Opinion · Supreme Court of the United States
Southern Union Co. v. United States
23 Fla. L. Weekly Fed. S 400
- Type
- Opinion
- Court
- Supreme Court of the United States
- Jurisdiction
- Federal
- Date
- 2012-06-21
- Topic
- general
holding that the rule in Apprendi applies to cases where significant criminal fines are imposed as well as where the sentence is imprisonment or death | holding that facts determining fine’s statutory maximum amount must be found by jury or admitted by defendant | holding that any fine greater than $50,000 — the amount corresponding to the minimum finding of guilt made by the jury — violated Apprendi | explaining that “[cjriminal fines . .. are penalties inflicted by the sovereign for the commission of offenses” | stating that insubstantial fines and “offenses punishable by relatively brief terms of imprisonment ... do not entitle a defendant to a jury trial” | observing that criminal fines “undeniably” fall within the purview of a “sentence” | holding that Apprendi applies to criminal fines | reiterating "core concern" of Apprendi and holding that the rule of Apprendi applies to the imposition of criminal fines | stating Apprendi applies broadly to “prohibit judicial factfinding that increases maximum criminal ‘sentence[s],’ ‘penalties,’ or 32 ‘punishment[s]’ ” (alterations in original) | “[N]othing in the Southern Union opinion lead[s] us to conclude that our controlling precedent in Carruth . . . . was implicitly overruled.” | stating that Apprendi is based on the “[t]he Sixth Amendment” | extending the rule of Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000) to criminal fines | allowing a fine of up to $50,000 for each day of violation | applying Apprendi to facts necessary to increase the amount of a criminal fine | applying Apprendi to criminal fine imposed in excess of statutory maximum | applying Apprendi to criminal fine imposed in excess of statutory maximum | “[0]ur decisions broadly prohibit judicial factfinding that increases maximum criminal sentences, penalties, or punishments.... ” (internal quotation marks and alterations omitted) | Apprendi applies to fines where the maximum is based on “the amount of ... the victim’s loss.” | it was error to punish convicted corporation with fines for days beyond those the jury found the corporation to have committed the offense | “Criminal fines, like . . . other forms of punishment, are penalties inflicted by the -5- sovereign for the commission of offenses.” | it was error to punish convicted corporation with fines for days beyond those the jury found the corporation to have committed the offense | “In any event, our statement in [a previous case] was unnecessary to the judgment and is not binding.” | “Nor, a fortiori, could there be 17 an Apprendi violation where no maximum is prescribed.” | "The prosecutor/adjudicator plays an important role in many 'European inquisitorial' systems. But those prosecutors, unlike ours, typically are trained formally to be more like neutral adjudicators than advocates.” | “Nor, a fortiori, could there be an Apprendi violation where no maximum is prescribed.” | “[O]ur 13 decisions broadly prohibit judicial factfinding that increases 14 maximum criminal sentences, penalties, or punishments. . . .” 15 (internal quotation marks and alterations omitted) | “Nor, a fortiori, could there be an Apprendi violation where no maximum is prescribed” | “The Sixth Amendment reserves to juries the determination of any fact, other than the fact of a prior conviction, that increases a criminal defendant’s maximum potential sentence.” | “court [may] select a fine from within the maximum authorized by jury-found facts” | Apprendi and Sixth Amendment right to jury trial only “triggered” when punishment imposed | criminal fine increased by the duration of a corporate defendant’s crime | imposition of criminal fines based on judicial factfinding | aggravating punitive fine range with additional fine | jury must determine facts establishing criminal fine | “Apprendi does not apply to the MVRA.” | jury must determine facts establishing criminal fine
Citator
- Cited by
- 97 opinions
delivered the opinion of the Court.
The Sixth Amendment reserves to juries the determination of any fact, other than the fact of a prior conviction, that increases a criminal defendant’s maximum potential sentence. Apprendi v. New Jersey, 530 U. S. 466 (2000); Blakely v. Washington, 542 U. S. 296 (2004). We have applied this principle in numerous cases where the sentence was imprisonment or death. The question here is whether the same rule applies to sentences of criminal fines. We hold that it does.
I
Petitioner Southern Union Company is a natural gas distributor. Its subsidiary stored liquid mercury, a hazardous substance, at a facility in Pawtucket, Rhode Island. In September 2004, youths from a nearby apartment complex broke into the facility, played with the mercury, and spread it around the facility and complex. The complex’s residents were temporarily displaced during the cleanup and most underwent testing for mercury poisoning.
In 2007, a grand jury indicted Southern Union on multiple counts of violating federal environmental statutes. As relevant here, the first count alleged that the company knowingly stored liquid mercury without a permit at the Paw-tucket facility “[fjrom on or about September 19, 2002 until on or about October 19, 2004,” App. 104, in violation of the Resource Conservation and Recovery Act of 1976 (RCRA), see 90 Stat. 2812, as amended, 42 U. S. C. § 6928(d)(2)(A). A jury convicted Southern Union on this count following a trial in the District Court for the District of Rhode Island. The
Violations of the RCRA are punishable by, inter alia, “a fine of not more than $50,000 for each day of violation.” 16928(d). At sentencing, the probation office set a maximum fine of $38.1 million, on the basis that Southern Union violated the RCRA for each of the 762 days from September 19, 2002, through October 19, 2004. Southern Union objected that this calculation violated A-pprendi because the jury was not asked to determine the precise duration of the violation. The company noted that the verdict form listed only the violation’s approximate start date (i. e., “on or about”), and argued that the court’s instructions permitted conviction if the jury found even a 1-day violation. Therefore, Southern Union maintained, the only violation the jury necessarily found was for one day, and imposing any fine greater than the single-day penalty of $50,000 would require factfinding by the court, in contravention of Apprendi.
The Government acknowledged the jury was not asked to specify the duration of the violation, but argued that Ap-prendi does not apply to criminal fines. The District Court disagreed and held that Apprendi applies. But the court concluded from the “content and context of the verdict all together” that the jury found a 762-day violation. App. to Pet. for Cert. 46a. The court therefore set a maximum potential fine of $38.1 million, from which it imposed a fine of $6 million and a “community service obligatio[n]” of $12 million. App. 154.
On appeal, the United States Court of Appeals for the First Circuit rejected the District Court’s conclusion that the jury necessarily found a violation of 762 days. 630 F. 3d 17, 36 (2010). But the Court of Appeals affirmed the sentence because it also held, again in contrast to the District Court, that Apprendi does not apply to criminal fines. 630 F. 3d, at 33-36. Other Circuits have reached the opposite conclusion.
II
A
This case requires us to consider the scope of the Sixth Amendment right of jury trial, as construed in Apprendi. Under Apprendi, “[o]ther than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.” 530 U. S., at 490. The “‘statutory maximum’ for Apprendi purposes is the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant.” Blakely, 542 U. S., at 303 (emphasis deleted). Thus, while judges may exercise discretion in sentencing, they may not “inflic[t] punishment that the jury’s verdict alone does not allow.” Id., at 304.
Apprendi’& rule is “rooted in longstanding common-law practice.” Cunningham v. California, 549 U. S. 270, 281 (2007). It preserves the “historic jury function” of “determining whether the prosecution has proved each element of an offense beyond a reasonable doubt.” Oregon v. Ice, 555 U. S. 160, 163 (2009). We have repeatedly affirmed this rule by applying it to a variety of sentencing schemes that allowed judges to find facts that increased a defendant’s maximum authorized sentence. See Cunningham, 549 U. S., at 274-275 (elevated “upper term” of imprisonment); United States v. Booker, 543 U. S. 220, 226-227, 233-234 (2005) (increased imprisonment range for defendant under then-mandatory Federal Sentencing Guidelines); Blakely, 542 U. S., at 299-300 (increased imprisonment above statutorily prescribed “standard range”); Ring v. Arizona, 536 U. S. 584, 588-589 (2002) (death penalty authorized upon finding exist
. While the punishments at stake in those cases were imprisonment or a death sentence, we see no principled basis under Apprendi for treating criminal fines differently. Ap-prendi'“core concern” is to reserve to the jury “the determination of facts that warrant punishment for a specific statutory offense.” Ice, 555 U. S., at 170. That concern applies whether the sentence is a criminal fine or imprisonment or death. Criminal fines, like these other forms of punishment, are penalties inflicted by the sovereign for the commission of offenses. Fines were by far the most common form of noncapital punishment in colonial America.1 They are frequently imposed today, especially upon organizational defendants who cannot be imprisoned.2 And the amount of a fine, like the maximum term of imprisonment or eligibility for the death penalty, is often calculated by reference to particular facts. Sometimes, as here, the fact is the duration of a statutory violation;3 under other statutes it is the amount
The Government objects, however, that fines are less onerous than incarceration and the death sentence. The Government notes that Apprendi itself referred to the physical deprivation of liberty that imprisonment occasions, see 530 U. S., at 484, and that we have placed more weight on imprisonment than on fines when construing the scope of the Sixth Amendment rights to counsel and jury trial. See Blanton v. North Las Vegas, 489 U. S. 538, 542-543 (1989) (jury trial); Scott v. Illinois, 440 U. S. 367, 373-374 (1979) (counsel). Therefore, the Government concludes, fines categorically “do not implicate” the “primary concerns motivating Apprendi.” Brief for United States 23-25.
This argument fails because its conclusion does not follow from its premise. Where a fine is so insubstantial that the underlying offense is considered “petty,” the Sixth Amendment right of jury trial is not triggered, and no Apprendi issue arises. See, e. g., Muniz v. Hoffman, 422 U. S. 454, 477
But not all fines are insubstantial, and not all offenses punishable by fines are petty. See, e. g., Mine Workers v. Bagwell, 512 U. S. 821, 838, n. 5 (1994) (criminal contempt fine of $52 million imposed on union “unquestionably is a serious contempt sanction” that triggers right of jury trial). The federal twice-the-gain-or-loss statute, in particular, see 18 U. S. C. § 3571(d), has been used to obtain substantial judgments against organizational defendants. See, e. g., Amended Judgment in United States v. LG Display Co., Ltd., No. 08-CR-803-SI (ND Cal.), pp. 1-2 ($400 million fine for conviction of single count of violating Sherman Antitrust Act); Judgment in United States v. Siemens Aktiengesellschaft, No. 08-CR-367-RJL (D DC), pp. 1-2, 5 ($448.5 million fine for two violations of Foreign Corrupt Practices Act); United States Sentencing Commission, 2010 Annual Report, ch. 5, p. 38 (noting fine of $1,195 billion imposed on pharmaceutical corporation for violations of food and drug laws). And, where the defendant is an individual, a large fine may “engender ‘a significant infringement of personal freedom.’ ” Blanton, 489 U. S., at 542 (quoting Frank v. United States, 395 U. S. 147, 151 (1969)); see also 18 U. S. C. § 3572(a)(2) (requiring court to consider “the burden that the fine will impose upon the defendant” in determining whether to impose a fine and in what amount).
The Government thus asks the wrong question by comparing the severity of criminal fines to that of other punish
This case is exemplary. The RCRA subjects Southern Union to a maximum fine of $50,000 for each day of violation. 42 U. S. C. § 6928(d). The Government does not deny that, in light of the seriousness of that punishment, the company was properly accorded a jury trial. And the Government now concedes the District Court made factual findings that increased both the “potential and actual” fine the court imposed. Brief for United States 28. This is exactly what Apprendi guards against: judicial factfinding that enlarges the maximum punishment a defendant faces beyond what the jury’s verdict or the defendant’s admissions allow.
B
In concluding that the rule of Apprendi does not apply to criminal fines, the Court of Appeals relied on our decision in Ice. Ice addressed the question whether, when a defendant is convicted of multiple offenses, Apprendi forbids judges to determine facts that authorize the imposition of consecutive sentences. 555 U. S., at 164. In holding that Apprendi does not, Ice emphasized that juries historically played no role in deciding whether sentences should run consecutively or concurrently. See 555 U. S., at 168-169. The Court of Appeals reasoned that juries were similarly uninvolved in setting criminal fines. 630 F. 3d, at 35.5
The exercise of such sentencing discretion is fully consistent with Apprendi, which permits courts to impose “judgment within the range prescribed by statute.” 530 U. S., at 481 (emphasis in original). Nor, a fortiori, could there be an Apprendi violation where no maximum is prescribed. Indeed, in surveying the historical record that formed the basis of our holding in Apprendi, we specifically considered
In any event, the salient question here is what role the jury played in prosecutions for offenses that did peg the amount of a fine to the determination of specified facts— often, the value of damaged or stolen property. See Apprendi, 530 U. S., at 502, n. 2 (Thomas, J., concurring). Our review of state and federal decisions discloses that the predominant practice was for such facts to be alleged in the indictment and proved to the jury. See, e. g., Commonwealth v. Smith, 1 Mass. 245, 247 (1804) (declining to award judgment of treble damages for all stolen items in larceny prosecution when indictment alleged value of only some of the items); Clark v. People, 2 Ill. 117, 120-121 (1833) (arson indictment must allege value of destroyed building because
As counterevidence that juries historically did not determine facts relevant to criminal fines, the Government points
The Government and dissent place greater reliance on United States v. Tyler, 7 Cranch 285 (1812). But like Murphy, this decision involved no constitutional question. Rather, it construed a federal embargo statute that imposed a fine of four times the valúe of the property intended to be exported. The indictment identified the property at issue as “pearl-ashes,” but the jury’s guilty verdict referred instead to “‘pot-ashes [that] were worth two hundred and eighty dollars.’” Tyler, 7 Cranch, at 285.7 The question was whether the discrepancy rendered the verdict “not suf
Ill
The Government’s remaining arguments, echoed by the dissent (see post, at 381-386), are unpersuasive. The Government first submits that, when it comes to fines, “the judicially found facts typically involve only quantifying the harm caused by the defendant’s offense”—for example, how long did the violation last, or how much money did the defendant gain (or the victim lose)?—“as opposed to defining a separate set of acts for punishment.” Brief for United States 25. Only the latter determination, the Government contends, implicates Apprendi’s concerns.
This argument has two defects. First, it rests on an assumption that Apprendi and its progeny have uniformly rejected: that in determining the maximum punishment for an offense, there is a constitutionally significant difference
The Government next contends that applying Apprendi to fines will prevent States and the Federal Government from enacting statutes that, like § 6928(d), calibrate fines to a defendant’s culpability, thus providing just punishment and reducing unwarranted sentencing disparity. But the Government presents a false choice. As was true in our prior Apprendi cases, and remains so here, legislatures are free to enact statutes that constrain judges’ discretion in sentencing—Apprendi requires only that such provisions be administered in conformance with the Sixth Amendment.
Last, the Government argues that requiring juries to determine facts related to fines will cause confusion (because expert testimony might be needed to guide the inquiry); or prejudice the defendant (who might have to deny violating a statute while simultaneously arguing that any violation was minimal); or be impractical (at least when the relevant facts are unknown or unknowable until the trial is completed).8 These arguments rehearse those made by the dissents in
But here there is particular reason to doubt the strength of these policy concerns. Apprendi is now more than a decade old. The reliance interests that underlie many of the Government’s arguments are by this point attenuated. Nor, in our view, does applying Apprendi’s rule to criminal fines mark an unexpected extension of the doctrine. Most Circuits to have addressed the issue already embrace this position, see Pfaff, 619 F. 3d, at 175-176; LaGrou Distribution Sys., 466 F. 3d, at 594; United States v. Yang, 144 Fed. Appx. 521, 524 (CA6 2005), as did the Government prior to Ice, see Brief in Opposition 11, n. 2. In light of the reasons given in this opinion, the dramatic departure from precedent would be to hold criminal fines exempt from Apprendi.
* * *
We hold that the rule of Apprendi applies to the imposition of criminal fines. The judgment of the Court of Appeals is reversed, and the case is remanded for further proceedings consistent with this opinion.
It is so ordered.
See Preyer, Penal Measures in the American Colonies: An Overview, 26 Am. J. Legal Hist. 326, 350 (1982) (hereinafter Preyer); see also Lill-quist, The Puzzling Return of Jury Sentencing: Misgivings About Apprendi, 82 N. C. L. Rev. 621, 640-641 (2004) (hereinafter Lillquist); Browning-Ferris Industries of Vt., Inc. v. Kelco Disposal, Inc., 492 U. S. 257, 290 (1989) (O’Connor, J., concurring in part and dissenting in part) (fines were “the preferred penal sanction” in England by the 17th century). “Imprisonment,” in contrast, “although provided for as a punishment in some colonies, was not a central feature of criminal punishment until a later time.” Preyer 329; see also Lillquist 641-643.
In 2011, a fine was imposed on 9% of individual defendants and on 70.6% of organizational defendants in the federal system. See United States Sentencing Commission, 2011 Annual Report, ch. 5, pp. 34, 40.
See, e.g., 12 U.S.C. § 1467a(i)(1); 15 U.S.C. § 717t(b); 16 U.S.C. § 825o(b); Cal. Health & Safety Code Ann. § 25515(a) (West Supp. 2012); Colo. Rev. Stat. Ann. §§ 25-7-122.1(1)(b) and (e) (2011); Mass. Gen. Laws, ch. 21, § 34C (West 2010); N. J. Stat. Ann. § 13:1E-99.89(f) (West Supp. 2012).
See, e. g., 18 U. S. C. § 3571(d) (fine “not more than the greater of twice the gross gain or twice the gross loss”); Fla. Stat. § 775.083(1)(f) (2010) (same); Tex. Parks & Wild. Code Ann. § 12.410(c) (West 2002) (same); see also 18 U. S. C. § 645 (fine for embezzlement by officers of United States courts of up to twice the value of the money embezzled); § 201(b) (fine for bribery of public officials of up to three times the value of the bribe).
Ice also stated in dicta that applying Apprendi to consecutive-versus-concurrent sentencing determinations might imperil a variety of sentencing decisions judges commonly make, including “the imposition of statuto
The dissent believes these decisions are inapposite because some of them arose in States that authorized juries, rather than judges, to impose sentence. See post, at 377-379. But this fact was not the basis of the decisions; rather, the courts required value to be alleged and proved to the jury because “the extent of the punishment . . . depend[s] upon the value of the property consumed or injured.” Ritchey, 7 Blackf., at 169; see also, e. g., Clark, 2 Ill., at 120-121 (same). And as Bishop explained, this requirement of proof originated not from a unique feature of jury sentencing, but from longstanding common-law principles—a point to which the dissent notably does not respond. 1 J. Bishop, Criminal Procedure §§ 81, 540 (2d ed. 1872). See infra, at 356.
Nor, for that matter, do larceny cases “presenft] a special circumstance.” Post, at 379. Such decisions invoked the same reasoning as the other cases just mentioned. See, e. g., Hope, 50 Mass., at 137 (value must be proved because, among other things, “[o]ur statutes ... prescribe the punishment for larceny ... with reference to the value of the property stolen”); Goodrich, 46 N. H., at 188 (same). Bishop made this point explicit: “[Value]
We will not keep the reader in suspense: Pot-ash and pearl-ash are alkaline salts of differing causticity that “for a long time [were] amongst the most valuable articles of manufacture and commerce” in parts of early America. D. Townsend, Principles and Observations Applied to the Manufacture and Inspection of Pot and Pearl Ashes 3 (1793). See also Board of Trustees of Leland Stanford Junior Univ. v. Roche Molecular Systems, Inc., 563 U. S. 776, 785 (2011).
In this vein, the dissent speculates that today’s decision may “nudg[e] our [criminal justice] system” further in favor of plea bargains at the expense of jury trials. Post, at 386. But groups representing the interests of defendants—whom the dissent’s rule purportedly favors—tell us the opposite is true. See Brief for Chamber of Commerce of the United States of America et al. as Amici Curiae 5 (“[Exempting criminal fines from Apprendi makes innocent defendants more likely to plead guilty”).