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IntroductiontotheGuidelines
September7,2016Minneapolis,MN
2
Hon.RicardoHinojosaChiefJudge,SD/Texas
PeterMadsenEducation andSentencingPracticeSpecialist
RachelPierceSeniorEducationandSentencingPracticeSpecialist
Presenters
4
TopicsCovered
•GeneralOverviewofFederalSentencing
•BasicGuidelineApplication
•RelevantConduct
•CriminalHistory
6
GuidelinesManual
• Ch.One Introduction,definitions,applicationprinciples
• Ch.Two Offenseguidelines
• Ch.Three Genericadjustments
• Ch.Four Criminalhistory
7
• Ch.Five Determiningtheguidelinerange
• Ch.Six Sentencingprocedures&pleas
• Ch.Seven Violationsofprobation&supervisedrelease
• Ch.Eight Sentencingoforganizations
8
StructureofaGuideline
•Guidelinecite(e.g.,§2B3.1)• Notesomearedesignated“(PolicyStatement)”(e.g.,
§4A1.3)
• Introductorycommentary(e.g.,ChapterThree,PartB)
9
StructureofaGuideline(cont)
•Guideline• ChapterTwoguidelineshave
• Baseoffenselevels• Specificoffensecharacteristics• Crossreferences• Specialinstructions
10
StructureofaGuideline(cont.)
•Commentary• Statutoryprovisions• Applicationnotes• Background• Historicalnote
12
“OneBookRule”
§1B1.11
UsetheGuidelinesManualineffectatthetimeofsentencing
Ifexpostfacto isimplicated,usetheGuidelinesManualineffectatthetimeoftheoffense
13
GeneralApproachoftheFederalSentencingGuidelines
• Beginsasanoffenseofconvictionsystem
• Thenconsidersmanyrealoffensecharacteristics
14
SingleCountApplication
ChapterTwo• BaseOffenseLevel• SpecificOffenseCharacteristics• CrossReferences
ChapterThree• Victim• Role• Obstruction• [MultipleCounts]• Acceptance
15
ChapterThreeAdjustments
• Victim‐RelatedAdjustments
• RoleintheOffense
• Obstruction
• MultipleCounts
• AcceptanceofResponsibility
16
AcceptanceofResponsibility
ChapterThree,PartE
• 2‐LevelReduction:Ifdefendantclearlydemonstratesaffirmativeacceptanceofresponsibilityfortheoffense.
• 1‐LevelAdditionalReductionPossible
17
Requirementsfor1‐LevelAdditionalReduction
§3E1.1(b)
• Onlyif2‐levelreductionapplicable•Mustbeatleastoffenselevel16• Governmentmotionrequired
• Governmentshouldnotwithholdthemotionforreasonsotherthanacceptanceasdescribedin§3E1.1
•Mustgivetimelynotificationofpleaofguilty
18
www.ussc.gov (202)502‐4545 @theusscgov [email protected]
GuidelineApplicationforDefendantsHugoandSavage
RobberyScenario
19
DeterminingtheApplicableChapterTwoGuideline
§1B1.2(a)• UsetheChapterTwoguidelineapplicabletotheoffenseofconviction
• RefertotheStatutoryIndex(AppendixA)inthisdetermination
Note:Ifnoguidelineislisted,use§§2X5.1or2X5.2
20
AppendixAStatute Guideline18U.S.C.§ 2111 2B3.118U.S.C.§ 2112 2B3.118U.S.C.§ 2113(a) 2B1.1,
2B2.1,2B3.1,2B3.2
18U.S.C.§ 2113(b) 2B1.118U.S.C.§ 2113(c) 2B1.118U.S.C.§ 2113(d) 2B3.1
21
• §2B1.1 Larceny,Embezzlement,FraudandForgery
• §2B2.1 Burglary
• §2B3.1 Robbery
• §2B3.2 ExtortionbyForceorThreatofInjuryorSeriousDamage
22
DeterminingtheApplicableChapterTwoGuideline
§1B1.2(a)• UsetheChapterTwoguidelineapplicabletotheoffenseofconviction
• (i.e.,theoffenseconductchargedinthecountoftheindictmentorinformationofwhichthedefendantwasconvicted)
23AppendixAExercise#1Indictment
TheGrandJurychargesthat:Count1
OnoraboutDecember16,2015,intheSouthernDistrictofMinnesota,thedefendants,
NelsonHugoandKenSavage,Eachaidingandabettingtheother,did,byforce,violence,andintimidation,takefromthevictimtellerapproximately$17,078.51inUnitedStatescurrencybelongingtoAffinityPlusFederalCreditUnioninMankato,Minnesota.ThedepositswereinsuredbytheNationalCreditUnionAdministration,andincommittingsuchoffense,didassaultandputinjeopardy,thelifeofanotherpersonbytheuseofadangerousweapon,ahandgun,inviolationofTitle18,UnitedStatesCode,Sections2113(a)and2113(d).
WhatistheChapterTwoGuideline?
A. §2B1.1B. §2B2.1C. §2B3.1D. §2B3.2E. Ihavenoidea
§2B1
.1
§2L2
.1
§2G2
.2
§2L2
.2I h
ave n
o ide
a
20% 20% 20%20%20%
25PointersaboutChaptersTwoandThreeApplication
• Offenselevelsarecumulative(§1B1.1,App.Note4)
•Withinsections,usegreatest(§1B1.1,App.Notes4(A)&5)
• Noissueof“doublecounting”unlessdirectedbyguidelines(§1B1.1,App.Note4(B))
• “Adjustments”aredistinctfrom“departures”and“variances”(ChapterThree&§5K2.0&§ 3553(a))
27
RelevantConduct
• Setsthelimitsofinformationtobeusedinguidelinesapplication
• Notehoweverthatatsentencing generallyALLinformationcanbeused
• 18U.S.C.§ 3661• §1B1.4• Witte,Watts,etc.
• Sentencingaccountabilityisnotalwaysthesameascriminalliability
28
KeyPointstoRememberaboutRelevantConduct
• Defendantisalwaysresponsibleforactsthathe/shecommits
• Defendantissometimesresponsibleforactsofothersaspartofajointlyundertakencriminalactivity
• Forcertainoffenses,defendantwillberesponsibleforactsthatarepartofthesamecourseofconduct,commonschemeorplan
29
RelevantConduct
(a):EstablisheswhatisrelevantforChaptersTwoandThree• Baseoffenselevels(BOL’s)• Specificoffensecharacteristics(SOC’s)• Crossreferences• ChapterThreeAdjustments
§1B1.3
30
Subsections(a)(1)and(a)(2)
• Responsibleformostapplicationissues
• Requiresananalysis•Keyedtotheoffenseofconviction•Requiresdeterminationsof“WHO”&“WHEN”
§1B1.3(a)
31§§1B1.3(a)(1)&(a)(2):Analysis
WHEN: OffenseofConviction
(a)(1)(A):Actsofthedefendant
(a)(1)(B):Certainactsofothers(3‐partanalysis)
WHO:
DuringInpreparation Avoidingdetection
(a)(1):
Samecourseofconduct/Commonschemeorplan
(a)(2):
32(a)(1)(A)Analysisof§1B1.3(a)(1)
WHEN: OffenseofConviction
(a)(1)(A): Actsofthedefendant:Actscommitted,aided,abetted,counseled,commanded,induced,procured,orwillfullycausedbythedefendant
WHO:
DuringInpreparationAvoidingdetection(a)(1):
33
3‐PartAnalysisof(a)(1)(B)Determinationsrequiredforactsofothers
toberelevantconduct1. Thescopeofthedefendant’sjointlyundertakencriminal
activity
2. Ifactsofotherswereinfurtheranceofthedefendant’sundertaking,and
3. Ifactsofotherswerereasonablyforeseeableinconnectionwiththedefendant’sundertaking
WhatistheamountoflossforHugo?
A. $17,078.51B. $1,019.00C. NolossD. Other
$17,0
78.51
$1,01
9.00
No lo
ss
Othe
r
25% 25%25%25%
WhatistheamountoflossforSavage?
A. $17,078.51B. $680.00C. NolossD. Other
$17,0
78.51
$680
.00
No lo
ss
Othe
r
25% 25%25%25%
IsdefendantHugoresponsibleforthefirearm?
A. YesB. NoC. Hehadagun?
Yes No
He ha
d a gu
n?
33% 33%33%
IsdefendantSavageresponsibleforthefirearm?A. YesB. NoC. Hehadagun?
Yes No
He ha
d a gu
n?
33% 33%33%
39
Numerous “Rules” in Chapter Four
• Typicallyclearregardingpreviousfederalrecord
• Issuesmorelikelytoariseregardingpreviousstate/localrecord
• Looktocaselaw• Establishedmethodsusedinyourcourtforrecurringissues
40
CriminalHistory
T “PriorSentences”(1,2,or3pointseach)
T “Status”(2points)
Measurestheseriousnessofadefendant’spriorrecordandthelikelihoodofrecidivism
41CriminalHistoryPointsPriorOffenseCommittedat18orOlder
313months
260days
1Allothers**
*Ifotherwisecountable
**Exceptionsmayapply
Within15yrs.ofpriorsentenceimpositionor
releaseWithin10yrs.ofpriorsentenceimposition
Within10yrs.ofpriorsentenceimposition(maxof4)
TimeFrame(EarliestDateofRelevantConduct)Points* Sentence
42CriminalHistoryPointsPriorOffenseCommittedBefore18
3 Onlyifconvictedasanadultand13 months
2 60days
1Allothers**
*Ifotherwisecountable
**Exceptionsmayapply
Within15yrs.ofpriorsentenceimpositionor
releaseWithin5yrs.ofpriorsentenceimpositionor
releaseWithin5yrs.ofpriorsentenceimposition(maxof4)
TimeFrame(EarliestDateofRelevantConduct)Points* Sentence
43
LengthofPriorSentences
• Setbymaximumsentenceimposed• Ifsentenceoranyportionissuspended,themaximumisestablishedbytheunsuspendedportion
• Unaffectedbyrelease• E.g.,releasetoparoleorfor“goodtime”
§4A1.2(a)andApp.Note2
44
Criminal History Exercises
Eachexerciseisdesignedtofocusontheapplicationofasingleoracoupleofdiscrete“rules”foundintheguidelinesforCriminalHistory.Unlessanexerciseindicatesotherwise,assumethatnoneoftheother
“rules”areatissueinagivenexercise.Alsoassumethattheinstantfederaloffenseisbeingsentencedtoday,andthattheearliestdateofrelevant
conductisJanuary1st ofthisyear(2016).
CriminalHistoryExercise#1:
ArrestDate08/10/2011(Age23)
Charge/Docket#PossessionofHeroinHennepinCountyDistrictCourtMinneapolis,MN
Date/Sent. Imposed10/25/11:Pledguilty1yearDOCSentencesuspended,serve60daysjailand2yearsprobation
Howmanycriminalhistorypoints?
A. 3B. 2C. 1D. None
3 2 1
None
25% 25%25%25%
CriminalHistoryExercise#2:
ArrestDate04/06/11(Age47)
Charge/Docket#Possession ofFirearmintheCommissionofaFelonyRamseyCountyDistrictCourtSt.Paul,MN
Date/Sent. Imposed09/21/11:Pledguilty,1dayjailtimeservedfollowedby24monthsprobation
Howmanycriminalhistorypoints?
A. 3B. 2C. 1D. None
3 2 1
None
25% 25%25%25%
CriminalHistoryExercise#3:
ArrestDate01/27/03(Age16)
Charge/Docket#AssaultCausingBodilyInjurytoaFamilyMemberWichitaFallsCountyCourt,WichitaFalls,TX
Date/Sent. Imposed02/26/03:6monthsprobation
Howmanycriminalhistorypoints?
A. 3B. 2C. 1D. None
3 2 1
None
25% 25%25%25%
CriminalHistoryExercise#4:
ArrestDate12/30/08(Age27),
Charge/Docket#ArsonScottCountyDistrictCourt,Shakopee,MN
Date/Sent. Imposed08/18/09:Pledguilty,12monthstofiveyearscustody
Howmanycriminalhistorypoints?
A. 3B. 2C. 1D. None
3 2 1
None
25% 25%25%25%
53
TheStatutes“Trump”theGuidelines
Regardlessofwhatsentencetheguidelinesmaycallfor,thesentenceimposedmustfallwithintherestrictionssetby
statute(e.g.,statutorymaximumsandmandatoryminimums)
‐See §§5G1.1&5G1.2
54
ImpactofStatutoryPenaltiesontheGuidelineRange
§5G1.1
55
StatutoryMaximum’sImpactonSentencingRange
GuidelineRangeComputed51‐63
StatutoryMaximum5years
(60months)
51‐60
56
MandatoryMinimum’sImpactonSentencingRange
GuidelineRangeComputed51‐63
MandatoryMinimum5years(60months)
60‐63
57
0-60-60-60-60-60-60-60-64-106-128-14
10-1612-18
12345678910111213
0-60-62-84-106-129-15
12-1815-2118-2421-2727-3027-3330-37
0-60-60-62-84-106-128-14
10-1612-1815-2118-2421-2724-30
SentencingTableCriminal History Category
Offense I II III IV V VI Level (0 or 1) (2 or 3) (4,5,6) (7,8,9) (10,11,12) (13 or more)
Zone D
0-60-60-60-60-61-72-84-106-128-14
10-1612-1815-21
0-60-60-60-61-72-84-106-128-14
10-1612-1815-2118-24
0-61-73-96-129-15
12-1815-2118-2421-2724-3027-3330-3733-41
Zone B
Zone C
Zone A
www.ussc.gov (202)502‐4545 @theusscgov [email protected]
58
SubstantialAssistanceDepartures§5K1.1&
18U.S.C.§ 3553(e)
59
SubstantialAssistance
§5K1.1
Permitsasentencebelowtheminimumoftheguidelinerange
18U.S.C.§ 3553(e)
Permitsasentencebelowamandatoryminimum
60
SubstantialAssistance(cont.)
•Eachrequiresagovernmentmotion•Wadev.U.S.,504U.S.181(1992)
•Aseparate governmentmotionunder18U.S.C.§ 3553(e)isrequiredtogobelowamandatoryminimum
•Melendezv.U.S.,518U.S.120(1996)
§5K1.1&18U.S.C.§ 3553(e)
61
SubstantialAssistance(cont.)
•Asentencebelowmandatoryminimumistobebasedonly onsubstantialassistance
18U.S.C.§ 3553(e)
