Legal Document

518 U.S. 81116 S.Ct. 2035135 L.Ed.2d 392 KOONv.UNITED STATESCertiorari to the United States Court of Appeals for Ninth Circuit. No. 94-1664. Argued February 20, 1996 Decided June 13, 19961 Syllabus After petitioners, Los Angeles police officers, were acquitted on state charges assault and excessive use force in beating a suspect during an arrest, they convicted under 18 U. S. C. Section(s) 242 violating victim's constitutional rights color law. Although applicable Sentencing Guideline, 1992 USSG 2H1.4, indicated that should be imprisoned 70 87 months, District granted them two downward departures from range. The first was based misconduct, which contributed significantly provoking offense. second combination four factors: (1) petitioners unusually susceptible abuse prison; (2) would lose their jobs precluded employment law enforcement; (3) had been subject successive federal prosecutions; (4) posed low risk recidivism. sentencing range after 30 37 court sentenced each petitioner months. Circuit reviewed departure decisions de novo rejected all them. Held: 1. An appellate not review decision depart Guideline range, but instead ask whether abused its discretion. Pp. 8-17. (a) Reform Act 1984 requires district impose sentence within ordinary case, 3553(a), it does eliminate court's traditional Rather, allows if finds ``there exists aggravating or mitigating circumstance kind, degree, adequately taken into consideration'' by Commission formulating Guidelines, 3553(b). states has formulated apply ``heartland'' typical cases did "adequately . conside[r]" atypical cases, 1995 ch. 1, pt. A., intro. comment. 4(b). prohibits consideration few factors, provides guidance as factors are likely make case delineating certain ``encouraged'' bases others ``discouraged'' departure. Courts may basis encouraged factor already take account. A discouraged factor, account, however, only is present exceptional degree some other way makes different case. If Guidelines do mention must, considering structure theory relevant individual whole, decide sufficiently unusual out Guideline's heartland, bearing mind Commission's expectation mentioned will "highly infrequent." 8-13. (b) 3742 established limited decisions, 3742(e)(4)'s direction "give due deference application guidelines facts" demonstrates intended vest courts wide-ranging authority over decisions. See, e.g., Williams v. States, 503 193, 205. depends nature question presented. most substantial deference, embodies exercise See Mistretta 488 361, 367. To determine appropriate, must refined assessment many facts bear outcome, informed vantage point day-to-day experience. Whether given considered Commission, nonetheless justifies because way, matters determined large part comparison with cases. have institutional advantage making these sorts determinations, especially see so more Such considerations require adoption abuse-of-discretion standard review, review. Cooter & Gell Hartmarx Corp., 496 384, 403. 13-17. 2. Because erred rejecting relied upon Judge, foregoing principles reversal rulings significant part. 18-31. Victim misconduct 5K2.10, discretion basing it. analysis this showed correct understanding applying 242, both mechanical matter interpreting heartland. As recognized, 2H1.4 incorporates offense underlying violation, here 2A2.2 aggravated assault, thus creates heartland committed 5K2.10 justified punishment prescribed contemplates unprovoked assaults, like where what begins legitimate response provocation becomes excessive. misinterpreted found victim but-for cause crime, he provoked it; also concentrating made force. 18-23. This rejects Government's contention Court's impermissible circumstances. For conclude never usurp policy-making Congress vested 3553(a)(2) compel such result. examination can ever appropriate determining proscribed, categorical matter, factor's consideration. answer no-as time-the occurring particular circumstances, takes outside 23-26. (c) relying petitioner's collateral consequences support expected public official using his governmental violate person's her job barred similar future, concluded 2H1.4. Thus, career loss cannot 2H1.4's 26-28. (d) likelihood petitioners' recidivism inappropriate ground departure, since specifically addressed criminal history category. 4A1.3. 28-29. (e) However, susceptibility prison burdens prosecutions. finding just sort determination accorded appeal. Moreover, although prosecutions could incongruous dual responsibilities citizenship our system, factor. 29-30. (f) Where reviewing concludes valid invalid remand required unless determines imposed same absent reliance factors. Williams, supra, at 203. stated none standing alone justify evident hardship therefore Court. 30-31. 34 F. 3d 1416, affirmed part, reversed remanded. Kennedy, J., delivered opinion Court, Rehnquist, O'Connor, Scalia, Thomas, JJ., joined, Part IV-B-1 Stevens, IV-B-3 Souter, Ginsburg, Breyer, joined. filed concurring dissenting J. NOTICE: formal revision before publication preliminary print Reports. Readers requested notify Reporter Decisions, Supreme Washington, D.C. 20543, any typographical errors, order corrections goes press. Justice Kennedy 1 establish ranges sentences offenses offenders. one. 3553(a). ibid., departed eight levels. rulings, and, published objection nine judges, declined rehear en banc. In we explore standards Guidelines. I. A. 2 guilt established, concerned determinations Appeals. set forth details crime length. 3 On evening March 2, 1991, Rodney King friends sat King's wife's car Altadena, California, city County, drank malt liquor number hours. Then, driving, left Altadena via major freeway. intoxicated. 4 California Highway Patrol officers observed traveling speed estimated excess 100 m.p.h. followed red lights sirens activated ordered him loudspeaker pull over, continued drive. called radio help. Units Police Department joined pursuit, one manned Laurence Powell trainee, Timothy Wind. 5 freeway, chase about miles, stopped entrance recreation area. passengers exit assume felony prone position-that is, lie stomachs legs spread arms behind backs. complied. King, too, got down. Petitioner Stacey Koon arrived, once Ted Briseno Roland Solano. All Department, sergeant, took charge. again position. hands knees Officers Powell, Wind, Solano tried down, resisted became combative, retreated. then fired taser darts (designed stun combative suspect) King. 6 events occurred next captured videotape bystander. begins, shows rose charged toward Officer Powell. step used baton strike side head. fell ground. From 18th 30th videotape, attempted rise, Wind struck batons prevent doing so. 35th 51st second, administered repeated blows lower extremities; fractured leg. At 55th chest, rolled lay prone. point, stepped back 10 seconds. began reach handcuffs. (At phase, no longer perceived threat point). 7 one-minute-five-seconds (1:05) Briseno, words, "stomped" upper neck. body writhed response. 1:07, series blows, kicked thoracic cervical area six times until 1:26. 1:29, put handcuffed. intentions various points contested trial, but, noted, established. 8 radioed ambulance. He sent messages communications network said "`ooops'" "`I havent [sic] beaten anyone bad long time.'" 1425 (CA9 1994). message station "`U[nit] big time Tased beat CHP pursuit Id., 1425. 9 hospital treated leg, multiple facial fractures, numerous bruises contusions. Learning worked Dodger Stadium, King: "`We played little ball tonight, didn't Rodney? You know, ball, hardball hit quite home runs. Yes, you lost won.'" Ibid. B. Koon, deadly weapon officer. charges, exception charge against resulted hung jury. verdicts touched off widespread rioting Angeles. More than 40 people killed riots, 2,000 injured, nearly $1 billion property destroyed. New Initiatives Angeles: Final Report Recommendations, Senate Special Task Force Angeles, Dec. 9, 1992, 10-11. 11 August 4, grand jury indicted charging oflaw. willful unreasonable arresting willfully permitting arrest. trial Central Briseno. 12 We now consider determinations. Under identifies base level assigned question, adjusts instruct, defendant's 1B1.1. Coordinating adjusted category yields 13 pursuant Manual (Nov. 1992) (1992 USSG), applies violations 242. Section prescribes greater following: 10; plus carries 15, 2A2.2(a), added total 21. 14 increased dangerous weapons, 2A2.2(b)(2)(B). Government asked add levels serious bodily injury 2A2.2(b) (3)(B). found, injuries sustained when lawful contended seconds violated those "may tortious," commence 1:07 stomped King). 2A2.2(b)(3)(A). totaled 27, neither record, 27 I was, 70-to-87 months' imprisonment. Rather term controversy. 15 five-level "the wrongful conduct behavior," (policy statement). 833 Supp. 769, 787 (CD Cal. 1993). three-level First, result "widespread publicity emotional outrage surrounded case," "particularly targets abuse" prison. 788. Second, face job-termination proceedings, positions disqualified prospective field enforcement, suffer "anguish disgrace deprivations entail." 789. Third, "significantly burden[ed]" having subjected 790. Fourth, "violent, dangerous, engage future conduct," there "no reason reflects need protect [them]." together, sufficient alone. 786. 16 yielded 19 30-to-37 appealed convictions, sentences, arguing granting failing adjust upward injury. refusal level, Only last ruling us. 17 "de depart." 1451 reasoning misbehavior suspects involving comprehended Guideline. 1460. cited. Acknowledging instances group abuse, nevertheless "reliance solely hostility defendant member unlimited open-ended rationale departing." 1455. further noted that, unlike vulnerable physical characteristics control, vulnerability stemmed condemnation crimes. 1456. consequences, held inconsistent goals 3553(a) "speak offender's character, seriousness offense, concern." 3d, 1453. societal conviction almost unlimited, "would create system boundless moral, social, psychological examinations make." 1454. ease socio-economic status, 5H1.10, permitted final "troubling" trust abused. 3B1.3 increases, rather decreases, who trust. 3d., 20 It deemed irrelevant contradictory Attorney General's compelling interests warranted prosecution. 1457. well, double counted. 1456-1457. 21 certiorari governing appeals novo, Having invoked wrong standard, Judge. II. 22 1984, amended, 3551 et seq., 28 991-998, far-reaching changes sentencing. Before Act, judges enjoyed broad how offender incarcerated. 363 (1989). led perceptions "federal mete unjustifiably wide offenders histories, crimes, circumstances." Rep. 98-225, p. 38 (1983). response, created developing comprehensive guidelines, 994. promulgated "specify [sentencing range] class persons" related offender. 1995) (1995 USSG). judge falling 23 discretion, however. wisdom, even necessity, procedures account 991(b)(1)(B), described." instructed "consider policy statements, commentary Commission." 24 Turning attention, instructed, Manual, learn are, another, "unusual." A, Introduction explains: 25 "The intends treat guideline carving `heartland,' embodying describes. When linguistically differs norm, warranted." 26 lists (race, sex, national origin, creed, religion, 5H1.10; lack youth, 5H1.12; drug alcohol dependence, 5H1.4; economic hardship, 5K2.12), listed "does intend limit kinds anywhere else constitute grounds case." gives reasons approach: "First, difficult prescribe single encompasses vast human potentially decision. recognizes initial permanent body, empowered write rewrite progressive changes, years. By monitoring analyzing references thereto, time, able refine specify precisely permitted. "Second, believes despite courts' legal freedom very often. seek data indicate difference pre-guidelines practice." 29 So authorizes feature circumstances kind Commission. turn, says Atypical consideration," provide potential Potential "cannot, nature, comprehensively analyzed advance," 5K2.0, course. Faced reality, chose prohibit otherwise limit, might depart. adrift, considerable apt atypical, listing either Encouraged fully guidelines." 5K2.0. provocation, example whereas disruption function 5K2.7. Even always occasions instance, "ordinarily bribery obstruction justice; interference government inherent offense." still "is substantially ordinarily involved 31 Discouraged contrast, "not range." 5, H, Examples include family ties responsibilities, 5H1.6, education vocational skills, 5H1.2, military, civic, charitable, service 5H1.11. view "as necessarily inappropriate" "in cases." 32 treatment then-Chief Judge Breyer explain following questions: 33 "1) What features potentially, Guidelines' `heartland' special, unusual, case? "2) Has forbidden features? 35 "3) not, 36 "4) features?" Rivera, 994 2d 942, 949 (CA1 agree summary. special authorized present. Cf. ibid. unmentioned "structure whole," id., 949, 39 Against background, III. statutory limits practical purposes, reviewable Dorszynski 418 424, 431 (1974) (reiterating general proposition limitations statute imposed, end"); Tucker, 404 443, 447 (1972) (same). altered scheme favor jurisdiction sentences. 3742. Among things, appeal 3742(a), (b). 41 That much clear. Less clear advocates saying themselves, sentencing, reduce unjustified disparities view, necessary "to unwarranted arising differing approaches judges." Brief 12. 42 disparities, convinced intend, establishing Indeed, text manifests intent retain 3742(e), enacted provided "[t]he shall give regard opportunity credibility witnesses, accept findings fact clearly erroneous." 1988, amended additional requirement facts." Examining 193 (1992), follows: 43 "Although alter appeals' development regime changed except extent directed statute, `it role substitute judgment appropriateness sentence.'" (quoting Solem Helm, 463 277, 290, n. (1983)). S., 44 225, 150 ("The provisions reported bill designed preserve concept proper place displaced court"). 45 retains mean empty exercise. 3742(e)(4). owed claim mathematical error Guidelines; good position instance. 46 court. Mistretta, 367 (noting binding courts, "it preserves case"). permitted, aspects enough fall resolve experience do. 1994, example, 93.9% appealed. Letter Pamela G. Montgomery, Deputy General Counsel, (Mar. 29, 1996). "To ignore competence-about `ordinariness' `unusualness' case-would depriving important source information, namely, reactions fact-specific ." 2d, 951. 47 Considerations persuaded us adopt 384 (1990), imposition Rule sanctions, Pierce Underwood, 487 552 (1988), Equal Access 2412(d), "substantially justified," thereby precluding award attorneys' fees Government. There, here, "`judicial actor better positioned another issue question.'" Pierce, 559-560 Miller Fenton, 474 104, 114 (1985); Gell, Furthermore, adopted deferential afford flexibility questions `multifarious, fleeting, narrow utterly resist generalization.'" 561-562). Like involves unique `little useful generalization,'" 404, consequence, "unlikely courts," 405. 48 seeks avoid factual inquiry describing higher generality linked closely says, "whether " proposition, 28, advance instance suffices atypical. vary depending on, severity timing, causes. These matters. 49 confront deciding argues permissible law, defer resolution point. Little turns, label mistake beyond correction. 402. definition abuses decision, occasional call mean, parts labeled while 403 (court "apply unitary standard"). includes guided erroneous conclusions. IV. 50 explained reverse 51 five "wrongful behavior." Supp., now. 5K2.10; 5K2.10. 52 Most discrete predictable patterns. Petitioners varied prohibits, among subjecting person deprivation rights, privileges, immunities secured protected Constitution laws States." violation arise myriad forms, regardless form takes. instructing 10, offense; conduct. 53 Here, assault. adjusting injury, 1B1.5(a) (a well other's specific characteristics), adds "under actual purported authority," harm activity deprive civil rights," (incorporating introductory 2H1.1). 54 summarizing misconduct-his driving intoxicated, fleeing police, refusing obey officers' commands, attempting escape custody, etc.-the justified: 55 "Mr. provocative behavior eventually subsided. defendants' crossed line unlawfulness, Mr. resisting objective threat, defendants reasonable perception danger. Nevertheless, incident escalated indeed all, misconduct." 787. 56 placed context range: 57 "Messrs. resistant subsequently seconds, course dynamic arrest situation. Sections jailor, correctional officer, officer agent intentionally inmate, without initiate 58 situations different. armed `dangerous weapons' legitimately employ weapons administer officer's lawful, between unlawful relatively thin. stringent along adjustments deliberate assaultive differences hand." 59 analysis. interpreted According Appeals, "ultimately focused itself volatility incident, close proximity between, hand, concomitant force, appellants' authorization force." 1459. thought misconduct. quoted test Fourth Amendment: 60 "`The calculus reasonableness embody allowance often forced split-second judgments-in tense, uncertain, rapidly evolving, amount situation.'" Graham Connor, 490 386, 396-397 (1989)). 61 reasoned "before excessive, `calculus,' embracing case-the `dynamic situation'-has consideration." also, liability, "willfully came down standard." (emphasis original). exculpatory, built fundamental jurisprudence, twice." 62 observation "but for" illegal outset analysis, stated: "[T]he finds, considers circumstance, later discussed wrongdoing bringing conduct." interruption startling interpretation contrary understandings provocation. immediately follow action recognized rarely nonviolent "an extended harassment lead steal destroy retaliation." immediate here: 63 covered designed, out, assaults citizen differentiating classes nor concluding court, 2A2.2. change "explicitly enhances civilian statement non sequitur. imposes six-level increase official's unprovoked. Aggravated punished severely compare offenders; compared not. inquiry. departing wrong. 64 turn urges hold opportunities improper consideration, argues, "persons crimes addition sentence." 38. Susceptibility continues Government, likewise "degree entirely `subjective' judgment, qualify `virtually unlimited.'" 1455). And on. 65 Those arguments, however persuasive policy, grant every circumstance. 3553(b) instructs "only "place essentially warrant departure." Burns 501 129, 136-137 (1991). excep-tions, I, transgress policymaking 66 helpful. Lara, 905 599 Second upheld "potential victimization" diminutive size, immature appearance, bisexual orientation. 601. appeared 1989 5H1.4, [p]hysicial including physique" App. C., Amend. 386 (effective Nov. 1991). fit, appearance address broader urging reject own. 67 acknowledges 3553(a)(2). provides: 68 consider- 69 "(2) imposed- 71 "(A) reflect promote respect 72 "(B) adequate deterrence conduct; 73 74 "(D) needed educational training, medical care, effective manner." 75 Echoing interprets direct reject, read too imposed." wording suggests choose appropriate. nothing requiring specified goals. overall "sufficient, necessary, comply" above-listed goals, satisfied. 76 ambiguous, interpretation. theory-that directs reference broad, provision, considerationwould judicial control policy. nullify exceptions, ruled basis. sparse implausible "establish policies practices Federal justice system," 991(b)(1), "review revise" periodically, 994(o). result, assumed "over [to] permitted." Had supervise expect way. role. 77 conclude, then, 78 convictions. 79 "Defendants multiplicity adversarial proceedings. LAPD Board Rights quasi-judicial proceeding, strip tenure. lawenforcement careers. combination, tenure,prospective disqualification anguish entail, court-imposed sentence. short, flow convictions." 789 (footnotes omitted). 80 noting things "ease based, consciously unconsciously, socioeconomic review." relate link exclusion effect career. name rejected, status semantic equivalents other. 81 above, variety involve cognizant work field. employees termination prevented obtaining relates employment. Govt. Code Ann. 19572(k) (West ("Conviction misdemeanor moral turpitude" constitutes dismissal); 18935(f) (State Personnel refuse declare eligible "been felony, turpitude"); Ky. Rev. Stat. 18A.146(2) (Michie 1992); Pa. 7.173 (1995). Public officials done sworn uphold. career-related faced 82 first-time classified Criminal History Category "[w]ithin distinguish who, reasons, particularly unlikely commit future. `to degree' contemplated Guidelines." 790, 20. failed issue, explaining highest Offense Category, 83 "However, provision symmetrical. lowest Therefore, below adequacy appropriate." 4A1.3 84 3. 85 remaining dispute, we, extraordinary notoriety media coverage coupled abuse," 785-786. Petitioners' brutal, purposes suspect, receiving received. severe, received adjustments. Yet, existence ensued, "wide-spread outset," 788, find incarceration," conclusion courts. 86 prosecutions, true instances. Successive Double Jeopardy Clause. Heath Alabama, (1985). Nonetheless, acquittal burden[ed] defendants." lengthy, toll cognizance V. goal course, towards evenhandedness neutrality distinguishing marks principled justice. respect, uniformity, predictability, detachment lacking earlier system. remembered, uniform constant tradition study failings sometimes mitigate, magnify, ensue. understand congressional purpose withdraw Discretion reserved reflected adopt. 88 identified sound forming departure: risk. 89 remanded proceedings consistent opinion. 90 ordered. 91 92 my complete endorsement note foreclose aggregation insufficient 93 whom Ginsburg joins, 94 today's describes tasks company points. affirm Appeals's rejection prosecution, attribute element irrationality "heartland" concept. Accordingly, join IV-B-3. 95 majority notes, ante, 23, "Congress circumstance." fact, allowed 3553(b); 9. While discussing departures, quotes language 3553(b), stating "[w]hen 4(b) envisioned "should" Departures, rational normative order. 96 prison, believed outset, [petitioners'] incarceration." 788 simply former surrounding crime.2 But overlooks remarkable brutality proven behavior, misfortune documented film. allow reason, effect, consequent condemnation, less punished; egregious act, culpable terminology domain less, more, deplorable acts come statute. attributed scheme, rewarding severe hardly contemplation nonculpable "[p]hysical physique." 24; (discussing principle "just deserts," "punishment scaled culpability resulting harms").3 97 appreciated significance requisite wrote "[a]ny acts. individuals society condemned them." 1456 98 believe prosecutions.4 showings malfunctioned (or, charge, verdict), something demonstration "clear miscarriage justice" caused trial. prosecutors, proving proved constituting prosecuted unsuccessfully Superior 232 785, 789, 283 Rptr. 777, 779 (1991) charged, inter alia, produce great Penal 245(a)(1), being unnecessarily assaulting 149); Pen. 149 ("Every authority, beats person" commits offense); 245(a)(1) means injury" (observing allowing King); 790 (stating "same conduct" cases). showing identity predicates overcome, (by demonstrating, say, crucial witness State unavailable through one's fault), evidence overcome here. 99 reading suggest profit malfunctions get benefit sense sure, presupposed incongruity produced depend responsibility malfunction remains normatively obtuse reward whose prosecution obtained injustice failure say succession relation indicates incongruity, 101 102 Souter's section. record simple mistreatment 103 possibility statutes, enacted, forum protection enforcement efforts inadequate. Ngiraingas Sanchez, 495 182, 187-189 (1990); Monroe Pape, 365 167, 171-180 (1961); Screws 325 91, 131-134 (1945) (Rutledge, result). promulgating "examined hundreds statutes Code," ch.1, comment aware well-known legislative purpose. centrality purpose, awareness it, Souter mentions, __, me itself, "double prosecution" within, outside, "civil rights" "heartland." (departures consideration" Commission) added). 104 presents closer question. fairly common-to frequent undermine uniformity seek. themselves harsh (or lenient) truly affording "due deference," anything compared, policemen violations, Together 94-8842, essential passing probably environment. Given publicity, inmates quickly new arrivals, convicted. exceptionally anticipate abuse. true, factually, occur Civil Rights, Who Guarding Guardians?, 112, 116 (Oct. 1981) brought year 1977 September 1980 seven authorized); Davis, 906 829, 832 (CA2 1990) ("In practice, remain rarities"). figures demonstrate convictions downward, ordering, below.

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