Hutto v. Davis
Concurring Opinion
concurring in the judgment.
The Court holds that the Eighth Amendment countenances a prison term of 40 years and a fine of $20,000 for respondent’s possession and distribution of approximately nine ounces of marihuana said to have a street value of about $200. I view the sentence as unjust and disproportionate to the offense. Nevertheless, for the reasons stated below I reluctantly conclude that the Court’s decision in Rummel v. Estelle, 445 U. S. 263 (1980), is controlling on the facts before us. Accordingly, I join the judgment only.
I
The respondent Davis met Eads in prison. During Eads confinement, his wife had become a drug user. Concerned about this development and its effect on their 2-year-old child, Eads offered to cooperate with the police “to assist in the exposure and arrest of those supplying drugs to his wife and any illicit drug distributor in the area, including Davis who Eads identified as an active drug dealer in Wythe County.” Davis v. Davis, 585 F. 2d 1226, 1228 (CA4 1978).
Davis was found guilty of both distributing marihuana and of possessing marihuana with intent to distribute. On each count, he received a sentence of 20 years’ imprisonment and a $10,000 fine. These sentences were imposed on a consecutive basis. The District Court granted his petition for a writ of habeas corpus because the sentences were “so grossly out of proportion to the severity of the crimes as to constitute cruel and unusual punishment . . . ,”
II
The sole authority upon which the Court today relies is its decision in Rummel v. Estelle. Rummel decided that the Eighth Amendment’s proscription of cruel and unusual punishments
*377 “This is not to say that a proportionality principle [viz., that grossly disproportionate punishments are unconstitutional] would not come into play in the extreme example mentioned by the dissent, post, at 288, if a legislature made overtime parking a felony punishable by life imprisonment.” 445 U. S., at 274, n. 11.
The Rummel Court therefore did not reject the proportionality principle long settled by our cases.
I recognize, of course, that under our system the limits of a prison sentence normally are a matter of legislative prerogative, and trial courts have the primary responsibility to determine an appropriate sentence — within these limits — in light of the facts and circumstances of the particular case. Review of sentencing is not generally a function of appellate review. Yet, our system of justice always has recognized that appellate courts do have a responsibility — expressed in the proportionality principle — not to shut their eyes to grossly disproportionate sentences that are manifestly unjust. I therefore have no criticism of the District Court or the Court of Appeals for exercising this responsibility and reaching the judgments that are reversed here today.
There are features of this case that arguably distinguish it from Rummel. I identify these briefly. The first is a letter from the Commonwealth Attorney who successfully prosecuted Davis. The letter is set forth in full below.
f — I > — I I — I
Based on this evidence of comparative sentencing and the relatively minor degree of Davis’ criminality, affirmance of the judgment of the Court of Appeals arguably could be justified. I conclude, however, that Rummel requires reversal. Davis was convicted of distributing marihuana, and had dealt in other drugs as well. He was willing to sell marihuana for
These cases illustrate the seriousness of the disparity in sentencing that may distinguish our system of justice from other mature systems. Sentencing disparity in our country primarily results not from varying statutory limits among the States. Rather, in a nation of our size and with the sentencing decision in particular cases vested — as it should be — in trial courts, a good deal of disparity is inevitable. Effort to minimize this, at least on a state-by-state basis, certainly should be continued. Nor should reform in this respect be addressed only to prevent excessive penalties. The criticism of courts occurs more frequently, often fully justified, when persons guilty of crimes of violence, or serious drug distribution offenses, are given sentences that are disproportionately light in view of their offenses, as well as disparate in compari
I join the judgment of the Court.
Davis v. Zahradnick, 432 F. Supp. 444, 453 (WD Va. 1977).
Davis v. Davis, 601 F. 2d 153 (CA4 1979).
Hutto v. Davis, 445 U. S. 947 (1980).
Davis v. Davis, 646 F. 2d 123 (CA4 1981).
“Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.”
E. g., Coker v. Georgia, 433 U. S. 584 (1977); Weems v. United States, 217 U. S. 349 (1910).
The letter from the Commonwealth Attorney to Davis’ attorney reads as follows:
“This will confirm our recent telephone conversation wherein I advised I would pose no objection to the release of Mr. Davis from the Virginia penal system on a suspended term basis.
*378 “Heretofore, I have steadfastly opposed his release. However, the sentences now being imposed throughout the majority of the Commonwealth and the nation for comparable acts of drug distribution are extremely light and in most cases insignificant. In view of such, I think a gross injustice would be done should I not recommend his immediate release with the remainder of his term suspended.
“I do wish to make it expressly clear that my recommendation should not be construed as being critical of the jury that convicted Mr. Davis. I actually asked for a heavier sentence than was imposed. The citizens of this county have not softened their views toward drug offenders, and neither have I, but by the same token I cannot condone such grave disparity in sentencing.
“I think our community, our jury, and our Court were correct in their approach to the drug problem. However, that we may be correct and others wrong in their assessment, does not enable me to continue to ignore the wrong that would be perpetuated upon Mr. Davis by his continued confinement. My [conscience] dictates that in view of the lack of any semblance of uniformity of sentencing throughout the nation in dealing with the drug problem, that Mr. Davis’s continued incarceration is grossly unjust.
“I trust that this is a fair summary of the content of our conversation, and if it is not, I hope you will please advise me.” Letter of Feb. 28, 1977 (emphasis added).
In the District Court, the parties stipulated that, had this prosecutor testified “with respect to the severity of the sentences imposed upon Petitioner for marijuana-related offenses, his testimony would comport with the contents of the attached letter . . . .” Supplemental Stipulation of Fact, Mar. 18, 1977.
Davis also prepared a study of drug-related sentencing in Virginia over a 9!4-month period in 1975-1976. This study summarized sentencing of 117
Rummel also involved a legislative revision of the relevant crimes. The basis for Rummel’s life sentence was his conviction as a habitual offender. After conviction for two prior felonies, this habitual offender law provided for automatic imposition of a life sentence upon a third felony conviction. 445 U. S., at 278. Rummel’s third felony was theft by false pretext. After his conviction on that count and as a habitual offender, Texas reclassified his third offense as a misdemeanor. Id., at 295. Unlike Virginia’s 1979 amendment with respect to Davis, however, Texas’ statutory reduction did not convey any basic change in its attitude toward the statutory basis for Rummel’s lengthy sentence: recidivism.
“While not given all the details, the jury knew from Eads’ testimony that this was not Davis’ first trouble with the law in a drug related offense.” Davis v. Davis, 585 F. 2d 1226, 1228 (CA4 1978). “[T]he trial judge, who could have sentenced concurrently, sentenced consecutively. Not only had he heard the witnesses testify, which we have not; he knew, for example, which the jury did not, that Davis previously had been convicted of selling LSD, and that the two offenses for which Davis had just been found guilty were committed while on bail pending appeal from the previous conviction for selling LSD.” Id,., at 1233. Cf. Vines v. Muncy, 553 F. 2d 342, 349 (CA4 1977) (jury sentence not final under Virginia practice, since its findings are subject to suspension by the trial judge).
Opinion of the Court
On October 26, 1973, law enforcement officers raided respondent’s home and seized approximately nine ounces of marihuana and assorted drug paraphernalia. Several days before the raid, officers had tape-recorded a transaction in which respondent had sold marihuana and other controlled substances to a police informant. With the aid of the seized
After exhausting direct appeal, respondent brought a ha-beas action in the United States District Court for the Western District of Virginia, asserting that a 40-year sentence was so grossly disproportionate to the crime of possessing less than nine ounces of marihuana that it constituted cruel and unusual punishment as proscribed by the Eighth and Fourteenth Amendments. The District Court, relying primarily upon the four factors set forth in Hart v. Coiner, 483 F. 2d 136 (CA4 1973), cert. denied, 415 U. S. 938 (1974), agreed:
“After examining the nature of the offense, the legislative purpose behind the punishment, the punishment in the Commonwealth of Virginia for other offenses, and the punishment actually imposed for the same or similar offenses in Virginia, this court must necessarily conclude that a sentence of forty years and twenty thousand dollars in fines is so grossly out of proportion to the severity of the crimes as to constitute cruel and unusual punishment in violation of the Eighth Amendment of the United States Constitution.” Davis v. Zahradnick, 432 F. Supp. 444, 453 (1977).
Accordingly, the District Court issued a writ of habeas corpus.
A panel of the United States Court of Appeals for the Fourth Circuit reversed. Davis v. Davis, supra. The
The petitioner in Rummel was sentenced to life imprisonment under the Texas recidivist statute upon being convicted of his third felony: obtaining $120.75 by false pretenses. He had previously been convicted of passing a forged check in the amount of $28.36, and of fraudulently using a credit card to obtain $80 worth of goods or services. 445 U. S., at 265-266. Like the respondent in this case, Rummel argued that the length of his imprisonment was so “grossly disproportionate” to the crime for which he was sentenced that it violated the ban on cruel and unusual punishment of the
As mentioned above, the District Court found respondent’s sentence to be unconstitutional by applying the four-part test of Hart v. Coiner, supra. Hart also was relied upon by the lower-court dissenters in Rummel, and was implicitly disapproved by our rejection of the dissenters’ view. Not only did we expressly recognize Hart as the primary opposing authority, 445 U. S., at 267, 269, but our opinion also disapproved each of its four “objective” factors.
Accordingly, the petition for a writ of certiorari is granted, the judgment of the Court of Appeals is reversed, and the case is remanded to the District Court with instructions to dismiss respondent’s habeas petition.
It is so ordered.
In addition to the evidence seized during the raid and the tape recording of the drug transaction, all of which demonstrated that respondent was an active drug dealer, the jury knew from evidence presented at trial that respondent had knowingly sold drugs to be smuggled into prison, had sold drugs to an inmate’s wife who was alone with an infant child, and had himself been imprisoned in the past. Davis v. Davis, 585 F. 2d, at 1227-1228.
Applying the first Hart factor to this case, the District Court found “no element of violence and minimal, debatable danger to the person.” Davis v. Zahradnick, 432 F. Supp. 444, 452 (WD Va. 1977). In Rummel, however, we noted that “the presence or absence of violence does not always
We noted in Rummel that there could be situations in which the proportionality principle would come into play, such as “if a legislature made overtime parking a felony punishable by life imprisonment.” Id., at 274, n. 11.
Dissenting Opinion
dissenting.
The increasingly alarming penchant of the Court inappropriately to invoke its power of summary disposition could not be more evident than in this case. With the benefit of neither full briefing nor oral argument, the Court holds that Rummel v. Estelle, 445 U. S. 263 (1980), precluded the courts below from holding that respondent has been subjected to cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments.
Rummel considered whether the application of the Texas habitual offender statute to petitioner William Rummel constituted cruel and unusual punishment in violation of the Eighth Amendment. The Texas statute prescribed a mandatory life sentence following a third conviction on a felony charge. Rummel became subject to this provision in 1973, when he was convicted of obtaining $120.75 by false pretenses, then a felony under Texas law. On two earlier occasions, Rummel had been convicted of felonies under Texas law: in 1964 for fraudulently using a credit card to obtain $80 worth of goods or services, and in 1969 for passing a forged check in the amount of $28.36. Rummel argued that the imposition of a mandatory life sentence in his case amounted to cruel and unusual punishment in violation of the Eighth Amendment, as applied to the States through the Fourteenth Amendment, see Robinson v. California, 370 U. S. 660, 667 (1962). The Court rejected Rummel’s constitutional attack. While noting that “one could argue . . . that for crimes con-cededly classified and classifiable as felonies, . . . the length
“[T]he interest of the State of Texas here is not simply that of making criminal the unlawful acquisition of another person’s property; it is in addition the interest, expressed in all recidivist statutes, in dealing in a harsher manner with those who by repeated criminal acts have shown that they are simply incapable of conforming to the norms of society as established by its criminal law. By conceding the validity of recidivist statutes generally, Rummel himself concedes that the State of Texas, or any other State, has a valid interest in so dealing with that class of persons.” Ibid.
Relying on Rummel, the per curiam suggests that because the punishment imposed on respondent was within the maximum prescribed by the state legislature, the Court of Appeals, which affirmed the District Court’s grant of habeas relief on Eighth Amendment grounds, “sanctioned an intrusion into the basic line-drawing process that is ‘properly within the province of legislatures, not courts.’” Ante, at 374, quoting Rummel, supra, at 275-276. Even if I viewed Rummel as properly decided, and I do not, the per curiam, by suggesting that it was improper for the courts below to engage in a disproportionality analysis, represents a serious
The per curiam nevertheless reverses the judgment below on the basis that “Rummel stands for the proposition that federal courts should be ‘reluctan[t] to review legislatively mandated terms of imprisonment’ . . . and that ‘successful challenges to the proportionality of particular sentences’ should be ‘exceedingly rare.’” Ante, at 374, quoting Rummel, supra, at 274, 272. But this general principle of deference surely cannot justify the complete abdication of our responsibility to enforce the Eighth Amendment. The question presented here is whether the sentence imposed on respondent in this case comports with the limitation contained
It is obvious to me, as it apparently was to at least five judges of the Court of Appeals, that this case is one of those “exceedingly rare” cases in which a sentence should be invalidated on Eighth Amendment grounds. First, the indications are that the punishment imposed on respondent for the possession and distribution of less than nine ounces of marihuana — 40 years’ imprisonment and fines of $20,000 — is not simply harsh, but is in cruel and painful excess of the punishments imposed by the Virginia courts on other defendants convicted of similar offenses. As the District Court noted:
“From October 31, 1975 to August, 1976 one hundred and seventeen (117) inmates were committed to the State Department of Corrections for possessing, selling, or manufacturing marijuana. The average sentence for*385 these offenses was three years and two months, the minimum was sixty days, and the maximum was fifteen years.” Davis v. Zahradnick, 432 F. Supp. 444, 453 (WD Va. 1977).
Second, this case is unique in that the very prosecutor who brought the charges against the respondent was forced to concede in light of his experience that the case represents a “grave disparity in sentencing,” and that the continued incarceration of Davis “is grossly unjust.”
That there should be any doubt as to the continued validity of the proportionality principle is particularly incomprehensible in view of the Rummel Court’s reliance on the proportionality principle in a footnote, where the Court, responding to the fanciful hypothetical of the dissent, stated that this principle would bar a legislature from making “overtime parking a felony punishable by life imprisonment.” 445 U. S., at 274, n. 11.
The per curiam notes that the District Court applied the four-factor proportionality test of Hart v. Coiner, 483 F. 2d 136 (CA4 1973). Ante, at 371, 373, and n. 2. It then suggests that the test is inconsistent with the decision in Rummel and that reversal is therefore appropriate here. Even if the Court were correct in its suggestion that the Hart test is inconsistent with Rummel, reversal would not be appropriate, because there is simply no basis for saying that the judgment of the Court of Appeals rests on the Hart test. The Court of Appeals, sitting en banc, affirmed the judgment of the District Court by an equally divided court, and therefore did not issue an opinion. Accordingly, the five judges of the Court of Appeals that voted to affirm the judgment of the District Court may have based their view of the unconstitutionality of Davis’ punishment on reasoning entirely unrelated to that offered by the District Court — particularly since the District Court’s opinion had been issued prior to Rummel. In
The prosecutor’s comments were contained in the following letter that he sent to Davis’ attorney:
“This will confirm our recent telephone conversation wherein I advised I would pose no objection to the release of Mr. Davis from the Virginia penal system on a suspended term basis.
“Heretofore, I have steadfastly opposed his release. However, the sentences now being imposed throughout the majority of the Commonwealth and the nation for comparable acts of drug distribution are extremely light and in most cases insignificant. In view of such, I think a gross injustice would be done should I not recommend his immediate release with the remainder of his term suspended.
“I do wish to make it expressly clear that my recommendation should not be construed as being critical of the jury that convicted Mr. Davis. I actually asked for a heavier sentence than was imposed. The citizens of this county have not softened their views toward drug offenders, and neither have I, but by the same token I cannot condone such grave disparity in sentencing.
“I think our community, our jury, and our Court were correct in their approach to the drug problem. However, that we may be correct and others wrong in their assessment, does not enable me to continue to ignore the wrong that would be perpetrated upon Mr. Davis by his continued confinement. My conscious [sic] dictates that in view of the lack of any semblance of uniformity of sentencing throughout the nation in dealing with the drug problem, that Mr. Davis’s continued incarceration is grossly unjust.
“I trust that this is a fair summary of the content of our conversation, and if it is not, I hope you will please advise me.” Letter from Thomas B. Baird, Jr., to Edward L. Hogshire (Feb. 28, 1977).
This legislative action also undermines any claim that the state interest in having Davis serve a 40-year prison sentence is sufficiently strong to preclude invalidation of the sentence as disproportionate under the Eighth Amendment. See supra, at 381-383.
Justice Powell, concurring in the judgment, nevertheless concludes that the punishment imposed on Davis is not as disproportionate as that imposed on Rummel and that therefore the instant case is controlled by the facts of Rummel. Ante, at 379-380. But even if the punishment in the instant case could be determined, in the abstract, to be less severe than
Indeed, an increased rate of summary dispositions may prove to be counterproductive. As the bar becomes alert to the increased probability of summary disposition, lawyers responding to a petition for certiorari will likely choose to minimize the risk of summary disposition by taking the additional step of providing a full statement of their argument on the merits. As others have noted, this will only “mean additional and unnecessary work for the lawyer, expense to the client, and unessential reading matter for the already overburdened Court.” R. Stern & E. Gressman, Supreme Court Practice 365 (5th ed. 1978). Accord, Brown, Foreword: Process of Law, 72 Harv. L. Rev. 77, 81-82 (1958).
In view of this abuse, it is certainly startling that the Court should suggest that the Court of Appeals’ affirmance of the District Court in this case was tantamount to “anarchy.” Ante, at 375. Quite to the contrary, the Court of Appeals has only fiilfilled its constitutional responsibility to apply the Court’s precedents in light of reason and experience — something that this Court today has plainly failed to do.
Reference
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- HUTTO, DIRECTOR, VIRGINIA STATE DEPARTMENT OF CORRECTIONS, Et Al. v. DAVIS
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