TAPIA v. UNITED STATES
No. 10-5400
Supreme Court of the United States
Argued April 18, 2011—Decided June 16, 2011
564 U.S. 319
Matthew D. Roberts argued the cause for the United States. With him on the briefs were Acting Solicitor General Katyal, Assistant Attorney General Breuer, Deputy Solicitor General Dreeben, and Sangita K. Rao.
Stephanos Bibas, by invitation of the Court, 562 U. S. 1132, argued the cause and filed a brief as amicus curiae in support of the judgment. With him on the brief were James A. Feldman, Nancy Bregstein Gordon, Amy L. Wax, Stephen B. Kinnaird, Sean D. Unger, and Douglas A. Berman.
JUSTICE KAGAN delivered the opinion of the Court.
We consider here whether the Sentencing Reform Act precludes federal courts from imposing or lengthening a prison term in order to promote a criminal defendant‘s rehabilitation. We hold that it does.
I
Petitioner Alejandra Tapia was convicted of, inter alia, smuggling unauthorized aliens into the United States, in violation of
“The sentence has to be sufficient to provide needed correctional treatment, and here I think the needed correctional treatment is the 500 Hour Drug Program.
. . .
“Here I have to say that one of the factors that—I am going to impose a 51-month sentence, . . . and one of the factors that affects this is the need to provide treatment. In other words, so she is in long enough to get the 500 Hour Drug Program, number one.” App. 27.
(“Number two” was “to deter her from committing other criminal offenses.” Ibid.) The court “strongly recommend[ed]” to the Bureau of Prisons (BOP) that Tapia “participate in [RDAP] and that she serve her sentence at” the Federal Correctional Institution in Dublin, California (FCI Dublin), where “they have the appropriate tools . . . to help her, to start to make a recovery.” Id., at 29. Tapia did not object to the sentence at that time. Id., at 31.
On appeal, however, Tapia argued that the District Court had erred in lengthening her prison term to make her eligible for RDAP. 376 Fed. Appx. 707, 708 (CA9 2010). In Tapia‘s view, this action violated
We granted certiorari to consider whether
II
We begin with statutory background—how the relevant sentencing provisions came about and what they say. Aficionados of our sentencing decisions will recognize much of the story line.
“For almost a century, the Federal Government employed in criminal cases a system of indeterminate sentencing.” Mistretta v. United States, 488 U. S. 361, 363 (1989). Within “customarily wide” outer boundaries set by Congress, trial judges exercised “almost unfettered discretion” to select prison sentences for federal offenders. Id., at 364. In the usual case, a judge also could reject prison time altogether, by imposing a “suspended” sentence. If the judge decided to impose a prison term, discretionary authority shifted to parole officials: Once the defendant had spent a third of his term behind bars, they could order his release. See K.
This system was premised on a faith in rehabilitation. Discretion allowed “the judge and the parole officer to [base] their respective sentencing and release decisions upon their own assessments of the offender‘s amenability to rehabilitation.” Mistretta, 488 U. S., at 363. A convict, the theory went, should generally remain in prison only until he was able to reenter society safely. His release therefore often coincided with “the successful completion of certain vocational, educational, and counseling programs within the prisons.” S. Rep. No. 98–225, p. 40 (1983) (hereinafter S. Rep.). At that point, parole officials could “determin[e] that [the] prisoner had become rehabilitated and should be released from confinement.” Stith & Cabranes, supra, at 18.3
But this model of indeterminate sentencing eventually fell into disfavor. One concern was that it produced “[s]erious disparities in [the] sentences” imposed on similarly situated defendants. Mistretta, 488 U. S., at 365. Another was that the system‘s attempt to “achieve rehabilitation of offenders had failed.” Id., at 366. Lawmakers and others increasingly doubted that prison programs could “rehabilitate individuals on a routine basis“—or that parole officers could
Congress accordingly enacted the Sentencing Reform Act of 1984, 98 Stat. 1987 (SRA or Act), to overhaul federal sentencing practices. The Act abandoned indeterminate sentencing and parole in favor of a system in which Sentencing Guidelines, promulgated by a new Sentencing Commission, would provide courts with “a range of determinate sentences for categories of offenses and defendants.” Mistretta, 488 U. S., at 368. And the Act further channeled judges’ discretion by establishing a framework to govern their consideration and imposition of sentences.
Under the SRA, a judge sentencing a federal offender must impose at least one of the following sanctions: imprisonment (often followed by supervised release), probation, or a fine. See
“the need for the sentence imposed—
“(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;
“(B) to afford adequate deterrence to criminal conduct;
“(C) to protect the public from further crimes of the defendant; and
“(D) to provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner.”
These four considerations—retribution, deterrence, incapacitation, and rehabilitation—are the four purposes of sentencing generally, and a court must fashion a sentence “to achieve the[se] purposes . . . to the extent that they are applicable” in a given case.
The SRA then provides additional guidance about how the considerations listed in
Section 3582(a), the provision at issue here, specifies the “factors to be considered” when a court orders imprisonment. That section provides:
“The court, in determining whether to impose a term of imprisonment, and, if a term of imprisonment is to be imposed, in determining the length of the term, shall consider the factors set forth in section 3553(a) to the extent that they are applicable, recognizing that imprisonment is not an appropriate means of promoting correction and rehabilitation.”
A similar provision addresses the Sentencing Commission in its capacity as author of the Sentencing Guidelines. The SRA instructs the Commission to:
“insure that the guidelines reflect the inappropriateness of imposing a sentence to a term of imprisonment for the purpose of rehabilitating the defendant or providing the defendant with needed educational or vocational training, medical care, or other correctional treatment.”
28 U. S. C. § 994(k) .
With this statutory background established, we turn to the matter of interpretation.
III
A
Our consideration of Tapia‘s claim starts with the text of
As against this understanding, amicus argues that
But we do not see how these alternative meanings of “recognize” help amicus‘s cause. A judge who “perceives clearly” that imprisonment is not an appropriate means of promoting rehabilitation would hardly incarcerate someone for that purpose. Ditto for a judge who “realizes” or “recalls” that imprisonment is not a way to rehabilitate an offender. To be sure, the drafters of the “recognizing” clause
Amicus also claims, echoing the Ninth Circuit‘s reasoning in Duran, that
We again disagree. Under standard rules of grammar,
The context of
Equally illuminating here is a statutory silence—the absence of any provision granting courts the power to ensure that offenders participate in prison rehabilitation programs. For when Congress wanted sentencing courts to take account of rehabilitative needs, it gave courts the authority to direct appropriate treatment for offenders. Thus, the SRA instructs courts, in deciding whether to impose probation or supervised release, to consider whether an offender could benefit from training and treatment programs. See
If Congress had similarly meant to allow courts to base prison terms on offenders’ rehabilitative needs, it would have given courts the capacity to ensure that offenders participate
This case well illustrates the point. As noted earlier, the District Court “strongly recommend[ed]” that Tapia participate in RDAP, App. 29, and serve her sentence at FCI Dublin, “where they have the facilities to really help her,” id., at 28. But the court‘s recommendations were only recommendations—and in the end they had no effect. See Amicus Brief 42 (“[Tapia] was not admitted to RDAP, nor even placed in the prison recommended by the district court“); Reply Brief for United States 8, n. 1 (“According to BOP records, [Tapia] was encouraged to enroll [in RDAP] during her psychology intake screening at [the federal prison], but she stated that she was not interested, and she has not volunteered for the program“). The sentencing court may have had plans for Tapia‘s rehabilitation, but it lacked the power to implement them. That incapacity speaks volumes. It indicates that Congress did not intend that courts consider offenders’ rehabilitative needs when imposing prison sentences.
Finally, for those who consider legislative history useful, the key Senate Report concerning the SRA provides one last piece of corroborating evidence. According to that Report, decades of experience with indeterminate sentencing, resulting in the release of many inmates after they completed correctional programs, had left Congress skeptical that “re-
And so this is a case in which text, context, and history point to the same bottom line: Section 3582(a) precludes sentencing courts from imposing or lengthening a prison term to promote an offender‘s rehabilitation.
B
With all these sources of statutory meaning stacked against him, amicus understandably tries to put the SRA‘s view of rehabilitation in a wholly different frame. Amicus begins by conceding that Congress, in enacting the SRA, rejected the old “[r]ehabilitation [m]odel.” Amicus Brief 1. But according to amicus, that model had a very limited focus: It was the belief that “isolation and prison routine” could alone produce “penitence and spiritual renewal.” Id., at 1, 11. What the rehabilitation model did not include—and the SRA therefore did not reject—was prison treatment programs (including for drug addiction) targeted to offenders’ particular needs. See id., at 21, 25, 27–28. So even after the passage of
It is hardly surprising, then, that amicus‘s argument finds little support in the statutory text. Read most naturally,
IV
In this case, the sentencing transcript suggests the possibility that Tapia‘s sentence was based on her rehabilitative needs.
We note first what we do not disapprove about Tapia‘s sentencing. A court commits no error by discussing the opportunities for rehabilitation within prison or the benefits of specific treatment or training programs. To the contrary, a court properly may address a person who is about to begin a prison term about these important matters. And as noted earlier, a court may urge the BOP to place an offender in a prison treatment program. See supra, at 331. Section 3582(a) itself provides, just after the clause at issue here, that a court may “make a recommendation concerning the type of prison facility appropriate for the defendant“; and in this calculus, the presence of a rehabilitation program may make one facility more appropriate than another. So the sentencing court here did nothing wrong—and probably something very right—in trying to get Tapia into an effective drug treatment program.
But the record indicates that the court may have done more—that it may have selected the length of the sentence to ensure that Tapia could complete the 500 Hour Drug Program. “The sentence has to be sufficient,” the court explained, “to provide needed correctional treatment, and here I think the needed correctional treatment is the 500 Hour Drug Program.” App. 27; see supra, at 321–322. Or again: The “number one” thing “is the need to provide treatment. In other words, so she is in long enough to get the 500 Hour Drug Program.” App. 27; see supra, at 322. These statements suggest that the court may have calculated the length
For the reasons stated, we reverse the judgment of the Court of Appeals and remand the case for further proceedings consistent with this opinion. Consistent with our practice, see, e. g., United States v. Marcus, 560 U. S. 258, 266–267 (2010), we leave it to the Court of Appeals to consider the effect of Tapia‘s failure to object to the sentence when imposed. See
It is so ordered.
JUSTICE SOTOMAYOR, with whom JUSTICE ALITO joins, concurring.
I agree with the Court‘s conclusion that
At the sentencing hearing, the District Judge carefully reviewed the sentencing factors set forth in
Tapia faced a mandatory minimum sentence of 36 months’ incarceration, id., at 18, but her Guidelines range was 41 to 51 months, id., at 13. After reviewing the
The District Judge‘s comments at sentencing suggest that he believed the need to deter Tapia from engaging in further criminal conduct warranted a sentence of 51 months’ incarceration. Granted, the judge also mentioned the need to
Although I am skeptical that the thoughtful District Judge imposed or lengthened Tapia‘s sentence to promote rehabilitation, I acknowledge that his comments at sentencing were not perfectly clear. Given that Ninth Circuit precedent incorrectly permitted sentencing courts to consider rehabilitation in setting the length of a sentence, see ante, at 322–323, and that the judge stated that the sentence needed to be “long enough to get the 500 Hour Drug Program,” App. 27, I cannot be certain that he did not lengthen Tapia‘s sentence to promote rehabilitation in violation of
