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AdvancedRelevantConductIssues
September7,2016Minneapolis,MN
2
PeterMadsenEducation andSentencingPracticeSpecialist
Presenter
4Advanced Relevant Conduct Issues - Objectives
• Thecourt’sanalysisofwhatis/isnotrelevantconductnotonlyimpactsthecalculationoftheoffenselevelunderChapters2and3oftheguidelines,italsoimpactsotherareasofguidelineapplication,including:
• Determinationofasingleoffenselevelformultiplecountsofconviction(Chapter3,PartD);
• Calculationofcriminalhistorypoints(Chapter4);and
• Adjustmentsforundischargedtermsofimprisonment(§5G1.3)
www.ussc.gov (202)502‐4545 @theusscgov [email protected]
5
QuickOverviewofRelevantConductPrinciples
§1B1.3
Dec.9,2015
6(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):
73-Part Analysis of (a)(1)(B)
1. Whatwasthescope ofthedefendant’sjointlyundertakencriminalactivity?
2. Weretheactsofothers“infurtheranceof”thedefendant’sjointlyundertakencriminalactivity?
3. Weretheactsofothers“reasonablyforeseeable”inconnectionwiththedefendant’sjointlyundertakencriminalactivity?
Determinationsrequiredforactsofotherstoberelevantconduct
AND
8
Examples of Chapter Two Guidelines on the Included List at §3D1.2(d)
• Drugtrafficking• Fraud,theft,&embezzlement• Firearms• Aliensmuggling• Trafficking/possessionofchildpornography
“Expanded”RelevantConductat§1B1.3(a)(2)Applies
• Moneylaundering• Taxviolations• Counterfeiting• Bribery• Othersimilaroffenses
9
Examples of Chapter Two Guidelines in the Excluded List at §3D1.2(d)
•Robbery•Assault•Murder•Kidnapping•Criminalsexualabuse
• Productionofchildpornography• Extortion• Blackmail• Burglary• Othersimilaroffenses
“Expanded”RelevantConductat§1B1.3(a)(2)DoesNotApply
10
Relevant Conduct
(a)(1)&(a)(2):Analysistoestablishrelevantacts
(a)(3): Harmsresultingfrom,orthatweretheobjectoftheactsestablishedin(a)(1)&(a)(2)‐E.g.,“loss”and“injury”areharms
(a)(4): Informationspecifiedfor applicationinaparticularguideline
§1B1.3(a)
Canthelossoutsideofthestatuteoflimitationsbeincludedasrelevantconduct
A. YesB. NoC. Onlyifstipulatedin
thepleaagreement
Yes
No
Only
if stip
ulated
in th
e plea
...
33% 33%33%
Canthefirearmspurchasedwhilethedefendantwasajuvenilebeincludedasrelevantconduct
A. YesB. NoC. Onlyifstipulatedintheplea
agreement
Yes
No
Only
if stip
ulated
in th
e plea
...
33% 33%33%
Shouldtwoseparatecalculationsof§2B1.1bedone?
A. Yes,thepartiesagreedtoit
B. No,itisincorrectapplicationoftheguidelines
Yes,
the pa
rties
agree
d to i
tNo
, it is
incor
rect a
pplic
ation
...50%50%
17
Relevant Conduct Analysis: §1B1.3(a)(2)
WHEN: OffenseofConviction
(a)(1)(A): Actsofthedefendant
(a)(1)(B): Certainactsofothers(3‐partanalysis)
WHO:
Samecourseofconduct/Commonschemeorplan(a)(2):
18
OffensesforWhich“ExpandedRelevantConduct”Applies
•TheapplicableChapterTwoguidelinemustbeoneincludedinalistat§3D1.2(d)(orbeofthattype),whichisthelistusedfor“grouping”multiplecountsofconvictionofacertaintype
•NOTE:Multiplecountsofconvictionarenot necessarytohave“expanded”relevantconduct
§§1B1.3(a)(2)&3D1.2(d)(“Rule(d)”)
19
OffensesIncluded at§3D1.2(d):
20
“CommonSchemeorPlan”
•Offensesmustbeconnectedtoeachotherbyatleastonecommonfactor,suchas:
• Commonvictims• Commonaccomplices• Commonpurpose• Similarmodusoperandi
§1B1.3(a)(2);App.Note5(B)(i)
21
“SameCourseofConduct”
• Similarity•Regularity(repetitions)•Temporalproximity
§1B1.3(a)(2);App.Note5(B)(ii);AppendixC,Amendment#503
22
ChapterTwoGuidelinesonthe“Included”ListandMultipleCountsofConviction
•FormultiplecountsofconvictionusingthesameChapterTwoguidelinelistedat§3D1.2(d),therewillbeasingleapplication,basedontheaggregateandtheoffenseconduct“takenasawhole”
• Becausethislistalso“expands”relevantconduct,actsinthesamecourseofconductorcommonschemeorplansastheoffensesofconvictionwillalsobeconsideredinapplication
§3D1.2(d)
23
GroupingUnder“Rule(d)”
Fraud2
(§2B1.1)
Fraud1
(§2B1.1)
Oneapplication,withtheoffenselevelforthegroupbasedontheoffense
conduct“takenasawhole”
Whatistheapplicablebaseoffenselevelforthisdefendant?
A. 34B. 30C. 28D. 24
34 30 28 2425% 25%25%25%
26
FactorsRequiringConvictionUnderaSpecificStatute
•Anexpressdirectiontoapplyaparticularfactoronlyifthedefendantwasconvictedofaparticularstatuteincludes thedeterminationoftheoffenselevelwherethedefendantwasconvictedofconspiracy,attempt,solicitation,aidingorabetting,accessoryafterthefact,ormisprisionoffelony inrespecttothatparticularstatute.
§1B1.3ApplicationNote7
Isthespecialinstructionapplicable?
A. YesB. No
Yes
No
50%50%
Whichbaseoffenselevelat§2S1.1applies?
A. BOL(a)(1)– theoffenselevelfortheunderlyingdrugoffense
B. BOL(a)(2)– theoffenselevelcorrespondingtotheamountoflaunderedfunds
BOL (
a)(1)
– the
offen
se lev
el...
BOL (
a)(2)
– the
offen
se lev
el...
50%50%
30
ImpactofTerms
“Offense”and
“Defendant”
UpontheRelevantConductUsedinApplication
31
“OtherwiseSpecified”
•Thegeneralanalysisofrelevantconductwillbeapplied“(u)nless otherwisespecified”
•Oneofthemostcommonspecificationsotherwiseistheuseoftheterm“defendant”(asopposedto“offense”)tolimitrelevantconductinsomeconsiderationstotheactsforwhichthedefendantisdirectlyresponsible(asopposedtoactsaco‐participantmayhavedone)
§1B1.3(a)
32
Definitionof“Offense”
• “Offense”meanstheoffenseofconvictionandallrelevantconduct(§1B1.3)...unless adifferentmeaningisspecifiedorisotherwiseclearfromthecontext
• Notethatuseofthepassivevoiceinfers“offense,”e.g.,“Ifadangerousweapon(includingafirearm)waspossessed…”at§2D1.1(b)(2)
§1B1.1,App.Note1(H)
33
UseofTerm“Defendant”
•Theuseoftheterm“defendant”prohibitsincludingrelevantconductbasedontheactsofothersunder§1B1.3(a)(1)(B)
•NOTE:Defendantisstillaccountable foractshe/shecommitted,aided,abetted,counseled,commanded,induced,procured,andwillfullycausedat§1B1.3(a)(1)(A)
§1B1.3
Forwhatamountofdrugswouldyouholdthedefendantaccountable?
A. 150gramsB. 50gramsC. 175grams
150 g
rams
50 gr
ams
175 g
rams
33% 33%33%
36
ApplicationNote5(C)
When Something is NOT the “Same Course of Conduct/Common Scheme or Plan”
• Indeterminationof“expanded”relevantconduct,thecourseofconductorcommonschemeorplandoesnotincludeconduct“associated”withasentenceimposedpriortothecommissionoftheinstantoffenseofconviction
37
• Conviction:Drugconspiracy(10/1/13– 4/1/14)
• Indictmentcites3crackdeliveriesdefendantmadefromPhillytoNY
• December28,2013– 50grams• February9,2014– 50grams• March2,2014– 50grams
• Indictmentalsocites20gramscrackdeliveryfromPhillytoCamdenonOctober10,2013
• DefendantsentencedinNJstatecourtto1monthjailonNovember17,2013
Forwhatamountofdrugswouldyouholdthedefendantaccountable?
A. 150gramsB. 50gramsC. 175grams
150 g
rams
50 gr
ams
175 g
rams
33% 33%33%
39ConductChargedintheInstantOffenseofConvictionandPriorSentences
•Conductassociatedwithapreviouslyimposedsentenceexpresslychargedintheinstantoffenseofconvictionwillbeconsideredrelevantconductunder§1B1.3(a)(1),unlessotherwiseprovided
•Whensuchconductisnotexpresslycharged,looktoApp.Note8regardingthe§1B1.3(a)(2)determinationofsamecourseofconductorcommonschemeorplan
§1B1.3,App.Note5(C)
Shouldthepriorconvictionreceivecriminalhistorypoints?
A. YesB. No
Yes
No
50%50%
Whichprovisionof§5G1.3applies?
A. Subsection(a)– runsconsecutively
B. Subsection(b)– runsconcurrently
C. Subsection(d)– courthasdiscretion
Subs
ectio
n (a)
– run
s con
sec...
Subs
ectio
n (b)
– run
s con
cu...
Subs
ectio
n (d)
– cou
rt ha
s di...
33% 33%33%
43(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):
Willthespecialinstructionat§2G1.3apply
A. YesB. No
Yes
No
50%50%
ArethePriorConvictionsRelevantConductorCriminalHistory?
A. Botharerelevantconduct
B. Botharecriminalhistory
C. Oneisrelevantconductandoneiscriminalhistory
Both
are re
levan
t con
duct
Both
are cr
imina
l hist
ory
One i
s rele
vant
cond
uct a
nd...
33% 33%33%
48
“PriorSentence”§4A1.2(a)(1) & App. Note 1
Conductthatispartoftherelevantconductoftheinstantoffense
willnotbea“priorsentence”forcriminalhistory
WhatAmountofLossShouldBeAttributedtoDefendantB?
A. $22,000B. $310,000C. $810,000D. $1,120,000
$22,0
00
$310
,000
$810
,000
$1,12
0,000
25% 25%25%25%
513‐PartAnalysisof(a)(1)(B)
1. Whatwasthescope ofthedefendant’sjointlyundertakencriminalactivity?
2. Weretheactsofothers“infurtheranceof”thedefendant’sjointlyundertakencriminalactivity?
3. Weretheactsofothers“reasonablyforeseeable”inconnectionwiththedefendant’sjointlyundertakencriminalactivity?
Determinationsrequiredforactsofotherstoberelevantconduct
AND
WouldDefendantBReceiveanIncreasefortheOffenseInvolvingSubstantialFinancialHardship
A. YesB. No
Yes
No50%50%
53
Definitionof“Offense”
• “Offense”meanstheoffenseofconvictionandallrelevantconduct(§1B1.3)...unless adifferentmeaningisspecifiedorisotherwiseclearfromthecontext
• Notethatuseofthepassivevoiceinfers“offense,”e.g.,“Ifadangerousweapon(includingafirearm)waspossessed…”at§2D1.1(b)(2)
§1B1.1,App.Note1(H)
