideline
- it interprets had been promulgated. The guidelines of the
- Sentencing Commission, moreover, cannot become effective
- until after the 6-month review period for congressional
- modification or disapproval. It seems inconsistent with
- this process for the Commission to announce some state-
- ment of initial intent well after the review process has
- expired. To be sure, much commentary has been issued
- at the same time as the guideline it interprets. But
- neither the Guidelines Manual nor the Sentencing Reform
- Act indicates that the weight accorded to, or the function
- of, commentary differs depending on whether it represents
- a contemporaneous or ex post interpretation.
- We also find inapposite an analogy to an agency's
- construction of a federal statute that it administers.
- Under Chevron U. S. A. Inc. v. Natural Resources Defense
- Council, Inc., 467 U. S. 837 (1984), if a statute is unam-
- biguous the statute governs; if, however, Congress' silence
- or ambiguity has -left a gap for the agency to fill,- courts
- must defer to the agency's interpretation so long as it is
- -a permissible construction of the statute.- Id., at
- 842-843. Commentary, however, has a function different
- from an agency's legislative rule. Commentary, unlike a
- legislative rule, is not the product of delegated authority
- for rulemaking, which of course must yield to the clear
- meaning of a statute. Id., at 843, n. 9. Rather, commen-
- tary explains the guidelines and provides concrete guid-
- ance as to how even unambiguous guidelines are to be
- applied in practice.
- Although the analogy is not precise because Congress
- has a role in promulgating guidelines, we think the
- Government is correct in suggesting that the commentary
- be treated as an agency's interpretation of its own legisla-
- tive rule. Brief for United States 13-16. The Sentencing
- Commission promulgates guidelines by virtue of an
- express congressional delegation of authority for rule-
- making, see Mistretta v. United States, 488 U. S., at
- 371-379, and through the informal rulemaking procedures
- in 5 U. S. C. 553, see 28 U. S. C. 994(x). Thus, the
- guidelines are the equivalent of legislative rules adopted
- by federal agencies. The functional purpose of commen-
- tary (of the kind at issue here) is to assist in the interpre-
- tation and application of those rules, which are within the
- Commission's particular area of concern and expertise and
- which the Commission itself has the first responsibility to
- formulate and announce. In these respects this type of
- commentary is akin to an agency's interpretation of its
- own legislative rules. As we have often stated, provided
- an agency's interpretation of its own regulations does not
- violate the Constitution or a federal statute, it must be
- given -controlling weight unless it is plainly erroneous or
- inconsistent with the regulation.- Bowles v. Seminole
- Rock & Sand Co., 325 U. S. 410, 414 (1945). See, e.g.,
- Robertson v. Methow Valley Citizens Council, 490 U. S.
- 332, 359 (1989); Lyng v. Payne, 476 U. S. 926, 939 (1986);
- United States v. Larionoff, 431 U. S. 864, 872-873 (1977);
- Udall v. Tallman, 380 U. S. 1, 16-17 (1965). See also 2
- K. Davis, Administrative Law Treatise 7:22, pp. 105-107
- (2d ed. 1979).
- According this measure of controlling authority to the
- commentary is consistent with the role the Sentencing
- Reform Act contemplates for the Sentencing Commission.
- The Commission, after all, drafts the guidelines as well
- as the commentary interpreting them, so we can presume
- that the interpretations of the guidelines contained in the
- commentary represent the most accurate indications of
- how the Commission deems that the guidelines should be
- applied to be consistent with the Guidelines Manual as
- a whole as well as the authorizing statute. The Commis-
- sion has the statutory obligation -periodically [to] review
- and revise- the guidelines in light of its consultation with
- authorities on and representatives of the federal criminal
- justice system. See 28 U. S. C. 994(o). The Commission
- also must -revie[w] the presentence report, the guideline
- worksheets, the tribunal's sentencing statement, and any
- written plea agreement,- Mistretta v. United States, supra,
- at 369-370, with respect to every federal criminal sen-
- tence. See 28 U. S. C. 994(w). In assigning these
- functions to the Commission, -Congress necessarily con-
- templated that the Commission would periodically review
- the work of the courts, and would make whatever clarify-
- ing revisions to the Guidelines conflicting judicial decisions
- might suggest.- Braxton v. United States, 500 U. S. ___,
- ___ (1991) (slip op., at 4). Although amendments to
- guidelines provisions are one method of incorporating
- revisions, another method open to the Commission is
- amendment of the commentary, if the guideline which
- the commentary interprets will bear the construction.
- Amended commentary is binding on the federal courts
- even though it is not reviewed by Congress, and prior ju-
- dicial constructions of a particular guideline cannot pre-
- vent the Commission from adopting a conflicting interpre-
- tation that satisfies the standard we set forth today.
- It is perhaps ironic that the Sentencing Commission's
- own commentary fails to recognize the full significance of
- interpretive and explanatory commentary. The commen-
- tary to the guideline on commentary provides:
- -[I]n seeking to understand the meaning of the guide-
- lines courts likely will look to the commentary for
- guidance as an indication of the intent of those who
- wrote them. In such instances, the courts will treat
- the commentary much like legislative history or other
- legal material that helps determine the intent of a
- drafter.- USSG 1B1.7, comment.
- We note that this discussion is phrased in predictive
- terms. To the extent that this commentary has prescrip-
- tive content, we think its exposition of the role of inter-
- pretive and explanatory commentary is inconsistent with
- the uses to which the Commission in practice has put
- such commentary and the command in 1B1.7 that failure
- to follow interpretive and explanatory commentary could
- result in reversible error.
- We now apply these principles to Amendment 433. We
- recognize that the exclusion of the felon-in-possession
- offense from the definition of -crime of violence- may not
- be compelled by the guideline text. Nonetheless, Amend-
- ment 433 does not run afoul of the Constitution or a
- federal statute, and it is not -plainly erroneous or incon-
- sistent- with 4B1.2, Bowles v. Seminole Rock & Sand
- Co., supra, at 414. As a result, the commentary is a
- binding interpretation of the phrase -crime of violence.-
- Federal courts may not use the felon-in-possession offense
- as the predicate crime of violence for purposes of imposing
- the career offender provision of USSG 4B1.1 as to those
- defendants to whom Amendment 433 applies.
- The Government agrees that the Court of Appeals erred
- in concluding that commentary is not binding on the
- federal courts and in ruling that Amendment 433 is not
- of controlling weight. See Brief for United States 11-19.
- It suggests, however, that we should affirm the judgment
- on an alternative ground. It argues that petitioner's
- sentence conformed with the Guidelines Manual in effect
- when he was sentenced, id., at 22-29, and that the sen-
- tence may not be reversed on appeal based upon a
- postsentence amendment to the provisions in the Manual,
- id., at 19-22. The Government claims that petitioner's
- only recourse is to file a motion in District Court for
- resentencing, pursuant to 18 U. S. C. 3582(c)(2). Brief
- for United States 33-35. It notes that after the Court of
- Appeals denied rehearing in this case, the Sentencing
- Commission amended USSG 1B1.10(d), p. s., to indicate
- that Amendment 433 may be given retroactive effect
- under 3582(c)(2). See Amendment 469, USSG App. C,
- at 296 (Nov. 1992).
- We decline to address this argument. In refusing to
- upset petitioner's sentence, the Court of Appeals did not
- consider the nonretroactivity theory here advanced by the
- Government; its refusal to vacate the sentence was based
- only on its view that commentary did not bind it. This
- issue, moreover, is not -fairly included- in the question we
- formulated in the grant of certiorari, see 506 U. S. ___
- (1992). Cf. this Court's Rule 14.1(a). We leave the
- contentions of the parties on this aspect of the case to be
- addressed by the Court of Appeals on remand.
- The judgment of the United States Court of Appeals for
- the Eleventh Circuit is vacated, and the case is remanded
- for further proceedings consistent with this opinion.
-
- It is so ordered.
-