Lead Opinion
respecting the denial of rehearing en banc;
A majority of the Court has voted not to rehéar en banc our decision in this appeal, United States v. Matchett,
We divide our discussion in two parts. First, we explain that Matchett is correct because the vagueness doctrine applies only to laws that regulate the primary conduct of private ■ citizens. Advisory sentencing guidelines regulate judges, not private individuals; they guide judicial discretion within a statutory range. Advisory sentencing- guidelines do not define crimes or fix punishments. Second, we explain that Matchett is hot worthy of en banc rehearing.
A. Matchett Is Correct.
Our opinion held that advisory sentencing guidelines cannot be void- for vagueness under the Due Process Clause of the Fifth Amendment. See id. at 1193-96. We reaffirm that holding. To explain why, we begin with a brief history of the federal sentencing guidelines.'
Before the Civil War, Congress enacted very few criminal laws and “crime control was left largely to the states.” Sara Sun Beale, Federalizing Crime: Assessing the Impact on the Federal Courts, 543 Annals Am. Acad. Pol; & Soc. Sci. 39, 40 (1996). The states “uniformly followed the common-law practice of making death the exclusive and mandatory sentence for certain specified offenses.” Woodson v. North Carolina,
After the Civil War, this system of fixed sentencing was gradually replaced with individualized sentencing. See id. at 893-95; United States v. Grayson,
Although individualized sentencing was less draconian than fixed sentencing, it produced new problems. Because sentencing judges had unbridled discretion and no real standards to guide them, “[s]erious disparities in sentences ,,. were common.” Mistretta v. United States,
Despite its flaws, individualized sentencing remains perfectly constitutional. “[L]egislatures remain free to decide how much discretion in sentencing should be reposed in the judge or jury in noncapital cases.... ” Lockett v. Ohio,
Because of the disparities associated with individualized sentencing, see Koon v. United States,
The mandatory guidelines were quickly challenged as unconstitutional. The Supreme Court rebuffed a separation-of-powers challenge to the guidelines in Mistretta v. United States,
Although the Guidelines are intended to have substantive effects on public behav*1121 ior (as do the rules of procedure), they do not bind ■ or regulate the primary conduct of the public or vest in the Judicial Branch the legislative responsibility for establishing minimum and maximum penalties for every crime. They do no more than fetter the discretion of sentencing judges to do what they have done for generations — impose sentences within the broad limits established by Congress.
Id. at 396,
Now that the guidelines are advisory, they continue to play an important role in sentencing, but they do not and cannot play a decisive one. On the one hand, the guidelines are the “starting point” for sentencing and the “lodestar.” Molina-Martinez v. United States, — U.S. —,
The vagueness doctrine reflects two “connected but discrete” concerns: notice and arbitrary enforcement. Fox Television Stations,
With respect to notice, the advisory guidelines cannot notify a defendant of what sentence he will receive because they are just that — advisory. Consider a person who is thinking about committing a federal crime and wants to know what punishment he will receive if he gets caught. He can identify a hard ceiling (the statutory maximum sentence) and a hard floor (the statutory minimum sentence). But he cannot identify the sentence he will receive within the statutory range. He could calculate his guideline range, but the guidelines are just one of seven sentencing factors that the sentencing judge will consider. The other six include factors like “the history and characteristics of the defendant”; the need to “promote respect for the law,” to “provide just punishment,” to “afford adequate
The'data collected by the Sentencing Commission reveal the difficulties of trying to predict a sentence based on the guidelines. On average, the odds of receiving a sentence within the guideline range are worse than a coin flip. See U.S. Sentencing Comm’n, 2015 Sourcebook of Federal Sentencing Statistics tbl. N (reporting that 47.3 percent of defendants received a sentence within the guideline range in fiscal year 2015). If a defendant is a career offender, then the odds are even worse— essentially 3:1 against. See U.S. Sentencing Comm’n, Report to the Congress: Career Offender Sentencing Enhancements . 36 (2016) [hereinafter Career Offender Report:] (reporting that 27.5 percent of career offenders received a sentence within the guideline range in fiscal year 2014).
The advisory nature of the guidelines explains why the Supreme Court held in Irizarry v. United States that “[a]ny expectation subject to due process protection ... that a criminal defendant would receive a sentence within the presumptively applicable Guidelines range did not survive our decision in [Booker], which invalidated
the mandatory features, of the Guidelines.”
Arbitrary enforcement, for purposes of the vagueness doctrine, means arbitrary
Judge Martin’s dissent contends that the vagueness doctrine is not limited to laws that regulate primary conduct, but her two counterexamples only support the opposite conclusion. First, Judge Martin’s dissent points out that the vagueness doctrine applies to sentencing statutes, see United States v. Batchelder,
We know that the federal sentencing guidelines do not regulate primary conduct. In Mistretta, the Supreme Court held that the guidelines “do not bind or regulate the primary conduct of the public.”
The term “arbitrary enforcement” makes little sense in this context. If judges exercising their sentencing discretion are “enforcing” the law against individuals, then the former system of individualized sentencing should have been void for vagueness. After all, the former system of individualized sentencing imposed no standards on judges, provided no notice to individual defendants, and resulted in disparate, arbitrary, and discriminatory sentences. See Frankel, supra, at 5. If individualized sentencing, which gives judges unbridled discretion, is constitutional, see Lockett,
The decision of the Supreme Court in Peugh v. United States, — U.S. —,
Nor does the decision of the Supreme Court in Johnson v. United States, — U.S. —,
The dissents are troubled by the possibility that judges must apply a guideline with language that Johnson held was vague, but the task is not as .unusual or as daunting as they suggest. Johnson held that the language of the residual clause was too vague to be included in the Armed Career Criminal Act, a law that regulates primary conduct. See Johnson,
Vague standards regulate government officials, including judges, all the time— searches must be “reasonable,” U.S. Const, amend. IV; trials must be “speedy,” id. amend. VI; and regulations must be “in the public interest,” 47 U.S.C. § 201(b). Consider the statutory sentencing factors: District judges must impose a sentence that is “sufficient, but not greater than necessary,” to “promote respect for the law,” to “provide just punishment,” and to “afford adequate deterrence,” among other things. 18 U.S.C. § 3553(a). And appellate judges must review whether a sentence is “unreasonable.” Booker,
Furthermore, judges who must apply the residual clause of the career-offender guideline are not hopelessly adrift. Johnson held that the residual clause is vague in many of its applications, but it acknowledged that “there will be straightforward cases under the residual clause” and that “there is some conduct that clearly falls within the provision’s grasp.”
Of course, a guideline that is too vague is not a good guideline. Fortunately, mechanisms short of constitutional invalidation already exist to deal with bad guidelines. Most notably, the Sentencing Commission can and does repeal guidelines that are difficult to apply. In fact, it did so here.
As of August 1, 2016, the residual clause of the career-offender guideline no longer exists. See U.S. Sentencing Comm’n, Amendment to the Sentencing Guidelines 2 (Jan. 21, 2016). The Commission concluded that the residual clause should be repealed “as a matter of policy” based in part on the “considerable application difficulties” that the Supreme Court outlined in Johnson. Id. We have no reason to doubt that the Commission will continue to fulfill its ongoing duty to “periodically ... review and revise ... the guidelines” in the light of new data and commentary from all sectors of the federal criminal justice system. 28 U.S.C. § 994(o).
In addition to the Sentencing Commission, individual judges can vary from vague guidelines on policy grounds. See Spears,
Judge Rosenbaum’s concurrences on this subject, appended to her dissent, fret that, unless the guidelines can be chai-
Although we have little to lose if the guidelines cannot be void for vagueness, the converse is not true. Many provisions of the federal guidelines might not withstand scrutiny under the vagueness doctrine. See Matchett,
also Hurlburt,
Further on the horizon, a decision holding that the advisory guidelines can be void for vagueness would be in considerable tension with the rulings that have upheld the constitutionality of the sentencing guidelines. Mistretta held that the guidelines do not violate the separation of powers because they “do not bind or regulate the primary conduct of the’ public or establish ] minimum and maximum penalties for every crime.” Mistretta,
If advisory guidelines can be void for vagueness, then the task for sentencing commissions just got harder. Advisory guidelines are not always drafted with the precision of laws that regulate primary conduct; vagueness can be a virtue in the case-by-case world of sentencing. And a decision undermining the constitutionality of advisory guidelines would be unfortunate because, although they are not perfect, advisory guidelines . strike a much better balance between consistency, predictability, and flexibility than purely individualized sentencing and rigid fixed sentencing. “So to treat the due-process clause would hinder if not preclude ... progressive efforts to improve the administration of criminal justice.” Williams,
B. Matchett Is Not Worthy of En Banc Review.
This appeal also does not meet the traditional criteria for rehearing en banc. As we have explained, our decision is correct. Correct decisions are never worthy of en banc review.
Judge Martin’s dissent portrays Match-ett as a legal pariah, a decision that supposedly contradicts the “uniform view” of ten other circuits, see Martin Dissent at 1133-34 & n.l, but her math is hard to follow. Four circuits have held, in a published opinion, that the advisory guidelines can be void for vagueness. See Hurlburt, No. 14-3611; United States v. Calabretta,
By my count, the circuits are split 5-3 and the states generally agree with Match-ett. Although conflict with other courts can be a compelling reason to rehear an appeal, that concern is less pressing when rehearing will, at best, move us from one side of the conflict to the other. The Supreme Court of the United States, not this Court, is best suited to resolve such disagreements. Indeed, the Supreme Court will soon consider whether the guidelines can be vague in Beckles v. United States, — U.S. —,
Judge Martin’s dissent advocates rehearing Matchett based on the plight of career offenders who were sentenced in the Eleventh Circuit, but of course there are costs on the other side. According to a recent study by the Sentencing Commission, one in ten federal prisoners are career offenders — or 20,000 total offenders. See Career Offender Report, supra, at 24. Of those career offenders, 80 percent are potentially eligible to benefit from an invalidation of the residual clause of the career-offender guideline because they have a conviction for a crime of violence. See id. at 28. But once they are released from prison, career offenders with at least one conviction for a crime of violence reci-divate at a rate of almost 70 percent— much higher than the recidivism rate for other federal prisoners, even though career offenders are older when released from prison after serving long sentences. See id. at 40-41. Their recidivating crimes of choice are most often violent — assault (28.6 percent) and robbery (35.3 percent). Id. at 42. Undoubtedly, smaller percentages of these offenders commit even more serious crimes like murder, rape, and kidnapping. Although Judge Martin’s dissent empathizes with the prisoners who were sentenced in the Eleventh Circuit under the career-offender guideline, they are not the only “victims” our decision might affect.
Any cost-benefit analysis is better left to the Sentencing Commission, an expert agency that gathers data on disparities and recidivism and amends or repeals the guidelines accordingly. Our job is to get the law right. In our view, the panel opinion in Matchett correctly assessed the longstanding limits on the vagueness doctrine and correctly held that it does not apply to advisory sentencing guidelines. We concur in the denial of rehearing en banc.
Notes
. For example, a defendant convicted of being a felon in possession of a firearm who has two felony convictions from earlier in his life normally gets a sentencing range of 15 to 21 months. See id, § 2K2.1(a)(7). If just one of those convictions meets the definition that Johnson said was "nearly impossible to apply consistently,”
USSG § 2K2.1 may affect more people than the career offender guideline. The Sentencing Commission’s most recent published data shows that ”[i]n fiscal year 2014, there were 5,498 offenders convicted under 18 U.S.C. § 922(g), accounting for 7.2% of all offenders sentenced under the guidelines.” See http:// www.ussc.gov/sites/default/files/pdf/research- and-publications/quiclc-facts/Quick-Facts-FeIon_in_PossessionJFY14.pdf. "For each of the past five years, more than half of offenders convicted of violating 18 U.S.C. § 922(g) were sentenced within the [guideline] range.” Id. And as with § 4B1.1, two of the top five districts for § 922(g) cases, are in the Eleventh Circuit. See id. And that’s just § 922(g). USSG § 2K2.1 is also used to calculate sentences for violations of 18 U.S.C. §§ 922(a)-(p), (r)-(w), 00(1), 923, 924(a), (b), (e)-(i), (k)(o), 2332g, as well as 26 U.S.C. §§ 5685, 5861(a) — (/), 5871. See USSG App. A.
Dissenting Opinion
joined by JILL PRYOR, Circuit Judge, dissenting from the denial of rehearing en banc:
It is a violation of due process for a court to rely on a criminal sentencing scheme “so vague that it fails to give ordinary people fair notice ... or so standard-less that it invites arbitrary enforcement.”
And importantly, given the “central,” “significant role” that the Guidelines play in sentencing, see Molina-Martinez v. United States, 578 U.S. —, —,
For these reasons, as well as those set forth by Judge Martin and Judge Rosen-baum in their thoughtful dissents, our court should reconsider Matchett. Accordingly, I respectfully dissent from the denial of the request to rehear Matchett en banc.
I
Under our post-Booker sentencing regime, appellate courts must review all sentences for reasonableness, and the Guidelines direct each step of that review. See Gall v. United States,
We are required to assess the reasonableness of a sentence in two steps. See Gall,
A
Considering the “central role” of the Guidelines in this analysis, see Molina-Martinez,
B
: Likewise, when a Guidelines provision is vague, it denies the public fail' notice of the consequences of breaking the law. Because defendants have a clearly established expectation that they will receive reasonable sentences and the Guidelines serve as the foundation of the reasonableness analysis, the Guidelines provide notice as to the scope of an acceptable federal sentence. The public must look to the Guidelines to discern the types of sentence that can reasonably be imposed on them. Therefore, Matched'S s rationale for holding that the void-for-vagueness doctrine does not apply to the Guidelines — that defendants cannot “look to the Guidelines for notice” — is unconvincing. See
* * *
In sum, the Supreme Court has held that a sentencing scheme-that either “invites arbitrary enforcement” or denies “fair notice” is unconstitutional. See John
II
Turning to the specific impact of Match-ett on bur appellate review process, the “hopeless indeterminacy” of the residual clause in § 4bl.2(a) makes our charge to review the reasonableness of sentences based on that clause all but impossible. See Johnson,
I respectfully dissent.
. I previously penned a concurrence in In re Hunt,
. United States v. Booker,
. In fact, the Supreme Court recently concluded that, "[i]n the usual case ... the systemic function of the selected Guidelines range will affect [a defendant’s] sentence.” Molina-Martinez,
Dissenting Opinion
joined by JILL PRYOR, Circuit Judge, dissenting from the denial of rehearing en banc:
The United States Sentencing Guidelines generally call for longer prison sentences for defendants who have a history of criminal convictions. Calvin Matchett’s sentence was based, in part, on a guideline provision that calls for a harsher punishment for people whose earlier crime “involves conduct that presents a serious potential risk of physical injury to another.” USSG § 4B1.2(a)(2). The Supreme Court has told us that these 13 words, referred to as the “residual clause” and alsb found in the ' Armed Career Criminal Act (ACCA), are so vague that prison sentences based on them violate the Due Process Clause of the Fifth Amendment. See Johnson v. United States, — U.S. —,
The criticisms the Supreme Court leveled at this language in ACCA apply equally to the identical words found in the Sentencing Guidelines. Indeed, every other Court of Appeals (ten total) has either held or assumed that Johnson makes these 13 words unconstitutionally vague in both ACCA and the Sentencing Guidelines.
Over eleven months ago Mr. Matchett asked this court to rehear his case. Only now do we issue our ruling denying his petition for rehearing. In the intervening months, the Supreme Court granted cer-tiorari in a case that will allow it to evaluate the panel opinion in Matchett.
I.
The panel’s opinion in Matchett affects a lot of people. In establishing the framework for federal sentencing, the Sentencing Guidelines routinely set harsher sentencing ranges for people convicted of a “crime of violence” earlier in their lives. The Guidelines define this term “crime of violence” in three ways, one of which is the 13 words the Supreme Court ruled unconstitutional in Johnson: an offense that “involves conduct that presents a serious potential risk of physical injury to another.” USSG § 4B1.2(a)(2). Perhaps the most severe sentencing enhancement that incorporates this definition is known as the “career offender” guideline, which applies to defendants with “at least two prior felony
The 13 word definition of “crime of violence” found in § 4B1.2(a)(2) is also used in other guidelines, where it triggers harsher guideline ranges for people being sentenced under those guidelines. Seé, e.g., id. § 2K1.3 (the Guidelines section for crimes involving explosives, which requires a 12-level increase for two prior “crimes of violence”); id. § 2K2.1 (the section for firearm crimes, which was the basis for Mr. Matchett’s sentence, and can double a defendant’s guideline range for one “crime of violence” or triple or quadruple it based on two
The decision of this court to leave the Matchett panel opinion in effect — even in light of the uniform rejection of its ruling by other federal courts of appeal — results in harsher treatment for prisoners who were sentenced in the Eleventh Circuit. Calvin Matchett’s case demonstrates this point. Mr. Matchett was sentenced in Florida but is serving his sentence outside the Eleventh Circuit. See http://www.bop.gov/ inmateloc. He is likely in prison with other inmates who committed the same federal crime he did. The other inmates were prosecuted by the same federal ■ government and sentenced by federal judges who all took the same oath. But if he is the only inmate sentenced in the Eleventh Circuit, Mr. Matchett alone will serve out a prison term based on a standard that the Supreme Court has found results in “un
II.
The Matchett panel opinion rests on two flawed assertions. It limits application of the vagueness doctrine and it makes an unjustified distinction between ACCA and the Sentencing Guidelines. Then Matchett stands on this .foundation to put the Guidelines beyond the reach of the vagueness doctrine. Specifically, the panel says the vagueness doctrine applies only to “laws that regulate the primary conduct of private individuals.” Pryor Op. at 1-123.
Neither the panel’s characterization of the Sentencing Guidelines nor its characterization of the vagueness doctrine accurately reflects the state of the law. I will address each in turn.
A.
In explaining why the Supreme Court’s holding in Johnson doesn’t apply to the Guidelines, the panel relied on United States v. Tichenor,
In Peugh, the Supreme Court applied the Ex Post Facto Clause to the Sentencing Guidelines.
The notion that the Sentencing Guidelines do not regulate private conduct — or, in the words of Matchett, do not “fix punishments,”
The Guidelines have this “anchor” effect even when judges depart from them. “Even if the sentencing judge sees a reason to vary from' the Guidelines, if the judge uses the sentencing range as the beginning point to explain the decision to deviate from it, then the Guidelines are in a real sense the basis for the sentence.” Peugh,
Peugh outright rejected the idea the Matchett panel relied on — that the Guidelines need not give notice because they are “purely advisory.” Id. at 2087 (majority opinion). The Court wrote: “[i]t is simply not the case that the Sentencing Guidelines are merely a volume that the district court reads with academic interest in the course of sentencing.” Id. Rather, the Guidelines are “the Federal Government’s authoritative view of the appropriate sentences for specific crimes.” Id at 2085 (plurality opinion). And they announce “the most recent views of the agency charged by Congress with developing sentencing policy.” Id. at 2087 (majority opinion). For these reasons the Guidelines must “give fair warning of their effect and permit individuals to rely on their meaning.” Miller v. Florida,
The vagueness doctrine must apply to the Sentencing Guidelines. Just as the Ex Post Facto Clause ensures “fair warning,” the vagueness doctrine says no law can be “so vague that it fails to give ordinary people fair notice of the conduct it punishes.” Johnson,
The panel’s idea that notice is not relevant to the Sentencing Guidelines seems to be based on its misreading of Irizarry v. United States,
The Matchett opinion ignores these lessons from Peugh, Johnson, and Molina-Martinez. Worse, the Matchett panel relies on decisions of the other courts of appeal that those courts have themselves recognized are no longer good law in light of Peugh, Johnson, and Molina-Martinez. For example, the panel purported to “join”
Finally, in his Statement Judge Pryor tells us that federal judges depart from the Sentencing Guidelines so often that the “guidelines cannot notify a defendant of what sentence he will receive.” Pryor Op. at 1122. In fact, he says “the odds of receiving a sentence within the guideline range are worse than a coin flip.” Id. at 1123. While he cites statistics that make this seem true, the fact is that district judges give the Sentencing Guidelines much more deference than he lets on.
It is true that in 52.7 percent of all sentencings in 2015 the judge did not sentence the defendant within the guideline range. U.S. Sentencing Comm’n, 2015 Sourcebook of Federal Sentencing Statistics tbl. N. However, the statistics also tell us that for all sentences imposed during 2015, in which a judge imposed a sentence below the guideline range, 58 percent of the time the judge did so based on the government’s motion.
B.
This is how the Matchett panel got the Sentencing Guidelines wrong. But the panel got the vagueness doctrine wrong as well. It said “[t]he vagueness doctrine applies only to laws that prohibit conduct and fix punishments.”
For example, in Giaccio v. State of Pennsylvania,
The application of the vagueness doctrine to rules that guide discretionary sentencing goes to the very heart of the fairness interests that the doctrine is designed to protect. Johnson reminded us of two ways in which vague laws can violate the Fifth Amendment’s guarantee of due process of law: by being “so vague that [the law] fails to give ordinary people fair notice of the conduct it punishes, or so stan-dardless that it invites arbitrary enforcement.”
If the panel had been willing to evaluate how the residual clause in the Sentencing Guidelines leads to “arbitrary enforcement by judges,” then the case would have eásily resolved in Mr, Matchett’s favor.
The risks of “discriminatory application” and “arbitrary enforcement” here should be obvious. Two judges who are sentencing defendants with identical records can arrive at different sentences based on each judge’s personal sense of what seems like a crime of violence. Judges who must review sentences imposed under USSG § 4B1.2 will certainly try to apply pre-Johnson residual clause opinions correctly.
III.
Also worrisome, the Matchett panel opinion forces this court to continue to apply and even add to the body of law that Johnson discredited- when it reviews the sentences of individuals who were sentenced under § 4B1.2(a)(2)’s residual clause. The panel recognizes that in Johnson, the Court “abrogated the previous decisions of the Supreme Court interpreting the residual clause.”
IV.
The panel warned that applying the vagueness doctrine to the residual clause in the Guidelines “would upend our sentencing regime” since “many [Guidelines] provisions could be described as vague.” Id. at 1196. Now in his Statement, Judge Pryor expands the point. He describes an even more forbidding scene in which all sentencing guidelines, in both the federal and state systems, could be invalidated. Pryor Op. at 1127-28. I am sure he does not mean to advocate abandoning our Constitution because the effect of enforcing it would be too disruptive. This approach would seem, as Justice Brennan put it, “to suggest a fear of too much justice.” McCleskey v. Kemp,
The Guidelines determine punishment based almost exclusively-on a defendant’s actual conduct.
But even if applying Johnson to the identical residual clause in the Guidelines were to lead to a future holding that some other provision of the Guidelines is also void for vagueness, this possibility is no basis for refusing to uphold the Constitution here. The prospect that there may be other provisions of the Guidelines that are unconstitutionally vague “may be dismaying, but it does not justify complete abdication of our judicial role. The Constitution was framed fundamentally as a bulwark against governmental power, and preventing the arbitrary administration of punishment is a basic ideal of any society that purports to be governed by the rule of law.” McCleskey,
. United States v. Soto-Rivera,
. Since Matchett was decided, the Sentencing Commission has amended the Guidelines to repeal § 4B1.2(a)(2)'s residual clause in light of Johnson. The amendment became effective August 1, 2016. 81 Fed. Reg. 4741, 4742 (2016). While the Commission’s decision will prevent any person from being sentenced under the residual clause in the future, it provides no relief for prisoners like Mr. Matchett who have already been sentenced under the clause.
. See Beckles v. United States, — U.S. —,
. See http://www.ussc.gov/sites/default/files/ pdf/research-and-publications/quick-facts/ Quick_Facts_Career_Offender_FY 14.pdf. In over 90 percent of these cases, § 4B1.1 “increased the guideline range.” Id. Also, two of the top five judicial districts for § 4B1.1 sentences are within the Eleventh Circuit. See id. This is the latest data published by the Sentencing Commission.
. Our court has two Judge Pryors. By this citation, I refer to Judge William Pryor and his Statement respecting the denial of rehearing of Mr. Matchett's case en banc. I will refer to this as Judge Pryor's "Statement.”
. Matchett does not use the "private conduct” language that now appears throughout the Statement. The panel opinion does employ precisely the same reasoning, however, couched in slightly different terms. See Matchétt,
. The concept of an "anchor” effect makes sense, If a judge is told a sentencing range, her sentence is likely-to be weighted toward that range no matter how far she might be permitted to depart from it. See Timur Kuran & Cass R. Sunstein, Availability Cascades and Risk Regulation, 51 Stan. L. Rev. 683, 705 (1999) (explaining how a number that appears early in a decision-making process "serves as a perceptual ‘anchor’ ” and distorts the ultimate decision even if the decision-maker has wide,discretion); see also Stepha-nos Bibas & Susan Klein, The Sixth Amendment and Criminal Sentencing, 30 Cardozo L, Rev. 775, 779 (2008) (noting that the advisory federal guidelines "provide mental anchors, starting points that influence how judges think about cases and where they wind up”).
. Uncertainty about § 4B1.2’s meaning also distorts plea bargaining in state courts, where “[p]leas account for nearly 95% of all [felony] convictions." Padilla v. Kentucky,
. This category consists of all cases in which "the prosecution initiated, proposed, or stipulated to a sentence” below the guideline range. Federal Sentencing Statistics tbl. N.
. The Supreme Court also made clear in Giaccio that the scope of the vagueness doctrine, whatever it might be, is not decided by fitting a given law or policy into formalistic categories. Giaccio,
.See, e.g„
. Judge Pryor never tries to argue that the residual clause in the Sentencing Guidelines could withstand scrutiny under the vagueness doctrine. He concedes that, once subject to the vagueness doctrine, the clause must fail. Piyor Op. at 112,5.
. As detailed in the next section, even though these cases were overruled by Johnson, courts in the Eleventh Circuit are required to keep applying them. See Matchett,
. Note that Justice Scalia refers here to "crimes of violence” (the term USSG § 4B1.2 defines), not "violent felony” (the term used in ACCA, see 18 U.S.C. § 924(e)(2)(B)). Perhaps the panel would say this was an oversight. But the Supreme Court has always treated both residual clauses identically, including in Johnson itself.
. Up until Matchett, this court also recognized that the two "residual clauses are identical” and treated them that way. United States v. Alexander,
. See United States v. Booker,
Dissenting Opinion
joined by JILL PRYOR, Circuit Judge, dissenting from the denial of en banc rehearing:.
My colleague Judge William Pryor takes issue with my concurrences in In re Hunt,
Judge Pryor’s criticism of my specific Hunt/Clayton concurrences is not substantive in nature and is belied by what my concurrences actually say. As for my colleague’s more general condemnation of all of the Hunt/Clayton concurrences’ points about the arbitrary-enforcement problem that the career-offender guideline’s residual clause creates, a close review of Judge Pryor’s analysis reveals why the Hunt/Clayton concurrences have the better argument.
I.
Judge Pryor’s opinion makes two complaints expressly about my particular Hunt/Clayton concurrences: (1) that I “fret” that the .Sentencing Commission might issue a “nonsensical guideline about ‘cheese,’” see Pryor Op. at 1128, and (2) that I have mistaken vagueness for unin-telligibility.
I feel silly addressing Judge Pryor’s first point. But since he relies on it to incorrectly insinuate that I attribute ill intentions to the Sentencing Commission,
Surely Judge Pryor does not truly believe that the introductory paragraph of my Hunt/Clayton concurrences somehow suggests that we should worry that the Sentencing Commission might issue a “nonsensical guideline about ‘cheese.’ ”
That brings me to my second point. Judge Pryor offers a vocabulary lesson in the differences between “vagueness” and “unintelligibility,” suggesting that although the career-offender guideline’s residual clause is vague, it is not unintelligible. See Pryor Op. at 1128.
But the problem with the career-offender guideline’s residual clause is that it is so vague as to be essentially unintelligible. Indeed, that’s exactly how Justice Scalia characterized the identical residual clause of the Armed Career Criminal Act (“ACCA”) — as “unintelligible.” See James v. United States,
II.
I now turn to Judge Pryor’s more general criticism of all of the Hunt/Clayton concurrences’ point that the residual clause of the career-offender guideline is unconstitutionally vague because it allows for arbitrary enforcement. First, Judge Pryor embarks on a half-hearted defense of the idea that arbitrary enforcement of the career-offender guideline’s residual clause may be avoided. Then, in apparent recognition of the problems with this position, he focuses his fire power on the idea that even if arbitrary enforcement is a problem, it is not a cognizable concern when it comes to the residual clause of the career-offender guideline. I respectfully disagree.
A.
For the reasons described in my Hunt/Clayton concurrences, arbitrary enforcement of the residual clause of the career-offender guideline represents a serious problem. In response to these concerns, Judge Pryor wishfully offers that “judges who must apply the residual clause of the career-offender guideline are not hopelessly adrift.” Pryor Op. at 1127. But the support for my colleague’s conclusion rests on quotations from Johnson which, when read in context, suggest the opposite. Judge Pryor explains,
Johnson held that the residual clause is vague in many of its applications, but it acknowledged that “there will be straightforward cases under the residual clause” and that “there is some conduct that clearly falls within the provision’s grasp.”135 S.Ct, at 2560-61 . Judges will continue to see examples of “obviously*1146 risky crimes” that “clearly pose a serious potential risk of physical injury to another.” Id.
Pryor Op. at 1126-27.
The actual sections from which Judge Pryor selectively picked his quotations leave a very different impression. They suggest that to the extent that a universe of “obviously risky crimes” exists, it is exceedingly small:
The Government and the dissent claim that there will be straightforward cases under the residual clause, because some crimes clearly pose a serious potential risk of physical injury to another.... True enough, though we think many of the cases the Government and the dissent deem easy turn out not to be so easy after all....
In all events, although statements in some of our opinions could be read to suggest otherwise, our holdings squarely contradict the theory that a vague provision is constitutional merely because there is some conduct that clearly falls with the provision’s grasp. For instance, we have deemed a law prohibiting grocers from charging an “unjust or unreasonable rate” void for vagueness— even though charging someone a thousand dollars for a pound of sugar would surely be unjust and unreasonable. We have similarly deemed void for vagueness a law prohibiting people on sidewalks from “conducting] themselves in a manner annoying to persons passing by” — even though spitting in someone’s face would surely be annoying. These decisions refute any suggestion that the existence of some obviously risky crimes establishes the residual clause’s constitutionality.
Johnson,
Nor, for this same reason, is Judge Pryor’s proposal that pre-Johnson caselaw “guide judges” in construing the residual clause satisfactory. See Pryor Op. at 1127. Judge Pryor notes that “federal circuit and district judges interpreted [the residual clause] thousands of times before Johnson[,] [and] [t]he Supreme Court did so four times as well.” Id. He suggests that this fact means that nothing is wrong with continuing to construe the residual clause like it was interpreted before the Supreme Court issued Johnson.
This argument buries its head in the pre-Johnson landscape’s sand. After Johnson, that argument is stranded in a legal desert, devoid of usable caselaw. As the Supreme Court explained in Johnson, it could revisit its earlier residual-clause decisions under stare decisis only because “experience with [the] application [of those earlier decisions] revealfed] that [they were] unworkable.” Johnson,
Judge Pryor seems to implicitly recognize this problem, proposing two solutions: first, he advises sentencing judges that they can just “vary from [the career-offender guideline] on policy grounds.” Pryor Op. at 1127. And second, he states that “the Sentencing Commission can and does repeal [“bad”] guidelines that are difficult to apply. In fact, they did so here.” Pryor Op. at 1127 (noting the repeal of the residual clause of the career-offender guideline, as of August 1, 2016).
But disregarding the effect of the career-offender guideline’s residual clause on
Plus, in view of Judge Pryor’s second solution to the problems raised by the residual clause of the career-offender guideline — that the Sentencing Commission repealed it as of August 1, 2016 — my colleague’s advice is the legal equivalent of closing the stable door after the horse has bolted. No one reading his opinion now will be required to decide whether and how to apply the career-offender guideline’s residual clause at sentencing. And I am sure that Judge Pryor does not mean to suggest that appellate courts can decide to set aside a district court’s application of the career-offender guideline’s residual clause solely becausé of an appellate court’s policy disagreement with the guideline under which a defendant was sentenced.
Nor are Judge Pryor’s responses any answer to arbitrary enforcement in the many cases where sentencings occurred before the residual clause of the career-offender guideline was revoked. Indeed, although the Supreme Court issued Johnson on June 26, 2015, the residual clause remained in effect — and arbitrary enforcement continued to occur — for more than a year after that, until August 1, 2016. And it’s too late now for district courts that sentenced defendants during that period to take my colleague’s advice to vary downward from the Guidelines range based on a policy disagreement with the residual clause, even if they wanted to do so.
B.
With no satisfactory answer to the problem of arbitrary enforcement, Judge Pryor turns his attention to arguing that arbitrary enforcement is not a cognizable reason to invalidate a guideline. He invokes two' major reasons why: (1) in Judge Pryor’s view, the vagueness doctrine applies to only laws that “regulate the primary conduct of private citizens,” Pryor Op. at 1119, and the residual clause of the career-offender guideline does not fall into that category; and (2) “judges [do not have a due-process right] to be free from interpreting vague laws in the exercise of judicial duty,” id. at 1127 (emphasis in original). Judge Pryor’s first contention is not borne out by the caselaw. And his second proceeds from an incorrect premise: of course, the Hunt/Clayton concurrers do not believe that judges have a due-process right to be free from interpreting vague laws. We do, however, believe that the public has a due-process right to be free from the necessarily arbitrary enforcement that judges must engage in when they must apply unconstitutionally vague laws.
1.
The central theme of Judge Pryor’s argument is that the vagueness doctrine-including its concern for avoiding arbitrary enforcement
First, the Supreme Court has never described the vagueness doctrine as applying solely to laws that regulate the primary conduct of private individuals. In Johnson, for example, the Supreme Court observed broadly that the vagueness doctrine invalidates a criminal law that is “so vague that it fails to give ordinary people fair notice of the conduct it punishes, or so standard-less that it invites arbitrary enforcement.”
Second, in supporting his thesis that the vagueness doctrine applies to only laws that regulate the primary conduct of private citizens, Judge Pryor incorrectly characterizes Giaccio v. Pennsylvania,
Significantly, the Supreme Court also ruled unconstitutionally vague the actual law itself that was at issue in Giaccio — and that law did not even arguably regulate primary conduct. See Giaccio,
The Supreme Court specifically invalidated that law as written — and without regard to how the jury was instructed in Giaccio’s case
This ... Act contains no standards at all, nor does it place any conditions of any kind upon the . jury’s power to impose costs upon a defendant who has been found by the jury to be not guilty of a crime charged against him. The Act, without imposing a single condition, limi*1149 tation or contingency on a jury which has acquitted a defendant simply says the jurors ‘shall determine, by their verdict, whether ... the defendant shall pay the costs’ whereupon the trial judge is told he ‘shall forthwith pass sentence to that effect, and order him (defendant) to be committed to the jail of the county’ there to remain until he either pays or gives security for the costs.
Id. at 403,
That description of the Giaccio law is simply incorrect. The law allowed the imposition of costs on an acquitted defendant, even if the jury concluded that the defendant had engaged in no misconduct that led to his prosecution. A law that imposes a penalty on a private individual, without respect to his out-of-court conduct, cannot qualify as a law that regulates the primary conduct of private individuals. And since the vagueness doctrine was held applicable to such a law in Giaccio, Judge Pryor’s thesis that the vagueness doctrine applies to only laws regulating primary conduct of private individuals cannot be correct.
2.
Judge Pryor also seems to think that the fact that judges do not enjoy a due-process right “to be free from interpreting vague laws in the exercise of their judicial duty” can somehow excuse a vague law like the residual clause of the career-offender guideline from constitutional compliance. See Pryor Op. at 1122-23. He argues that “the advisory guidelines are directed to judges, not private citizens, and we tolerate much more vagueness in laws that regulate government actors than we do in laws that regulate private citizens.” Id. at 1126. In support of his position, Judge Pryor relies on Mahler v. Eby,
Judge Pryor’s argument suffers from at least two problems. First, determination of whether the career-offender guideline’s residual clause applies to any given prior conviction is not discretionary. Nor is the requirement that every sentencing court begin the sentencing process by correctly calculating the defendant’s applicable Guidelines range. So Mahler and NEA, which involve vagueness challenges to' discretionary provisions, are not instructive. And second, Judge Pryor’s argument fails to recognize that, regardless of to whom the Guidelines and the ACCA are addressed, the residual clause of each requires judges to engage in the same analysis, meaning that the arbitrary-enforcement problems that plagued ACCA’s residual clause occur with equal force in the context of the career-offender guideline’s ' residual clause.
First, Mahler and NEA are not relevant to the question of whether the vagueness doctrine applies to the residual clause of the career-offender guideline. Significantly, correct determination of whether the residual clause of the career-offender guideline applies to a defendant should not involve discretion of any kind. That’s be
That is simply not the case with the discretionary laws at issue in the cases Judge Pryor cites. In Mahler, for example, the Supreme Court rejected a vagueness challenge to the Secretary of Labor’s statutory power to expel aliens, observing that the power was discretionary.
Similarly, the law at issue in NEA,
The laws at issue in Mahler and NEA, of course, are nothing like the residual clause of the career-offender, guideline, the application of which, I have noted, was intended to result in a single objectively correct answer to the question of whether a prior conviction qualified as a violent crime. Because Mahler and NEA involved laws that did not purport to establish standards whose application results in a single correct answer, they are not helpful in appraising the residual clause of the career-offender guideline for vagueness.
Second, Judge Pryor’s argument does not account for the fact that the residual clauses of both the career-offender guideline and the ACCA require judges to engage in the same analysis. Judge Pryor describes the Guidelines as “directed to judges, not private citizens,” Pryor Op. at 19, suggesting that the vagueness in the residual clause of the career-offender guideline is somehow more tolerable than the exact same vagueness in the ACCA. See id.
But regardless of at whom the Sentencing Guidelines are directed, judges engage in the very same analysis when they apply the career-offender guideline’s residual clause as they did when they applied the ACCA’s residual clause. In both cases, judges must construe the same thirteen words, and in both cases, judges must decide whether a prior conviction categorically — not individually with respect to the details of a given defendant’s prior crime — qualifies as a violent crime. That one definition appears in a guideline while the other is in a statute does not, as a practical matter, affect the way in which the courts go about analyzing whether the provision applies. And if the provision is too vague to avoid arbitrary enforcement under the ACCA, it is equally too vague to avoid arbitrary enforcement under the career-offender guideline.
III.
Finally, in a last-ditch effort to support his view that the vagueness doctrine
But ruling that the residual clause of the career-offender guideline is unconstitutionally vague would not mean the end of the sentencing world as we know it. Unlike the residual clause of the career-offender guideline, most guidelines are not intended to be categorically applicable. They are designed instead to, as Judge Pryor has explained, “strike a ... balance between consistency, predictability, and flexibility.” Pryor Op. at 1129. As a result, most guidelines are supposed to and do allow the judge some discretion in determining the relevant facts of a particular defendant’s case in applying the. guideline. In fact, at times, correct application of a single guideline can result in different, correct answers. Again, that’s by design.
But the residual clause of the career-offender guideline is different. It is not intended to apply flexibly, depending on a particular defendant’s unique factual circumstances. Because it is meant to be applied categorically, it is supposed to yield an objectively correct answer about whether any particular crime qualifies under it as a violent crime, regardless of a defendant’s individual circumstances and a sentencing judge’s view of the record. That it cannot be applied in this way, despite the intended design of the guideline, is the source of the vagueness problem with the residual clause of the career-offender guideline. Indeed, the Supreme Court held ACCA’s identical residual clause unconstitutionally vague, in significant part, because of the law’s failed categorical nature. See Welch v. United States, — U.S. —,
Alowing a successful vagueness challenge to a guideline that is intended to apply categorically but is incapable of actually working that way does not set a precedent for holding guidelines that are designed to apply with some flexibility and discretion — as opposed to categorically— vague. As I have previously noted, non-categorical guidelines “guide judicial discretion,” Pryor Op. at 1119, in a way that is substantively and materially different than categorical guidelines do. Whereas categorical guidelines should yield but a single correct answer applicable to every case without regard to an individual defendant’s circumstances or a judge’s view of the record, non-categorical guidelines should not. So an inability to categorically apply a guideline that is intended to be categorically applied necessarily results in arbitrary enforcement every time it is applied. As a result, it is vague in a way that a non-categorical guideline never can be.
Similarly, invalidating the career-offender guideline’s residual clause as unconstitutionally vague has no implications for 18 U.S.C. § 3553(a) standards, see Pryor Op. at 1126-27, since they also do not apply categorically. Rather, by design, judges consider the individual circumstances of a given defendant’s case and are expected to exercise their discretion in applying the § 3553(a) standards. See United States v. Hurlburt, No. 14-3611,
Nor does declaring the residual clause of the career-offender guideline unconstitutionally vague have any implications for the constitutionality of the Sentencing Guidelines under the Separation of Powers. The reason that the residual clause of the career-offender guideline must be held unconstitutionally vague is not that the freestanding guideline results by itself in arbitrary enforcement — a circumstance that might cause Separation-of-Powers problems if it existed; it is instead because under 18 U.S.C. § 3553(a), “district courts must begin their analysis with the Guidelines and remain cognizant of them throughout the sentencing process.” Gall v. United States, 552 U.S. 38, 50 & n.6,
As the Supi-eme Court has recognized, by congressional mandate in the form of § 3553(a), the Sentencing Guidelines “anchor .,. the district court’s discretion.”
IY.
These issues are important ones. They potentially impact numerous defendants. So I would have granted en banc rehearing when the poll was initially taken in March 2016.
APPENDIX
ROSENBAUM, Circuit Judge, concurring, joined by WILSON and JILL PRYOR, Circuit Judges:
Imagine a sentencing guideline that read, “A defendant is a career offender if ‘[p]uddles do not ask for why not? It is cheese! Breath and wind. It is cheese.’” Boston Legal, “Word Salad Days” (2006), http://www.imdb.com/title/tt0770843/quotes (last visited Apr. 28, 2016). Now imagine
No doubt criminal defendants do not have a due-process right to a sentence within a particular Sentencing Guidelines range. But Congress can, and essentially has, required courts to begin the sentencing process by correctly calculating the Guidelines range. The question here is whéther, when the Supreme Court strikes language from a statute because it is unconstitutionally vague language and that same language also appears in a guideline, we are constitutionally able to continue to apply that language in the sentencing process that Congress has mandated. The answer, unlike the challenged part of the career-offender guideline, is clear: we are not.
I concur in Sections I.A. and II of Judge Wilson’s well-reasoned concurrence. I agree that the Supreme Court’s decision in Johnson v. United States, 576 U.S. —,
I.
In Matehett,
The problem with the first part of the panel’s analysis — that the vagueness doctrine “rest[s] on [a] lack of notice” — is that it is incomplete. The vagueness doctrine also protects against arbitrary enforcement by judges. Indeed, in Johnson itself the Supreme Court held that the ACCA equivalent of the 13 words at issue here violated due process because it “both denies fair notice to defendants and invites arbitrary enforcement by judges.” Johnson,
B.
As for the second part of the panel’s analysis — that Irizarry precludes due-process challenges to all forms of sentencing error under the Guidelines — I respectfully disagree. In Irizarry, under the advisory Guidelines, a defendant was sentenced above the correctly calculated Guidelines range.
Put simply, Irizarry stands for only the proposition that a defendant has no due-process interest in receiving a sentence within the Guidelines range. But Irizarry says nothing about whether a defendant has a due-process right to a correct and fair sentencing process under the Sentencing Guidelines. And while the Supreme Court has not expressly spoken to such a right, the Court’s recent decisions strongly indicate that the right exists.
For starters, in Molina-Martinez v. United States, 578 U.S. —,
And that is not surprising, given that the Supreme Court has established that a correct and fan- sentencing process necessarily begins with the correct calculation of the Guidelines range. Gall v. United States,
That is exactly the problem that the challenged language of the career-offender guideline presents.' How can a sentencing court correctly calculate the Guidelines range when it is forced to apply the “hopelessly] indetermina[te]” language of the career-offender guideline? Johnson,
Because of this muddle, a sentencing court cannot ascertain whether the challenged part of the career-offender guideline even applies when the guideline is raised, so the court necessarily cannot correctly calculate the Sentencing Guidelines range. As a result, the sentencing court cannot comply with the sentencing process’s virtual statutory requirement that the sentencing court first correctly calculate the applicable Guidelines range.
And, as Judge Wilson notes, the confusion only grows on appeal. Determining whether a sentence imposed by a district court was procedurally reasonable requires appellate courts to first ascertain whether the district court correctly calculated the applicable Guideline range. But we are no more skilled in applying “hopelessly] indeterminate]” language than district courts.
C.
Finally, with regard to the third part of the Matchett panel’s analysis — that the Sentencing Guidelines cannot be challenged as vague because no constitutional right to sentencing guidelines exists — I again respectfully disagree. True, “legislatures remain free to decide how much discretion in sentencing should be reposed in the judge or jury in noncapital cases.” Lockett v. Ohio,
This would be another ease entirely if sentencing judges could choose to wholly disregard the unconstitutionally vague career-offender guideline in calculating sen
II.
At bottom, statutorily, courts are required to begin every sentencing by correctly calculating the Guidelines range. Yet the Supreme Court has recognized that courts cannot reliably know whether the challenged language of the career-offender Guideline applies in any given case. As a result, they cannot possibly know whether a correct calculation of the Guidelines range should or should not include such an enhancement. But in Matchett, we nonetheless. required sentencing courts to impose the enhancement and ourselves to uphold it, anyway. Trying to divine meaning from the word salad that is the challenged portion of the career-offender guideline guarantees an arbitrary and unfair sentencing process in violation of due process. For this reason, I respectfully disagree with our holding in Matchett.
. My concurrences in Hunt and Clayton are, for the most part, the same. For convenience, I attach a copy of my concurrence in Hunt in the Appendix to my dissent.
. See Pryor Op. at 1128 (arguing that my alleged "concern” that the Sentencing Commission might issue a "nonsensical guidelines about ‘cheese' ” is "unfounded” because '-‘the members of the United States Sentencing Commission take their oaths seriously and strive to craft guidelines that 'provide certainly and fairness in meeting the purposes of sentencing,’ 28 U.S.C. § 991(b)(1)(B). We know of no instance in which the Commission has intentionally or inadvertently constructed a ‘word salad.’ ”). To be clear, I have never ■ doubted the good intentions of the Sentencing Commission. In fact, I have nothing but the utmost respect and appreciation for die hours upon hours that members and former members of the Commission — including Judges Pryor and Julie Carnes — devote and have devoted to trying to develop the best possible guidelines they can. It is also certainly understandable why the Commission would have adopted the wording of the residual clause of the career-offender guideline — they had the residual clause of the congressionally enacted Armed Career Criminal Act as a model. But the Commissioners' good intentions, of • course, do not somehow insulate the Sentencing Guidelines from legal critique. And criticizing a guideline is not the same thing as impugning the intentions of the Sentencing Commission.
, In fact, I would be surprised if the Sentencing Commission had reason to issue a guideline about cheese at all. After all, the moon does not fall within the Sentencing Commission's jurisdiction. See Robert Nemiroff & Jerry Bonnell, Hubble Resolves Expiration Date for Green Cheese Moon, Astronomy Picture of the Day (Apr. 1, 2002), http://www.phys.ncku, edu.tw/-astrolab/mirrors/apod_e/ap020401. html ("The popular ‘Moon is made of Green Cheese’ myth can be traced,back almost 500 years. It has been used historically in context to indicate a claim so clearly false that no one ... will believe it.”); see also Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, Including the Moon and Other Celestial Bodies art. I, Jan, 27, 1967, 18 U.S.T. 2410 ("The exploration and use of outer space, including the moon and other celestial bodies, shall be carried out for the benefit and in the interests of all countries, irrespective of their degree of economic or scientific development, and shall be the province of all mankind.”).
. Now, that is a sentence I never imagined I would write in an opinion.
. Even if they could, I note that "closer [appellate] review may be in order when the sentencing judge varies from the Guidelines based solely” on a policy disagreement with the apparently applicable guidelines. See Kimbrough v. United States,
. The Supreme Court separately concluded that even as limited by the judge’s jury instructions, the statute was unconstitutionally vague. See Giaccio, 382 U.S. at 403,
. The one difference is that a judge applying the guideline must determine whether two predicate convictions exist, while a judge applying the ACCA must determine whether three are present.
. Much as my colleague would like to ignore the inconvenient fact that the Guidelines continue to hold great sway over sentencing courts, see Pryor Op. at 1123 ("On average, the odds of receiving a sentence within the guideline range are worse than a coin flip”), that is not the way the Supreme Court sees things. Just a few months ago, the Court described the Sentencing Commission's statistics as "demonstrating] the real and pervasive effect the Guidelines have on sentencing,” Molina-Martinez,
. If the Guidelines calculation error in Molina-Martinez that resulted in a difference of 7 months’ imprisonment on the low end of the Guidelines range constitutes a "significant procedural error,” so too must an error in the application of the career-offender Guideline, which can double and sometimes even triple the otherwise-applicable Guidelines range.
Lead Opinion
A petition for rehearing having been filed and a member of this Court in active service having requested a poll on whether this case should be reheard by the Court sitting en banc, and a majority of the judges in active service on this Court having voted against granting a rehearing en banc, it is ORDERED that this case will not be reheard en banc.
