United States v. Haymond
Opinion
II
Together with the right to vote, those who wrote our Constitution considered the right to trial by jury "the heart and lungs, the mainspring and the center wheel" of our liberties, without which "the body must die; the watch must run down; the government must become arbitrary." Letter from Clarendon to W. Pym (Jan. 27, 1766), in 1 Papers of John Adams 169 (R. Taylor ed. 1977). Just as the right to vote sought to preserve the people's authority over their government's executive and legislative functions, the right to a jury trial sought to preserve the people's authority over its judicial functions. J. Adams, Diary Entry (Feb. 12, 1771), in 2 Diary and Autobiography of John Adams 3 (L. Butterfield ed. 1961); see also 2 J. Story, Commentaries on the Constitution § 1779, pp. 540-541 (4th ed. 1873).
*2376
Toward that end, the Framers adopted the Sixth Amendment's promise that "[i]n all criminal prosecutions the accused shall enjoy the right to a speedy and public trial, by an impartial jury." In the Fifth Amendment, they added that no one may be deprived of liberty without "due process of law." Together, these pillars of the Bill of Rights ensure that the government must prove to a jury every criminal charge beyond a reasonable doubt, an ancient rule that has "extend[ed] down centuries."
Apprendi v. New Jersey
,
But when does a "criminal prosecution" arise implicating the right to trial by jury beyond a reasonable doubt? At the founding, a "prosecution" of an individual simply referred to "the manner of [his] formal accusation." 4 W. Blackstone, Commentaries on the Laws of England 298 (1769) (Blackstone); see also N. Webster, An American Dictionary of the English Language (1st ed. 1828) (defining "prosecution" as "the process of exhibiting formal charges against an offender before a legal tribunal"). And the concept of a "crime" was a broad one linked to punishment, amounting to those "acts to which the law affixes ... punishment," or, stated differently, those "element[s] in the wrong upon which the punishment is based." 1 J. Bishop, Criminal Procedure §§ 80, 84, pp. 51-53 (2d ed. 1872) (Bishop); see also J. Archbold, Pleading and Evidence in Criminal Cases *106 (5th Am. ed. 1846) (Archbold) (discussing a crime as including any fact that "annexes a higher degree of punishment");
Blakely v. Washington
,
Consistent with these understandings, juries in our constitutional order exercise supervisory authority over the judicial function by limiting the judge's power to punish. A judge's authority to issue a sentence derives from, and is limited by, the jury's factual findings of criminal conduct. In the early Republic, if an indictment or "accusation ... lack[ed] any particular fact which the laws ma[d]e essential to the punishment," it was treated as "no accusation" at all. 1 Bishop § 87, at 55; see also 2 M. Hale, Pleas of the Crown *170 (1736); Archbold *106. And the "truth of every accusation" that was brought against a person had to "be confirmed by the unanimous suffrage of twelve of his equals and neighbours." 4 Blackstone 343. Because the Constitution's guarantees cannot mean less today than they did the day they were adopted, it remains the case today that a jury must find beyond a reasonable doubt every fact " 'which the law makes essential to [a] punishment' " that a judge might later seek to impose.
Blakely
,
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II
Together with the right to vote, those who wrote our Constitution considered the right to trial by jury "the heart and lungs, the mainspring and the center wheel" of our liberties, without which "the body must die; the watch must run down; the government must become arbitrary." Letter from Clarendon to W. Pym (Jan. 27, 1766), in 1 Papers of John Adams 169 (R. Taylor ed. 1977). Just as the right to vote sought to preserve the people's authority over their government's executive and legislative functions, the right to a jury trial sought to preserve the people's authority over its judicial functions. J. Adams, Diary Entry (Feb. 12, 1771), in 2 Diary and Autobiography of John Adams 3 (L. Butterfield ed. 1961); see also 2 J. Story, Commentaries on the Constitution § 1779, pp. 540-541 (4th ed. 1873).
*2376
Toward that end, the Framers adopted the Sixth Amendment's promise that "[i]n all criminal prosecutions the accused shall enjoy the right to a speedy and public trial, by an impartial jury." In the Fifth Amendment, they added that no one may be deprived of liberty without "due process of law." Together, these pillars of the Bill of Rights ensure that the government must prove to a jury every criminal charge beyond a reasonable doubt, an ancient rule that has "extend[ed] down centuries."
Apprendi v. New Jersey
,
But when does a "criminal prosecution" arise implicating the right to trial by jury beyond a reasonable doubt? At the founding, a "prosecution" of an individual simply referred to "the manner of [his] formal accusation." 4 W. Blackstone, Commentaries on the Laws of England 298 (1769) (Blackstone); see also N. Webster, An American Dictionary of the English Language (1st ed. 1828) (defining "prosecution" as "the process of exhibiting formal charges against an offender before a legal tribunal"). And the concept of a "crime" was a broad one linked to punishment, amounting to those "acts to which the law affixes ... punishment," or, stated differently, those "element[s] in the wrong upon which the punishment is based." 1 J. Bishop, Criminal Procedure §§ 80, 84, pp. 51-53 (2d ed. 1872) (Bishop); see also J. Archbold, Pleading and Evidence in Criminal Cases *106 (5th Am. ed. 1846) (Archbold) (discussing a crime as including any fact that "annexes a higher degree of punishment");
Blakely v. Washington
,
Consistent with these understandings, juries in our constitutional order exercise supervisory authority over the judicial function by limiting the judge's power to punish. A judge's authority to issue a sentence derives from, and is limited by, the jury's factual findings of criminal conduct. In the early Republic, if an indictment or "accusation ... lack[ed] any particular fact which the laws ma[d]e essential to the punishment," it was treated as "no accusation" at all. 1 Bishop § 87, at 55; see also 2 M. Hale, Pleas of the Crown *170 (1736); Archbold *106. And the "truth of every accusation" that was brought against a person had to "be confirmed by the unanimous suffrage of twelve of his equals and neighbours." 4 Blackstone 343. Because the Constitution's guarantees cannot mean less today than they did the day they were adopted, it remains the case today that a jury must find beyond a reasonable doubt every fact " 'which the law makes essential to [a] punishment' " that a judge might later seek to impose.
Blakely
,
For much of our history, the application of this rule of jury supervision proved pretty straightforward. At common law, crimes tended to carry with them specific sanctions, and "once the facts of the offense were determined by the jury, the judge was meant simply to impose the prescribed sentence."
Alleyne v. United States
,
More recent legislative innovations have raised harder questions. In
Apprendi
, for example, a jury convicted the defendant of a gun crime that carried a maximum prison sentence of 10 years. But then a judge sought to impose a longer sentence pursuant to a statute that authorized him to do so if he found, by a preponderance of the evidence, that the defendant had committed the crime with racial bias.
Apprendi
held this scheme unconstitutional. "[A]ny fact that increases the penalty for a crime beyond the prescribed statutory maximum," this Court explained, "must be submitted to a jury, and proved beyond a reasonable doubt" or admitted by the defendant.
While "trial practices ca[n] change in the course of centuries and still remain true to the principles that emerged from the Framers' " design,
Still, these decisions left an important gap. In Apprendi , this Court recognized that " '[i]t is unconstitutional for a legislature to remove from the jury the assessment of facts that increase the prescribed range of penalties.' "
*2378
Eventually, the Court confronted this anomaly in Alleyne . There, a jury convicted the defendant of a crime that ordinarily carried a sentence of five years to life in prison. But a separate statutory "sentencing enhancement" increased the mandatory minimum to seven years if the defendant "brandished" the gun. At sentencing, a judge found by a preponderance of the evidence that the defendant had indeed brandished a gun and imposed the mandatory minimum 7-year prison term.
This Court reversed. Finding no basis in the original understanding of the Fifth and Sixth Amendments for
McMillan
and
Harris
, the Court expressly overruled those decisions and held that "the principle applied in
Apprendi
applies with equal force to facts increasing the mandatory minimum" as it does to facts increasing the statutory maximum penalty.
Alleyne
,
By now, the lesson for our case is clear. Based on the facts reflected in the jury's verdict, Mr. Haymond faced a lawful prison term of between zero and 10 years under § 2252(b)(2). But then a judge-acting without a jury and based only on a preponderance of the evidence-found that Mr. Haymond had engaged in additional conduct in violation of the terms of his supervised release. Under § 3583(k), that judicial factfinding triggered a new punishment in the form of a prison term of at least five years and up to life. So just like the facts the judge found at the defendant's sentencing hearing in
Alleyne
, the facts the judge found here increased "the legally prescribed range of allowable sentences" in violation of the Fifth and Sixth Amendments.
III
In reply, the government and the dissent offer many and sometimes competing arguments, but we find none persuasive.
A
The government begins by pointing out that Alleyne arose in a different procedural posture. There, the trial judge applied a "sentencing enhancement" based on his own factual findings at the defendant's initial sentencing hearing; meanwhile, Mr. Haymond received his new punishment from a judge at a hearing to consider the revocation of his term of supervised release. This procedural distinction makes all the difference, we are told, because the Sixth Amendment's jury trial promise applies only to "criminal prosecutions," which end with the issuance of a sentence and do not extend to "postjudgment sentence-administration proceedings." Brief for United States 24; see also post , at 2393 - 2395 (ALITO, J., dissenting) (echoing this argument).
But we have been down this road before. Our precedents,
Apprendi
,
Blakely
, and
Alleyne
included, have repeatedly rejected efforts to dodge the demands of the Fifth and Sixth Amendments by the simple expedient of relabeling a criminal prosecution a "sentencing enhancement." Calling part of a criminal prosecution a "sentence modification" imposed at a "postjudgment sentence-administration proceeding" can fare no better. As this Court has repeatedly explained, any "increase in a defendant's authorized punishment contingent on the finding of a fact" requires a jury and proof beyond a reasonable doubt "no matter" what the government chooses to call the exercise.
Ring
, 536 U.S. at 602,
To be sure, and as the government and dissent emphasize, founding-era prosecutions traditionally ended at final judgment. But at that time, generally, "questions of guilt and punishment both were resolved in a single proceeding" subject to the Fifth and Sixth Amendment's demands. Douglass, Confronting Death: Sixth Amendment Rights at Capital Sentencing,
Today, we merely acknowledge that an accused's final sentence includes any supervised release sentence he may receive. Nor in saying that do we say anything new: This Court has already recognized that supervised release punishments
*2380
arise from and are "treat[ed] ... as part of the penalty for the initial offense."
Johnson v. United States
,
This logic respects not only our precedents, but the original meaning of the jury trial right they seek to protect. The Constitution seeks to safeguard the people's control over the business of judicial punishments by ensuring that any accusation triggering a new and additional punishment is proven to the satisfaction of a jury beyond a reasonable doubt. By contrast, the view the government and dissent espouse would demote the jury from its historic role as "circuitbreaker in the State's machinery of justice,"
Blakely
,
B
Where it previously suggested that Mr. Haymond's supervised release revocation proceeding was entirely divorced from his criminal prosecution, the government next turns around and suggests that Mr. Haymond's sentence for violating the terms of his supervised release was actually fully authorized by the jury's verdict. See also post , at 2389 - 2390 (ALITO, J., dissenting) (proposing a similar theory). After all, the government observes, on the strength of the jury's findings the judge was entitled to impose as punishment a term of supervised release; and, in turn, that term of supervised release was from the outset always subject to the possibility of judicial *2381 revocation and § 3583(k) 's mandatory prison sentence. Presto: Sixth Amendment problem solved.
But we have been down this road too. In
Apprendi
and
Alleyne
, the jury's verdict triggered a statute that authorized a judge at sentencing to increase the defendant's term of imprisonment based on judge-found facts. This Court had no difficulty rejecting that scheme as an impermissible evasion of the historic rule that a jury must find
all
of the facts necessary to authorize a judicial punishment. See
Alleyne
,
Notice, too, that following the government down this road would lead to the same destination as the last: If the government were right, a jury's conviction on one crime would (again) permit perpetual supervised release and allow the government to evade the need for another jury trial on any other offense the defendant might commit, no matter how grave the punishment. And if there's any doubt about the incentives such a rule would create, consider this case. Instead of seeking a revocation of supervised release, the government could have chosen to prosecute Mr. Haymond under a statute mandating a term of imprisonment of 10 to 20 years for repeat child-pornography offenders.
C
Pivoting once more, the government and the dissent seem to accept for argument's sake that "postjudgment sentence-administration proceedings"
can
implicate the Fifth and Sixth Amendments. See
post
, at 2376 - 2379. But, they contend, § 3583(k) 's supervised release revocation procedures are practically identical to historic parole and probation revocation procedures. See,
e.g
.,
Gagnon v. Scarpelli
,
But this argument, too, rests on a faulty premise, overlooking a critical difference between § 3583(k) and traditional parole and probation practices. Before the Sentencing Reform Act of 1984, a federal criminal defendant could serve as little as a third of his assigned prison term before becoming eligible for release on parole. See
All that changed beginning in 1984. That year, Congress overhauled federal sentencing procedures to make prison terms more determinate and abolish the practice of parole. Now, when a defendant is sentenced to prison he generally must serve the great bulk of his assigned term. In parole's place, Congress established the system of supervised release. But "[u]nlike parole," supervised release wasn't introduced to replace a portion of the defendant's prison term, only to encourage rehabilitation
after
the completion of his prison term. United States Sentencing Commission, Guidelines Manual ch. 7, pt. A(2)(b) (Nov. 2012); see Doherty, Indeterminate Sentencing Returns: The Invention of Supervised Release,
In this case, that structural difference bears constitutional consequences. Where parole and probation violations generally exposed a defendant only to the remaining prison term authorized for his crime of conviction, as found by a unanimous jury under the reasonable doubt standard, supervised release violations subject to § 3583(k) can, at least as applied in cases like ours, expose a defendant to an additional mandatory minimum prison term well beyond that authorized by the jury's verdict-all based on facts found by a judge by a mere preponderance of the evidence. In fact, § 3583(k) differs in this critical respect not only from parole and probation; it also represents a break from the supervised release practices that Congress authorized in § 3583(e)(3) and that govern most federal criminal proceedings today. Unlike all those procedures, § 3583(k) alone requires a substantial increase in the minimum sentence to which a defendant may be exposed based only on judge-found facts under a preponderance standard. And, as we explained in Alleyne and reaffirm today, that offends the Fifth and Sixth Amendments' ancient protections. 7
D
The dissent suggests an analogy between revocation under § 3583(k) and prison disciplinary procedures that do not normally require the involvement of a jury. Post , at 2396 - 2397. But the analogy is a strained one: While the Sixth Amendment surely does not require a jury to find every fact that the government relies on to adjust the terms of a prisoner's confinement (say, by reducing some of his privileges as a sanction for violating the prison rules), that does not mean the government can send a free man back to prison for years based on judge-found facts.
*2383
Again, practice in the early Republic confirms this. At that time, a term of imprisonment may have been understood as encompassing a degree of summary discipline for alleged infractions of prison regulations without the involvement of a jury. See F. Gray, Prison Discipline in America 22-23, 48-49 (1848). But that does not mean any sanction, no matter how serious, would have been considered part and parcel of the original punishment. On the contrary, the few courts that grappled with this issue seem to have recognized that "infamous" punishments, such as a substantial additional term in prison, might implicate the right to trial by jury. See,
e.g.
,
Gross v. Rice
,
What's more, a tradition of summary process in prison, where administrators face the "formidable task" of controlling a large group of potentially unruly prisoners, does not necessarily support the use of such summary process outside the prison walls.
O'Lone
v.
Estate of Shabazz
,
E
Finally, much of the dissent is consumed by what it calls the "potentially revolutionary" consequences of our opinion. Post , at 2396 - 2397; see also post , at 2394, 2399 (calling our opinion "inexcusable," "unpardonabl[e]," and "dangerous"); post , at 2388 (our opinion threatens to bring "the whole concept of supervised release ... crashing down"); post , at 2391 (under our opinion, "the whole system of supervised release would be like a 40-ton truck speeding down a steep mountain road with no brakes"). But what agitates the dissent so much is an issue not presented here: whether all supervised release proceedings comport with Apprendi . As we have emphasized, our decision is limited to § 3583(k) -an unusual provision enacted little more than a decade ago-and the Alleyne problem raised by its 5-year mandatory minimum term of imprisonment. See n. 7, supra . Section § 3583(e), which governs supervised release revocation proceedings generally, does not contain any *2384 similar mandatory minimum triggered by judge-found facts.
Besides, even if our opinion could be read to cast doubts on § 3583(e) and its consistency with
Apprendi
, the practical consequences of a holding to that effect would not come close to fulfilling the dissent's apocalyptic prophecy. In most cases (including this one), combining a defendant's initial and post-revocation sentences issued under § 3583(e) will not yield a term of imprisonment that exceeds the statutory maximum term of imprisonment the jury has authorized for the original crime of conviction. That's because "courts rarely sentence defendants to the statutory maxima,"
United States v. Caso
,
In the end, the dissent is left only to echo an age-old criticism: Jury trials are inconvenient for the government. Yet like much else in our Constitution, the jury system isn't designed to promote efficiency but to protect liberty. In what now seems a prescient passage, Blackstone warned that the true threat to trial by jury would come less from "open attacks," which "none will be so hardy as to make," as from subtle "machinations, which may sap and undermine i[t] by introducing new and arbitrary methods." 4 Blackstone 343. This Court has repeatedly sought to guard the historic role of the jury against such incursions. For "however
convenient
these may appear at first, (as doubtless all arbitrary powers, well executed, are the most
convenient
) yet let it be again remembered, that delays, and little inconveniences in the forms of justice, are the price that all free nations must pay for their liberty in more substantial matters."
IV
Having concluded that the application of § 3583(k) 's mandatory minimum in this *2385 case violated Mr. Haymond's right to trial by jury, we face the question of remedy. Recall that the Tenth Circuit declared the last two sentences of § 3583(k) "unconstitutional and unenforceable." Those two sentences provide in relevant part that "[i]f a defendant required to register under [SORNA]" commits certain specified offenses, "the court shall revoke the term of supervised release and require the defendant to serve a term of imprisonment [of] not ... less than 5 years."
Before us, the government suggests that the Tenth Circuit erred in declaring those two sentences "unenforceable." That remedy, the government says, sweeps too broadly. In the government's view, any constitutional infirmity can be cured simply by requiring juries acting under the reasonable doubt standard, rather than judges proceeding under the preponderance of the evidence standard, to find the facts necessary to trigger § 3583(k) 's mandatory minimum. This remedy would be consistent with the statute's terms, the government assures us, because "the court" authorized to revoke a term of supervised release in § 3583(k) can and should be construed as embracing not only judges but also juries. And, the government insists, that means we should direct the court of appeals to send this case back to the district court so a jury may be empaneled to decide whether Mr. Haymond violated § 3583(k). Unsurprisingly, Mr. Haymond contests all of this vigorously.
We decline to tangle with the parties' competing remedial arguments today. The Tenth Circuit did not address these arguments; it appears the government did not even discuss the possibility of empaneling a jury in its brief to that court; and this Court normally proceeds as a "court of review, not of first view,"
Cutter v. Wilkinson
,
*
The judgment of the court of appeals is vacated, and the case is remanded for further proceedings.
It is so ordered.
Justice BREYER, concurring in the judgment.
I agree with much of the dissent, in particular that the role of the judge in a supervised-release proceeding is consistent with traditional parole. See
post,
at 2390 - 2391 (opinion of ALITO, J.). As
*2386
Nevertheless, I agree with the plurality that this specific provision of the supervised-release statute, § 3583(k), is unconstitutional. Revocation of supervised release is typically understood as "part of the penalty for the initial offense."
Johnson v. United States
,
Section 3583(k) is difficult to reconcile with this understanding of supervised release. In particular, three aspects of this provision, considered in combination, lead me to think it is less like ordinary revocation and more like punishment for a new offense, to which the jury right would typically attach. First , § 3583(k) applies only when a defendant commits a discrete set of federal criminal offenses specified in the statute. Second , § 3583(k) takes away the judge's discretion to decide whether violation of a condition of supervised release should result in imprisonment and for how long. Third , § 3583(k) limits the judge's discretion in a particular manner: by imposing a mandatory minimum term of imprisonment of "not less than 5 years" upon a judge's finding that a defendant has "commit[ted] any" listed "criminal offense."
Taken together, these features of § 3583(k) more closely resemble the punishment of new criminal offenses, but without granting a defendant the rights, including the jury right, that attend a new criminal prosecution. And in an ordinary criminal prosecution, a jury must find facts that trigger a mandatory minimum prison term.
Alleyne
,
Accordingly, I would hold that § 3583(k) is unconstitutional and remand for the Court of Appeals to address the question of remedy. Because this is the course adopted by the plurality, I concur in the judgment.
Justice ALITO, with whom THE CHIEF JUSTICE, Justice THOMAS, and Justice KAVANAUGH join, dissenting.
I do not think that there is a constitutional basis for today's holding, which is set out in Justice BREYER's opinion, but it is narrow and has saved our jurisprudence from the consequences of the plurality opinion, which is not based on the original meaning of the Sixth Amendment, is irreconcilable with precedent, and sports rhetoric with potentially revolutionary implications. The plurality opinion appears to have been carefully crafted for the purpose of laying the groundwork for later decisions of much broader scope.
I
A
What do I mean by this? Many passages in the opinion suggest that the entire system
*2387
of supervised release, which has been an integral part of the federal criminal justice system for the past 35 years, is fundamentally flawed in ways that cannot be fixed. Under the Sentencing Reform Act of 1984 (SRA), whenever a federal court sentences a criminal defendant to a term of imprisonment, the court may include in the sentence a term of supervised release, and under some circumstances supervised release is mandatory.
Many statements and passages in the plurality opinion strongly suggest that the Sixth Amendment right to a jury trial applies to any supervised-release revocation proceeding. Take the opinion's opening line: "Only a jury, acting on proof beyond a reasonable doubt, may take a person's liberty." Ante , at 2373. In a supervised-release revocation proceeding, a judge, based on the preponderance of the evidence, may make a finding that "take[s] a person's liberty," ibid., in the sense that the defendant is sent back to prison. Later, after noting that the Sixth Amendment applies to a "criminal prosecution," the plurality gives that term a broad definition that appears to encompass any supervised-release revocation proceeding. The plurality defines a "crime" as any " 'ac[t] to which the law affixes ... punishment,' " and says that a "prosecution" is " 'the process of exhibiting formal charges against an offender before a legal tribunal.' " Ante , at 2376. These definitions explain what the terms in question mean in general use, but they were not formulated for the purpose of specifying what "criminal prosecution" means in the specific context of the Sixth Amendment. The plurality, however, uses them for precisely that purpose, and in so doing boldly suggests that every supervised-release revocation proceeding is a criminal prosecution. See ante, at 2379 ("[A] 'criminal prosecution' continues and the defendant remains an 'accused' with all the rights provided by the Sixth Amendment, until a final sentence is imposed.... [A]n accused's final sentence includes any supervised release sentence he may receive").
Later statements are even more explicit. Quoting
Blakely v. Washington
,
Also telling is the plurality's response to the Government's argument that
Apprendi v. New Jersey
,
Finally, while the plurality appears to say that the Sixth Amendment does not apply to parole revocation proceedings, see ante , at 2381 - 2382, 1 the plurality characterizes supervised release as "critical[ly] differen[t]," ante , at 2381 - 2382. This is so, the plurality explains, because parole relieved a prisoner from serving part of the prison sentence originally imposed, whereas a term of supervised release is added to the term of imprisonment specified by the sentencing judge. As I will explain, this difference is purely formal and should have no constitutional consequences. But for now the important point is the plain implication of what the plurality says: Parole was constitutional, but supervised release ... well, that is an entirely different animal.
The intimation in all these statements is clear enough: All supervised-release revocation proceedings must be conducted in compliance with the Sixth Amendment-which means that the defendant is entitled to a jury trial, which means that as a practical matter supervised-release revocation proceedings cannot be held. In 2018, federal district courts completed 1809 criminal jury trials. Admin. Office of U. S. Courts, Judicial Business of the United States Courts (2018) (Table T-1). During that same year, they adjudicated 16,946 revocations of supervised release,
Where the plurality is headed is demonstrated-ironically-by its insistence that it is not going all the way-for now. The plurality writes: "[O]ur opinion," ante, at 2383, 2383 - 2384, does "not pass judgment one way or the other on § 3583(e) 's consistency with Apprendi ," ante, at 2382, n. 7. Section 3583(e) sets out the procedure to be followed in all supervised-release revocation proceedings, so if that provision is not consistent with Apprendi , the whole idea of supervised release must fall. The strategy of the plurality opinion is only thinly veiled. It provides the framework to be used in ending supervised release. It provides no clear ground for limiting the rationale of the opinion so that it does not lead to that result. And then it says: We are not doing that today .
*2389 B
Is it possible to read the plurality opinion more narrowly? Can it be understood to condemn only one narrow statutory provision, namely, § 3583(k), which required the judge to send respondent Haymond back to prison for at least five years once the judge found that he had violated a condition of his supervised release by again possessing child pornography? On this reading, the only Sixth Amendment defect would be the mandatory minimum period of additional confinement that the statute imposes. There would be no problem if the judge had been free to choose the term, if any, of additional confinement. Does the plurality mean to go no further than this?
There are passages in the opinion that hint at this narrower interpretation. The plurality analogizes the mandatory minimum term of additional confinement required by § 3583(k) to the mandatory minimum term of initial imprisonment found to violate the Sixth Amendment in Alleyne , see ante , at 2377 - 2379. But the previously quoted statements pointing to a broader understanding remain, and the plurality does nothing to disavow that reading. To the contrary, the plurality doubles down, assuring us that this broader understanding would not be too disruptive. See ante, at 2383 - 2384.
A narrower interpretation of the plurality opinion is also contradicted by another important statement in the opinion. The plurality says that the maximum "lawful prison term" "reflected in the jury's verdict" in respondent's case was "10 years." Ante , at 2378. This statement is full of meaning because if 10 years is the maximum amount of time that respondent could lawfully be required to spend in prison on the basis of the jury's verdict, there is a serious constitutional defect in the very design of the supervised-release system. That is so because the concept of supervised release is based on a fundamentally different conception of the maximum term of confinement authorized by a guilty verdict.
To understand this, it is important to understand the relationship between the system of supervised release and the old federal parole system it replaced. By abolishing parole and substituting supervised release, the SRA sought to retain the chief benefit of parole, i.e. , providing a transition period of monitoring to ensure that a prisoner who leaves prison has been sufficiently reformed so that he is able to lead a law-abiding life. At the same time, the SRA aimed to promote truth in sentencing and thus to eliminate a much-derided feature of the old parole system. See United States Sentencing Commission, Guidelines Manual ch. 1, pt. A (Nov. 2018) (USSG). Under the parole system, a defendant who was convicted of a serious crime and given what seemed to be a stiff sentence could be and not infrequently was set free after serving only a fraction of the sentence originally pronounced. A prisoner was generally eligible for parole after serving only one-third of his sentence, and a sentence of life was treated as a sentence of 30 years. 3 Therefore, a defendant sentenced to imprisonment for life could be out on the streets after only 10 years.
The SRA changed this, and now a defendant must serve the full term of imprisonment imposed at sentencing minus only a small deduction for good behavior in prison. USSG ch. 1, pt. A.1(3);
As this example shows, the concept of supervised release rests on the idea that a defendant sentenced to x years of imprisonment followed by y years of supervised release is really sentenced to a maximum punishment of x + y years of confinement, with the proviso that any time beyond x years will be excused if the defendant abides by the terms of supervised release. And on this understanding, the maximum term reflected in the jury's verdict in respondent's case was not 10 years, as the plurality claims, but 10 years plus the maximum period of supervised release that the statute authorized. 4
None of this matters in respondent's case because the sum of his original sentence (38 months) and the additional time imposed for violating supervised release (60 months) is less than 120 months, but adoption of the rule toward which the plurality opinion seems to point would make a big difference in many cases. Under that rule, a term of supervised release could never be ordered for a defendant who is sentenced to the statutory maximum term of imprisonment, and only a short period of supervised release could be ordered for a defendant sentenced to a term of imprisonment that is close to the statutory maximum. Moreover, in many cases, a judge, before beginning a supervised-release revocation proceeding, would have to anticipate the period of additional confinement that the judge would find appropriate if a particular violation or set of violations was shown. For example, suppose that the statutory maximum term of certain confinement authorized by the offense of conviction is 10 years and that a prisoner is sentenced to and serves eight years. Suppose that the term of supervised release imposed at the time of sentencing is five years. Before starting a supervised-release revocation proceeding in this hypothetical case, the judge would have to decide whether to rule out the possibility of sending the defendant back to prison for more than two years. Unless the judge was willing *2391 to do this-without knowing all the facts-the judge would have to convene a jury. It would be strange to put judges in that predicament.
The plurality appreciates the implication of its understanding of the maximum term of imprisonment authorized by a jury verdict in the post-SRA era. In footnote 4, the plurality says that it need not decide whether its interpretation of the Sixth Amendment leads to the results I have just outlined. See ante , at 2378 - 2379, n. 4. But here again, while formally reserving decision on this question, the opinion provides no theory that might permit what the SRA contemplates.
In short, under the plurality opinion, the whole system of supervised release would be like a 40-ton truck speeding down a steep mountain road with no brakes.
II
This should not have been a difficult or complicated case. I start with the proposition that the old federal parole system did not implicate the Sixth Amendment's jury trial right. A parole revocation proceeding was not a "criminal prosecution" within the meaning of the Sixth Amendment, and revocation did not result in a new sentence. See,
e.g.
,
United States v. Williams
,
Supervised release, for reasons already explained, is not fundamentally different and therefore should not be treated any differently for Sixth Amendment purposes. When a jury finds a federal defendant guilty of violating a particular criminal statute, the maximum period of confinement authorized is the maximum term of imprisonment plus the maximum term of supervised release. If a prisoner does not end up spending this full period in confinement, that is because service of part of the period is excused due to satisfactory conduct during the period of supervised release. Any other reading exalts form over substance in a way that has enormous consequences that cannot be justified on constitutional grounds.
Once this is understood, it follows that the procedures that must be followed at a supervised-release revocation proceeding are the same that had to be followed at a parole revocation proceeding, and these were settled long ago. At a parole revocation hearing, the fundamental requisites of due process had to be observed, but a parolee did not have a right to a jury trial. See,
e.g.
,
United States v. Carlton
,
For the past 35 years, it has been understood that the same rules apply at a supervised-release revocation proceeding. There *2392 is no good reason to depart from that understanding.
III
The plurality tries to suggest a reason by sprinkling its opinion with quotations from venerable sources, but all are far afield. (John Adams was not writing about the Sixth Amendment when he made a diary entry in 1771 or when he wrote to William Pym in 1766. See ante , at 2375 - 2376.) And the plurality makes no real effort to show that the Sixth Amendment was originally understood to require a jury trial in a proceeding like a supervised-release revocation proceeding. Of course, nothing like supervised release-or for that matter, parole-existed when the Sixth Amendment was ratified, so I will not attempt to make the affirmative case that the Sixth Amendment was specifically understood not to apply to such proceedings. But there is a strong case for the proposition that the terms of the Sixth Amendment and the original understanding of the scope of the jury trial right do not require the plurality's interpretation. And our prior precedents emphatically refute that interpretation.
The Sixth Amendment limits the scope of the jury trial right in three significant ways: It provides "
who
may assert the right ('the accused');
when
the right may be asserted ('[i]n all criminal prosecutions'); and
what
the right guarantees" ("the right to a ... trial, by an impartial jury").
Rothgery v. Gillespie County
,
A
I begin with who may assert the jury trial right. The text of the Sixth Amendment makes clear that this is "a right of the 'accused' and only the 'accused.' " A. Amar, The Bill of Rights 111 (1998). The "accused" is an individual "[c]harged with a crime, by a legal process." N. Webster, An American Dictionary of the English Language (1828); see also 2 J. Bouvier, Law Dictionary 50 (10th ed. 1860) (Bouvier Law Dictionary) ("One who is charged with a crime or misdemeanor").
"At the founding, 'accused' described a status preceding 'convicted.' "
Betterman v.
Montana
, 578 U. S. ----, ----,
Despite the plurality's suggestion otherwise, see ante , at 2379 - 2380, respondent was no longer the "accused" while he served his term of supervised release. To be sure, he was formerly the accused-at the time when he was duly indicted and tried for possession of child pornography. But after a jury convicted him and authorized the judge to sentence him to terms of imprisonment and supervised release, respondent was transformed into the convicted. And his status as such remained the same while he served his sentences, including during the proceeding to determine whether he had adhered to the conditions *2393 attached to the term of supervised release that was permitted by law and thus implicitly authorized by the jury's verdict.
This is especially so given that respondent's reimprisonment was not primarily a punishment for new criminal conduct. The principal reason for assigning a penalty to a supervised-release violation is not that the violative act is a crime (indeed, under other provisions in § 3583, the act need not even be criminal); rather, it is that the violative act is a breach of trust. USSG ch. 7, pt. A, intro. 3(b) (recommended reimprisonment terms are designed to "sanction primarily the defendant's breach of trust," not "new criminal conduct"). In other words, it makes little sense to treat respondent as the accused- i.e. , one charged with a crime-when he has been charged not with a crime, but with violating the terms of a jury-authorized sentence that flowed from his original conviction. The plurality's extension of the jury trial right to respondent's supervised-release revocation proceeding thus flounders from the start for the simple reason that respondent cannot easily be viewed as an "accused" in the conventional sense of the term.
B
It is similarly awkward to characterize a supervised-release revocation proceeding as part of the defendant's "criminal prosecution." A supervised-release revocation proceeding is not part of the criminal prosecution that landed a defendant in prison in the first place because "[a] 'criminal prosecution' ... ends when sentence has been pronounced on the convicted or a verdict of 'Not guilty' has cleared the defendant of the charge." F. Heller, Sixth Amendment to the Constitution of the United States 54 (1951). This follows from the early understanding that a "prosecution" concludes when a court enters final judgment. See, e.g. , Webster, An American Dictionary of the English Language (defining a prosecution as the "process of exhibiting formal charges against an offender before a legal tribunal, and pursuing them to final judgment " (emphasis added)); The Universal English Dictionary 465 (J. Craig ed. 1869) ("[T]he institution of legal proceedings against a person; the process of exhibiting formal charges against an offender before a legal tribunal, and pursuing them to final judgment " (emphasis added)); H. Holthouse, New Law Dictionary 344 (1847) (defining prosecution as "the means adopted to bring a supposed offender to justice and punishment by due course of law"); Bouvier Law Dictionary 396 ("The means adopted to bring a supposed offender to justice and punishment by due course of law").
Our precedents reflect this understanding by defining the end of criminal prosecutions to be the entry of final judgment and imposition of sentence. In the Sixth Amendment context, for example, the Court has explained that "[c]riminal proceedings generally unfold in three discrete phases": a prearrest phase, a charging phase that extends through trial, and a sentencing phase.
Betterman
, 578 U. S., at ----,
In fact, two prior precedents-which the plurality effectively ignores-drew this exact line in stating that parole- and probation-revocation proceedings are not part of a criminal prosecution. Unless the plurality is willing to own up to attempting to overrule these precedents, its failure to engage with them is inexcusable.
The first is
Morrissey
,
The second is
Gagnon
,
Supervised-release revocation proceedings are not part of the defendant's criminal prosecution for the same reasons. As we said in
United States v. Johnson
,
The fact that Morrissey and Gagnon involved parole and probation, not supervised release, does not matter for present purposes. Cf. ante , at 2376 - 2377, 2381 - 2382. These cases did not turn on any features of parole or probation that might distinguish them from supervised release. Rather, those decisions recognized an obvious fact: The administration of a sentence occurs after a court imposes that sentence- i.e. , after the criminal prosecution has ended. That fact is equally true here. No matter what penalties flow from the revocation of parole, probation, or supervised release, the related proceedings are not part of the criminal prosecution.
In recognition of this, the courts of appeals for the past 35 years have overwhelmingly declined to apply the Sixth Amendment in supervised-release revocation proceedings, and they have done so precisely on the ground that these proceedings are not part of criminal prosecutions. This is true as to the jury trial right;
5
the Speedy Trial Clause;
6
the Confrontation
*2395
Clause;
7
and the right to counsel.
8
As then-Judge Gorsuch succinctly put it not too long ago, "settled precedent" dictates that Sixth Amendment rights "d[o] not apply to supervised release revocation proceedings and the due process guarantees associated with these proceedings are 'minimal.' "
United States v. Henry
,
Attempting to claim that a criminal prosecution actually extends through any period of supervised release, the plurality appears to arrive at an unintended destination. The plurality says (while mischaracterizing
Apprendi
and
Alleyne
, see
infra
, at 2395) that "a 'criminal prosecution' continues and the defendant remains an 'accused' with all the rights provided by the Sixth Amendment, until a final sentence is imposed."
Ante,
at 2387. That is exactly right. And the Court's precedents emphatically say that a sentence is "imposed" at final judgment,
supra,
at 2392 - 2393, not again and again every time a convicted criminal wakes up to serve a day of supervised release and violates a condition of his release. That postjudgment conduct during the administration of supervised release, and any proceedings to adjudicate violations of the release conditions, necessarily occurs "after the end of the criminal prosecution, including
imposition
of sentence."
Morrissey
,
C
The plurality attempts to pass off its reasoning as nothing more than the logical outgrowth of the
Apprendi
line of cases, but that is untrue. The plurality invokes these cases to support the idea that the Sixth Amendment cannot be evaded by "[r]elabeling" of a criminal prosecution as a " 'sentence modification' " imposed at a " 'postjudgment sentence-administration proceeding.' "
Ante
, at 2392 - 2393; see also
The plurality insists that it is simply applying Apprendi 's understanding of the jury trial right when it says that "a jury must find beyond a reasonable doubt every fact which the law makes essential to a punishment that a judge might later seek to impose." Ante , at 2387 (internal quotation marks and alteration omitted). But that is wrong.
Since
Apprendi
itself, the Court has time and again endeavored to draw its understanding of the jury trial right from historical practices that existed at the founding and soon afterward. See
Apprendi
,
In this case, the plurality can muster no support for the proposition that the jury trial right was extended to anything like a supervised-release or parole revocation proceeding at the time of the adoption of the Sixth Amendment. Supervised release was not instituted until 1984, and parole was unknown until the 19th century, so close historic analogues are lacking. But the nearest practices that can be found do not support the plurality.
Prior to and at the time of the adoption of the Sixth Amendment, convicted criminals were often released on bonds and recognizances that made their continued liberty contingent on good behavior. See L. Friedman, Crime and Punishment in American History 38-39 (1993); A. Hirsch, The Rise of the Penitentiary 7 (1992) ("Since courts in the eighteenth-century frequently demanded that offenders provide monetary sureties for future good behavior, convicts stayed put until they scraped together the requisite funds"). If a prisoner released on such a bond did not exhibit good behavior, the courts had discretion to forfeit the bond (a loss of property) or to turn the individual over to the sheriff (a loss of liberty) until new conditions could be arranged. See Friedman, supra , at 39. There is no evidence that there was a right to a jury trial at such proceedings, and the plurality does not even attempt to prove otherwise.
Corporal punishment of prisoners is also inconsistent with the plurality's suggestion that a convicted criminal has the right to a jury trial before a punishment is imposed for legally proscribed conduct. See
ante,
at 2376. Well into the 19th century, prisoners were whipped for misbehavior. See Friedman,
supra
, at 37, 77, n. *; M. Kann, Punishment, Prisons, and Patriarchy 120, 182 (2005). Virginia law, for example, provided
*2397
that a prisoner could be punished "by stripes" if he were guilty of "profanity, indecent behavior, idleness, neglect or willful mismanagement of work, insubordination, an assault not amounting to felony, or a violation of any of the rules prescribed by the governor." Va. Code, Tit. 56, ch. 213, § 22 (1849). Massachusetts law gave the warden "all necessary means" "to suppress insurrection, enforce obedience, and maintain order in the prison," provided however "that no convict shall be punished ... by more than ten stripes" without meeting certain conditions. Mass. Gen. Laws, ch. CXVIII, § 21 (1828). And even at the turn of the century, courts entertained imposition of reasonable corporal punishment provided that it was authorized by lawfully adopted rule or regulation. See,
e.g.
,
State v. Nipper
,
Later, when parole and probation were introduced, courts, with the assistance of parole and probation officials, supervised the conditional release of parolees and probationers, and juries played no part in this process. See 4 Atty. Gen.'s Survey of Release Proc. 1 (1939) (Parole Survey); 2
The well-settled revocation power wielded by courts and other officials brings this point home. A violation of the conditions permitted not only the defendant's reimprisonment, see Parole Survey 4; Probation Survey 2, but several other penalties as well. In the parole context, these penalties most often included the forfeiture of good time credits-a reduction in prison time based on good behavior-that the parolees had accrued prior to their release on parole, as well as the forfeiture of any time served for the duration of their parole. Parole Survey 249-253; see also Friedman, supra , at 159 (stating in the context of 19th century good time laws that "[t]o forfeit 'good time' was a terrible penalty"). Many States also conditioned the future availability of parole on mandatory minimum terms of reimprisonment, and others even rendered certain parole violators ineligible for future parole. Parole Survey 255-258. And in the probation context, several courts refused to give credit for time spent on probation. Probation Survey 334-335, and n. 52. Thus, courts and parole boards could not only revoke conditional liberty but they could also subject violators to longer periods of *2398 imprisonment and erase the fact that the violators had served a substantial portion of their lives on the streets under strict conditions.
From each of the foregoing examples, a clear historical fact emerges: American juries have simply played "no role" in the administration of previously imposed sentences.
Ice
,
The plurality's extension of the jury trial right to the administration of previously imposed sentences also sidelines what has until now been the core feature of the
Apprendi
line of cases-a meaningful connection to the trial for the charged offense. "The touchstone for determining whether a fact must be found by a jury beyond a reasonable doubt is whether the fact constitutes an 'element' or 'ingredient' of the charged offense."
Alleyne
,
In
Apprendi
itself, the Court emphasized the relevance of the charged offense when distinguishing
Almendarez-Torres v. United States
,
Here, the factual basis for revoking respondent's supervised release did not "g[o] precisely to what happened in the 'commission of the offense' "; it did not even "relate to the commission of the offense."
Apprendi
,
It is telling that the plurality never brings itself to acknowledge this clear departure from the Apprendi line of cases. For nearly two decades now, the Court has insisted that these cases turn on "a specific statutory offense," and its "ingredients" and "elements." Yet today we learn that-at least as far as the plurality is concerned-none of that really mattered.
The plurality also errs by failing to distinguish between the unconditional liberty interests with which
Apprendi
is concerned and the conditional liberty interests at issue in cases like this one. Cf.
ante
, at 2373 ("Only a jury, acting on proof beyond a reasonable doubt, may take a person's liberty"). When a person is indicted and faces the threat of prison and supervised release, his unconditional liberty hangs in the balance. See
Apprendi
,
But convictions have consequences. "[G]iven a valid conviction, the criminal defendant [may be] constitutionally deprived of his liberty."
Meachum v. Fano
,
* * *
Today's decision is based in part on an opinion that is unpardonably vague and suggestive in dangerous ways. It is not grounded on any plausible interpretation *2400 of the original meaning of the Sixth Amendment, and it is contradicted by precedents that are unceremoniously overruled. It represents one particular view about crime and punishment that is ascendant in some quarters today but is not required by the Constitution. If the Court eventually takes the trip that this opinion proposes, the consequences will be far reaching and unfortunate.
For these reasons, I respectfully dissent.
The Court has recognized two narrow exceptions to
Apprendi
's general rule, neither of which is implicated here: Prosecutors need not prove to a jury the fact of a defendant's prior conviction,
Almendarez-Torres v. United States
,
Because we hold that this mandatory minimum rendered Mr. Haymond's sentence unconstitutional in violation of
Alleyne v. United States
,
The dissent asserts that "a sentence is 'imposed' at final judgment, not again and again every time a convicted criminal ... violates a condition of his release." Post , at 2395 (opinion of ALITO, J.) (citation omitted). But saying it does not make it so. As Johnson recognized, when a defendant is penalized for violating the terms of his supervised release, what the court is really doing is adjusting the defendant's sentence for his original crime. Even the dissent recognizes that the sword of Damocles hangs over a defendant "every time [he] wakes up to serve a day of supervised release." Post , at 2395.
But perhaps we underestimate their fervor. While not openly embracing that result, the dissent fails to articulate any meaningful limiting principle to avoid it. If, as the dissent suggests, a term of supervised release is interchangeable with whatever sanction is prescribed for a violation, why stop at life in prison? The dissent replies that we might discover some relevant limitation in the Eighth Amendment, which does not mention jury trials, but is unwilling to find that limitation in the Sixth Amendment, which does. Post , at 2390, n. 4.
Just as we have no occasion to decide whether § 3583(k) implicates Apprendi by raising the ceiling of permissible punishments beyond those authorized by the jury's verdict, see n. 4, supra , we do not pass judgment one way or the other on § 3583(e) 's consistency with Apprendi . Nor do we express a view on the mandatory revocation provision for certain drug and gun violations in § 3583(g), which requires courts to impose "a term of imprisonment" of unspecified length.
Contrary to the dissent's characterization, we do not suggest that any prison discipline that is "too harsh" triggers the right to a jury trial. Post , at 2396 - , n. 9 (emphasis deleted). Instead, we distinguish between altering a prisoner's conditions of confinement, which generally does not require a jury trial, and sentencing a free man to substantial additional time in prison, which generally does.
Justice BREYER agrees that a jury was required here for three reasons "considered in combination."
Post
, at 2386- (opinion concurring in judgment). Two of the reasons seem to amount to the same thing-a worry that § 3583(k) imposes a new mandatory minimum sentence without a jury. And for the reasons we've already given, we can agree that this is indeed a problem under
Alleyne
.
But Justice BREYER's remaining reason is another story. He stresses that § 3583(k) 's mandatory minimum applies only to a "discrete set of federal criminal offenses."
Post
, at 2386. But why should
that
matter? Whether the Sixth Amendment is violated in "discrete" instances or vast numbers, our duty to enforce the Constitution remains the same. Besides, any attempt to draw lines based on when an erosion of the jury trial right goes "too far" would prove inherently subjective and depend on judges' intuitions about the proper role of the juries that are supposed to supervise them. As we have previously explained, "[w]hether the Sixth Amendment incorporates [such a] manipulable standard rather than
Apprendi
's bright-line rule depends on the plausibility of the claim that the Framers would have left definition of the scope of jury power up to judges' intuitive sense of how far is too far."
Blakely v. Washington
,
But even on this point, the plurality hedges, saying that "historic parole and probation revocation procedures ... have usually been understood to comport with the Fifth and Sixth Amendments." Ante , at 2381 - 2382 (emphasis added).
The plurality casts this argument as "echo[ing] an age-old criticism: Jury trials are inconvenient for the government." Ante, at 2384. Not at all. My only point is to say that if a questionable interpretation of the Sixth Amendment, see infra , at 2391 - 2399, would potentially lead to absurd results, that is an additional reason to suspect that something has gone awry.
See O'Hara, Parole,
In respondent's case that was life. See § 3583(k). Anything approaching that maximum would have been very harsh, but the judge in respondent's case did not impose such a term, and there are statutory restraints on the imposition of excessive additional terms. In determining the additional period to be ordered as a result of a supervised-release violation, a judge is required to take into account almost all of the factors that must be considered at sentencing. See § 3583(e). The Sentencing Guidelines provide recommended terms for particular violations. See USSG ch. 1, pt. B;
See,
e.g.
,
United States v. Carlton
,
See,
e.g.
,
Gavilanes-Ocaranza
,
See,
e.g.
,
United States v. Rondeau
,
See,
e.g.
,
United States v. Boultinghouse
,
The plurality offers only a few tepid responses. First, the plurality appears to concede that a jury trial is unnecessary where penalties for postjudgment conduct are not
too
harsh.
Ante,
at 2382 - 2383. I suspect that the prisoners who endured corporal punishment would have challenged the plurality's suggestion that their punishment was not that harsh. But in any event, a too-harsh standard-something that would appear to be more at home in an Eighth Amendment analysis-is hardly a principled way of determining whether a jury trial is constitutionally required. Second, the plurality suggests that my reasoning amounts to an extension of
Turner v. Safley
,
588 U.S. 634 (United States v. Haymond) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.