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1
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- 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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2
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- 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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3
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- 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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4
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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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5
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- (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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6
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- 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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7
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- 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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8
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- 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).
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9
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- 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.
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10
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- 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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11
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- 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."
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12
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- 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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13
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- 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.
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14
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- 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.
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15
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- 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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16
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- 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."
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17
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- 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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18
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- 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
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19
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- 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.
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20
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- 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
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21
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- 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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22
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- 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.
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23
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- 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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24
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- 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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25
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- 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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26
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- 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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27
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- 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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28
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- 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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29
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- 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.
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30
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- 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.
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31
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- 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.
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32
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- 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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33
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- 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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34
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- 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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35
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- 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.
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36
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- 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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37
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- 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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38
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- 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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39
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- http://people.brandeis.edu/~woll/mistrettapp .htm
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