Document: 515 U.S. 389115 S.Ct. 2199132 L.Ed.2d 351 Steven Kurt WITTE, Petitionerv.UNITED STATES. No. 94-6187. Supreme Court of the United States Argued April 17, 1995. Decided June 14, Syllabus * After petitioner Witte pleaded guilty to a federal marijuana charge, presentence report calculated base offense level under Sentencing Guidelines by aggregating total quantity drugs involved not only in Witte's conviction but also uncharged criminal conduct which he had engaged with several co-conspirators. The resulting sentencing range was higher than it would have been if his considered, still fell within scope legislatively authorized penalty. District accepted report's aggregation Witte, concluding that other offenses were part continuing conspiracy should be taken into account as "relevant conduct," Commission, Manual § 1B1.3. When subsequently indicted for conspiring and attempting import cocaine, moved dismiss charges, arguing already punished because cocaine considered conduct" at sentencing. court dismissed indictment on grounds punishment violate Double Jeopardy Clause's prohibition against multiple punishments, Appeals reversed. Relying this Court's decision Williams v. Oklahoma, 358 576, 79 421, 3 516 (1959), held use relevant increase charged does punish offender conduct. Held: Because consideration determining defendant's sentence constitute meaning Clause, prosecution charges punishments. Pp. ____. (a) This precedents make clear defendant situation is punished, double jeopardy purposes, conviction. Traditionally, judge may broad inquiry, largely unlimited either kind information consider or source from come. Against background history, Court, Williams, supra, specifically rejected claim principles bar later activity where has separate crime. governs case, makes no difference context whether enhancement occurred first second proceeding. Here, used enhance statute. (b) Other decisions reinforce conclusion reached here. In repeatedly upholding recidivism statutes, challenges enhanced imposed viewed stiffened penalty latest crime, an aggravated repetitive one. See, e.g., Gryger Burke, 334 728, 732, 68 1256, 1258, 92 L.Ed. 1683. addition, authorizing offender-specific without procedural protections attendant trial, cases necessarily imply such result "punishment" McMillan Pennsylvania, 477 79, 106 2411, 91 67. (c) Contrary suggestion, do somehow change constitutional analysis. A "punished" any more purposes when included calculation pre-Guidelines court, its discretion, took similar account. each being (d) include significant safeguards protect having length multiplied duplicative same sentence. And able vindicate interests through appropriate appeals misapplied future Even Commission formalized convictions, district courts retain enough flexibility take fact underlying issue previously another offense. 2208-2209. 25 F.3d 250 (CA5 1994), affirmed. O'CONNOR, J., delivered opinion Parts I, II, IV REHNQUIST, C.J., KENNEDY, SOUTER, GINSBURG, BREYER, JJ., joined, Part III STEVENS, joined. SCALIA, filed concurring judgment, THOMAS, dissenting part. H. Michael Sokolow, Houston, TX, petitioner. Edward C. DuMont, Washington, DC, respondent. Justice O'CONNOR Court.** 1 Clause Fifth Amendment Constitution prohibits successive "the offence." involves application Guidelines, asks us violates proscription convicting crime previous 2 1990, co-conspirators, including Dennis Mason Tom Pokorny, arranged Roger Norman, undercover agent Drug Enforcement Administration, large amounts Mexico Guatemala. Norman task flying contraband States, providing ground transportation once they brought country. following month, Mexican advised participants might added shipment there room plane insufficient available. informed August 1990 prepared deliver 4,400 pounds marijuana. Once learned location airstrip narcotics transported, agents scheme apprehended Mexico. Local authorities arrested four others 12 seized 591 kilograms landing field. While undercover, met day explain pilots unable land police raided airstrip. custody time, activities lapsed months. Agent next spoke January 1991 asked interested purchasing 1,000 agreed, promised obtain $50,000 down payment, indicated transport horse trailer purchased original transaction motor home owned acquaintance, Sam Kelly. On February 7, Kelly Texas. agreed give exchange $25,000 cash secure time promise pay balance payment three days. Undercover away load marijuana, escorted hotel view money. returned vehicles morning loaded approximately 375 two men possession contraband. 4 March 1991, grand jury Southern Texas possess intent distribute it, violation 21 U.S.C. §§ 841(a) 846. limited face occurring about 8, thus covering transaction. 21, 1992, attempted count cooperate "with Government truthful complete concerning all [he] questioned law enforcement," testifying requested so. App. 14. exchange, and, cooperation amounted "substantial assistance," file motion downward departure Guidelines. See 5K1.1 (Nov.1994). 5 calculating Probation Office transactions contemplated conspirators, planned shipments both cocaine. Under particular determined basis just regard USSG noted that, "[w]ith respect involving (including controlled substances), accountable quantities directly case jointly undertaken activity, reasonably foreseeable undertook." 1B1.3, comment., n. 2; see 2D1.1, nn. 6, 12. therefore suggested guilty, 15 tons Mason, Pokorny 500 conspirators originally proposed Guatemala, 1990. 6 At hearing, urged hold importation course concluded, however, conspiracy, 1B1.3 episodes, 40, Guideline 292 365 months' imprisonment. 80-81; 2D1.1. From level, received two-level aggravating role offense, 3B1.1, offsetting decrease acceptance responsibility, 3E1.1. Finally, granted Government's based substantial assistance. By virtue departure, sentenced 144 months prison, 76, 148 below minimum pre-departure range. appealed, failed brief. 7 September two-count 952(a) 963. alleged between 1989 tried 1,091 Central America. dismiss, 1993 punishments contained Amendment. 130-136. 8 Circuit (1994). our conduct." F.3d, 258. Thus, although concluded prosecution—and did action. reaching result, expressly disagreed contrary holdings Koonce, 945 F.2d 1145 (CA10 1991), cert. denied, 503 994, 112 1695, 118 406 (1992), McCormick, 992 437 (CA2 1993), actions are one those form violating jeopardy. We certiorari resolve conflict among circuits, 513 ----, 115 715, 130 622 (1995), now affirm. II 9 provides: "[N]or shall person subject offence twice put life limb." Const.Amdt. 5. explained serves function preventing prosecution," Dixon, 509 113 2849, 2860, 125 556 (1993) (citing North Carolina Pearce, 395 711, 89 2072, 23 656 (1969)), designed much prevent it," Ex parte Lange, 18 Wall. 163, 173, 872 (1874). Schiro Farley, 510 114 783, 127 47 (1994); Halper, 490 435, 440, 451, 10, 109 1892, 1897, 1903, 104 487 (1989). Significantly, language protects actual imposition offense; terms, punishment. Price Georgia, 398 323, 326, 90 1757, 1759, 26 300 (1970). That is, "prohibits merely punishing twice, criminally, offense." Helvering Mitchell, 303 391, 399, 58 630, 633, 82 917 (1938) (emphasis added). 10 Petitioner clearly neither prosecuted nor convicted during 1992 whereas crimes instant same. Blockburger 284 299, 304, 52 180, 182, 76 306 (1932), "where act constitutes distinct statutory provisions, test applied determine one, provision requires proof not." U.S., S.Ct., 2882 (emphasizing inquiry generally applies "[i]n contexts"). test, charge formerly guilty. 11 nevertheless argues giving rise conviction, effectively As contends, bars prosecution. ripe stage yet offenses—because, we said, "courts impose prosecutors ordinarily attempt trial." Brown Ohio, 432 161, 165, 97 2221, 2225, 53 187 (1977). Ball 470 856, 861, 864-865, 105 1668, 1671, 1673-1674, 84 740 (1985) (explaining "must equivalent simply sentence"); Wall., 173. correct present him criminally offenses, Helvering, then proceed. agree Appeals, petitioner's theory—that arriving statutorily conduct—is supported precedents, convicted. "[s]entencing prior past behavior, even resulted behavior." Nichols 511 1921, 1928, 128 745 New York, 337 241, 246, 69 1079, 1082-1083, 93 1337 (1949), "both before since American colonies became nation, country England practiced policy could exercise wide discretion sources types evidence assist extent limits fixed law." combined recognition need individualized sentencing, led conclude Due Process require "that throughout Nation abandon their age-old practice seeking out-of-court guide judgment toward enlightened sentence." Id., 250-251, 1084-1085. "[a]s general proposition, 'may appropriately scope, consider, come.' " Nichols, 1927-1928 (quoting Tucker, 404 443, 446, 589, 591, 30 592 (1972)). Wisconsin 508 2194, 124 436 (1993). 13 Okla- homa, arose out kidnaping murder committed while escape after robbery. Following arrest, given He kidnaping, capital account, assessing death penalty, victim murdered. Williams' contention violated Emphasizing sound required circumstances crime," made "one shot killed commission," entitled circumstance, along involved, proper crime." 585-586, 426-427. disposed follows: "[I]n obvious entirely murder, court's circumstance cannot said . ." 586, 427. related Clause. 14 find governed Williams; statute provides 100 must 40 years prison. 841(b)(1)(B). earlier transaction—and conviction—in drug calculation, ended up (40), (292 months), otherwise applicable Guideline, specifies different levels depending involved. guideline range, falls (5-40 years). If justify impossible taking plans fixing constituted offenses. like concerned implications surrounding arising therefrom. Similarly, cases, convicted, "[e]nhancement nature history provisions recidivist statutes common place state laws, conviction." 1927 (approving uncounseled misdemeanor subsequent offense). "is new additional crimes," instead "a one." 1683 (1948). Spencer Texas, 385 554, 560, 87 648, 651-652, 17 606 (1967); Oyler Boles, 368 448, 501, 503, 446 (1962); Moore Missouri, 159 673, 677, 16 179, 181, 301 (1895) (under statute, accused again offence" 'the last committed, rendered severe consequence party himself' "). ,S.Ct. 67 (1986), upheld due process challenge Pennsylvania's Mandatory Minimum Act; 5-year certain enumerated felonies found, preponderance evidence, "visibly possessed firearm" commission emphasized "neither alters maximum creates calling penalty; operates solely limit selecting available special finding visible firearm." 87-88, 2417. "simply factor always bear punishment—the instrumentality committing violent felony—and dictated precise weight 89-90, 2418. For reason, approved lesser standard provided thereby "reject[ing] whenever State links 'severity punishment' presence absence identified fact' prove beyond reasonable doubt." 84, 2415 Patterson 197, 214, 2319, 2329, 281 (1977)). These character persuaded suggestion Cf. McMillan, 92, 2419 (perceiving calculus upon discretionary mandatory). argues, "[t]he become transparent mean 'punished' though 'offense.' Brief 23. channel mandatory factors optional. Wright, 873 437, 441 (CA1 1989) (Breyer, J.) "very roughly speaking, [relevant conduct] corresponds typically Guidelines' enactment"). Burns 501 129, 133, 111 2182, 2184, 123 (1991); Mistretta 488 361, 363-367, 647, 650-652, 102 714 Regardless rule STEVENS disagrees because, "[u]nder 'relevant conduct' relate (which reflected history), rather measures Post, section seem create bright line distinction; indeed, "criminal history" temporal qualitative, former referring (as evidenced convictions prison terms), 4A1.1, latter 19 To aggravate outside elements theory bears "character offense," carried manner warrants increased punishment, constitute). But, severity important Gryger, 1258. Nothing labels these categories controls therefore, traditional regimes approves, "it difficult affected judge's assessment offender, both." ____ (STEVENS, dissenting). STEVENS' framework, structure affect outcome case. 20 counterparts discussed above, evincing receive serious accompanied preceded activity. argue Congress so broad, enhancing played significant, tail wags dog substantive 88, 2417; cf. Mullaney Wilbur, 421 684, 700, 95 1881, 1890, 44 (1975). legislature inquiry. Accordingly, barred core, argument addresses jeopardy, modest examination pertinent sections clear, potential unfairness concerned. 22 offenders single proceeding uncharged. 20-23. Yet certainly envision sentences will together, explicitly contemplate possibility prosecutions overlapping 5G1.3, (addressing jurisdictions, conduct"). There often valid reasons why proceeding, 5G1.3 attempts achieve some coordination situations eye approximate (i.e., proceeding). 3. concept reciprocal, mitigate fortuity grossly serving undischarged term imprisonment "result[ing] offense(s) fully [as determination 5G1.3(b) run concurrently imprisonment." apply, accompanying statement provides, consecutively necessary incremental 5G1.3(c) (policy statement). Significant built conduct; 24 way, explained, 3553(b) established guideline, finds 'that exists mitigating kind, degree, adequately formulating guidelines described.' 5K2.0 power major practical concern: deprive effect assistance Government, reduced significantly. Should free unusual facts departure. conduct, Affirmed. 27 whom THOMAS joins, judgment. 28 areas I believe jurisprudence wrong unworkable well, persist my refusal stare decisis effect. Planned Parenthood Southeastern Pa. Casey, 505 2791, 120 674 (1992) (SCALIA, part); Walton Arizona, 497 639, 110 3047, 3067-3068, (1990) judgment). 29 It true claims) Ante, What says "shall limb," V added), means Today's shows departing text constant tradition regarding meaning, six ago (1989), upset well-established penal practices, else perceive lines really exist. Having created right punish- ments ex nihilo, allow destroyed technique here: "We you "but (only once) on." real distinction, decline acquiesce erroneous holding drives it. sum, adhere prosecution, punishment." Department Revenue Montana Kurth Ranch, 1937, 1959, 767 (1994) dissenting) (slip op., 8). Since concur 31 32 heard participation Pursuant understanding accordingly. exactly sought prosecute 33 question presented today holds not. view, incorrect unprecedented. More importantly, weakens fundamental intended provide. 34 plain. Petitioner's Guide- 78 calculus, calculations.1 over 200 35 facts, hard how implicated. quite simply, when, mandated preclude 36 Despite intuitive appeal approach, majority concludes implicate reach conclusion, relies permitted sentencers majority's reliance suggests overlooked distinction critical resolution hand. 37 "Traditionally, judges variety addition bearing guilt what defendant." 2199, "One factor" convictions." Indeed, prominent most guidelines-based harshly "habitual offenders" reveals importance factor. notes, challenges. ante, cases). However, reason rejection support conclusion. 38 Traditional practices recognize offender. Within admission offender's reflects longstanding notion one's record strong character. severely mend ways (1895), [offense] increased, persistence perpetration [the defendant] evinced depravity, merits greater needs restrained severer penalties offense.' McDonald Massachusetts, 180 311, 313, 389, 390, 45 542 (1901) (commission "show[s] man habitual criminal"). reviews misconduct, evaluating individual responsibility acts likelihood engage misconduct. Recidivist consistent formalistic premise can placed "offense conviction," functional purpose provide valuable unavailing. 39 linked analysis different. Offenses recidivist, who commits Insofar sentencer character, insofar aggravation point, issue, "put jeopardy" many regimes, course, both. item perfectly clear. specific adjustments offender) shed light affects seriousness 41 regime particularly striking illustration implicates anything reading measured regardless proved phase trial hearing. example, adding (using conversion formula set forth Guidelines). includes indictment. Those precisely formal surely demonstrate 42 offend (1) (2) relied failure well caused cause overlook 43 error recognized, becomes apparent none compels today's novel holding. considering report. approach. defendant. York emphasize prevalent modern philosophy penology fit continued: "The belief longer prevails every legal category calls identical habits offender." observed "[t]oday's individualizing sharp distinctions example repeated offenders." 247-248, 1083. entire rationale focussed Not word Black's adduced offense.2 suggesting "necessarily impl[ies]" "offender-specific sentencing" "result 'punishment conduct.' believed continue wrongly decided. accepting position. 1901-1902, (1994), emphatically proposition occurs imposes proven doubt trial. places principal reliance, controlling precedent. decided Benton Maryland, 784, 2056, 707 (1969), "should apply Fourteenth Amendment." 794, 2062. "watered-down" version process, Benton, 796, 2063. Moreover, State's dissimilar doubt. accept reject reasoning Williams. 46 resolved somewhat kidnapping incident. Though murder. kidnapping. raise objection prosecution—an comparable kidnapping, Douglas' dissent substance guarantee jeopardy." 587, 428. event, dubious Guidelines.3 Given precedent requiring unjust Requiring stand manifest 48 removes reduce matter. ensure proceedings unwarranted __, [a Government," ibid.4 49 mitigates unfortunate results obviously correct. join opinion. 50 precludes opinion, respectfully syllabus Reporter Decisions convenience reader. Detroit Lumber Co., 321, 337, 282, 287, 499. ** THE CHIEF JUSTICE KENNEDY joins III. making pursuant 5K1.1, departed similarly inclusion history. treats stated note text, disagree statement. But correct, dispose time. directed proceeding; address prosecuted. Of eliminate violation. burdens incident "second sentence, impermissible 865, 1673, (1985).

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