Molina-Martinez v. United States
Molina-Martinez v. United States
Opinion
This case involves the Federal Sentencing Guidelines. In sentencing petitioner, the District Court applied a Guidelines range higher than the applicable one. The error went unnoticed by the court and the parties, so no timely objection was entered. The error was first noted when, during briefing to the Court of Appeals for the Fifth Circuit, petitioner himself raised the mistake. The Court of Appeals refused to correct the error because, in its view, petitioner could not establish a reasonable probability that but for the error he would have received a different sentence. Under that court's decisions, if a defendant's ultimate sentence falls within what would have been the correct Guidelines range, the defendant, on appeal, must identify "additional evidence" to show that use of the incorrect Guidelines range did in fact affect his sentence. Absent that evidence, in the Court of Appeals' view, a defendant who is sentenced under an incorrect range but whose sentence is also within what would have been the correct range cannot demonstrate he has been prejudiced by the error.
Most Courts of Appeals have not adopted so rigid a standard. Instead, in recognition of the Guidelines' central role in sentencing, other Courts of Appeals have concluded that a district court's application of an incorrect Guidelines range can itself serve as evidence of an effect on substantial rights. See,
e.g.,
United States v. Sabillon-Umana,
*1342 These courts recognize that, in most cases, when a district court adopts an incorrect Guidelines range, there is a reasonable probability that the defendant's sentence would be different absent the error. This Court granted certiorari to reconcile the difference in approaches.
I
A
The Sentencing Guidelines provide the framework for the tens of thousands of federal sentencing proceedings that occur each year. Congress directed the United States Sentencing Commission (USSC or Commission) to establish the Guidelines.
Uniformity and proportionality in sentencing are achieved, in part, by the Guidelines' significant role in sentencing. See
Peugh v. United States,
569 U.S. ----, ----,
At the outset of the sentencing proceedings, the district court must determine the applicable Guidelines range.
Peugh,
B
The Guidelines are complex, and so there will be instances when a district *1343 court's sentencing of a defendant within the framework of an incorrect Guidelines range goes unnoticed. In that circumstance, because the defendant failed to object to the miscalculation, appellate review of the error is governed by Federal Rule of Criminal Procedure 52(b).
Rule 52, in both its parts, is brief. It states:
"(a) HARMLESS ERROR . Any error, defect, irregularity, or variance that does not affect substantial rights must be disregarded.
"(b) PLAIN ERROR . A plain error that affects substantial rights may be considered even though it was not brought to the court's attention."
The starting point for interpreting and applying paragraph (b) of the Rule, upon which this case turns, is the Court's decision in
United States v. Olano,
II
The petitioner here, Saul Molina-Martinez, pleaded guilty to being unlawfully present in the United States after having been deported following an aggravated felony conviction, in violation of
At the sentencing hearing Molina-Martinez's counsel and the Government addressed the court. The Government acknowledged that the Probation Office had "recommended the low end on this case, 77 months." App. 30. But, the prosecution told the court, it "disagree[d] with that recommendation," and was "asking for a high end sentence of 96 months"-the top of the Guidelines range.
*1344 After hearing from the parties, the court stated it was adopting the presentence report's factual findings and Guidelines calculations. It then ordered Molina-Martinez's sentence:
"It's the judgment of the Court that the defendant, Saul Molina-Martinez, is hereby committed to the custody of the Bureau of Prisons to be imprisoned for a term of 77 months. Upon release from imprisonment, Defendant shall be placed on supervised release for a term of three years without supervision."Id., at 33 .
The court provided no further explanation for the sentence.
On appeal, Molina-Martinez's attorney submitted a brief pursuant to
Anders v. California,
Molina-Martinez, through his attorney, filed a merits brief arguing that the Probation Office and the District Court erred in calculating his criminal history points, resulting in the application of a higher Guidelines range. The error, Molina-Martinez explained, occurred because the Probation Office failed to apply § 4A1.2(a)(2) of the Guidelines. See USSG § 4A1.2(a)(2) (Nov. 2012). That provision addresses how multiple sentences imposed on the same day are to be counted for purposes of determining a defendant's criminal history. It instructs that, when prior sentences were imposed on the same day, they should be counted as a single sentence unless the offenses "were separated by an intervening arrest (
i.e.,
the defendant is arrested for the first offense prior to committing the second offense)."
Molina-Martinez's presentence report included five aggravated burglary convictions for which he had been sentenced on the same day. The Probation Office counted each sentence separately, which resulted in the imposition of 11 criminal history points. Molina-Martinez contended this was error because none of the offenses were separated by an intervening arrest and because he had been sentenced for all five burglaries on the same day. Under a correct calculation, in his view, the burglaries should have resulted in 5 criminal history points instead of 11. That would have lowered his criminal history category from VI to V. The correct criminal history category, in turn, would have resulted in a Guidelines range of 70 to 87 months rather than 77 to 96 months. Had the correct range been used, Molina-Martinez's 77-month sentence would have been in the middle of the range, not at the bottom.
Molina-Martinez acknowledged that, because he did not object in the District Court, he was entitled to relief only if he could satisfy Rule 52(b)'s requirements. He nevertheless maintained relief was warranted because the error was plain, affected his substantial rights, and impugned the fairness, integrity, and public reputation of judicial proceedings.
The Court of Appeals disagreed. It held that Molina-Martinez had not established that the District Court's application of an incorrect Guidelines range affected his substantial rights. It reasoned that, when a correct sentencing range overlaps with an incorrect range, the reviewing
*1345
court " 'do[es] not assume, in the absence of additional evidence, that the sentence [imposed] affects a defendant's substantial rights.' "
This Court granted certiorari to resolve the disagreement among Courts of Appeals over how to determine whether the application of an incorrect Guidelines range at sentencing affected the defendant's substantial rights. See 576 U.S. ----,
III
The Court of Appeals for the Fifth Circuit stands generally apart from other Courts of Appeals with respect to its consideration of unpreserved Guidelines errors. This Court now holds that its approach is incorrect.
Nothing in the text of Rule 52(b), its rationale, or the Court's precedents supports a requirement that a defendant seeking appellate review of an unpreserved Guidelines error make some further showing of prejudice beyond the fact that the erroneous, and higher, Guidelines range set the wrong framework for the sentencing proceedings. This is so even if the ultimate sentence falls within both the correct and incorrect range. When a defendant is sentenced under an incorrect Guidelines range-whether or not the defendant's ultimate sentence falls within the correct range-the error itself can, and most often will, be sufficient to show a reasonable probability of a different outcome absent the error.
A
Today's holding follows from the essential framework the Guidelines establish for sentencing proceedings. The Court has made clear that the Guidelines are to be the sentencing court's "starting point and ... initial benchmark."
Gall v. United States,
The Guidelines' central role in sentencing means that an error related to the Guidelines can be particularly serious. A
*1346
district court that "improperly calculat[es]" a defendant's Guidelines range, for example, has committed a "significant procedural error."
Gall,
The Commission's statistics demonstrate the real and pervasive effect the Guidelines have on sentencing. In most cases district courts continue to impose "either within-Guidelines sentences or sentences that depart downward from the Guidelines on the Government's motion."
These sources confirm that the Guidelines are not only the starting point for most federal sentencing proceedings but also the lodestar. The Guidelines inform and instruct the district court's determination of an appropriate sentence. In the usual case, then, the systemic function of the selected Guidelines range will affect the sentence. This fact is essential to the application of Rule 52(b) to a Guidelines error. From the centrality of the Guidelines in the sentencing process it must follow that, when a defendant shows that the district court used an incorrect range, he should not be barred from relief on appeal simply because there is no other evidence that the sentencing outcome would have been different had the correct range been used.
In most cases a defendant who has shown that the district court mistakenly deemed applicable an incorrect, higher Guidelines range has demonstrated a reasonable probability of a different outcome. And, again in most cases, that will suffice for relief if the other requirements of Rule 52(b) are met. There may be instances when, despite application of an erroneous Guidelines range, a reasonable probability of prejudice does not exist. The sentencing process is particular to each defendant, of course, and a reviewing court must consider the facts and circumstances of the case before it. See
United States v. Davila,
569 U.S. ----, ----,
*1347
And that explanation could make it clear that the judge based the sentence he or she selected on factors independent of the Guidelines. The Government remains free to "poin[t] to parts of the record"-including relevant statements by the judge-"to counter any ostensible showing of prejudice the defendant may make."
United States v. Vonn,
The Court of Appeals' rule to the contrary fails to take account of the dynamics of federal sentencing. In a significant number of cases the sentenced defendant will lack the additional evidence the Court of Appeals' rule would require, for sentencing judges often say little about the degree to which the Guidelines influenced their determination. District courts, as a matter of course, use the Guidelines range to instruct them regarding the appropriate balance of the relevant federal sentencing factors. This Court has told judges that they need not provide extensive explanations for within-Guidelines sentences because "[c]ircumstances may well make clear that the judge rests his decision upon the Commission's own reasoning."
Rita,
B
This case illustrates the unworkable nature of the Court of Appeals' additional evidence rule. Here the court held that Molina-Martinez could not establish an effect on his substantial rights. Yet the record points to a different conclusion. The District Court said nothing specific about why it chose the sentence it imposed. It merely "adopt[ed] the ... guideline applications in the presentence investigation report," App. 33, which set the range at 77 to 96 months; rejected the Government's argument for a sentence at the top of the Guidelines range; and agreed with the defendant's request for, and the Probation Office's recommendation of, a sentence at the bottom of the range. As intended, the Guidelines served as the starting point for the sentencing and were the focal point for the proceedings that followed.
The 77-month sentence the District Court selected is conspicuous for its position as the lowest sentence within what the District Court believed to be the applicable range. As Molina-Martinez explained to the Court of Appeals, the District Court's selection of a sentence at the bottom of the range, despite the Government's request for the maximum Guidelines sentence, *1348 "evinced an intention ... to give the minimum recommended by the Guidelines." Brief for Appellant in No. 13-40324(CA5), p. 18. The District Court said nothing to suggest that it would have imposed a 77-month sentence regardless of the Guidelines range. Given these circumstances, there is at least a reasonable probability that the District Court would have imposed a different sentence had it known that 70 months was in fact the lowest sentence the Commission deemed appropriate.
IV
The Government contends that permitting a defendant to establish prejudice through the fact of a Guidelines error alone eliminates the main difference between Rules 52(a) and 52(b) -which party must prove whether the complained-of error had an effect. Brief for United States 21. As noted, Rule 52(a) states: "Any error, defect, irregularity, or variance that does not affect substantial rights must be disregarded." When a defendant makes a timely objection, the Government can rely on Rule 52(a) to argue that the error does not warrant correction because it was harmless. Although Rules 52(a) and (b) both require an inquiry into whether the complained-of error was prejudicial, there is " 'one important difference' " between the subparts-under (b), but not (a), " '[i]t is the defendant rather than the Government who bears the burden of persuasion with respect to prejudice.' " Brief for United States 18 (quoting
Olano,
The holding here does not lead to that result. The decision today simply states that courts reviewing sentencing errors cannot apply a categorical rule requiring additional evidence in cases, like this one, where the district court applied an incorrect range but nevertheless sentenced the defendant within the correct range. Rejection of that rule means only that a defendant can rely on the application of an incorrect Guidelines range to show an effect on his substantial rights.
The Government expresses concern over the judicial resources needed for the resentencing proceedings that might result from the Court's holding. It is doubtful today's holding will result in much of an increased burden. As already noted, today's holding is consistent with the approach taken by most Courts of Appeals. See,
e.g.,
Sabillon-Umana,
* * *
In the ordinary case the Guidelines accomplish their purpose. They serve as the starting point for the district court's decision and anchor the court's discretion in selecting an appropriate sentence. It follows, then, that in most cases the Guidelines range will affect the sentence. When that is so, a defendant sentenced under an incorrect Guidelines range should be able to rely on that fact to show a reasonable probability that the district court would have imposed a different sentence under the correct range. That probability is all that is needed to establish an effect on substantial rights for purposes of obtaining relief under Rule 52(b).
The contrary judgment of the Court of Appeals for the Fifth Circuit is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
Justice ALITO, with whom Justice THOMAS joins, concurring in part and concurring in the judgment.
I agree with the Court that the Fifth Circuit's rigid approach to unpreserved Guidelines errors is incorrect. And I agree that petitioner has shown a reasonable probability that the District Court would have imposed a different sentence in his case if his recommended Guidelines sentence had been accurately calculated. Unlike the Court, however, I would not speculate about how often the reasonable probability test will be satisfied in future cases. The Court's predictions in dicta about how plain-error review will play out are predicated on the view that sentencing judges will continue to rely very heavily on the Guidelines in the future, but that prediction may not turn out to be accurate. We should not make predictions about the future effects of Guidelines errors, particularly since some may misunderstand those predictions as veiled directives.
I
" 'No procedural principle is more familiar to this Court than that a constitutional right,' or a right of any other sort, 'may be forfeited in criminal as well as civil cases by the failure to make timely assertion of the right before the tribunal having jurisdiction to determine it.' "
United States v. Olano,
This framework applies to errors in the calculation of an advisory Guidelines sentence. If the defendant does not call the error to the attention of the sentencing
*1350
judge, the defendant may obtain relief on appeal only if he or she proves that the error was prejudicial-specifically, that there is a "reasonable probability" that, but for the error, the sentence would have been different.
United States v. Dominguez Benitez,
Whether a defendant can show a "reasonable probability" of a different sentence depends on the "particular facts and circumstances" of each case.
United States v. Davila,
569 U.S. ----, ---- - ----,
*1351 Under the specific circumstances here, Molina-Martinez met his burden. As the Court points out, Molina-Martinez demonstrated that the Guidelines "were the focal point for the proceedings"; that "[t]he 77-month sentence the District Court selected is conspicuous for its position as the lowest sentence within what the District Court believed to be the applicable range"; and that "the District Court's selection of a sentence at the bottom of the range, despite the Government's request for the maximum Guidelines sentence, 'evinced an intention ... to give the minimum recommended by the Guidelines.' " Ante, at 1347 - 1348. This evidence establishes a "reasonable probability that the District Court would have imposed a different sentence had it known that 70 months was in fact the lowest sentence the Commission deemed appropriate." Ibid.
In concluding otherwise, the Fifth Circuit applied exactly the sort of strict, categorical rule against which we have warned. Under the Fifth Circuit's approach, Molina-Martinez could not satisfy his burden with circumstantial evidence regarding the parties' sentencing arguments or the District Court's selection of a sentence at the very bottom of the range. See
II
I cannot, however, join the Court's dicta speculating that "most" defendants who forfeit a Guidelines error will be able to show a reasonable probability of prejudice. Ante, at 1345 - 1346, 1346 - 1347, 1348 - 1349. Things may turn out that way, but I see no reason to prejudge an empirical question that is unnecessary to our decision in this case and that will be worked out by the lower courts on a case-by-case basis. 4
*1352
The Court's proclamations about what will occur in "most" cases are based on Sentencing Commission statistics indicating that the Guidelines tend to influence sentences. See
ante,
at 1346. Perhaps these statistics are probative of the Guidelines' current impact on sentencing. But they provide an unstable and shifting basis for the Court's prophecies about the future. The Guidelines are now entirely advisory, see
United States v. Booker,
See,
e.g.,
United States Sentencing Commission, Report on the Continuing Impact of
United States v. Booker
on Federal Sentencing 3 (2012) (
Booker
Report) ("[T]he Commission's analysis of individual judge data showed that the identity of the judge has played an increasingly important role in the sentencing outcomes in many districts"); Bowman, Dead Law Walking: The Surprising Tenacity of the Federal Sentencing Guidelines, 51 Houston L. Rev. 1227, 1266 (2014) ("Inter-Judge Disparity Has ... Increased Since
Booker
"); Scott, Inter-Judge Sentencing Disparity After
Booker
: A First Look,
See,
e.g., Booker
Report 6 ("The influence of the guidelines ... has varied by circuit"); Bowman,
supra,
at 1261 ("Different Districts Have Had Very Different Post-
Booker
Experiences"); Yang, Have Interjudge Sentencing Disparities Increased in an Advisory Guidelines Regime? Evidence from
Booker,
See, e.g., Booker Report 5 ("The influence of the guidelines ... has generally remained stable in drug trafficking, firearms, and immigration offenses, but has diminished in fraud and child pornography offenses").
Some of the Court's dicta could perhaps be interpreted not as predictions, but as instructions to lower courts to side with the forfeiting defendant unless the Government can point to "unusual circumstances." See
ante,
at 1347 ("[I]n the ordinary case a defendant will satisfy his burden to show prejudice by pointing to the application of an incorrect, higher Guidelines range and the sentence he received thereunder. Absent unusual circumstances, he will not be required to show more"). For several reasons, however, I do not think the opinion can be fairly viewed as requiring such a result. First, the Court makes clear that today's decision does
not
shift the burden of persuasion from a forfeiting defendant to the Government. See
ante,
at 1348 (Under Rule 52(b), " '[i]t is the defendant rather than the Government who bears the burden of persuasion with respect to prejudice,' " and "[t]he holding here does not" shift the burden). Second, the opinion acknowledges that a "court's reliance on an incorrect range" will not always "suffice to show an effect on the defendant's substantial rights"-even where "the record is silent as to what the district court might have done had it considered the correct Guidelines range."
Ante,
at 1347. It follows that even where the Government fails to identify
any
direct evidence of harmlessness, the defendant cannot automatically satisfy his burden simply by pointing to the application of an incorrect Guidelines range. Instead of employing a strict presumption against the Government, the Court emphasizes, "a reviewing court must consider the facts and circumstances of the case before it."
See,
e.g.,
Assessing
Booker
and Its Aftermath, Practice Under the Federal Sentencing Guidelines § 1.02(C)(1), pp. 1-14 to 1-16 (D. Debold ed., 5th ed. 2016) (Debold) ("Since the first weeks after
Booker,
district courts have been engaged in a dynamic debate over the precise weight to be given the now advisory Guidelines," and "there are reasons to expect continued evolution in sentencing norms");
See,
e.g.,
Yang, 89 N.Y.U.L.Rev., at 1277 (finding that "Judges who have no prior experience sentencing under the mandatory Guidelines regime are more likely to depart from the Guidelines-recommended range than their pre-
Booker
counterparts, suggesting that newer judges are less anchored to the Guidelines");
id.,
at 1318-1319 ("The 'anchor' effect of the Guidelines sentence may be more prominent for pre-
Booker
appointees because these judges are more acculturated to and experienced with constraining their sentences to the dictates of the Guidelines. In contrast, the 'anchor' effect is less prominent for post-
Booker
appointees. These potential anchoring differences ... may 'increase as the years go by and the bench is filled with individuals who have no history with binding guidelines' "); see also,
e.g.,
Debold § 1.02(C)(1), at 1-16 ("Sentencing judges, particularly more recent appointees, are also growing increasingly skeptical of the Guidelines as they become more comfortable viewing the Guidelines as advice and look deeper into the reasoning supporting (or failing to support) the Guidelines' recommendations"); Gertner, Supporting Advisory Guidelines,
Reference
- Full Case Name
- Saul MOLINA-MARTINEZ, Petitioner v. UNITED STATES.
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