Lewis v. U.S.

• Decision Date: 24 June 1996
• Docket Number: 956465
• Parties: LEWIS v. UNITED STATES
• Court: U.S. Supreme Court

518 U.S. 322

116 S.Ct. 2163

135 L.Ed.2d 590

LEWIS

v UNITED STATES

Certiorari to the United States Court of Appeals for the Second Circuit.

No. 95-6465.

Argued April 23, 1996

Decided June 24, 1996

Syllabus

Petitioner was charged with two counts of obstructing the mail, each charge carrying a maximum authorized prison sentence of six months. He requested a jury, but the magistrate judge ordered a bench trial, explaining that because she would not sentence him to more than six months' imprisonment, he was not entitled to a jury trial. The District Court affirmed. In affirming, the Court of Appeals noted that the Sixth Amendment jury-trial right pertains only to those offenses for which the legislature has authorized a maximum penalty of over six months' imprisonment, and that because each offense charged here was petty in character, the fact that petitioner was facing more than six months' imprisonment in the aggregate did not entitle him to a jury trial. The court explained in dictum that because the offense's characterization as petty or serious determined the right to a jury trial, not the sentence faced, a trial judge's self-imposed limitation on sentencing could not deprive a defendant of that right.

Held:

1. A defendant who is prosecuted in a single proceeding for multiple petty offenses does not have a Sixth Amendment right to a jury trial where the aggregate prison term authorized for the offenses exceeds six months. The right to a jury trial is reserved for defendants accused of serious offenses and does not extend to petty offenses. Duncan v. Louisiana, 391 U. S. 145, 159. The most relevant criterion with which to assess the seriousness of an offense is the legislature's judgment of the offense's character, primarily as expressed in the maximum authorized prison term. An offense carrying a maximum term of six months or less is presumed petty, unless the legislature has authorized additional statutory penalties so severe as to indicate that it considered the offense serious. E.g., Blanton v. North Las Vegas, 489 U. S. 538, 543. Here, by setting the maximum prison term at six months, Congress categorized the offense of obstructing the mail as petty. The fact that petitioner was charged with two counts of a petty offense, and therefore faced an aggregate potential prison term greater than six months, does not change Congress' judgment of the particular offense's gravity, nor does it transform the petty offense into a serious one, to which the jury-trial right would apply. Codispoti v. Pennsylvania, 418 U. S. 506, 511, and Taylor v. Hayes, 418 U. S. 488, distinguished. Pp. 3-8.

2. Because petitioner is not entitled to a jury trial, the Court does not reach the question whether a judge's self-imposed limitation on sentencing may affect the jury-trial right. P. 8. 65 F. 3d 252, affirmed.

O'Connor, J., delivered the opinion of the Court, in which Rehnquist, C. J., and Scalia, Souter, and Thomas, JJ., joined. Kennedy, J., filed an opinion concurring in the judgment, in which Breyer, J., joined. Stevens, J., filed a dissenting opinion, in which Ginsburg, J., joined.

NOTICE: This opinion is subject to formal revision before publication in the preliminary print of the United States Reports. Readers are requested to notify the Reporter of Decisions, Supreme Court of the United States, Washington, D.C. 20543, of any typographical or other formal errors, in order that corrections may be made before the preliminary print goes to press.

Justice O'Connor delivered the opinion of the Court.

This case presents the question whether a defendant who is prosecuted in a single proceeding for multiple petty offenses has a constitutional right to a jury trial where the aggregate prison term authorized for the offenses exceeds six months. We are also asked to decide whether a defendant who would otherwise have a constitutional right to a jury trial may be denied that right because the presiding judge has made a pretrial commitment that the aggregate sentence imposed will not exceed six months.

We conclude that no jury-trial right exists where a defendant is prosecuted for multiple petty offenses. The Sixth Amendment's guarantee of the right to a jury trial does not extend to petty offenses, and its scope does not change where a defendant faces a potential aggregate prison term in excess of six months for petty offenses charged. Because we decide that no jury-trial right exists where a defendant is charged with multiple petty offenses, we do not reach the second question.

I.

Petitioner Ray Lewis was a mail handler for the United States Postal Service. One day, postal inspectors saw him open several pieces of mail and pocket the contents. The next day, the inspectors routed "test" mail, containing marked currency, through petitioner's station. After seeing petitioner open the mail and remove the currency, the inspectors arrested him. Petitioner was charged with two counts of obstructing the mail, in violation of 18 U. S. C. Section(s) 1701. Each count carried a maximum authorized prison sentence of six months. Petitioner requested a jury, but the magistrate judge granted the Government's motion for a bench trial. She explained that because she would not, under any circumstances, sentence petitioner to more than six months' imprisonment, he was not entitled to a jury trial.

Petitioner sought review of the denial of a jury trial, and the District Court affirmed. Petitioner appealed, and the Court of Appeals for the Second Circuit affirmed. 65 F. 3d 252 (1995). The court noted that the Sixth Amendment jury-trial right pertains only to serious offenses, that is, those for which the legislature has authorized a maximum penalty of over six months' imprisonment. The court then addressed the question whether a defendant facing more than six months' imprisonment in the aggregate for multiple petty offenses is nevertheless entitled to a jury trial. The Court of Appeals concluded that, for determination of the right to a jury trial, the proper focus is on the legislature's determination regarding the character of the offense, as indicated by maximum penalty authorized, not on the length of the maximum aggregate sentence faced. Id., at 254-255. Because each offense charged here was petty in character, the court concluded that petitioner was not entitled to a jury trial.

The court explained in dictum that because the character of the offense as petty or serious determined the right to a jury trial, not the sentence faced, a trial judge's self-imposed limitation on sentencing could not deprive a defendant of the right to a jury trial. Id., at 255-256.

We granted certiorari, 516 U. S. ___ (1996), to resolve a conflict in the Courts of Appeals over whether a defendant prosecuted in a single proceeding for multiple petty offenses has a constitutional right to a jury trial, where the aggregate sentence authorized for the offenses exceeds six months' imprisonment, and whether such jury-trial right can be eliminated by a judge's pretrial commitment that the aggregate sentence imposed will not exceed six months. See United States v. Coppins, 953 F. 2d 86 (CA4 1991); United States v. Bencheck, 926 F. 2d 1512 (CA10 1991); Rife v. Godbehere, 814 F. 2d 563 (CA9 1987).

II.

The Sixth Amendment guarantees that "[i]n all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed . . . ." It is well-established that the Sixth Amendment, like the common law, reserves this jury-trial right for prosecutions of serious offenses, and that "there is a category of petty crimes or offenses which is not subject to the Sixth Amendment jury trial provision." Duncan v. Louisiana, 391 U. S. 145, 159 (1968).

To determine whether an offense is properly characterized as "petty," courts at one time looked to the nature of the offense and whether it was triable by a jury at common law. Such determinations became difficult, because many statutory offenses lack common-law antecedents. Blanton v. North Las Vegas, 489 U. S. 538, 541, and n. 5 (1989). Therefore, more recently, we have instead sought "objective indications of the seriousness with which society regards the offense." Frank v. United States, 395 U. S. 147, 148 (1969); accord, District of Columbia v. Clawans, 300 U. S. 617, 628 (1937). Now, to determine whether an offense is petty, we consider the maximum penalty attached to the offense. This criterion is considered the most relevant with which to assess the character of an offense, because it reveals the legislature's judgment about the offense's severity. "The judiciary should not substitute its judgment as to seriousness for that of a legislature, which is far better equipped to perform the task . . . ." Blanton, 489 U. S., at 541 (internal quotation marks omitted). In evaluating the seriousness of the offense, we place primary emphasis on the maximum prison term authorized. While penalties such as probation or a fine may infringe on a defendant's freedom, the deprivation of liberty imposed by imprisonment makes that penalty the best indicator of whether the legislature considered an offense to be "petty" or "serious." Id., at 542. An offense carrying a maximum prison term of six months or less is presumed petty, unless the legislature has authorized additional statutory penalties so severe as to indicate that the legislature considered the offense serious. Id., at 543; Codispoti v. Pennsylvania, 418 U. S. 506, 512 (1974).

Here, the maximum authorized penalty for obstruction of mail is six months' imprisonment-a penalty that presumptively places the offense in the "petty" category. We face the question whether petitioner is nevertheless entitled to a jury trial, because he was tried in a single proceeding for two counts of the petty offense so that the potential aggregated penalty is 12 months' imprisonment.

Petitioner argues...