Lead Opinion
Opinion for the court filed by Circuit Judge RANDOLPH.
Dissenting opinion filed by Circuit Judge WALD.
Fulfilling his part of the bargain, Reeo Vondell Johnson pled guilty to possession of 50 grams or more of cocaine base with intent to distribute (21 U.S.C. § 841(a)(1) & (b)(l)(A)(iii)).
Before his eighteenth birthday, Johnson repeatedly violated the criminal laws of the District of Columbia. The presentence report, in compliance with U.S.S.G. § 4A1.2(d),
I
The Sentencing Commission has not identified the statutory basis for U.S.S.G. § 4A1.2(d)’s counting juvenile adjudications in a defendant’s criminal history, but this is not fatal. See United States v. Lopez,
As Johnson sees it, U.S.S.G. § 4A1.2(d) exceeds the Commission’s statutory authority. He asks how “criminal history” under § 994(d)(10) can include his juvenile offenses when D.C.Code Ann. § 16-2318 states that a juvenile adjudication “is not a conviction of a crime.”
Juvenile justice systems, in theory, focus on treatment and rehabilitation. See In re Gault,
Johnson also attacks U.S.S.G. § 4A1.2(d) on the ground that it unreasonably fails to differentiate between juvenile adjudications and adult criminal convictions.
Juvenile delinquents achieve ignominy by committing crimes.
We recognize that generalizing about juvenile dispositions may give rise to difficulties. As we have said, U.S.S.G. § 4A1.2(d)(2) assigns two points for a juvenile “sentence of confinement” of sixty days or more. (Two points are also added for a sixty-day adult “sentence of imprisonment.” U.S.S.G. § 4Al.l(b).) The Guidelines do not define “sentence of confinement.” Under D.C.Code Ann. § 16-2320(e), judges may impose a wide range of dispositions on juveniles who are adjudged delinquent. The nature of confinement may vary considerably. Juveniles may be placed in foster care, or in group homes, or in residential treatment centers, or in secure prison-like facilities. There may, then, be cases in which an extensive “sentence of confinement” (say to a juvenile Outward Bound program) would not even be roughly equivalent to a sixty-day prison sentence. And it may be that the confinement ordered is not directly related to the gravity of the offense. Judges may, for instance, fashion a disposition on the basis of the juvenile’s home environment, and the need to remove the individual from that setting. See Kent v. United States,
Johnson raises these potential problems, but we do not resolve them. The district court assigned Johnson four points for two sentences of confinement of more than sixty days. On both occasions Johnson was ordered to Oak Hill Youth Center, the District of Columbia’s secure commitment center. See District of Columbia v. Jerry M.,
II
Distinctions between juvenile dispositions and adult convictions and sentences of imprisonment may warrant a sentencing court’s departing from the Guidelines’ sentencing range pursuant to U.S.S.G. § 4A1.3 on the basis that the defendant’s criminal history category “does not adequately reflect the seriousness of the defendant’s past criminal conduct or the likelihood that the defendant will commit other crimes.” See United States v. Davis,
III
Congress directed the Sentencing Commission to “assure that the guidelines and policy statements are entirely neutral as to the race, sex, national origin, creed, and socio-economic status of offenders.” 28 U.S.C. § 994(d). According to Johnson, § 4A1.2(d) is not entirely neutral because there is “plentiful evidence that race and socio-economic status influence the process resulting in juvenile adjudications and orders of confinement.”
“At all stages,” Johnson states, “the juvenile process is characterized by a high degree of discretion....” But the criminal justice system is also inherently discretionary: prosecutors may charge lesser crimes and accept plea bargains; juries may acquit altogether or convict of a lesser included offense; the executive has the power to grant clemency. If, because of discretion, the juvenile justice system is open to the influence of race and socio-economic status, the same may be said of the adult criminal justice system. Cf. McCleskey v. Kemp,
Of course any punishment selected or augmented on the basis of race is impermissible. The Guidelines explicitly state that not only race, but also sex, national origin, creed, religion and socio-economic status, “are not
Affirmed.
Notes
. In return, the government dismissed the remaining two counts of the indictment charging distribution of cocaine base (21 U.S.C. § 841(a)(1) & (b)(i)(A)(iii)), and possession with intent to distribute the drugs within 1000 feet of a school (21 U.S.C. § 860(a)).
. U.S.S.G. § 4A1.2(d) provides:
(d) Offenses Committed Prior to Age Eighteen
(1) If the defendant was convicted as an adult and received a sentence of imprisonment exceeding one year and one month, add 3 points under § 4Al.l(a) for each such sentence.
(2) In any other case,
(A) add 2 points under § 4Al.l(b) for each adult or juvenile sentence to confinement of at least sixty days if the defendant was released from such confinement within five years of his commencement of the instant offense;
(B) add 1 point under § 4Al.l(c) for each adult or juvenile sentence imposed within five years of the defendant's commencement of the instant offense not covered in (A).
. Relying on Baldosar v. Illinois,
(d) The Commission in establishing categories of defendants for use in the guidelines and policy statements governing the imposition of sentences of probation, fine, or imprisonment ... shall consider whether the following matters, among others, with respect to a defendant have any relevance to the nature, extent, place of service, or other incidents of an appropriate sentence, and shall take them into account only to the extent that they do have relevance— ...
(10) criminal history....
28 U.S.C. § 994(d)(10).
. Johnson views D.C.Code Ann. § 16-2318 as a promise that juvenile adjudications will not be treated as a criminal conviction for any purpose, a view D.C.Code Ann. § 16-2331(b)(4) flatly contradicts. See also United States v. Bucaro,
. The Guidelines exclude "juvenile status offenses and truancy” from criminal history calculation. U.S.S.G. § 4A1.2(c)(2). See United States v. Miller,
. The only appreciable difference is that juvenile confinement more than five years distant from the commencement of the offense at issue is not counted, U.S.S.G. § 4A1.2(d)(2), while the cutoff period for adults is ten years. U.S.S.G. § 4Al.l(b) Application Note 2.
. Under the D.C.Code, a judge in the Family Division of the D.C. Court system must determine that the juvenile committed a delinquent act beyond a reasonable doubt. D.C.Code Ann. § 16—2317(b)(1).
Dissenting Opinion
dissenting:
Although I agree with my colleagues’ rejection of Johnson’s constitutional claim, I cannot assent to their resolution of his challenge to the rationality of § 4A1.2(d)(2) of the Sentencing Guidelines. This ease calls into question the Sentencing Commission’s policy of treating adult sentences and periods of incarceration like juvenile sentences and periods of confinement for purposes of calculating a defendant’s criminal history score. To reach criminal history category Y in Johnson’s case, the district court followed the mandate of U.S.S.G. § 4A1.2(d), weighed juvenile confinement like adult incarceration, and automatically added nine criminal history points to Johnson’s score for his several stints in a juvenile institution, the first of which occurred shortly after his fourteenth birthday.
A.
At the outset, I note my agreement with the majority’s apparent conclusion that Johnson cannot prevail under Chevron’s first step. Johnson contends that the guideline equating juvenile confinement with adult criminal incarceration clearly violates D.C.Code § 16-2318, passed by Congress in 1970, which states that a juvenile disposition “is not a conviction of crime and does not impose any civil disability ordinarily resulting from a conviction.” Although this provision is emphatic, a subsequent section, D.C.Code § 16-2331, provides that “the inspection of [juvenile case] records shall be permitted to ... any court or its probation staff, for purposes of sentencing the respondent as a defendant in a criminal case.” Given that Congress sanctioned the use of juvenile dispositions in criminal sentencing in D.C.Code § 16-2331, it clearly did not resolve the issue of the treatment of a juvenile record in Johnson’s favor under § 16-2318. Nor did Congress lay down any precise rules for cabining the Sentencing Commission’s discretion to consider juvenile dispositions. The Sentencing Reform Act (“SRA”) vests the Commission with latitude in defining the relevant criteria for sentencing. Section 994(d) charges the commission with considering the bearing of “criminal history,” age, and nine other fac
Chevron’s step one, however, does not end the inquiry. Johnson loses at Chevron’s first step because it is clear that Congress has not foreclosed the use of juvenile dispositions in sentencing. But it is equally clear that the government does not win at this juncture, either. Congress delegated to the Commission the authority to consider a wide variety of factors in formulating its guidelines. Congress did not, however, write the Commission a blank check. The specific intent of Congress with respect to the use of juvenile dispositions in sentencing is unclear. We cannot infer from congressional silence, however, an acquiescence in all possible balances that the Commission might strike. If, for example, the Commission determined to treat juvenile dispositions much more harshly than prior adult convictions, we would not hesitate to declare the Commission’s actions irrational and violative of presumed congressional intent. The propriety of the balance actually struck by the Commission in this instance therefore depends on Chevron’s second step, at which we inquire whether the Commission’s scheme is a reasonable or permissible construction of the statute. This step is by no means toothless, and we have not hesitated to strike irrational agency interpretations at this juncture in the past. See, e.g., Fedway Assoc., Inc. v. U.S. Treasury,
B.
As the majority recognizes, the Commission generally does not differentiate between juvenile and adult sentences or periods of juvenile confinement and adult incarceration.
The modern juvenile justice system, which traces its origins to the turn-of-the-eentury Progressive reform movement, is premised on assumptions and goals that are profoundly different from those of the adult criminal system.
Admittedly, a chasm has often separated theory from practice in this aspect of our justice system as in others. See Feld, Transformation, supra, at 695 (arguing that “the theory versus practice of rehabilitation” represents a “crucial disjunction ] between juvenile justice rhetoric and reality”); Flicker, supra, at 2-3 (discussing gradual evolution away from strict treatment model). Nonetheless, while the purposes of confinement in the juvenile and adult spheres may occasionally converge, they have never been congruent. See Barry C. Feld, The Juvenile Court Meets the Principle of Offense: Punishment, Treatment, and the Difference It Makes, 68 B.U.L.Rev. 821, 848-49 (1988) (“Feld, Punishment, Treatment ”). Two-thirds of the states continue to employ the offender-specific rehabilitation model, and in all states the initially distinct emphases of the juvenile and adult criminal systems have led to the development of a very different set of procedures and standards for confinement and incarceration. See Feld, Transformation, supra, at 695.
At present, the procedural landscape of juvenile and adult proceedings differs markedly. In Gault,
Judges in most juvenile courts still enjoy a wide, virtually unchecked discretion over confinement decisions absent in the adult criminal context. See Feld, Punishment, Treatment, supra at 849-50 & Table I. Unlike the more rigid criminal model, “sentencing” in juvenile court varies from “open-ended, non-proportional and indeterminate, with the goal of rehabilitation or incapacitation,” (two-thirds of states) to “determinate and proportional, with the objective of retribution or deterrence” (one-third). Id. at 834.
Juvenile dispositions are made by a judge, rather than a jury. Juvenile confinement, unlike adult incarceration, is still largely imposed on the basis of characteristics of the offender, rather than characteristics of the offense. The imposition and duration of juvenile confinement may be set irrespective of proportionality; irrespective of the sentence ranges for adult offenders. It is therefore not instructive of criminal history at all, in the substantial majority of states and the District of Columbia, to reveal that the defendant, as a juvenile, spent sixty days or more in juvenile confinement. It may simply mean that the juvenile lacked an adequate home or that the community lacked adequate services. Even in the minority of states adhering to an expressly punitive model of juvenile confinement, juvenile sentences are inherently a less reliable indication of criminal disposition than periods of adult imprisonment given the untrammeled discretion of the sentencer and the absence of a jury trial.
In light of these differences, I believe the Sentencing Commission strayed beyond permissible boundaries of interpretation in treating juvenile sentences and periods of confinement like adult sentences and periods of incarceration for purposes of automatic increase to the defendant’s criminal history category. This court has long recognized that an agency acts irrationally when it
Nor do I think it controlling, as the majority apparently does, that Johnson has not demonstrated with particularity that his own stints of juvenile confinement were incommensurate with periods of adult incarceration typically imposed for the same offense or that his sentences were actually imposed for reasons unrelated to the severity of his offenses.
C.
The departure provision, U.S.S.G. § 4A1.3, under which a district court may, after calculating a defendant’s criminal history pursuant to § 4A1.2, depart downward to the extent that the criminal history category “significantly overrepresents” the defendant’s actual criminal history, see U.S.S.G. § 4A1.3 p.s., see also United States v. Clark,
I do not believe that a standard that admits of exception only for significant overrep-resentation of a defendant’s total criminal history adequately takes into account the relative unreliability of using juvenile sentences as a barometer of past or future criminality or the manifest irrationality of equating all kinds of juvenile confinement with adult incarceration. The statutory regime by no means precludes the use of juvenile dispositions in subsequent criminal sentencing.
. Without these additional points, Johnson would have been in criminal history category I and would have been sentenced to the mandatory minimum of 120 months, twenty months shorter than his actual sentence of 140 months.
. We have long applied Chevron to challenges to the Sentencing Guidelines, and the majority does not appear to deviate from that practice. See, e.g., United States v. Doe,
. Congress did not define the term “criminal histoiy” in § 994(d)(10). However, legislative histoiy for the provision demonstrates that the "criminal histoiy ... factor includes not only the number of prior criminal acts — whether or not they resulted in convictions — the defendant has engaged in, but their seriousness, their recentness or remoteness.” S.Rep. No. 225, 98th Cong., 1st Sess. 174, reprinted, in 1984 U.S.C.C.A.N. 3182, 3357. This term, as thus defined, is broad enough to encompass acts which, although committed by juveniles, would be criminal if committed by adults. See United States v. Booten,
. The Commission does, however, in two respects draw a distinction: (1) juvenile sentences (and “adult” criminal sentences of under one year) factor into a criminal histoiy score only if the defendant was "released from such confinement within five years of his commencement of the instant offense,” U.S.S.G. § 4A1.2(d)(2)(A); and (2) juvenile confinement of over a year adds only two points to a defendant’s criminal history score, whereas adult confinement of over a year adds three points. These exceptions, neither of which are at issue in this case, do not alter my view of the rationality of the Commission’s regulation.
.As the Supreme Court recounted in Gault,
[E]arly reformers were appalled by adult procedures and penalties, and by the fact that children could be given long prison sentences and mixed in jails with hardened criminals. They were profoundly convinced that society's duty to the child could not be confined by the concept of justice alone. They believed that society’s role was not to ascertain whether the child was "guilty” or "innocent,” but "What is he, how has he become what he is, and what had best be done in his interest and in the interest of the state to save him from a downward career.” The child — essentially good, asthey saw it — was to be made "to feel that he is the object of [the state’s] care and solicitude,” not that he was under arrest or on trial.
Gault,
. Justice White’s concurrence in McKeiver v. Pennsylvania,
Reprehensible acts by juveniles are not deemed the consequence of mature and malevolent choice but of environmental pressures (or lack of them) or of other forces beyond their control. Hence the state legislative judgment not to stigmatize the juvenile delinquent by branding him a criminal; his conduct is not deemed so blameworthy that punishment is required to deter him or others. Coercive measures, where employed, are considered neither retribution nor punishment. Supervision or confinement is aimed at rehabilitation, not at convincing the juvenile of his, error simply by imposing pains and penalties. Nor is the purpose to make the juvenile delinquent an object lesson for others, whatever his own merits or demerits may be.... Nor is the authorization for custody until 21 any measure of the seriousness of the particular act that the juvenile has performed.
. The Court has also required juvenile courts to hold a hearing and to provide a statement of reasons before transferring juveniles from their jurisdiction to be prosecuted as adults, reasoning that basic procedural rights are necessary in deciding the " 'critically important' question whether a child will be deprived of the special protections and provisions of the Juvenile Court Act." See Kent v. United States,
. In fact, some juveniles serve longer sentences than do their adult counterparts convicted of similar offenses. See Feld, Punishment, Treatment, supra, at 837. Feld cites as example the facts of Gault: charged with making "lewd phone calls," fifteen-year old Gault was committed to the State Industrial School "for the period of his minority" — i.e., until age twenty-one. An adult convicted of a like offense would have faced a $50 fine and a maximum two-month jail sentence. Challenges to indeterminate sentencing based on equal protection are typically rejected on the grounds that delinquents receive "treatment," not "punishment.” Compare People v. Olivas,
.Section 4A1.2(d)(2)(B) prescribes one point "for each adult or juvenile sentence ... not covered in (A)." Subsection (A), in turn, applies to "adult or juvenile sentence[s] to confinement of at least sixty days.” The Commission apparently distinguishes between "sentences” and "sentences to confinement,” and seems to include many if not all of a juvenile court’s nonconfinement sentencing options within its compass under (B).
. It is difficult to see how one could ever demonstrate that the length of a juvenile's confinement was or was not directly related to the severity of his conduct in a jurisdiction that employs indeterminate sentencing for juveniles.
. Of course I do not mean to suggest that juvenile records may not be properly employed in sentencing under the rubric of "relevant conduct.” This is a different baseline, however, under which juvenile conduct may properly count only if relevant in time and substance to the immediate offense.
