IntroductiontotheGuidelines

September7,2016Minneapolis,MN

2

Hon.RicardoHinojosaChiefJudge,SD/Texas

PeterMadsenEducation andSentencingPracticeSpecialist

RachelPierceSeniorEducationandSentencingPracticeSpecialist

Presenters

@theusscgov

www.ussc.gov helpline(202)502‐4545

pubaffairs@ussc.gov

CommissionResources

4

TopicsCovered

•GeneralOverviewofFederalSentencing

•BasicGuidelineApplication

•RelevantConduct

•CriminalHistory

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TheGuidelinesManual“AtaGlance”

6

GuidelinesManual

• Ch.One Introduction,definitions,applicationprinciples

• Ch.Two Offenseguidelines

• Ch.Three Genericadjustments

• Ch.Four Criminalhistory

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• 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)

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StructureofaGuideline(cont)

•Guideline• ChapterTwoguidelineshave

• Baseoffenselevels• Specificoffensecharacteristics• Crossreferences• Specialinstructions

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StructureofaGuideline(cont.)

•Commentary• Statutoryprovisions• Applicationnotes• Background• Historicalnote

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GuidelineApplication

12

“OneBookRule”

§1B1.11

UsetheGuidelinesManualineffectatthetimeofsentencing

Ifexpostfacto isimplicated,usetheGuidelinesManualineffectatthetimeoftheoffense

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GeneralApproachoftheFederalSentencingGuidelines

• Beginsasanoffenseofconvictionsystem

• Thenconsidersmanyrealoffensecharacteristics

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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

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GuidelineApplicationforDefendantsHugoandSavage

RobberyScenario

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DeterminingtheApplicableChapterTwoGuideline

§1B1.2(a)• UsetheChapterTwoguidelineapplicabletotheoffenseofconviction

• RefertotheStatutoryIndex(AppendixA)inthisdetermination

Note:Ifnoguidelineislisted,use§§2X5.1or2X5.2

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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

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• §2B1.1 Larceny,Embezzlement,FraudandForgery

• §2B2.1 Burglary

• §2B3.1 Robbery

• §2B3.2 ExtortionbyForceorThreatofInjuryorSeriousDamage

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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))

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RelevantConduct

§1B1.3

27

RelevantConduct

• Setsthelimitsofinformationtobeusedinguidelinesapplication

• Notehoweverthatatsentencing generallyALLinformationcanbeused

• 18U.S.C.§ 3661• §1B1.4• Witte,Watts,etc.

• Sentencingaccountabilityisnotalwaysthesameascriminalliability

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KeyPointstoRememberaboutRelevantConduct

• Defendantisalwaysresponsibleforactsthathe/shecommits

• Defendantissometimesresponsibleforactsofothersaspartofajointlyundertakencriminalactivity

• Forcertainoffenses,defendantwillberesponsibleforactsthatarepartofthesamecourseofconduct,commonschemeorplan

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RelevantConduct

(a):EstablisheswhatisrelevantforChaptersTwoandThree• Baseoffenselevels(BOL’s)• Specificoffensecharacteristics(SOC’s)• Crossreferences• ChapterThreeAdjustments

§1B1.3

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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):

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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%

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CriminalHistory

ChapterFour

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Numerous “Rules” in Chapter Four

• Typicallyclearregardingpreviousfederalrecord

• Issuesmorelikelytoariseregardingpreviousstate/localrecord

• Looktocaselaw• Establishedmethodsusedinyourcourtforrecurringissues

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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

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LengthofPriorSentences

• Setbymaximumsentenceimposed• Ifsentenceoranyportionissuspended,themaximumisestablishedbytheunsuspendedportion

• Unaffectedbyrelease• E.g.,releasetoparoleorfor“goodtime”

§4A1.2(a)andApp.Note2

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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%

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TheStatutes“Trump”theGuidelines

Regardlessofwhatsentencetheguidelinesmaycallfor,thesentenceimposedmustfallwithintherestrictionssetby

statute(e.g.,statutorymaximumsandmandatoryminimums)

‐See §§5G1.1&5G1.2

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ImpactofStatutoryPenaltiesontheGuidelineRange

§5G1.1

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StatutoryMaximum’sImpactonSentencingRange

GuidelineRangeComputed51‐63

StatutoryMaximum5years

(60months)

51‐60

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MandatoryMinimum’sImpactonSentencingRange

GuidelineRangeComputed51‐63

MandatoryMinimum5years(60months)

60‐63

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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

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58

SubstantialAssistanceDepartures§5K1.1&

18U.S.C.§ 3553(e)

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SubstantialAssistance

§5K1.1

Permitsasentencebelowtheminimumoftheguidelinerange

18U.S.C.§ 3553(e)

Permitsasentencebelowamandatoryminimum

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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)

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SubstantialAssistance(cont.)

•Asentencebelowmandatoryminimumistobebasedonly onsubstantialassistance

18U.S.C.§ 3553(e)

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62ThankYou!