introduction to the guidelines - united states sentencing
TRANSCRIPT
IntroductiontotheGuidelines
September7,2016Minneapolis,MN
2
Hon.RicardoHinojosaChiefJudge,SD/Texas
PeterMadsenEducation andSentencingPracticeSpecialist
RachelPierceSeniorEducationandSentencingPracticeSpecialist
Presenters
4
TopicsCovered
â˘GeneralOverviewofFederalSentencing
â˘BasicGuidelineApplication
â˘RelevantConduct
â˘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
â˘Guidelinecite(e.g.,§2B3.1)⢠Notesomearedesignatedâ(PolicyStatement)â(e.g.,
§4A1.3)
⢠Introductorycommentary(e.g.,ChapterThree,PartB)
9
StructureofaGuideline(cont)
â˘Guideline⢠ChapterTwoguidelineshave
⢠Baseoffenselevels⢠Specificoffensecharacteristics⢠Crossreferences⢠Specialinstructions
10
StructureofaGuideline(cont.)
â˘Commentary⢠Statutoryprovisions⢠Applicationnotes⢠Background⢠Historicalnote
12
âOneBookRuleâ
§1B1.11
UsetheGuidelinesManualineffectatthetimeofsentencing
Ifexpostfacto isimplicated,usetheGuidelinesManualineffectatthetimeoftheoffense
13
GeneralApproachoftheFederalSentencingGuidelines
⢠Beginsasanoffenseofconvictionsystem
⢠Thenconsidersmanyrealoffensecharacteristics
14
SingleCountApplication
ChapterTwo⢠BaseOffenseLevel⢠SpecificOffenseCharacteristics⢠CrossReferences
ChapterThree⢠Victim⢠Role⢠Obstruction⢠[MultipleCounts]⢠Acceptance
15
ChapterThreeAdjustments
⢠VictimâRelatedAdjustments
⢠RoleintheOffense
⢠Obstruction
⢠MultipleCounts
⢠AcceptanceofResponsibility
16
AcceptanceofResponsibility
ChapterThree,PartE
⢠2âLevelReduction:Ifdefendantclearlydemonstratesaffirmativeacceptanceofresponsibilityfortheoffense.
⢠1âLevelAdditionalReductionPossible
17
Requirementsfor1âLevelAdditionalReduction
§3E1.1(b)
⢠Onlyif2âlevelreductionapplicableâ˘Mustbeatleastoffenselevel16⢠Governmentmotionrequired
⢠Governmentshouldnotwithholdthemotionforreasonsotherthanacceptanceasdescribedin§3E1.1
â˘Mustgivetimelynotificationofpleaofguilty
18
www.ussc.gov (202)502â4545 @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)
â˘Withinsections,usegreatest(§1B1.1,App.Notes4(A)&5)
⢠Noissueofâdoublecountingâunlessdirectedbyguidelines(§1B1.1,App.Note4(B))
⢠âAdjustmentsâaredistinctfromâdeparturesâandâvariancesâ(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(BOLâs)⢠Specificoffensecharacteristics(SOCâs)⢠Crossreferences⢠ChapterThreeAdjustments
§1B1.3
30
Subsections(a)(1)and(a)(2)
⢠Responsibleformostapplicationissues
⢠Requiresananalysisâ˘Keyedtotheoffenseofconvictionâ˘RequiresdeterminationsofâWHOâ&âWHENâ
§1B1.3(a)
31§§1B1.3(a)(1)&(a)(2):Analysis
WHEN: OffenseofConviction
(a)(1)(A):Actsofthedefendant
(a)(1)(B):Certainactsofothers(3âpartanalysis)
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
3âPartAnalysisof(a)(1)(B)Determinationsrequiredforactsofothers
toberelevantconduct1. Thescopeofthedefendantâsjointlyundertakencriminal
activity
2. Ifactsofotherswereinfurtheranceofthedefendantâsundertaking,and
3. Ifactsofotherswerereasonablyforeseeableinconnectionwiththedefendantâsundertaking
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 âRulesâ in Chapter Four
⢠Typicallyclearregardingpreviousfederalrecord
⢠Issuesmorelikelytoariseregardingpreviousstate/localrecord
⢠Looktocaselaw⢠Establishedmethodsusedinyourcourtforrecurringissues
40
CriminalHistory
T âPriorSentencesâ(1,2,or3pointseach)
T âStatusâ(2points)
Measurestheseriousnessofadefendantâspriorrecordandthelikelihoodofrecidivism
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.,releasetoparoleorforâgoodtimeâ
§4A1.2(a)andApp.Note2
44
Criminal History Exercises
EachexerciseisdesignedtofocusontheapplicationofasingleoracoupleofdiscreteârulesâfoundintheguidelinesforCriminalHistory.Unlessanexerciseindicatesotherwise,assumethatnoneoftheother
ârulesâareatissueinagivenexercise.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
TheStatutesâTrumpâtheGuidelines
Regardlessofwhatsentencetheguidelinesmaycallfor,thesentenceimposedmustfallwithintherestrictionssetby
statute(e.g.,statutorymaximumsandmandatoryminimums)
âSee §§5G1.1&5G1.2
54
ImpactofStatutoryPenaltiesontheGuidelineRange
§5G1.1
55
StatutoryMaximumâsImpactonSentencingRange
GuidelineRangeComputed51â63
StatutoryMaximum5years
(60months)
51â60
56
MandatoryMinimumâsImpactonSentencingRange
GuidelineRangeComputed51â63
MandatoryMinimum5years(60months)
60â63
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
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58
SubstantialAssistanceDepartures§5K1.1&
18U.S.C.§ 3553(e)
59
SubstantialAssistance
§5K1.1
Permitsasentencebelowtheminimumoftheguidelinerange
18U.S.C.§ 3553(e)
Permitsasentencebelowamandatoryminimum
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SubstantialAssistance(cont.)
â˘Eachrequiresagovernmentmotionâ˘Wadev.U.S.,504U.S.181(1992)
â˘Aseparate governmentmotionunder18U.S.C.§ 3553(e)isrequiredtogobelowamandatoryminimum
â˘Melendezv.U.S.,518U.S.120(1996)
§5K1.1&18U.S.C.§ 3553(e)
61
SubstantialAssistance(cont.)
â˘Asentencebelowmandatoryminimumistobebasedonly onsubstantialassistance
18U.S.C.§ 3553(e)
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62ThankYou!