AGEE, Circuit Judge:
Pursuant to 18 U.S.C. § 5032, the Government filed a motion to transfer the Defendant — who was a juvenile at the time of the alleged offense — for prosecution as an adult for murder in aid of racketeering, in violation of 18 U.S.C. § 1959(a)(1).
The Government appeals the district court's decision, contending that its transfer motion should have been granted because the Defendant could have been sentenced to a term of years up to a discretionary life sentence. For the reasons
Although the constitutionality of the juvenile transfer provisions are not at issue in this case, they form the backdrop for our discussion. The Juvenile Justice and Delinquency Prevention Act ("the Act"), 18 U.S.C. § 5031 et seq., was adopted to "remove juveniles from the ordinary criminal process in order to avoid the stigma of a prior criminal conviction and to encourage treatment and rehabilitation." United States v. Robinson, 404 F.3d 850, 858 (4th Cir.2005).
In relevant part, the Act permits juveniles 15 years or older to be transferred from juvenile status for prosecution as an adult if they are alleged to have committed certain violent crimes, including murder. 18 U.S.C. § 5032. The district court has authority to grant the transfer to adult status if, after a hearing, it finds by a preponderance of the evidence that "transfer would be in the interest of justice." Id. The statute delineates six factors for the court to consider in this inquiry, including the age and social background of the juvenile, the nature of the alleged offense, and the juvenile's prior delinquency record. Id.
When he was a few months shy of his eighteenth birthday, the Defendant allegedly participated in a gang-related murder. The Government filed a delinquency information and certification against the Defendant pursuant to 18 U.S.C. § 5032 and simultaneously moved to transfer him for prosecution as an adult for murder in aid of racketeering, in violation of 18 U.S.C. § 1959(a)(1).
The Defendant opposed the motion, arguing that transfer would be unconstitutional given the Supreme Court's decisions holding that juvenile offenders could not be sentenced to either death or mandatory life imprisonment, which are the only penalties authorized in § 1959(a)(1) for murder in aid of racketeering. Separately, he also contested whether transfer was in the "interest of justice" under the § 5032 factors.
The district court concluded that although the interest-of-justice factors supported transfer, it would be unconstitutional to grant the Government's motion. This was so, it explained, because district courts do not have discretion to sentence a defendant to less than the statutory mandatory minimum penalty, which, for violating § 1959(a)(1), is life imprisonment. It recognized that under the Supreme Court's decision in Miller v. Alabama, 132 S.Ct. 2455 (2012), imposing a mandatory life sentence
The Government noted a timely appeal, and we have jurisdiction to consider this interlocutory appeal under the collateral order doctrine. See United States v. Smith, 851 F.2d 706, 708 (4th Cir.1988); see also United States v. Leon, 132 F.3d 583, 588-89 (10th Cir.1997).
The parties agree that the Supreme Court's recent decisions prohibit a straight-forward transfer, prosecution, and sentencing of a juvenile under the terms of the federal murder in aid of racketeering statute. This is so because over the past eleven years the Supreme Court has issued several decisions affecting the constitutional boundaries of sentences imposed on offenders who were juveniles when their crimes were committed. Montgomery, 136 S.Ct. at 723.
In Roper v. Simmons, 543 U.S. 551, 125 S.Ct. 1183, 161 L.Ed.2d 1 (2005), the Supreme Court held that the Constitution's guarantee against cruel and unusual punishment prohibited juvenile offenders from being sentenced to death. Id. at 578, 125 S.Ct. 1183 ("The Eighth and Fourteenth Amendments forbid imposition of the death penalty on offenders who were under the age of 18 when their crimes were committed."). In Graham v. Florida, 560 U.S. 48, 130 S.Ct. 2011, 176 L.Ed.2d 825 (2010), the Supreme Court held that the Constitution also prohibits juvenile offenders convicted of nonhomicide offenses from being sentenced to life imprisonment without parole. Id. at 82, 130 S.Ct. 2011.
136 S.Ct. at 734.
It is in the context of the foregoing decisions that we examine the statute under which the Government seeks to prosecute
18 U.S.C. § 1959(a).
Under the plain language of § 1959(a)(1), Congress has authorized two penalties — and only two penalties — for the crime of murder in aid of racketeering: "death or life imprisonment."
But, as reflected above, Miller and Roper have prohibited juveniles from being sentenced to either of the congressionally authorized punishments for murder in aid of racketeering. Thus, the crux of the case before us is whether a judicial remedy exists that would nonetheless allow juveniles to be prosecuted for this offense, yet subjected to a punishment different from that enacted by Congress.
The Government contends that the district court should have permitted transfer because if the Defendant is convicted of violating § 1959(a)(1), the district court could sentence him to a term of years up to a maximum of life imprisonment. Although we review the decision to deny a motion to transfer for abuse of discretion,
In support of its argument, the Government relies on the principle that unconstitutional portions of a statute can be "severed or excised so that the remaining constitutional portions may be applied." Opening Br. 12. The Government contends that the impermissible punishments can be excised from § 1959(a)(1), leaving intact language contained later in that subsection for the separate criminal act of kidnapping in aid of racketeering, which authorizes a term of years up to a discretionary maximum sentence of life. Specifically, the Government urges the following excision of the sentencing portion of the statute as applied to juvenile offenders:
§ 1959(a). The Government argues that this reconstruction of the statute recognizes that Congress would rather have a constitutional penalty provision of this sort than have the entire penalty provision declared inapplicable to the worst juvenile offenders. Additionally, the Government maintains that this approach is consistent with how other courts have proceeded in light of Miller.
When a court determines that a statute contains unconstitutional provisions, it will "try to limit the solution to the problem" by considering, for example, whether it is possible "to sever its problematic portions while leaving the remainder intact." Ayotte v. Planned Parenthood of N. New England, 546 U.S. 320, 328-29, 126 S.Ct. 961, 163 L.Ed.2d 812 (2006). But in Roper and Miller, the Supreme Court's rulings affected multiple state and federal statutes and the Court did not proceed to this next step of a possible severability remedy. Some state legislatures have since enacted statutes aimed at rectifying their problematic sentencing provisions created by these decisions. E.g., 2014 Fla. Laws 220, 2014 Mich. Pub. Acts 22, 2013 Cal. Stat. ch. 312.
"Severance is a tool for preserving the current statute, and it flows from the principle that invalidating a whole statute may nullify more of the work of the people's
The Supreme Court has articulated the "well established" "standard for determining severability" as follows:
Alaska Airlines, Inc. v. Brock, 480 U.S. 678, 684, 107 S.Ct. 1476, 94 L.Ed.2d 661 (1987). As this standard reflects, severance only works "if the balance of the legislation [can] function[ ] independently." Id.; see also Free Enter. Fund v. Pub. Co. Accounting Oversight Bd., 561 U.S. 477, 508, 130 S.Ct. 3138, 177 L.Ed.2d 706 (2010) (holding that the statute remained "fully operative as a law" following excision of unconstitutional provisions, so excision was permitted so long as continued enforceability of the excised statute would be consistent with congressional intent). But where the "balance of the legislation is incapable of functioning independently," then severance is not a viable option. Alaska Airlines, 480 U.S. at 685, 107 S.Ct. 1476.
Articulating a crime and providing a penalty for its commission are indelibly linked. As the Supreme Court has observed,
Apprendi v. New Jersey, 530 U.S. 466, 478-79, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000). Indeed, the defining characteristic of a criminal statute is its punitive effect. See Smith v. Doe, 538 U.S. 84, 92, 123 S.Ct. 1140, 155 L.Ed.2d 164 (2003) (describing the process of determining whether a statute should be characterized as criminal or civil by looking to whether the legislature intended to impose punishment, and if not, then whether its scheme is nonetheless "so punitive either in purpose or effect as to negate the State's intention to deem it civil"); see also Black's Law Dictionary 1634 (10th ed.) (defining "penal statute" as "[a] statute by which punishments are imposed for transgressions of the law").
Given this inherent connection between the crime and its stated punishment, the Supreme Court has affirmed the dismissal of an indictment charging a violation of an offense for which the statute provided no corresponding penalty. United States v. Evans, 333 U.S. 483, 495, 68 S.Ct. 634, 92 L.Ed. 823 (1948). In that case, the Court noted that while the statute articulated multiple crimes, the penalty provision was limited by its plain terms to only certain offenses. Id. at 484, 68 S.Ct. 634.
As enacted, § 1959(a)(1) functions without interpretive difficulty in the sentencing of adult defendants: a person convicted for murder in aid of racketeering "shall be punished" "by death or life imprisonment, or a fine under this title, or both[.]" Id. But once these unconstitutional punishments for murder in aid of racketeering are removed for purposes of prosecuting juveniles, as the Government now asks, no applicable penalty provision remains.
Nonetheless, the Government posits that the structure of § 1959(a)(1), which includes separate punishment provisions for murder and kidnapping, could be reconstructed by making the penalty for the act of kidnapping applicable to the act of murder. The Government's proposal contravenes the principles governing both severance and due process.
At the outset, we observe that § 1959(a) prohibits committing (or attempting or conspiring to commit) several violent crimes in aid of racketeering. See United States v. Fiel, 35 F.3d 997, 1003 (4th Cir. 1994). The statute's punishment provisions are each articulated in terms of the underlying violent crime. Subsection (1) sets the punishments for two of those underlying violent crimes: murder and kidnapping.
Substituting the congressionally designated punishment for one distinct act for that articulated for another, separate act goes beyond the permissible boundaries of severance and treads into the legislative role. See Ayotte, 546 U.S. at 329, 126 S.Ct. 961 (cautioning that courts cannot rewrite statutes in the name of severance in order "to conform [them] to constitutional requirements"). Legislatures, not courts, are charged with articulating the authorized penalties for criminal conduct. See Harris v. United States, 536 U.S. 545, 557, 122 S.Ct. 2406, 153 L.Ed.2d 524 (2002) (explaining that defining criminal conduct, including its appropriate punishment, is "a task generally left to the legislative branch"); Mistretta v. United States, 488 U.S. 361, 364, 109 S.Ct. 647, 102 L.Ed.2d 714 (1989) ("Congress, of course, has the power to fix the sentence for a federal crime, and the scope of judicial discretion with respect to a sentence is subject to congressional control."). Only when Congress has articulated the penalties authorized by law for a criminal act does the judiciary's work begin. E.g., Williams v. New York, 337 U.S. 241, 247, 69 S.Ct. 1079, 93 L.Ed. 1337 (1949) (noting that a sentencing
To demonstrate why the Government's proposal in this case differs from an appropriate remedy of severance and excision, and instead usurps the constitutional allocation of the power to write a statute to Congress, consider the following illustration. After Roper, but before Miller, the Supreme Court had only declared that it was unconstitutional to sentence juveniles to death and left intact the constitutionality of lesser sentences. At that point in time, a juvenile such as the Defendant could not have been sentenced to death, but could (and must) have been sentenced to mandatory life imprisonment. Thus, post-Roper, the murder in aid of racketeering statute effectively could have been excised to read:
18 U.S.C. § 1959(a)(1). In looking at the severance remedy of excising the unconstitutional death penalty provision, an acceptable punishment that Congress had specifically authorized remained intact: mandatory life imprisonment. And because "the balance of the legislation [could] function[ ] independently," excising the unconstitutional death penalty provision and enforcing the remainder would have been an appropriate judicial action. Alaska Airlines, 480 U.S. at 685, 107 S.Ct. 1476.
But what the Government proposes here post-Miller is altogether different: using excision to combine the penalty provisions for two distinct criminal acts. The serendipitous juxtaposition of the two separate criminal acts (murder and kidnapping) within one subsection of § 1959(a) does not make the Government's proposal any less of an impermissible judicial rewriting of one offense's penalty provision.
We also observe that the Government's reliance on United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005), overstates a court's goal of looking to what Congress would have preferred in remedying the problem of unconstitutional provisions through severance. Booker expressly disclaimed "creat[ing] a new kind of severability analysis," id. at 247, 125 S.Ct. 738, and applied the well-established inquiry we described earlier. Id. at 246, 248-49, 125 S.Ct. 738. That inquiry looks to legislative intent in determining whether unconstitutional provisions can be severed from constitutional ones, and leaves in place "valid provisions of an act ... unless it is evident that the Legislature would not have enacted those provisions which are within its power, independently of that which is not." Pittston Co. v. United States, 368 F.3d 385, 400 (4th Cir.2004); see also Ayotte, 546 U.S. at 330, 126 S.Ct. 961 (reiterating that "a court cannot use its remedial powers to circumvent the intent of the legislature"). But nothing in Booker allows this Court to replace excised language from one provision with language not previously applicable to it from a separate provision. See Ayotte, 546 U.S. at 329, 126 S.Ct. 961 (observing, post-Booker, that when considering whether severability is an appropriate remedy, courts must "restrain [them]selves from rewriting [the] law to conform it to constitutional requirements even as we strive to salvage it").
Looking to legislative intent to remedy a constitutional defect is of limited utility when there is no indication what that legislative intent would be under the circumstances. See Booker, 543 U.S. at 246, 125 S.Ct. 738. In the absence of language in the murder in aid of racketeering penalty provision itself that could authorize a term of less than life imprisonment, we cannot fill a void in the statutory language by looking to other offenses.
Grafting a newly applicable penalty provision into the murder in aid of racketeering statute, as the Government proposes, also runs counter to the Constitution's guarantee of due process. "Elementary notions of fairness enshrined in our constitutional jurisprudence dictate that a person receive fair notice not only of the conduct that will subject him to punishment, but also of the severity of the penalty that a State may impose." BMW of N. Am. v. Gore, 517 U.S. 559, 574, 116 S.Ct. 1589, 134 L.Ed.2d 809 (1996); see United States v. Batchelder, 442 U.S. 114, 123, 99 S.Ct. 2198, 60 L.Ed.2d 755 (1979) (observing that "vague sentencing provisions may pose constitutional questions if they do not state with sufficient clarity the consequences of violating a given criminal statute").
Our concerns about lack of notice arise from the Government urging us to look outside the express language of the stated offense for an acceptable alternative penalty. When the crime at issue in this case occurred, Congress unambiguously informed individuals that murder in aid of racketeering was punishable by death or mandatory life imprisonment. Congress provided for no other penalty. However, a juvenile like the Defendant could not be sentenced to either of those punishments after Miller. Nor would that juvenile have notice at the time of the alleged crime that he could be subject to any other punishment, such as imprisonment to a term of years. And, more precisely for the Government's proposal, a juvenile had no notice at the time of the alleged crime that the punishment provided for a different offense (kidnapping in aid of racketeering) might now be applicable to him through the court's use of severability principles.
The Government argues that juveniles such as the Defendant had adequate notice of their potential maximum punishment — life imprisonment — based on the existing statutory language, and that Miller simply required a court to consider certain factors before imposing that maximum sentence.
The Government also points to various cases where juvenile offenders convicted under a statute requiring life imprisonment prior to Miller have subsequently been sentenced or resentenced to a term of years or a discretionary life sentence. For example, the Government cites United States v. Maldonado, No. 09 Cr. 339-02, 2012 WL 5878673 (S.D.N.Y. Nov. 21, 2012), aff'd sub nom. United States v. Guerrero, 560 Fed.Appx. 110 (2d Cir.2014), a district court decision in which the juvenile offender had been convicted prior to Miller for two offenses that carried mandatory terms of life imprisonment. Id. at *9. At the defendant's post-Miller sentencing hearing, the district court observed that a mandatory life sentence could no longer be imposed, and then proceeded to analyze the factors outlined in Miller. The court concluded those factors supported life imprisonment and imposed that sentence. Id. at *9-11.
This case does not offer persuasive support for the proposition that for a crime committed after Miller, the Government can initiate a prosecution against a juvenile for an offense when its only articulated penalties are prohibited. As an initial matter, it does not appear that the parties in Maldonado raised the arguments presented here. Maldonado does not involve a defendant whose alleged criminal conduct occurred after Miller, nor does it involve a prosecution that began after Miller. This procedural difference also means that Maldonado did not give rise to the due process problems the instant case poses because at the time that Maldonado committed his crime and was prosecuted for it, the statute had a functioning penalty provision. Only later did any constitutional prohibition come to light.
The Government also cites to a handful of cases where federal courts have authorized the resentencing of juvenile offenders convicted and sentenced prior to Miller to support its position that sentencing courts can impose a term of years instead of mandatory life imprisonment. E.g., United States v. Bryant, 609 Fed.Appx. 925, 927 (9th Cir.2015); Pete v. United States, Nos. CV 13-8149-PCT-RCB (DKD), CR 03-0355-PCT-RCB, 2014 WL 88015, at *1-2 (D.Ariz. Jan. 9, 2014) (government conceded retroactive applicability and did not oppose defendant's § 2255 motion for resentencing, so district court ordered that relief in light of Miller requiring individualized sentencing for juvenile offenders). But these cases are distinguishable for the same reasons set forth above. Those courts were looking to how to remedy a mandatory life sentence that was validly imposed at the time, but which was subsequently determined to be unconstitutional. That presents a fundamentally different inquiry from the case before us.
Lastly, the Government asserts that the district court's rationale, coupled with the conclusion that Miller is retroactive, would
Whatever the appropriate remedies may be for those juvenile offenders who were convicted and sentenced prior to Miller, they stand on entirely different ground than the Defendant. This case only requires considering whether initiating prosecution of a juvenile for murder in aid of racketeering alleged to have occurred after Miller would be unconstitutional because the sentencing court could not constitutionally impose the only two authorized penalties for that offense. We hold that such a prosecution cannot constitutionally proceed.
The Supreme Court's conclusion in Evans nearly seven decades ago aptly addresses the Government's argument for a judicial remedy in the case before us:
333 U.S. at 495, 68 S.Ct. 634.
For that reason and as further explained above, we agree with the district court that the Defendant cannot be prosecuted for murder in aid of racketeering because his conviction would require the court to impose an unconstitutional sentence.
AFFIRMED
By its terms, this provision does not apply to the Defendant because he has no prior qualifying conviction.
Umaña, 750 F.3d at 334-35. Obviously, to establish a murder-based offense, the Government's proof as to the third and fourth elements must demonstrate that the defendant committed a murder, while to establish a kidnapping-based offense, the Government's proof must relate to kidnapping. See id.
The Government overlooks the Booker opinion's recognition immediately prior to that statement that the excision of the standard-of-review provisions did "not pose a critical problem for the handling of appeals ... because, as we have previously held, a statute that does not explicitly set forth a standard of review may nonetheless do so implicitly." Id. at 260, 125 S.Ct. 738.
In contrast, the excision of a criminal offense's penalty provision does "pose a critical problem" and courts have no authority to implicitly decide an appropriate punishment range in the first instance.
To the extent this case raises problems with notice and warning, they fall within the ambit of the Due Process Clause. Id. at 459, 121 S.Ct. 1693 (observing that prior cases addressing the ex post facto consequences of judicial actions have "rested on core due process concepts of notice, foreseeability, and ... the right to fair warning"); cf. Peugh, 133 S.Ct. at 2085 (observing that, in part, the Ex Post Facto Clause "ensures that individuals have fair warning of applicable laws").