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MISTRETTA v. UNITED STATES, 488 U.S. 361 (1989)
  • Because the existing indeterminate sentencing system resulted in serious disparities among the sentences imposed by federal judges upon similarly situated offenders and in uncertainty as to an offender's actual date of release by Executive Branch parole officials, Congress passed


  •  the Sentencing Reform Act of 1984 (Act), which, inter alia, created the United States Sentencing Commission as an independent body in the Judicial Branch with power to promulgate binding sentencing guidelines establishing a range of determinate sentences for all categories of federal offenses and defendants according to specific and detailed factors.
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Path to the Supreme Court
  • The District Court upheld the constitutionality of the Commission's resulting Guidelines against claims by petitioner Mistretta, who was under indictment on three counts centering in a cocaine sale, that the Commission was constituted in violation of the separation-of-powers principle, and that Congress had delegated excessive authority to the Commission to structure the Guidelines.
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Petition Granted
  • Mistretta had pleaded guilty to a conspiracy-to-distribute count, was sentenced under the Guidelines to 18 months' imprisonment and other penalties, and filed a notice of appeal.


  • This Court granted his petition and that of the United States for certiorari before judgment in the Court of Appeals in order to consider the Guidelines' constitutionality.


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BLACKMUN, J., delivered the opinion of the Court, in which REHNQUIST, C. J., and WHITE, MARSHALL, STEVENS, O'CONNOR, and KENNEDY, JJ., joined, and in all but n. 11 of which BRENNAN, J., joined. SCALIA, J., filed a dissenting opinion
  •  Held:
  • The Sentencing Guidelines are constitutional, since Congress neither


  • (1) delegated excessive legislative power to the Commission nor


  • .
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Separation of Powers
  • (2) [The law did not violate] the separation-of-powers principle by placing the Commission in the Judicial Branch, by requiring federal judges to serve on the Commission and to share their authority with nonjudges, or by empowering the President to appoint Commission members and to remove them for cause
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Delegation to Judicial Branch
  • The Constitution's structural protections do not prohibit Congress from delegating to an expert body within the Judicial Branch the intricate task of formulating sentencing guidelines consistent with such significant statutory direction as is present here, nor from calling upon the accumulated wisdom and experience of the Judicial Branch in creating policy on a matter uniquely within the ken of judges.


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Delegation of Legislative Power
  • Petitioner argues that in delegating the power to promulgate sentencing guidelines for every federal criminal offense to an independent Sentencing Commission, Congress has granted the Commission excessive legislative discretion in violation of the constitutionally based non-delegation doctrine.


  • We do not agree.



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Non-Delegation Doctrine
  • The non-delegation doctrine is rooted in the principle of separation of powers that underlies our tripartite system of Government.


  • [Blackmun]: The Constitution provides that "[a]ll legislative Powers herein granted shall be vested in a Congress of the United States," U.S. Const., Art. I, 1, and we long have insisted that "the integrity and maintenance of the system of government ordained by the Constitution" mandate that Congress generally cannot delegate its legislative power to another Branch. Field v. Clark, 143 U.S. 649, 692 (1892).



9
Non-Delegation Doctrine Not Absolute
  • We also have recognized, however, that the separation-of-powers principle, and the non-delegation doctrine in particular, do not prevent Congress from obtaining the assistance of its coordinate Branches.
10
Precedent-J.W. Hampton Jr. & Co. v. United States (1928)
  • In a passage now enshrined in our jurisprudence, Chief Justice Taft, writing for the Court, explained our approach to such cooperative ventures: "In determining what [Congress] may do in seeking assistance from another branch, the extent and character of that assistance must be fixed according to common sense and the inherent necessities of the government co-ordination." J. W. Hampton, Jr., & Co. v. United States, 276 U.S. 394, 406 (1928).


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Intelligible Principle Rule

  • J.W. Hampton stated]: So long as Congress "shall lay down by legislative act an intelligible principle to which the person or body authorized to [exercise the delegated authority] is directed to conform, such legislative action is not a forbidden delegation of legislative power."


12
Applying the "intelligible principle" test
  • Applying this "intelligible principle" test to congressional delegations, our jurisprudence has been driven by a practical understanding that in our increasingly complex society, replete with ever changing and more technical problems, Congress simply cannot do its job absent an ability to delegate power under broad general directives.
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Schechter and Panama Refining (1935)
  • Until 1935, this Court never struck down a challenged statute on delegation grounds. After invalidating in 1935 two statutes as excessive delegations, see A. L. A. Schechter Poultry Corp. v. United States, 295 U.S. 495 , and Panama Refining Co. v. Ryan, supra, we have upheld, again without deviation, Congress' ability to delegate power under broad standards.


14
Congressional Delegation is Constitutional
  • In light of our approval of these broad delegations, we harbor no doubt that Congress' delegation of authority to the Sentencing Commission is sufficiently specific and detailed to meet constitutional requirements.


15
Nature of Delegation
  • Congress charged the Commission with three goals:


  • to "assure the meeting of the purposes of sentencing as set forth" in the Act;
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Legislative Standards (cont.)
  • to "provide certainty and fairness in meeting the purposes of sentencing, avoiding unwarranted sentencing disparities among defendants with similar records . . . while maintaining sufficient flexibility to permit individualized sentences," where appropriate;
  • and to "reflect, to the extent practicable, advancement in knowledge of human behavior as it relates to the criminal justice process."



17
Separation of Powers Concerns
  • In adopting this flexible understanding of separation of powers, we simply have recognized Madison's teaching that the greatest security against tyranny - the accumulation of excessive authority in a single Branch - lies not in a hermetic division among the Branches, but in a carefully crafted system of checked and balanced power within each Branch.
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Encroachment
  • It is this concern of encroachment and aggrandizement that has animated our separation-of-powers jurisprudence and aroused our vigilance against the "hydraulic pressure inherent within each of the separate Branches to exceed the outer limits of its power." [Madison]
  • Accordingly, we have not hesitated to strike down provisions of law that either accrete to a single Branch powers more appropriately diffused among separate Branches or that undermine the authority and independence of one or another coordinate Branch


19
Delegation to the Judiciary
  • Mistretta argues that Congress, in constituting the Commission as it did, effected an unconstitutional accumulation of power within the Judicial Branch while at the same time undermining the Judiciary's independence and integrity.
20
Delegation to Judicial Branch
  • Specifically, petitioner claims that in delegating to an independent agency within the Judicial Branch the power to promulgate sentencing guidelines, Congress unconstitutionally has required the Branch, and individual Article III judges, to exercise not only their judicial authority, but legislative authority - the making of sentencing policy - as well.
  • Such rulemaking authority, petitioner contends, may be exercised by Congress, or delegated by Congress to the Executive, but may not be delegated to or exercised by the Judiciary


21
Location of the Commission
  • The Sentencing Commission unquestionably is a peculiar institution within the framework of our Government. Although placed by the Act in the Judicial Branch, it is not a  court and does not exercise judicial power.



  • Rather, the Commission is an "independent" body comprised of seven voting members including at least three federal judges, entrusted by Congress with the primary task of promulgating sentencing guidelines
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Integrity of Judiciary
  • Our constitutional principles of separated powers are not violated, however, by mere anomaly or innovation.
  • Setting to one side, for the moment, the question whether the composition of the Sentencing Commission violates the separation of powers, we observe that Congress' decision to create an independent rulemaking body to promulgate sentencing guidelines and to locate that body within the Judicial Branch is not unconstitutional unless Congress has vested in the Commission powers that are more appropriately performed by the other Branches or that undermine the integrity of the Judiciary.


23
Case and Controversy Rule
  • According to express provision of Article III, the judicial power of the United States is limited to "Cases" and "Controversies."


  • Nonetheless, we have recognized significant exceptions to this general rule and have approved the assumption of some nonadjudicatory activities by the Judicial Branch.
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Assigning administrative or rulemaking duties to the Judicial Branch
  • We have never held, and have clearly disavowed in practice, that the Constitution prohibits Congress from assigning to courts or auxiliary bodies within the Judicial Branch administrative or rulemaking duties that, in the words of Chief Justice Marshall, are "necessary and proper . . . for carrying into execution all the judgments which the judicial department has power to pronounce." Wayman v. Southard, 10 Wheat., at 22.
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Extrajudicial Activities Consonant With Integrity of the Judiciary
  • Because of their close relation to the central mission of the Judicial Branch, such extrajudicial activities are consonant with the integrity of the Branch and are not more appropriate for another Branch.
  • In light of this precedent and practice, we can discern no separation-of-powers impediment to the placement of the Sentencing Commission within the Judicial Branch


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JUSTICE SCALIA, dissenting.
  • I dissent from today's decision because I can find no place within our constitutional system for an agency created by Congress to exercise no governmental power other than the making of laws.
  • There is no doubt that the Sentencing Commission has established significant, legally binding prescriptions governing application of governmental power against private individuals - indeed, application of the ultimate governmental power, short of capital punishment.
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Doctrine of Unconstitutional Delegation
  • Petitioner's most fundamental and far-reaching challenge to the Commission is that Congress' commitment of such broad policy responsibility to any institution is an unconstitutional delegation of legislative power.


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Separation of Powers
  • It is difficult to imagine a principle more essential to democratic government than that upon which the doctrine of unconstitutional delegation is founded:


  • Except in a few areas constitutionally committed to the Executive Branch, the basic policy decisions governing society are to be made by the Legislature. Our Members of Congress could not, even if they wished, vote all power to the President and adjourn sine die.


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Permissible Delegations a Matter of Degree
  • But while the doctrine of unconstitutional delegation is unquestionably a fundamental element of our constitutional system, it is not an element readily enforceable by the courts.
  • Once it is conceded, as it must be, that no statute can be entirely precise, and that some judgments, even some judgments involving policy considerations, must be left to the officers executing the law and to the judges applying it, the debate over unconstitutional delegation becomes a debate not over a point of principle but over a question of degree.
30
Intelligible Principle Standard
  • In short, I fully agree with the Court's rejection of petitioner's contention that the doctrine of unconstitutional delegation of legislative authority has been violated because of the lack of intelligible, congressionally prescribed standards to guide the Commission.


31
Lawmaking a Primary Congressional Responsibility
  • Precisely because the scope of delegation is largely uncontrollable by the courts, we must be particularly rigorous in preserving the Constitution's structural restrictions that deter excessive delegation.


  • The major one, it seems to me, is that the power to make law cannot be exercised by anyone other than Congress, except in conjunction with the lawful exercise of executive or judicial power.


32
Excessive Delegation
  • The focus of controversy, in the long line of our so-called excessive delegation cases, has been whether the degree of generality contained in the authorization for exercise of executive or judicial powers in a particular field is so unacceptably high as to amount to a delegation of legislative powers.
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Excessive Delegation
  • I say "so-called excessive delegation" because although that convenient terminology is often used, what is really at issue is whether there has been any delegation of legislative power, which occurs (rarely) when Congress authorizes the exercise of executive or judicial power without adequate standards.


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John Locke on Delegation
  • Strictly speaking, there is no acceptable delegation of legislative power. As John Locke put it almost 300 years ago, "[t]he power of the legislative being derived from the people by a positive voluntary grant and institution, can be no other, than what the positive grant conveyed, which being only to make laws, and not to make legislators, the legislative can have no power to transfer their authority of making laws, and place it in other hands." J. Locke, Second Treatise of Government 87 (R. Cox ed. 1982) (emphasis added).
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Precedent
  • Or as we have less epigrammatically said: "That Congress cannot delegate legislative power to the President is a principle universally recognized as vital to the integrity and maintenance of the system of government ordained by the Constitution." Field v. Clark.


36
Adminstrative Agencies Execute the Law or Adjudicate Individual Rights
  • In the present case, however, a pure delegation of legislative power is precisely what we have before us. It is irrelevant whether the standards are adequate, because they are not standards related to the exercise of executive or judicial powers; they are, plainly and simply, standards for further legislation.
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Law Making Function of Sentencing Commission
  • The lawmaking function of the Sentencing Commission is completely divorced from any responsibility for execution of the law or adjudication of private rights under the law.




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Law Making Function  Independent of Execution of the Law
  • It is divorced from responsibility for execution of the law not only because the Commission is not said to be "located in the Executive Branch"


  • but, more importantly, because the Commission neither exercises any executive power on its own, nor is subject to the control of the President who does.
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Power Point Citation
  • http://people.brandeis.edu/~woll/mistrettapp .htm