Ewing v. CaliforniaEwing v. California
Lead Opinion
announced the judgment of the Court and delivered an opinion, in which The Chief Justice and Justice Kennedy join.
In this case, we decide whether the Eighth Amendment prohibits the State of California from sentencing a repeat felon to a prison term of 25 years to life under the State’s “Three Strikes and You’re Out” law.
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A
California’s three strikes law reflects a shift in the State’s sentencing policies toward incapacitating and deterring repeat offenders who threaten the public safety. The law was designed “to ensure longer prison sentences and greater punishment for those who commit a felony and have been previously convicted of serious and/or violent felony offenses.”
On October 1, 1993, while Proposition 184 was circulating, 12-year-old Polly Klaas was kidnaped from her home in Petaluma, California. Her admitted killer, Richard Allen Davis, had a long criminal history that included two prior kidnaping convictions. Davis had served only half of his
Polly Klaas’ murder galvanized support for the three strikes initiative. Within days, Proposition 184 was on its way to becoming the fastest qualifying initiative in California history. On January 3, 1994, the sponsors of Assembly Bill 971 resubmitted an amended version of the bill that conformed to Proposition 184. On January 31,1994, Assembly Bill 971 passed the Assembly by a 63 to 9 margin. The Senate passed it by a 29 to 7 margin on March 3, 1994. Governor Pete Wilson signed the bill into law on March 7, 1994. California voters approved Proposition 184 by a margin of 72 to 28 percent on November 8, 1994.
California thus became the second State to enact a three strikes law. In November 1993, the voters of Washington State approved their own three strikes law, Initiative 593, by a margin of 3 to 1. U. S. Dept. of Justice, National Institute of Justice, J. Clark, J. Austin, & D. Henry, “Three Strikes and You’re Out”: A Review of State Legislation 1 (Sept. 1997) (hereinafter Review of State Legislation). Between 1993 and 1995, 24 States and the Federal Government enacted three strikes laws. Ibid. Though the three strikes laws vary from State to State, they share a common goal of protecting the public safety by providing lengthy prison terms for habitual felons.
B
California’s current three strikes law consists of two virtually identical statutory schemes “designed to increase the prison terms of repeat felons.” People v. Superior Court of San Diego Cty. ex rel. Romero,
If the defendant has one prior “serious” or “violent” felony conviction, he must be sentenced to “twice the term otherwise provided as punishment for the current felony conviction.”
Under California law, certain offenses may be classified as either felonies or misdemeanors. These crimes are known as “wobblers.” Some crimes that would otherwise be misdemeanors become “wobblers” because of the defendant’s prior record. For example, petty theft, a misdemeanor, becomes a “wobbler” when the defendant has previously served a prison term for committing specified theft-related crimes. §490 (West 1999); §666 (West Supp. 2002). Other crimes, such as grand theft, are “wobblers” regardless of the defendant’s prior record. See § 489(b) (West 1999). Both types of “wobblers” are triggering offenses under the three strikes law only when they are treated as felonies. Under California law, a “wobbler” is presumptively a felony and “remains a felony except when the discretion is actually exercised” to make the crime a misdemeanor. People v. Wil
In California, prosecutors may exercise their discretion to charge a “wobbler” as either a felony or a misdemeanor. Likewise, California trial courts have discretion to reduce a “wobbler” charged as a felony to a misdemeanor either before preliminary examination or at sentencing to avoid imposing a three strikes sentence.
California trial courts can also vacate allegations of prior “serious” or “violent” felony convictions, either on motion by the prosecution or sua sponte. Romero, supra, at 529-530,
C
On parole from a 9-year prison term, petitioner Gary Ewing walked into the pro shop of the El Segundo Golf
Ewing is no stranger to the criminal justice system. In 1984, at the age of 22, he pleaded guilty to theft. The court sentenced him to six months in jail (suspended), three years’ probation, and a $300 fine. In 1988, he was convicted of felony grand theft auto and sentenced to one year in jail and three years’ probation. After Ewing completed probation, however, the sentencing court reduced the crime to a misdemeanor, permitted Ewing to withdraw his guilty plea, and dismissed the case. In 1990, he was convicted of petty theft with a prior and sentenced to 60 days in the county jail and three years’ probation. In 1992, Ewing was convicted of battery and sentenced to 30 days in the county jail and two years’ summary probation. One month later, he was convicted of theft and sentenced to 10 days in the county jail and 12 months’ probation. In January 1993, Ewing was convicted of burglary and sentenced to 60 days in the county jail and one year’s summary probation. In February 1993, he was convicted of possessing drug paraphernalia and sentenced to six months in the county jail and three years’ probation. In July 1993, he was convicted of appropriating lost property and sentenced to 10 days in the county jail and two years’ summary probation. In September 1993, he was convicted of unlawfully possessing a firearm and trespassing and sentenced to 30 days in the county jail and one year’s probation.
In October and November 1993, Ewing committed three burglaries and one robbery at a Long Beach, California, apartment complex over a 5-week period. He awakened one of his victims, asleep on her living room sofa, as he tried to disconnect her video cassette recorder from the television in
On December 9,1993, Ewing was arrested on the premises of the apartment complex for trespassing and lying to a police officer. The knife used in the robbery and a glass cocaine pipe were later found in the back seat of the patrol car used to transport Ewing to the police station. A jury convicted Ewing of first-degree robbery and three counts of residential burglary. Sentenced to nine years and eight months in prison, Ewing was paroled in 1999.
Only 10 months later, Ewing stole the golf clubs at issue in this case. He was charged with, and ultimately convicted of, one count of felony grand theft of personal property in excess of $400. See
At the sentencing hearing, Ewing asked the court to reduce the conviction for grand theft, a “wobbler” under California law, to a misdemeanor so as to avoid a three strikes sentence. See
In the end, the trial judge determined that the grand theft should remain a felony. The court also ruled that the four prior strikes for the three burglaries and the robbery in Long Beach should stand. As a newly convicted felon with two or more “serious” or “violent” felony convictions in his past, Ewing was sentenced under the three strikes law to 25 years to life.
The California Court of Appeal affirmed in an unpublished opinion. No. B143745 (Apr. 25, 2001). Relying on our decision in Rummel v. Estelle,
II
A
The Eighth Amendment, which forbids cruel and unusual punishments, contains a “narrow proportionality principle” that “applies to noncapital sentences.” Harmelin v. Michigan,
This Court ruled that “[hjaving twice imprisoned him for felonies, Texas was entitled to place upon Rummel the onus of one who is simply unable to bring his conduct within the social norms prescribed by the criminal law of the State.” Id., at 284. The recidivism statute “is nothing more than a societal decision that when such a person commits yet another felony, he should be subjected to the admittedly serious penalty of incarceration for life, subject only to the State’s judgment as to whether to grant him parole.” Id., at 278. We noted that this Court “has on occasion stated that the Eighth Amendment prohibits imposition of a sentence that is grossly disproportionate to the severity of the crime.” Id., at 271. But “[ojutside the context of capital punishment, successful challenges to the proportionality of particular sentences have been exceedingly rare.” Id., at 272. Although we stated that the proportionality principle “would . . . come into play in the extreme example ... if a legislature made overtime parking a felony punishable by life imprisonment,” id., at 274, n. 11, we held that “the mandatory life sentence imposed upon this petitioner does not constitute cruel and unusual punishment under the Eighth and Fourteenth Amendments,” id., at 285.
In Hutto v. Davis,
Three years after Rummel, in Solem v. Helm,
Applying these factors in Solem, we struck down the defendant’s sentence of life without parole. We specifically noted the contrast between that sentence and the sentence in Rummel, pursuant to which the defendant was eligible for parole.
Eight years after Solem, we grappled with the proportionality issue again in Harmelin. Harmelin was not a recidivism case, but rather involved a first-time offender convicted of possessing 672 grams of cocaine. He was sentenced to life in prison without possibility of parole. A majority of the Court rejected Harmelin’s claim that his sentence was so grossly disproportionate that it violated the Eighth Amendment. The Court, however, could not agree on why his proportionality argument failed. Justice Scalia, joined by The Chief Justice, wrote that the proportionality principle was “an aspect of our death penalty jurisprudence, rather than a generalizable aspect of Eighth Amendment law.”
Concurrence Opinion
joined by two other Members of the Court, concurred in part and concurred in the judgment. Justice Kennedy specifically recognized that “[t]he Eighth Amendment proportionality principle also applies to noncap-ital sentences.” Id., at 997. He then identified four principles of proportionality review — “the primacy of the legislature, the variety of legitimate penological schemes, the nature of our federal system, and the requirement that proportionality review be guided by objective factors” — that “inform the final one: The Eighth Amendment does not require strict proportionality between crime and sentence. Rather, it forbids only extreme sentences that are ‘grossly disproportionate’ to the crime.” Id., at 1001 (citing Solem, supra, at 288). Justice Kennedy’s concurrence also stated that Solem “did not mandate” comparative analysis “within and between jurisdictions.”
The proportionality principles in our cases distilled in Justice Kennedy’s concurrence guide our application of the
B
For many years, most States have had laws providing for enhanced sentencing of repeat offenders. See, e. g., U. S. Dept. of Justice, Bureau of Justice Assistance, National Assessment of Structured Sentencing (1996). Yet between 1993 and 1995, three strikes laws effected a sea change in criminal sentencing throughout the Nation.
Throughout the States, legislatures enacting three strikes laws made a deliberate policy choice that individuals who have repeatedly engaged in serious or violent criminal behavior, and whose conduct has not been deterred by more conventional approaches to punishment, must be isolated from society in order to protect the public safety. Though three strikes laws may be relatively new, our tradition of deferring to state legislatures in making and implementing such important policy decisions is longstanding. Weems,
Our traditional deference to legislative policy choices finds a corollary in the principle that the Constitution “does not mandate adoption of any one penological theory.” Id., at 999 (Kennedy, J., concurring in part and concurring in judgment). A sentence can have a variety of justifications, such as incapacitation, deterrence, retribution, or rehabilitation. See 1 W. LaFave & A. Scott, Substantive Criminal Law § 1.5, pp. 30-36 (1986) (explaining theories of punishment). Some or all of these justifications may play a role in a State’s sentencing scheme. Selecting the sentencing rationales is generally a policy choice to be made by state legislatures, not federal courts.
When the California Legislature enacted the three strikes law, it made a judgment that protecting the public safety requires incapacitating criminals who have already been convicted of at least one serious or violent crime. Nothing in the Eighth Amendment prohibits California from making that choice. To the contrary, our cases establish that “States have a valid interest in deterring and segregating habitual criminals.” Parke v. Raley,
California’s justification is no pretext. Recidivism is a serious public safety concern in California and throughout the Nation. According to a recent report, approximately 67 percent of former inmates released from state prisons were charged with at least one “serious” new crime within three years of their release. See U. S. Dept. of Justice, Bureau of Justice Statistics, P. Langan & D. Levin, Special Report: Recidivism of Prisoners Released in 1994, p. 1 (June 2002). In particular, released property offenders like Ewing had higher recidivism rates than those released after committing violent, drug, or public-order offenses. Id., at 8. Approximately 73 percent of the property offenders released in 1994 were arrested again within three years, compared to approximately 61 percent of the violent offenders, 62 percent of the public-order offenders, and 66 percent of the drug offenders. Ibid.
In 1996, when the Sacramento Bee studied 233 three strikes offenders in California, it found that they had an aggregate of 1,165 prior felony convictions, an average of 5 apiece. See Furillo, Three Strikes — The Verdict: Most Offenders Have Long Criminal Histories, Sacramento Bee, Mar. 31, 1996, p. A1. The prior convictions included 322 robberies and 262 burglaries. Ibid. About 84 percent of the 233 three strikes offenders had been convicted of at least one violent crime. Ibid. In all, they were responsible for 17 homicides, 7 attempted slayings, and 91 sexual assaults and child molestations. Ibid. The Sacramento Bee concluded, based on its investigation, that “[i]n the vast majority of the cases, regardless of the third strike, the [three strikes] law is snaring [the] long-term habitual offenders with multiple felony convictions . . ..” Ibid.
The State’s interest in deterring crime also lends some support to the three strikes law. We have long viewed both incapacitation and deterrence as rationales for recidivism
“An unintended but positive consequence of ‘Three Strikes’ has been the impact on parolees leaving the state. More California parolees are now leaving the state than parolees from other jurisdictions entering California. This striking turnaround started in 1994. It was the first time more parolees left the state than entered since 1976. This trend has continued and in 1997 more than 1,000 net parolees left California.” Ibid.
See also Janiskee & Erler, Crime, Punishment, and Romero: An Analysis of the Case Against California’s Three Strikes Law, 39 Duquesne L. Rev. 43, 45-46 (2000) (“Prosecutors in Los Angeles routinely report that ‘felons tell them they are moving out of the state because they fear getting a second or third strike for a nonviolent offense’ ” (quoting Sanchez, A Movement Builds Against “Three Strikes” Law, Washington Post, Feb. 18, 2000, p. A3)).
To be sure, California’s three strikes law has sparked controversy. Critics have doubted the law’s wisdom, cost-efficiency, and effectiveness in reaching its goals. See, e. g., Zimring, Hawkins, & Kamin, Punishment and Democracy: Three Strikes and You’re Out in California (2001); Vitiello, Three Strikes: Can We Return to Rationality? 87 J. Crim.
III
Against this backdrop, we consider Ewing’s claim that his three strikes sentence of 25 years to life is unconstitutionally disproportionate to his offense of “shoplifting three golf clubs.” Brief for Petitioner 6. We first address the gravity of the offense compared to the harshness of the penalty. At the threshold, we note that Ewing incorrectly frames the issue. The gravity of his offense was not merely “shoplifting three golf clubs.” Rather, Ewing was convicted of felony grand theft for- stealing nearly $1,200 worth of merchandise after previously having been convicted of at least two “violent” or “serious” felonies. Even standing alone, Ewing’s theft should not be taken lightly. His crime was certainly not “one of the most passive felonies a person could commit.” Solem, supra, at 296 (internal quotation marks omitted). To the contrary, the Supreme Court of California has noted the “seriousness” of grand theft in the context of proportionality review. See In re Lynch,
That grand theft is a “wobbler” under California law is of no moment. Though California courts have discretion to reduce a felony grand theft charge to a misdemeanor, it remains a felony for all purposes “unless and until the trial
In weighing the gravity of Ewing’s offense, we must place on the scales not only his current felony, but also his long history of felony recidivism. Any other approach would fail to accord proper deference to the policy judgments that find expression in the legislature’s choice of sanctions. In imposing a three strikes sentence, the State’s interest is not merely punishing the offense of conviction, or the “triggering” offense: “[I]t is in addition the interest... 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.” Rummel,
Ewing’s sentence is justified by the State’s public-safety interest in incapacitating and deterring recidivist felons, and
We hold that Ewing’s sentence of 25 years to life in prison, imposed for the offense of felony grand theft under the three strikes law, is not grossly disproportionate and therefore does not violate the Eighth Amendment’s prohibition on
It is so ordered.
Notes
It is hardly surprising that the statistics relied upon by Justice Breyer show that prior to the enactment of the three strikes law, “no one like Ewing could have served more than 10 years in prison.” Post, at 43 (dissenting opinion) (emphasis added). Profound disappointment with the perceived lenity of criminal sentencing (especially for repeat felons) led to passage of three strikes laws in the first place. See, e. g., Review of State Legislation 1.
Justice Breyer argues that including Ewing’s grand theft as a triggering offense cannot be justified on “property-crime-related incapacitation grounds” because such crimes do not count as prior strikes. Post, at 51. But the State’s interest in dealing with repeat felons like Ewing is not so limited. As we have explained, the overarching objective of the three strikes law is to prevent serious or violent offenders like Ewing from repeating their criminal behavior. See
Concurrence Opinion
concurring in the judgment.
In my opinion in Harmelin v. Michigan,
Proportionality — the notion that the punishment should fit the crime — is inherently a concept tied to the penological goal of retribution. “[I]t becomes difficult even to speak intelligently of ‘proportionality,’ once deterrence and rehabilitation are given significant weight,” Harmelin, supra, at 989 — not to mention giving weight to the purpose of California’s three strikes law: incapacitation. In the present case, the game is up once the plurality has acknowledged that “the Constitution does not mandate adoption of any one penological theory,” and that a “sentence can have a variety of justifications, such as incapacitation, deterrence, retribution, or rehabilitation.” Ante, at 25 (internal quotation marks omitted). That acknowledgment having been made, it no longer suffices merely to assess “the gravity of the offense compared to the harshness of the penalty,” ante, at 28; that classic description of the proportionality principle (alone and in itself quite resistant to policy-free, legal analysis) now becomes merely the “first” step of the inquiry, ibid. Having completed that step (by a discussion which, in all fairness, does not convincingly establish that 25-years-to-life is a “proportionate” punishment for stealing three golf clubs), the
Which indeed it is — though why that has anything to do with the principle of proportionality is a mystery. Perhaps the plurality should revise its terminology, so that what it reads into the Eighth Amendment is not the unstated proposition that all punishment should be reasonably proportionate to the gravity of the offense, but rather the unstated proposition that all punishment should reasonably pursue the multiple purposes of the criminal law. That formulation would make it clearer than ever, of course, that the plurality is not applying law but evaluating policy.
Because I agree that petitioner’s sentence does not violate the Eighth Amendment’s prohibition against cruel and unusual punishments, I concur in the judgment.
Dissenting Opinion
with whom Justice Souter, Justice Ginsburg, and Justice Breyer join, dissenting.
Justice Breyer has cogently explained why the sentence imposed in this case is both cruel and unusual.
“The Eighth Amendment succinctly prohibits ‘excessive’ sanctions.” Atkins v. Virginia,
The absence of a black-letter rule does not disable judges from exercising their discretion in construing the outer limits on sentencing authority that the Eighth Amendment imposes. After all, judges are “constantly called upon to draw . . . lines in a variety of contexts,” id., at 294, and to exercise their judgment to give meaning to the Constitution’s broadly phrased protections. For example, the Due Process Clause directs judges to employ proportionality re
Throughout most of the Nation’s history — before guideline sentencing became so prevalent — federal and state trial judges imposed specific sentences pursuant to grants of authority that gave them uncabined discretion within broad ranges. See K. Stith & J. Cabranes, Fear of Judging: Sentencing Guidelines in the Federal Courts 9 (1998) (hereinafter Stith & Cabranes) (“From the beginning of the Republic, federal judges were entrusted with wide sentencing discretion”); see also Mistretta v. United States,
Accordingly, I respectfully dissent.
For “present purposes,” post, at 36, 53 (dissenting opinion), Justice Breyer applies the framework established by Harmelin v. Michigan,
Numerous other examples could be given of situations in which courts — faced with imprecise commands — must make difficult decisions. See, e. g., Kyles v. Whitley,
Dissenting Opinion
with whom Justice Stevens, Justice Souter, and Justice Ginsburg join, dissenting.
The constitutional question is whether the “three strikes” sentence imposed by California upon repeat-offender Gary Ewing is “grossly disproportionate” to his crime. Ante, at 14, 30-31 (plurality opinion). The sentence amounts to a real prison term of at least 25 years. The sentence-triggering criminal conduct consists of the theft of three golf clubs priced at a total of $1,197. See ante, at 18. The offender has a criminal history that includes four felony convictions arising out of three separate burglaries (one armed). Ante, at 18-19. In Solem v. Helm,
I
This Court’s precedent sets forth a framework for analyzing Ewing’s Eighth Amendment claim. The Eighth Amendment forbids, as “cruel and unusual punishments,” prison
The plurality applies Justice Kennedy’s analytical framework in Harmelin, supra, at 1004-1005 (opinion concurring in part and concurring in judgment). Ante, at 23-24. And, for present purposes, I will consider Ewing’s Eighth Amendment claim on those terms. But see ante, at 32-33, n. 1 (Stevens, J., dissenting). To implement this approach, courts faced with a “gross disproportionality” claim must first make “a threshold comparison of the crime committed and the sentence imposed.” Harmelin, supra, at 1005 (Kennedy, J., concurring in part and concurring in judgment). If a claim crosses that threshold — itself a rare occurrence — then the court should compare the sentence at issue to other sentences “imposed on other criminals” in the same, or in other, jurisdictions. Solem, supra, at 290-291;
I recognize the warnings implicit in the Court’s frequent repetition of words such as “rare.” Nonetheless I believe that the case before us is a “rare” case — one in which a court can say with reasonable confidence that the punishment is “grossly disproportionate” to the crime.
II
Ewing’s claim crosses the gross disproportionality “threshold.” First, precedent makes clear that Ewing’s sentence raises a serious disproportionality question. Ewing is a recidivist. Hence the two cases most directly in point are those in which the Court considered the constitutionality of recidivist sentencing: Rummel and Solem. Ewing’s claim falls between these two cases. It is stronger than the claim presented in Rummel, where the Court upheld a recidivist’s sentence as constitutional. It is weaker than the claim presented in Solem, where the Court struck down a recidivist sentence as unconstitutional.
Three kinds of sentence-related characteristics define the relevant comparative spectrum: (a) the length of the prison term in real time, i. e., the time that the offender is likely actually to spend in prison; (b) the sentence-triggering criminal conduct, i. e., the offender’s actual behavior or other offense-related circumstances; and (c) the offender’s criminal history. See Rummel, supra, at 265-266, 269, 276, 278, 280-281 (using these factors); Solem, supra, at 290-303 (same). Cf. United States Sentencing Commission, Guidelines Manual ch. 1, pt. A, intro., n. 5 (Nov. 1987) (USSG) (empirical study of “summary reports of some 40,000 convictions [and] a sample of 10,000 augmented presentence reports” leads to sentences based primarily upon (a) offense characteristics and (b) offender’s criminal record); see id., p. s. 3.
The third factor, prior record, cannot explain the difference. The offender’s prior record was worse in Solem, where the Court found the sentence too long, than in Rum-mel, where the Court upheld the sentence. The second factor, offense conduct, cannot explain the difference. The nature of the triggering offense — viewed in terms of the actual monetary loss — in the two cases was about the same. The one critical factor that explains the difference in the outcome is the length of the likely prison term measured in real time. In Rummel, where the Court upheld the sentence, the state sentencing statute authorized parole for the offender, Rum-mel, after 10 or 12 years.
Now consider the present case. The third factor, offender characteristics — i. e., prior record — does not differ significantly here from that in Solem. Ewing’s prior record consists of four prior felony convictions (involving three burglaries, one with a knife) contrasted with Helm’s six prior felony convictions (including three burglaries, though none with weapons). The second factor, offense behavior, is worse than that in Solem, but only to a degree. It would be difficult to say that the actual behavior itself here (shop
The difference in length of the real prison term — the first, and critical, factor in Solem and Rummel — is considerably more important. Ewing’s sentence here amounts, in real terms, to at least 25 years without parole or good-time credits. That sentence is considerably shorter than Helm’s sentence in Solem, which amounted, in real terms, to life in prison. Nonetheless Ewing’s real prison term is more than twice as long as the term at issue in Rummel, which amounted, in real terms, to at least 10 or 12 years. And, Ewing’s sentence, unlike Rummel’s (but like Helm’s sentence in Solem), is long enough to consume the productive remainder of almost any offender’s life. (It means that Ewing himself, seriously ill when sentenced at age 38, will likely die in prison.)
The upshot is that the length of the real prison term — the factor that explains the Solem/Rummel difference in outcome — places Ewing closer to Solem than to Rummel, though the greater value of the golf clubs that Ewing stole
Second, Ewing’s sentence on its face imposes one of the most severe punishments available upon a recidivist who subsequently engaged in one of the less serious forms of criminal conduct. See infra, at 44-45. I do not deny the seriousness of shoplifting, which an amicus curiae tells us costs retailers in the range of $30 billion annually. Brief for California District Attorneys Association as Amicus Curiae 27. But consider that conduct in terms of the factors that this Court mentioned in Solem — the “harm caused or threatened to the victim or society,” the “absolute magnitude of the crime,” and the offender’s “culpability.”
The Solicitor General has urged us to consider three other criteria: the “frequency” of the crime’s commission, the “ease or difficulty of detection,” and “the degree to which the crime may be deterred by differing amounts of punishment.” Brief for United States as Amicus Curiae 24-25. When considered in terms of these criteria — or at least the latter two — the triggering conduct also ranks toward the bottom of the scale. Unlike, say, drug crimes, shoplifting often takes place in stores open to other customers whose presence, along with that of store employees or cameras, can help to detect the crime. Nor is there evidence presented here that the law enforcement community believes lengthy prison terms necessary adequately to deter shoplifting. To the contrary, well-publicized instances of shoplifting suggest that the offense is often punished without any prison sentence at all. On the other hand, shoplifting is a frequently com
This ease, of course, involves shoplifting engaged in by a recidivist. One might argue that any crime committed by a recidivist is a serious crime potentially warranting a 25-year sentence. But this Court rejected that view in Solem, and in Harmelin, with the recognition that “no penalty is per se constitutional.” Solem, supra, at 290; Harmelin,
Third, some objective evidence suggests that many experienced judges would consider Ewing’s sentence disproportionately harsh. The United States Sentencing Commission (having based the federal Sentencing Guidelines primarily upon its review of how judges had actually sentenced offenders) does not include shoplifting (or similar theft-related offenses) among the crimes that might trigger especially long sentences for recidivists, see USSG §4B1.1 (Nov. 2002) (Guideline for sentencing “career offenders”); id., ch. 1, pt. A, intro., n. 5 (sentences based in part upon Commission’s review of “summary reports of some 40,000 convictions [and] a sample of 10,000 augmented presentence reports”); see also
Taken together, these three circumstances make clear that Ewing’s “gross disproportionality” argument is a strong one. That being so, his claim must pass the “threshold” test. If it did not, what would be the function of the test? A threshold test must permit arguably unconstitutional sentences, not only actually unconstitutional sentences, to pass the threshold — at least where the arguments for unconstitutionality are unusually strong ones. A threshold test that blocked every ultimately invalid constitutional claim — even strong ones — would not be a threshold test but a determinative test. And, it would be a determinative test that failed to take account of highly pertinent sentencing information, namely, comparison with other sentences, Solem, supra, at 291-292, 298-300. Sentencing comparisons are particularly important because they provide proportionality review with objective content. By way of contrast, a threshold test makes the assessment of constitutionality highly subjective. And, of course, so to transform that threshold test would violate this Court’s earlier precedent. See
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Believing Ewing’s argument a strong one, sufficient to pass the threshold, I turn to the comparative analysis. A
Sentencing statutes often shed little light upon real prison time. That is because sentencing laws normally set maximum sentences, giving the sentencing judge discretion to choose an actual sentence within a broad range, and because many States provide good-time credits and parole, often permitting release after, say, one-third of the sentence has been served, see, e.g.,
As to California itself, we know the following: First, between the end of World War II and 1994 (when California enacted the three strikes law, ante, at 15), no one like Ewing could have served more than 10 years in prison. We know that for certain because the maximum sentence for Ewing’s crime of conviction, grand theft, was for most of that period 10 years.
Second, statistics suggest that recidivists of all sorts convicted during that same time period in California served a small fraction of Ewing’s real-time sentence. On average, recidivists served three to four additional (recidivist-related) years in prison, with 90 percent serving less than an additional real seven to eight years. Id., at 22 (Table 21).
Third, we know that California has reserved, and still reserves, Ewing-type prison time, i. e., at least 25 real years in prison, for criminals convicted of crimes far worse than was Ewing’s. Statistics for the years 1945 to 1981, for example, indicate that typical.(nonrecidivist) male first-degree murderers served between 10 and 15 real years in prison, with 90 percent of all such murderers serving less than 20 real years. Id., at 3 (Table 2). Moreover, California, which has moved toward a real-time sentencing system (where the statutory punishment approximates the time served), still punishes far less harshly those who have engaged in far more serious conduct. It imposes, for example, upon nonrecidi-vists guilty of arson causing great bodily injury a maximum sentence of nine years in prison,
As to other jurisdictions, we know the following: The United States, bound by the federal Sentencing Guidelines, would impose upon a recidivist, such as Ewing, a sentence that, in any ordinary case, would not exceed 18 months in prison. USSG §2Bl.l(a) (Nov. 1999) (assuming a base offense level of 6, a criminal history of VI, and no mitigating or aggravating adjustments); id., ch. 5, pt. A, Sentencing Table. The Guidelines, based in part upon a study of some 40,000 actual federal sentences, see supra, at 37, 41, reserve a Ewing-type sentence for Ewing-type recidivists who currently commit such crimes as murder, §2A1.2; air piracy, §2A5.1; robbery (involving the discharge of a firearm, serious bodily injury, and about $1 million), §2B3.1; drug offenses involving more than, for example, 20 pounds of heroin, §2D1.1; aggravated theft of more than $100 million, § 2B1.1; and other .similar offenses. The Guidelines reserve 10 years of real prison time (with good time) — less than 40 percent of Ewing’s sentence — for Ewing-type recidivists who go on to commit, for instance, voluntary manslaughter, §2A1.3; aggravated assault with a firearm (causing serious bodily injury and motivated by money), §2A2.2; kidnaping, §2A4.1; residential burglary involving more than $5 million, §2B2.1; drug offenses involving at least one pound of cocaine, § 2D 1.1; and other similar offenses. Ewing also would not have been subject to the federal “three strikes” law,
With three exceptions, see infra, at 46-47, we do not have before us information about actual time served by Ewing-type offenders in other States. We do know, however, that the law would make it legally impossible for a Ewing-type offender to serve more than 10 years in prison in 33 jurisdictions, as well as the federal courts, see Appendix,
We also know that California, the United States, and other States supporting California in this case, despite every incentive to find someone else like Ewing who will have to serve, or who has actually served, a real prison term anywhere approaching that imposed upon Ewing, have come up with precisely three examples. Brief for United States as Amicus Curiae 28-29, n. 13. The Government points to Ex parte Howington,
The first of these cases, Howington, is beside the point, for the offender was eligible for parole after 10 years (as in Rummel), not 25 years (as here).
The upshot is that comparison of other sentencing practices, both in other jurisdictions and in California at other times (or in respect to other crimes), validates what an initial threshold examination suggested. Given the information available, given the state and federal parties’ ability to provide additional contrary data, and given their failure to do so, we can assume for constitutional purposes that the following statement is true: Outside the California three strikes context, Ewing’s recidivist sentence is virtually unique in its harshness for his offense of conviction, and by a considerable degree.
IV
This is not the end of the matter. California sentenced Ewing pursuant to its “three strikes” law. That law represents a deliberate effort to provide stricter punishments for recidivists.
I can find no such special criminal justice concerns that might justify this sentence. The most obvious potential justification for bringing Ewing’s theft within the ambit of the statute is administrative. California must draw some kind of workable line between conduct that will trigger, and con-' duct that will not trigger, a “three strikes” sentence. “But the fact that a line has to be drawn somewhere does not justify its being drawn anywhere.” Pearce v. Commissioner,
The administrative line that the statute draws separates “felonies” from “misdemeanors.” See Brief for Respondent 6 (“The California statute relies, fundamentally, on traditional classifications of certain crimes as felonies”). Those words suggest a graduated difference in degree. But an examination of how California applies these labels in practice to criminal conduct suggests that the offenses do not necessarily reflect those differences. See United States v. Watson,
Most “wobbler” statutes classify the same criminal conduct either as a felony or as a misdemeanor, depending upon
A subset of “wobbler” statutes, including the “petty theft with a prior” statute,
The result of importing this kind of distinction into California’s three strikes statute is a series of anomalies. One anomaly concerns the seriousness of the triggering behavior. “Wobbler” statutes cover a wide variety of criminal behavior, ranging from assault with a deadly weapon, §245, vehicular manslaughter, § 193(c)(1), and money laundering, § 186.10(a), to the defacement of property with graffiti, § 594(b)(2)(A) (West Supp. 2002), or stealing more than $100 worth of chickens, nuts, or avocados, § 487(b)(1)(A) (West Supp. 2003); § 489 (West 1999). Some of this behavior is obviously less serious, even if engaged in twice, than other criminal conduct that California statutes classify as pure misdemeanors, such as reckless driving,
Another anomaly concerns temporal order. An offender whose triggering crime is his third crime likely will not fall within the ambit of the three strikes statute provided that (a) his first crime was chicken theft worth more than $100, and (b) he subsequently graduated to more serious crimes, say, crimes of violence. That is because such chicken theft, when a first offense, will likely be considered a misdemeanor. A similar offender likely will fall within the scope of the three strikes statute, however, if such chicken theft was his third crime. That is because such chicken theft, as a third offense, will likely be treated as a felony.
A further anomaly concerns the offender’s criminal record. California’s “wobbler” “petty theft with a prior” statute, at issue in Lockyer v. Andrade, post, p. 63, classifies a petty theft as a “felony” if, but only if, the offender has a prior record that includes at least one conviction for certain theft-related offenses.
At the same time, it is difficult to find any strong need to define the lower boundary as the State has done. The three strikes statute itself, when defining prior “strikes,” simply lists the kinds of serious criminal conduct that falls within the definition of a “strike.” § 667.5(c) (listing “violent” felon
Neither do I see any other way in which inclusion of Ewing’s conduct (as a “triggering crime”) would further a significant criminal justice objective. One might argue that those who commit several property crimes should receive long terms of imprisonment in order to “incapacitate” them, i. e., to prevent them from committing further crimes in the future. But that is not the object of this particular three strikes statute. Rather, as the plurality says, California seeks “‘to reduce serious and violent crime.’” Ante, at 24 (quoting Ardaiz, California’s Three Strikes Law: History, Expectations, Consequences, 32 McGeorge L. Rev. 1 (2000) (emphasis added)). The statute’s definitions of both kinds of crime include crimes against the person, crimes that create danger of physical harm, and drug crimes. See, e. g.,
Nor do the remaining criminal law objectives seem relevant. No one argues for Ewing’s inclusion within the ambit
V
Justice Scalia and Justice Thomas argue that we should not review for gross disproportionality a sentence to a term of years. Ante, at 81 (Scalia, J., concurring in judgment); ante, at 32 (Thomas, J., concurring in judgment). Otherwise, we make it too difficult for legislators and sentencing judges to. determine just when their sentencing laws and practices pass constitutional muster.
I concede that a bright-line rule would give legislators and sentencing judges more guidance. But application of the Eighth Amendment to a sentence of a term of years requires a case-by-ease approach. And, in my view, like that of the plurality, meaningful enforcement of the Eighth Amendment demands that application — even if only at sentencing’s outer bounds.
A case-by-case approach can nonetheless offer guidance through example. Ewing’s sentence is, at a minimum, 2 to 3 times the length of sentences that other jurisdictions would impose in similar circumstances. That sentence itself is sufficiently long to require a typical offender to spend virtually all the remainder of his active life in prison. These and the
In stun, even if I accept for present purposes the plurality’s analytical framework, Ewing’s sentence (life imprisonment with a minimum term of 25 years) is grossly disproportionate to the triggering offense conduct — stealing three golf clubs — Ewing’s recidivism notwithstanding.
For these reasons, I dissent.
APPENDIX TO OPINION OF BREYER, J.
A
Thirty-three jurisdictions, as well as the federal courts, have laws that would make it impossible to sentence a Ewing-type offender to more than 10 years in prison:
Federal: 12 to 18 months. USSG §2B1.1 (Nov. 1999); id., ch. 5, pt. A, Sentencing Table.
Alaska: three to five years; presumptive term of three years.
Arizona: four to six years; presumptive sentence of five years.
Connecticut: 1 to 10 years.
Delaware: not more than two years. Del. Code Ann., Tit. 11, § 840(d) (Supp. 2000); § 4205(b)(7) (1995). Recidivist offender penalty not applicable. See §4214; Buckingham v. State,
District of Columbia: not more than 10 years.
Florida: not more than 10 years.
Georgia: 10 years.
Hawaii: 20 months.
Idaho: 1 to 14 years.
Illinois: two to five years. Ill. Comp. Stat., ch. 730, §5/ 5-8-1(a)(6) (Supp. 2001); ch. 720, § 5/16-1(b)(4). Recidivist offender penalty not applicable. § 5/33B-1(a) (2000).
Indiana: 18 months (with not more than 18 months added for aggravating circumstances).
Iowa: three to five years.
Kansas: 9 to 11 months.
Kentucky: 5 to 10 years.
Maine: less than one year. Me. Rev. Stat. Ann., Tit. 17-A, §353 (West 1983); §362(4)(B) (West Supp. 2000) (amended 2001); §1252(2)(D) (West 1983 and Supp. 2002). Recidivist offender penalty not applicable. See § 1252(4-A) (West Supp. 2000) (amended 2001).
Massachusetts: not more than five years. Mass. Gen. Laws, ch. 266, §30(1) (West 2000). Recidivist offender penalty not applicable. See ch. 279, §25 (West 1998); Commonwealth v. Hall,
Minnesota: not more than five years.
Mississippi: not more than five years.
Nebraska: not more than five years.
New Mexico: 30 months.
New York: three to four years.
North Carolina: 4 to 25 months (with exact sentencing range dependent on details of offender’s criminal history). N. C. Gen. Stat. §§ 15A-1340.14, 15A-1340.17(c), (d), 14-72(a) (2001). Recidivist offender penalty not applicable. See §§ 14-7.1, 14-7.6.
North Dakota: not more than 10 years.
Ohio: 6 to 12 months.
Oregon: not more than five years. Ore. Rev. Stat. §161.605 (1997); Ore. Rev. Stat. Ann. §§ 164.055(l)(a), (3) (Supp. 1998). No general recidivist statute.
Pennsylvania: not more than five years (if no more than one prior theft was “retail theft”); otherwise, not more than seven years. Pa. Stat. Ann., Tit. 18, §§ 1103(3), 1104(1) (Pur-don 1998); §§ 3903(b), 3929(b)(l)(iii)-(iv) (Purdon Supp. 2002); § 3921 (Purdon 1983). Recidivist offender penalty not applicable. See
South Carolina: not more than five years.
Tennessee: four to eight years.
Utah: not more than five years.
Washington: not more than 14 months (with exact sentencing range dependent on details of offender score),
Wyoming: not more than 10 years.
B
In four other States, a Ewing-type offender could not have received a sentence of more than 15 years in prison:
Colorado: 4 to 12 years for “extraordinary aggravating circumstances” (e. g., defendant on parole for another felony at the time of commission of the triggering offense).
Maryland: not more than 15 years. Md. Ann. Code, Art. 27, § 342(f)(1) (1996) (repealed 2002). Recidivist offender penalty not applicable. See § 643B.
Wisconsin: not more than 11 years (at the time of Ewing’s offense).
C
In four additional States, a Ewing-type offender could not have been sentenced to more than’20 years in prison:
Arkansas: 3 to 20 years.
Missouri: not more than 20 years.
Texas: 2 to 20 years.
Virginia: statutory range of 1 to 20 years (or less than 12 months at the discretion of the jury or court following bench trial),
D
In nine other States, the law might make it legally possible to impose a sentence of 25 years or more upon a Ewing-type offender. But in five of those nine States,
Alabama: “life or any term of not less than 20 years.”
Louisiana: Louisiana courts could have imposed a sentence of life without the possibility of parole at the time of Ewing’s offense.
Michigan: “imprisonment for life or for a lesser term,”
Montana: 5 to 100 years.
Nevada: “life without the possibility of parole,” or “life with the possibility of parole [after serving] 10 years,” or “a definite term of 25 years, with eligibility for parole [after serving] 10 years.”
Oklahoma: not less than 20 years (at the time of Ewing’s offense). Okla. Stat., Tit. 21, § 51.1(B) (West Supp. 2000) (amended in 2001 to four years to life, § 51.1(C) (West 2001)); § 1704 (West 1991) (amended 2001). Eligible for parole after serving one-third of sentence. Tit. 57, § 332.7(B) (West
South Dakota: maximum penalty of life imprisonment, with no minimum term.
Vermont: “up to and including life,” Vt. Stat. Ann., Tit. 13, § 11 (1998), or not more than 10 years, §2501; State v. Angelucci,
West Virginia: Petitioner contends that he would only have been subject to a misdemeanor sentence of not more than 60 days for shoplifting,
Throughout Appendix, Parts A-D, the penalties listed for each jurisdiction are those pertaining to imprisonment and do not reflect any possible fines or other forms of penalties applicable under the laws of the jurisdiction.
But see discussion of relevant sentencing and parole-eligibility provisions in Louisiana, Michigan, Oklahoma, and South Dakota, infra this page and 60-61.
Concurrence Opinion
concurring in the judgment.
I agree with Justice Scalia’s view that the proportionality test announced in Solem v. Helm,
Because the plurality concludes that petitioner’s sentence does not violate the Eighth Amendment’s prohibition on cruel and unusual punishments, I concur in the judgment.