[Federal Register Volume 88, Number 246 (Tuesday, December 26, 2023)]
[Notices]
[Pages 89142-89217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-28317]
[[Page 89141]]
Vol. 88
Tuesday,
No. 246
December 26, 2023
Part III
United States Sentencing Commission
-----------------------------------------------------------------------
Sentencing Guidelines for United States Courts; Notice
Federal Register / Vol. 88 , No. 246 / Tuesday, December 26, 2023 /
Notices
[[Page 89142]]
-----------------------------------------------------------------------
UNITED STATES SENTENCING COMMISSION
Sentencing Guidelines for United States Courts
AGENCY: United States Sentencing Commission.
ACTION: Notice and request for public comment and hearing.
-----------------------------------------------------------------------
SUMMARY: The United States Sentencing Commission is considering
promulgating amendments to the sentencing guidelines, policy
statements, and commentary. This notice sets forth the proposed
amendments and, for each proposed amendment, a synopsis of the issues
addressed by that amendment. This notice also sets forth several issues
for comment, some of which are set forth together with the proposed
amendments, and one of which (regarding retroactive application of
proposed amendments) is set forth in the SUPPLEMENTARY INFORMATION
section of this notice.
DATES:
Written Public Comment. Written public comment regarding the
proposed amendments and issues for comment set forth in this notice,
including public comment regarding retroactive application of any of
the proposed amendments, should be received by the Commission not later
than February 22, 2024. Any public comment received after the close of
the comment period may not be considered.
Public Hearing. The Commission may hold a public hearing regarding
the proposed amendments and issues for comment set forth in this
notice. Further information regarding any public hearing that may be
scheduled, including requirements for testifying and providing written
testimony, as well as the date, time, location, and scope of the
hearing, will be provided by the Commission on its website at
www.ussc.gov.
ADDRESSES: There are two methods for submitting public comment.
Electronic Submission of Comments. Comments may be submitted
electronically via the Commission's Public Comment Submission Portal at
https://comment.ussc.gov. Follow the online instructions for submitting
comments.
Submission of Comments by Mail. Comments may be submitted by mail
to the following address: United States Sentencing Commission, One
Columbus Circle NE, Suite 2-500, Washington, DC 20002-8002, Attention:
Public Affairs--Proposed Amendments.
FOR FURTHER INFORMATION CONTACT: Jennifer Dukes, Senior Public Affairs
Specialist, (202) 502-4597.
SUPPLEMENTARY INFORMATION: The United States Sentencing Commission is
an independent agency in the judicial branch of the United States
Government. The Commission promulgates sentencing guidelines and policy
statements for federal courts pursuant to 28 U.S.C. 994(a). The
Commission also periodically reviews and revises previously promulgated
guidelines pursuant to 28 U.S.C. 994(o) and submits guideline
amendments to the Congress not later than the first day of May each
year pursuant to 28 U.S.C. 994(p).
Publication of a proposed amendment requires the affirmative vote
of at least three voting members of the Commission and is deemed to be
a request for public comment on the proposed amendment. See USSC Rules
of Practice and Procedure 2.2, 4.4. In contrast, the affirmative vote
of at least four voting members is required to promulgate an amendment
and submit it to Congress. See id. 2.2; 28 U.S.C. 994(p).
The proposed amendments in this notice are presented in one of two
formats. First, some of the amendments are proposed as specific
revisions to a guideline, policy statement, or commentary. Bracketed
text within a proposed amendment indicates a heightened interest on the
Commission's part in comment and suggestions regarding alternative
policy choices; for example, a proposed enhancement of [2][4][6] levels
indicates that the Commission is considering, and invites comment on,
alternative policy choices regarding the appropriate level of
enhancement. Similarly, bracketed text within a specific offense
characteristic or application note means that the Commission
specifically invites comment on whether the proposed provision is
appropriate. Second, the Commission has highlighted certain issues for
comment and invites suggestions on how the Commission should respond to
those issues.
In summary, the proposed amendments and issues for comment set
forth in this notice are as follows:
(1) A proposed amendment to Sec. 2B1.1 (Theft, Property
Destruction, and Fraud) that would create Notes to the loss table in
Sec. 2B1.1(b)(1) and move some of the general rules relating to loss
from the commentary to the guideline itself as part of the Notes, as
well as make corresponding changes to the Commentary of certain
guidelines that refer to the loss rules in Sec. 2B1.1, and a related
issue for comment.
(2) A two-part proposed amendment relating to the provisions of
Sec. 4A1.2 (Definitions and Instructions for Computing Criminal
History) that cover criminal history calculations for offenses
committed prior to age eighteen and on Sec. 5H1.1 (Age (Policy
Statement)), including (A) three options for amending Sec. 4A1.2 to
change how sentences for offenses committed prior to age eighteen are
considered in the calculation of a defendant's criminal history score,
and related issues for comment; and (B) an amendment to Sec. 5H1.1 to
address unique sentencing considerations relating to youthful
individuals, and related issues for comment.
(3) A proposed amendment to the Guidelines Manual that includes
three options to address the use of acquitted conduct for purposes of
determining a sentence, and related issues for comment.
(4) A two-part proposed amendment addressing certain circuit
conflicts involving Sec. 2K2.1 (Unlawful Receipt, Possession, or
Transportation of Firearms or Ammunition; Prohibited Transactions
Involving Firearms or Ammunition) and Sec. 2K2.4 (Use of Firearm,
Armor-Piercing Ammunition, or Explosive During or in Relation to
Certain Crimes), including (A) two options for amending Sec.
2K2.1(b)(4)(B)(i) to address a circuit conflict concerning whether a
serial number must be illegible in order to apply the 4-level increase
for a firearm that ``had an altered or obliterated serial number,'' and
a related issue for comment; and (B) amendments to the Commentary to
Sec. 2K2.4 to address a circuit conflict concerning whether subsection
(c) of Sec. 3D1.2 (Groups of Closely Related Counts) permits grouping
of a firearms count under 18 U.S.C. 922(g) with a drug trafficking
count, where the defendant also has a separate count under 18 U.S.C.
924(c) based on the drug trafficking count, and a related issue for
comment.
(5) A multi-part proposed amendment in response to recently enacted
legislation and miscellaneous guideline issues, including (A)
amendments to Appendix A (Statutory Index) and the Commentary to Sec.
2B1.5 (Theft of, Damage to, or Destruction of, Cultural Heritage
Resources or Paleontological Resources; Unlawful Sale, Purchase,
Exchange, Transportation, or Receipt of Cultural Heritage Resources or
Paleontological Resources) in response to the Safeguard Tribal Objects
of Patrimony (``STOP'') Act of 2021, Public Law 117-258 (2022), and a
related issue for comment; (B) amendments to Appendix A and Sec. 2M5.1
(Evasion of
[[Page 89143]]
Export Controls; Financial Transactions with Countries Supporting
International Terrorism) in response to the Export Control Reform Act
of 2018, enacted as part of the John McCain National Defense
Authorization Act for Fiscal Year 2019, Public Law 115-232 (2018), and
to concerns raised by the Department of Justice and the Disruptive
Technology Strike Force (an interagency collaboration between the
Department of Justice's National Security Division and the Department
of Commerce's Bureau of Industry and Security), and related issues for
comment; (C) an amendment to subsection (b)(2)(B) of Sec. 2S1.3
(Structuring Transactions to Evade Reporting Requirements; Failure to
Report Cash or Monetary Transactions; Failure to File Currency and
Monetary Instrument Report; Knowingly Filing False Reports; Bulk Cash
Smuggling; Establishing or Maintaining Prohibited Accounts) to reflect
the enhanced penalty applicable to offenses under 31 U.S.C. 5322 and
5336; (D) amendments to Appendix A and the Commentary to Sec. 2R1.1
(Bid-Rigging, Price-Fixing or Market-Allocation Agreements Among
Competitors) to replace references to 15 U.S.C. 3(b) with references to
15 U.S.C. 3(a); (E) two options for amending Sec. 2D1.1 (Unlawful
Manufacturing, Importing, Exporting, or Trafficking (Including
Possession with Intent to Commit These Offenses); Attempt or
Conspiracy) to address a miscellaneous issue regarding the application
of the base offense levels at subsections (a)(1)-(a)(4); and (F) two
options for amending Sec. 4C1.1 (Adjustment for Certain Zero-Point
Offenders) to address concerns raised by the Department of Justice
relating to the scope of the definition of ``sex offense'' in
subsection (b)(2).
(6) A two-part proposed amendment to make technical and other non-
substantive changes to the Guidelines Manual, including (A) technical
and conforming changes relating to Sec. 4C1.1 (Adjustment for Certain
Zero-Point Offenders); and (B) technical and clerical changes to
several guidelines and their corresponding commentaries to add missing
headings to application notes; provide stylistic consistency in how
subdivisions are designated; provide consistency in the use of
capitalization; correct certain references and typographical errors;
and update an example in a Commentary that references 18 U.S.C. 924(c),
which was amended by the First Step Act of 2018, Public Law 115-391
(Dec. 21, 2018).
(7) A two-part proposed amendment to the Guidelines Manual,
including (A) request for public comment on whether any changes should
be made to the Guidelines Manual relating to the three-step process set
forth in Sec. 1B1.1 (Application Instructions) and the use of
departures and policy statements relating to specific personal
characteristics; and (B) amendments that would restructure the
Guidelines Manual to simplify both (1) the current three-step process
utilized in determining a sentence that is ``sufficient, but not
greater than necessary,'' and (2) existing guidance in the Guidelines
Manual regarding a court's consideration of the individual
circumstances of the defendant as well as certain offense
characteristics.
In addition, the Commission requests public comment regarding
whether, pursuant to 18 U.S.C. 3582(c)(2) and 28 U.S.C. 994(u), any
proposed amendment published in this notice should be included in
subsection (d) of Sec. 1B1.10 (Reduction in Term of Imprisonment as a
Result of Amended Guideline Range (Policy Statement)) as an amendment
that may be applied retroactively to previously sentenced defendants.
The Commission lists in Sec. 1B1.10(d) the specific guideline
amendments that the court may apply retroactively under 18 U.S.C.
3582(c)(2). The Background Commentary to Sec. 1B1.10 lists the purpose
of the amendment, the magnitude of the change in the guideline range
made by the amendment, and the difficulty of applying the amendment
retroactively to determine an amended guideline range under Sec.
1B1.10(b) as among the factors the Commission considers in selecting
the amendments included in Sec. 1B1.10(d). To the extent practicable,
public comment should address each of these factors.
The text of the proposed amendments and related issues for comment
are set forth below. Additional information pertaining to the proposed
amendments and issues for comment described in this notice may be
accessed through the Commission's website at www.ussc.gov. In addition,
as required by 5 U.S.C. 553(b)(4), plain-language summaries of the
proposed amendments are available at https://www.ussc.gov/guidelines/amendments/proposed-2024-amendments-federal-sentencing-guidelines.
Authority: 28 U.S.C. 994(a), (o), (p), (x); USSC Rules of Practice
and Procedure 2.2, 4.3, 4.4.
Carlton W. Reeves,
Chair.
Proposed Amendments to the Sentencing Guidelines, Policy Statements,
and Official Commentary
1. Rule for Calculating Loss
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's continued study of the Guidelines Manual to address
case law concerning the validity and enforceability of guideline
commentary. See U.S. Sent'g Comm'n, ``Notice of Final Priorities,'' 88
FR 60536 (Sept. 1, 2023).
In Stinson v. United States, 508 U.S. 36, 38 (1993), the Supreme
Court held that commentary ``that interprets or explains a guideline is
authoritative unless it violates the Constitution or a federal statute,
or is inconsistent with, or a plainly erroneous reading of, that
guideline.'' In recent years, however, the deference afforded to
various guideline commentary provisions has been debated, particularly
since Kisor v. Wilkie, 139 S. Ct. 2400, 2415 (2019), which limited
deference to agency interpretation of regulations to situations in
which the regulation is ``genuinely ambiguous.'' Applying Kisor, the
Third Circuit recently held that Application Note 3(A) of the
Commentary to Sec. 2B1.1 (Theft, Property Destruction, and Fraud) is
not entitled to deference. United States v. Banks, 55 F.4th 246 (3d
Cir. 2022).
Section 2B1.1 includes a loss table that increases the offense
level based on the amount of loss resulting from an offense. USSG Sec.
2B1.1(b)(1). Application Note 3(A) of the Commentary to Sec. 2B1.1
provides a general rule for courts to use to calculate loss for
purposes of the loss table. USSG Sec. 2B1.1, comment. (n.3(A)). Under
the rule, ``loss is the greater of actual loss or intended loss.'' Id.
The commentary then defines the terms ``actual loss,'' ``intended
loss,'' ``pecuniary harm,'' and ``reasonably foreseeable pecuniary
harm.'' USSG Sec. 2B1.1, comment. (n.3(A)(i)-(iv)). The commentary
also provides that ``[t]he court shall use the gain that resulted from
the offense as an alternative measure of loss only if there is a loss
but it reasonably cannot be determined.'' USSG Sec. 2B1.1, comment.
(n.3(B)).
In Banks, the Third Circuit held that ``the term `loss' is
unambiguous in the context of Sec. 2B1.1''--meaning ``actual loss''--
and that ``[b]ecause the commentary expands the definition of `loss' by
explaining that generally `loss
[[Page 89144]]
is the greater of actual loss or intended loss,' we accord the
commentary no weight.'' Banks, 55 F.4th at 253, 258. To date, the Third
Circuit is the only appellate court to reach this conclusion. However,
the loss calculations for defendants in this circuit are now computed
differently than in circuits that continue to apply Application Note
3(A).
The Commission estimates that approximately one-fifth of
individuals sentenced under Sec. 2B1.1 in fiscal year 2022 were
sentenced using intended loss. This estimate is based on the
Commission's review of a 30 percent representative sample of the 3,811
individuals sentenced under Sec. 2B1.1 in fiscal year 2022 with a
known, non-zero loss amount. Intended loss was used for sentencing in
19.8 percent of cases in the sample. Using these findings to
extrapolate to all Sec. 2B1.1 cases with a loss amount, the Commission
estimates that approximately 750 individuals were sentenced using
intended loss in fiscal year 2022. Of those 750 individuals,
approximately 50 were sentenced in the Third Circuit prior to the Banks
decision.
This proposed amendment would address the decision from the Third
Circuit regarding the validity and enforceability of Application Note
3(A) of the Commentary to Sec. 2B1.1 to ensure consistent loss
calculation across circuits.
The proposed amendment would create Notes to the loss table in
Sec. 2B1.1(b)(1) and move the general rule establishing loss as the
greater of actual loss or intended loss from the commentary to the
guideline itself as part of the Notes. The proposed amendment would
also move the rule providing for the use of gain as an alternative
measure of loss, as well as the definitions of ``actual loss,''
``intended loss,'' ``pecuniary harm,'' and ``reasonably foreseeable
pecuniary harm'' from the commentary to the Notes. In addition, the
proposed amendment would make corresponding changes to the Commentary
to Sec. Sec. 2B2.3 (Trespass), 2C1.1 (Offering, Giving, Soliciting, or
Receiving a Bribe; Extortion Under Color of Official Right; Fraud
Involving the Deprivation of the Intangible Right to Honest Services of
Public Officials; Conspiracy to Defraud by Interference with
Governmental Functions), and 8A1.2 (Application Instructions--
Organizations), which calculate loss by reference to the Commentary to
Sec. 2B1.1.
An issue for comment is also provided.
Proposed Amendment: Section 2B1.1(b)(1) is amended by inserting the
following at the end:
``*Notes to Table:
(A) Loss.--Loss is the greater of actual loss or intended loss.
(B) Gain.--The court shall use the gain that resulted from the
offense as an alternative measure of loss only if there is a loss but
it reasonably cannot be determined.
(C) For purposes of this guideline--
(i) `Actual loss' means the reasonably foreseeable pecuniary harm
that resulted from the offense.
(ii) `Intended loss' (I) means the pecuniary harm that the
defendant purposely sought to inflict; and (II) includes intended
pecuniary harm that would have been impossible or unlikely to occur
(e.g., as in a government sting operation, or an insurance fraud in
which the claim exceeded the insured value).
(iii) `Pecuniary harm' means harm that is monetary or that
otherwise is readily measurable in money. Accordingly, pecuniary harm
does not include emotional distress, harm to reputation, or other non-
economic harm.
(iv) `Reasonably foreseeable pecuniary harm' means pecuniary harm
that the defendant knew or, under the circumstances, reasonably should
have known, was a potential result of the offense.''.
The Commentary to Sec. 2B1.1 captioned ``Application Notes'' is
amended in Note 3--by striking subparagraphs (A) and (B) as follows:
``(A) General Rule.--Subject to the exclusions in subdivision (D),
loss is the greater of actual loss or intended loss.
(i) Actual Loss.--`Actual loss' means the reasonably foreseeable
pecuniary harm that resulted from the offense.
(ii) Intended Loss.--`Intended loss' (I) means the pecuniary harm
that the defendant purposely sought to inflict; and (II) includes
intended pecuniary harm that would have been impossible or unlikely to
occur (e.g., as in a government sting operation, or an insurance fraud
in which the claim exceeded the insured value).
(iii) Pecuniary Harm.--`Pecuniary harm' means harm that is monetary
or that otherwise is readily measurable in money. Accordingly,
pecuniary harm does not include emotional distress, harm to reputation,
or other non-economic harm.
(iv) Reasonably Foreseeable Pecuniary Harm.--For purposes of this
guideline, `reasonably foreseeable pecuniary harm' means pecuniary harm
that the defendant knew or, under the circumstances, reasonably should
have known, was a potential result of the offense.
(v) Rules of Construction in Certain Cases.--In the cases described
in subdivisions (I) through (III), reasonably foreseeable pecuniary
harm shall be considered to include the pecuniary harm specified for
those cases as follows:
(I) Product Substitution Cases.--In the case of a product
substitution offense, the reasonably foreseeable pecuniary harm
includes the reasonably foreseeable costs of making substitute
transactions and handling or disposing of the product delivered, or of
retrofitting the product so that it can be used for its intended
purpose, and the reasonably foreseeable costs of rectifying the actual
or potential disruption to the victim's business operations caused by
the product substitution.
(II) Procurement Fraud Cases.--In the case of a procurement fraud,
such as a fraud affecting a defense contract award, reasonably
foreseeable pecuniary harm includes the reasonably foreseeable
administrative costs to the government and other participants of
repeating or correcting the procurement action affected, plus any
increased costs to procure the product or service involved that was
reasonably foreseeable.
(III) Offenses Under 18 U.S.C. 1030.--In the case of an offense
under 18 U.S.C. 1030, actual loss includes the following pecuniary
harm, regardless of whether such pecuniary harm was reasonably
foreseeable: any reasonable cost to any victim, including the cost of
responding to an offense, conducting a damage assessment, and restoring
the data, program, system, or information to its condition prior to the
offense, and any revenue lost, cost incurred, or other damages incurred
because of interruption of service.
(B) Gain.--The court shall use the gain that resulted from the
offense as an alternative measure of loss only if there is a loss but
it reasonably cannot be determined.'';
inserting the following new subparagraph (A):
``(A) Rules of Construction in Certain Cases.--In the cases
described in clauses (i) through (iii), reasonably foreseeable
pecuniary harm shall be considered to include the pecuniary harm
specified for those cases as follows:
(i) Product Substitution Cases.--In the case of a product
substitution offense, the reasonably foreseeable pecuniary harm
includes the reasonably foreseeable costs of making substitute
transactions and handling or disposing of the product delivered, or of
[[Page 89145]]
retrofitting the product so that it can be used for its intended
purpose, and the reasonably foreseeable costs of rectifying the actual
or potential disruption to the victim's business operations caused by
the product substitution.
(ii) Procurement Fraud Cases.--In the case of a procurement fraud,
such as a fraud affecting a defense contract award, reasonably
foreseeable pecuniary harm includes the reasonably foreseeable
administrative costs to the government and other participants of
repeating or correcting the procurement action affected, plus any
increased costs to procure the product or service involved that was
reasonably foreseeable.
(iii) Offenses Under 18 U.S.C. 1030.--In the case of an offense
under 18 U.S.C. 1030, actual loss includes the following pecuniary
harm, regardless of whether such pecuniary harm was reasonably
foreseeable: any reasonable cost to any victim, including the cost of
responding to an offense, conducting a damage assessment, and restoring
the data, program, system, or information to its condition prior to the
offense, and any revenue lost, cost incurred, or other damages incurred
because of interruption of service.'';
and by redesignating subparagraphs (C), (D), (E), and (F) as
subparagraphs (B), (C), (D), and (E), respectively.
The Commentary to Sec. 2B2.3 captioned ``Application Notes'' is
amended in Note 2 by striking ``the Commentary to Sec. 2B1.1 (Theft,
Property Destruction, and Fraud)'' and inserting ``Sec. 2B1.1 (Theft,
Property Destruction, and Fraud) and the Commentary to Sec. 2B1.1''.
The Commentary to Sec. 2C1.1 captioned ``Application Notes'' is
amended in Note 3 by striking ``Application Note 3 of the Commentary to
Sec. 2B1.1 (Theft, Property Destruction, and Fraud)'' and inserting
``Sec. 2B1.1 (Theft, Property Destruction, and Fraud) and Application
Note 3 of the Commentary to Sec. 2B1.1''.
The Commentary to Sec. 8A1.2 captioned ``Application Notes'' is
amended in Note 3 by striking ``the Commentary to Sec. 2B1.1 (Theft,
Property Destruction, and Fraud)'' and inserting ``Sec. 2B1.1 (Theft,
Property Destruction, and Fraud) and the Commentary to Sec. 2B1.1''.
Issue for Comment:
1. As part of the Commission's priority to address case law
concerning the validity and enforceability of guideline commentary, the
proposed amendment would address the Third Circuit's decision regarding
the deference to be given to Application Note 3(A) of the Commentary to
Sec. 2B1.1 (Theft, Property Destruction, and Fraud). See United States
v. Banks, 55 F.4th 246 (3d Cir. 2022). The Commission's current
priorities also include the ``[e]xamination of the Guidelines Manual,
including exploration of ways to simplify the guidelines and possible
consideration of amendments that might be appropriate.'' See U.S.
Sent'g Comm'n, ``Notice of Final Priorities,'' 88 FR 60536 (Sept. 1,
2023). As part of that simplification priority, the Commission is
considering conducting a comprehensive examination of Sec. 2B1.1
during an upcoming amendment cycle.
The Commission seeks comment on whether it should adopt this
proposed amendment addressing Application Note 3(A) of the Commentary
to Sec. 2B1.1 during this amendment cycle, or whether it should defer
making changes to Sec. 2B1.1 and its commentary until a future
amendment cycle that may include a comprehensive examination of Sec.
2B1.1.
2. Youthful Individuals
Synopsis of Proposed Amendment: In September 2023, the Commission
identified as one of its policy priorities for the amendment cycle
ending May 1, 2024, an examination of the treatment of youthful
offenders and offenses involving youths under the Guidelines Manual,
including possible consideration of amendments that might be
appropriate. U.S. Sent'g Comm'n, ``Notice of Final Priorities,'' 88 FR
60536 (Sept. 1, 2023). As part of this priority, the Commission is
examining two provisions related to youthful individuals: (1)
subsection (d) of Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History), which covers criminal history calculations
for offenses committed prior to age eighteen; and (2) Sec. 5H1.1 (Age
(Policy Statement)), a departure provision related to age, including
youth. Section 4A1.2(d) is unchanged from the original guideline
enacted in 1987. Section 5H1.1 was last amended in 2010.
This proposed amendment contains two parts (Part A and Part B). The
Commission is considering whether to promulgate either or both parts,
as they are not mutually exclusive. Part A addresses the computation of
criminal history points for offenses committed prior to age eighteen.
Part B addresses the sentencing of youthful individuals.
Computing Criminal History for Offenses Committed Prior to Age Eighteen
Under Chapter Four, Part A (Criminal History), certain sentences
for offenses committed prior to age eighteen are considered in the
calculation of a defendant's criminal history score. The guidelines
distinguish between an ``adult sentence'' in which the defendant
committed the offense before age eighteen and was convicted as an
adult, and a ``juvenile sentence'' resulting from a juvenile
adjudication. See USSG Sec. 4A1.2(d).
The Commentary to Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History) provides that, to avoid disparities from
jurisdiction to jurisdiction in the age at which a defendant is
considered a ``juvenile,'' the rules set forth in Sec. 4A1.2(d) apply
to all offenses committed prior to age eighteen. See USSG Sec. 4A1.2,
comment. (n.7). The Commentary also states that ``[a]ttempting to count
every juvenile adjudication would have the potential for creating large
disparities due to the differential availability of records,'' and thus
only certain offenses committed prior to age eighteen are counted. Id.
Courts assign three criminal history points if a defendant was
convicted as an adult for an offense committed before age eighteen and
received a sentence of imprisonment exceeding one year and one month,
if the sentence was imposed, or the defendant was incarcerated, within
fifteen years of the commencement of the instant offense. See USSG
Sec. 4A1.2(d)(1), (e). Courts assign two criminal history points for
``each adult or juvenile sentence to confinement of at least sixty days
if the defendant was released from such confinement within five years
of his commencement of the instant offense.'' USSG Sec.
4A1.2(d)(2)(A). One criminal history point is added for ``each adult or
juvenile sentence imposed within five years of the defendant's
commencement of the instant offense not covered in (A).'' USSG Sec.
4A1.2(d)(2)(B).
Juvenile offenses are also addressed in two other places in Sec.
4A1.2. First, Sec. 4A1.2(c)(2) provides a list of certain offenses
that are ``never counted'' for purposes of the criminal history score,
including ``juvenile status offenses and truancy.'' Second, Sec.
4A1.2(f) provides that diversionary dispositions resulting from a
finding or admission of guilt, or a plea of nolo contendere, are
counted even if a conviction is not formally entered, but ``diversion
from juvenile court is not counted.''
With this proposed amendment, the Commission seeks to strike the
right balance between various considerations related to the sentencing
of youthful individuals, including difficulties in obtaining supporting
documentation for juvenile adjudications and in assessing
``confinement,'' recent brain development research, demographic
[[Page 89146]]
disparities, higher rearrest rates for younger individuals, and
protection of the public.
Juvenile Proceedings in General
Juvenile adjudications involve some procedural safeguards akin to
adult criminal proceedings (e.g., right to counsel, privilege against
self-incrimination), but not all criminal constitutional protections
apply. For example, in most states, juveniles are not entitled to a
jury trial, although some states provide juveniles with a jury trial
upon request. Additionally, ``[i]n 2019, there were 24 states with
statutes allowing delinquency adjudication hearings to be generally
open to the public,'' while ``[i]n the remaining states and the
District of Columbia the public is restricted from attending
delinquency adjudication hearings,'' with possible limited exceptions.
Charles Puzzanchera et al., Nat'l Ctr. for Juv. Just., Youth and the
Juvenile Justice System: 2022 National Report 93 (2022). Dispositions
of confinement and residential placement may also differ in manner and
purpose from adult sentences of incarceration. Residential placement
facilities vary in their degree of security and security features, with
some having a ``secure prison-like environment'' and others ``a more
open (even home-like) setting.'' Id. at 91. Almost all states and the
District of Columbia have statutes or case law providing that a
juvenile adjudication shall not be deemed a criminal conviction or
impose any civil disabilities that ordinarily result from an adult
conviction, though many states permit the use of juvenile adjudications
to enhance a subsequent sentence.
With respect to records of juvenile proceedings, practices vary by
state. Many states allow for sealing or expungement, though few states
seal or expunge such records automatically, instead requiring a motion.
See, e.g., Riya Saha Shah, et al., Juv. L. Ctr., A National Review of
State Laws on Confidentiality, Sealing and Expungement 36-39 (2014).
States often include various eligibility requirements for sealing or
expungement, such as that (1) a certain period of time has elapsed
since the case concluded or the juvenile completed any sentence of
supervision, (2) the person has not been convicted of certain types of
offenses, such as drug or sex offenses or offenses against persons,
and/or (3) the individual has reached a certain age. Id. at 32-35.
The determination of whether a person under the age of eighteen may
be tried as an adult varies by jurisdiction and often may be based on
certain offense types or a finding that the individual would not
benefit from the juvenile court. In 2019, 47 states allowed juvenile
court judges to make the transfer decision, 27 states had statutory
provisions that mandated transfer to criminal court for certain cases,
and 14 states gave prosecutors discretion on where to file charges.
Puzzanchera et al., supra, at 95-97. States vary with respect to the
minimum age at which an individual can be transferred to criminal court
to be tried as an adult; where specified, the minimum age ranges from
ten to sixteen. Id. at 97-99. For juveniles who had been tried as
adults, 35 states had ``once an adult, always an adult'' provisions
requiring that they be prosecuted in criminal court for any subsequent
offense. Id. at 95-96.
Sentencing of Youthful Individuals
Chapter Five, Part H (Specific Offender Characteristics) sets forth
policy statements addressing the relevance of certain specific offender
characteristics in sentencing. Specifically, Sec. 5H1.1 (Age (Policy
Statement)) provides, in relevant part, that ``[a]ge (including youth)
may be relevant in determining whether a departure is warranted, if
considerations based on age, individually or in combination with other
offender characteristics, are present to an unusual degree and
distinguish the case from the typical cases covered by the
guidelines.''
Studies on Age and Brain Development
Research has shown that brain development continues until the mid-
20s on average, potentially contributing to impulsive actions and
reward-seeking behavior, although a more precise age would have to be
determined on an individualized basis. See, e.g., U.S. Sent'g Comm'n,
Youthful Offenders in the Federal System 6-7 (2017); Daniel Romer et
al., Beyond Stereotypes of Adolescent Risk Taking: Placing the
Adolescent Brain in Developmental Context, 27 Developmental Cognitive
Neuroscience 19 (2017); Laurence Steinberg & Grace Icenogle, Using
Developmental Science to Distinguish Adolescents and Adults Under the
Law, 1 Ann. Rev. Developmental Psych. 21 (2019).
Studies on Age and Rearrest Rates
Research has shown a correlation between age and rearrest rates,
with younger individuals being rearrested at higher rates, and sooner
after release, than older individuals. See Ryan Cotter, Courtney
Semisch & David Rutter, U.S. Sent'g Comm'n, Recidivism of Federal
Offenders Released in 2010 (2021); see also Kim Steven Hunt & Billy
Easley II, U.S. Sent'g Comm'n, The Effects of Aging on Recidivism Among
Federal Offenders (2017).
Part A of the Proposed Amendment
Part A of the proposed amendment sets forth three options to change
how sentences for offenses committed prior to age eighteen are
considered in the calculation of a defendant's criminal history score.
Option 1 would amend Sec. 4A1.2(d)(2)(A) to exclude juvenile
sentences from receiving two criminal history points, limiting this
provision to adult sentences of imprisonment of at least 60 days. As a
result, juvenile sentences, including those that involved confinement,
would receive at most one criminal history point under Sec.
4A1.2(d)(2)(B). In addition, Option 1 would amend Sec. 4A1.2(k)(2)(B)
to explain how the applicable time period for revocations would work in
light of the proposed changes. Finally, Option 1 would make conforming
changes to the Commentary to Sec. Sec. 4A1.2 and 4A1.1.
Option 2 would amend Sec. 4A1.2(d) to exclude all juvenile
sentences from being considered in the calculation of the criminal
history score. It also includes bracketed language providing that such
sentences may be considered for purposes of an upward departure under
Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category (Policy Statement)). In addition, Option 2 would amend Sec.
4A1.2(k)(2)(B) to explain how the applicable time period for
revocations would work in light of the proposed changes. It also would
amend Sec. 4A1.2(c)(2) to delete the reference to ``juvenile status
offenses and truancy'' and amend Sec. 4A1.2(f) to delete the reference
to ``diversion from juvenile court.'' Finally, Option 2 would make
conforming changes to the Commentary to Sec. Sec. 4A1.2 and 4A1.1.
Option 3 would amend Sec. 4A1.2(d) to exclude all sentences
resulting from offenses committed prior to age eighteen from being
considered in the calculation of the criminal history score. It also
includes bracketed language providing that such sentences may be
considered for purposes of an upward departure under Sec. 4A1.3. In
addition, Option 3 would amend Sec. 4A1.2(e) and (k) to delete all
references to sentences resulting from offenses committed prior to age
eighteen. It also would amend Sec. 4A1.2(c)(2) to delete the reference
to ``juvenile status offenses and truancy'' and amend Sec. 4A1.2(f) to
delete the reference to ``diversion from juvenile court.''
Additionally, Option 3 would
[[Page 89147]]
make conforming changes to the Commentary to Sec. Sec. 4A1.2 and
4A1.1.
Finally, Option 3 would make changes to the Commentary to
Sec. Sec. 2K1.3 (Unlawful Receipt, Possession, or Transportation of
Explosive Materials; Prohibited Transactions Involving Explosive
Materials), 2K2.1 (Unlawful Receipt, Possession, or Transportation of
Firearms or Ammunition; Prohibited Transactions Involving Firearms or
Ammunition), and 2L1.2 (Unlawfully Entering or Remaining in the United
States), and to subsection (e)(4) of Sec. 4B1.2 (Definitions of Terms
Used in Section 4B1.1), to delete references to convictions for
offenses committed prior to age eighteen being used to increase offense
levels.
Issues for comment are provided.
Part B of the Proposed Amendment
Part B of the proposed amendment would amend the first sentence in
Sec. 5H1.1 to delete ``(including youth)'' and ``if considerations
based on age, individually or in combination with other offender
characteristics, are present to an unusual degree and distinguish the
case from the typical cases covered by the guidelines.'' Thus, the
first sentence in Sec. 5H1.1 would provide solely that ``[a]ge may be
relevant in determining whether a departure is warranted.'' It would
also add language specifically providing for a downward departure for
cases in which the defendant was youthful at the time of the offense
and set forth considerations for the court in determining whether a
departure based on youth is warranted.
Issues for comment are provided.
(A) Computing Criminal History for Offenses Committed Prior to Age
Eighteen
Proposed Amendment:
[Option 1 (Deleting the references to juvenile sentences that
require a determination of ``confinement''):
Section 4A1.2(d)(2)(A) is amended by striking: ``add 2 points under
Sec. 4A1.1(b) for each adult or juvenile sentence to confinement of at
least sixty days if the defendant was released from such confinement
within five years of his commencement of the instant offense'' and
inserting ``add 2 points under Sec. 4A1.1(b) for each adult sentence
of imprisonment of at least sixty days that resulted in the defendant
being incarcerated within five years of his commencement of the instant
offense''.
Section 4A1.2(k)(2)(B) is amended by striking ``in the case of any
other confinement sentence for an offense committed prior to the
defendant's eighteenth birthday, the date of the defendant's last
release from confinement on such sentence (see Sec. 4A1.2(d)(2)(A))''
and inserting ``in the case of an adult term of imprisonment of at
least sixty days for an offense committed prior to the defendant's
eighteenth birthday, the date of the defendant's last release from
incarceration on such sentence (see Sec. 4A1.2(d)(2)(A))''.
The Commentary to Sec. 4A1.2 captioned ``Application Notes'' is
amended in Note 7 by striking ``Therefore, for offenses committed prior
to age eighteen, only those that resulted in adult sentences of
imprisonment exceeding one year and one month, or resulted in
imposition of an adult or juvenile sentence or release from confinement
on that sentence within five years of the defendant's commencement of
the instant offense are counted'' and inserting ``Therefore, for
offenses committed prior to age eighteen, only certain adult or
juvenile sentences are counted''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended in Note 2 by striking ``An adult or juvenile sentence imposed
for an offense committed prior to the defendant's eighteenth birthday
is counted only if confinement resulting from such sentence extended
into the five-year period preceding the defendant's commencement of the
instant offense'' and inserting ``An adult sentence imposed for an
offense committed prior to the defendant's eighteenth birthday is
counted only if the defendant's incarceration resulting from such
sentence extended into the five-year period preceding the defendant's
commencement of the instant offense''.]
[Option 2 (Deleting all references to juvenile sentences as part of
the criminal history calculation rules):
Section 4A1.2(c)(2) is amended by striking ``Juvenile status
offenses and truancy''.
Section 4A1.2(d) is amended--
in paragraph (2)(A) by striking: ``add 2 points under Sec.
4A1.1(b) for each adult or juvenile sentence to confinement of at least
sixty days if the defendant was released from such confinement within
five years of his commencement of the instant offense'' and inserting
``add 2 points under Sec. 4A1.1(b) for each adult sentence of
imprisonment of at least sixty days that resulted in the defendant
being incarcerated within five years of his commencement of the instant
offense'';
in paragraph (2)(B) by striking ``adult or juvenile sentence'' and
inserting ``adult sentence'';
and by inserting at the end the following new paragraph (3):
``(3) Sentences resulting from juvenile adjudications are not
counted[, but may be considered under Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category (Policy Statement))].''.
Section 4A1.2(f) is amended by striking ``, except that diversion
from juvenile court is not counted''.
Section 4A1.2(k)(2)(B) is amended by striking ``in the case of any
other confinement sentence for an offense committed prior to the
defendant's eighteenth birthday, the date of the defendant's last
release from confinement on such sentence (see Sec. 4A1.2(d)(2)(A))''
and inserting ``in the case of an adult term of imprisonment of at
least sixty days for an offense committed prior to the defendant's
eighteenth birthday, the date of the defendant's last release from
incarceration on such sentence (see Sec. 4A1.2(d)(2)(A))''.
The Commentary to Sec. 4A1.2 captioned ``Application Notes'' is
amended in Note 7 by striking the following:
``Offenses Committed Prior to Age Eighteen.--Section 4A1.2(d)
covers offenses committed prior to age eighteen. Attempting to count
every juvenile adjudication would have the potential for creating large
disparities due to the differential availability of records. Therefore,
for offenses committed prior to age eighteen, only those that resulted
in adult sentences of imprisonment exceeding one year and one month, or
resulted in imposition of an adult or juvenile sentence or release from
confinement on that sentence within five years of the defendant's
commencement of the instant offense are counted. To avoid disparities
from jurisdiction to jurisdiction in the age at which a defendant is
considered a `juvenile,' this provision applies to all offenses
committed prior to age eighteen.'';
and inserting the following:
``Offenses Committed Prior to Age Eighteen.--Section 4A1.2(d)
covers offenses committed prior to age eighteen. Offenses prior to age
eighteen are counted only if the defendant was convicted and sentenced
as an adult. If the defendant was convicted as an adult for an offense
committed before age eighteen and received a sentence exceeding one
year and one month, Sec. 4A1.2(e) provides the applicable time period
for counting the sentence. All other adult sentences for offenses
committed prior to age eighteen are counted in accordance with Sec.
4A1.2(d)(2).''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended--
[[Page 89148]]
in Note 2 by striking ``An adult or juvenile sentence imposed for
an offense committed prior to the defendant's eighteenth birthday is
counted only if confinement resulting from such sentence extended into
the five-year period preceding the defendant's commencement of the
instant offense'' and inserting ``An adult sentence imposed for an
offense committed prior to the defendant's eighteenth birthday is
counted only if the defendant's incarceration resulting from such
sentence extended into the five-year period preceding the defendant's
commencement of the instant offense'';
and in Note 3 by striking ``An adult or juvenile sentence'' and
inserting ``An adult sentence''.]
[Option 3 (Deleting all criminal history rules requiring counting
of offenses committed prior to age eighteen):
Section 4A1.2(c)(2) is amended by striking ``Juvenile status
offenses and truancy''.
Section 4A1.2(d) is amended by striking the following:
``(1) If the defendant was convicted as an adult and received a
sentence of imprisonment exceeding one year and one month, add 3 points
under Sec. 4A1.1(a) for each such sentence.
(2) In any other case,
(A) add 2 points under Sec. 4A1.1(b) for each adult or juvenile
sentence to confinement of at least sixty days if the defendant was
released from such confinement within five years of his commencement of
the instant offense;
(B) add 1 point under Sec. 4A1.1(c) for each adult or juvenile
sentence imposed within five years of the defendant's commencement of
the instant offense not covered in (A).'';
and inserting the following:
``Sentences resulting from offenses committed prior to age eighteen
are not counted[, but may be considered under Sec. 4A1.3 (Departures
Based on Inadequacy of Criminal History Category (Policy
Statement))].''.
Section 4A1.2(e) is amended by striking paragraph (4) as follows:
``(4) The applicable time period for certain sentences resulting
from offenses committed prior to age eighteen is governed by Sec.
4A1.2(d)(2).''.
Section 4A1.2(f) is amended by striking ``, except that diversion
from juvenile court is not counted''.
Section 4A1.2(k)(2) is amended by striking the following:
``Revocation of probation, parole, supervised release, special
parole, or mandatory release may affect the time period under which
certain sentences are counted as provided in Sec. 4A1.2(d)(2) and (e).
For the purposes of determining the applicable time period, use the
following: (A) in the case of an adult term of imprisonment totaling
more than one year and one month, the date of last release from
incarceration on such sentence (see Sec. 4A1.2(e)(1)); (B) in the case
of any other confinement sentence for an offense committed prior to the
defendant's eighteenth birthday, the date of the defendant's last
release from confinement on such sentence (see Sec. 4A1.2(d)(2)(A));
and (C) in any other case, the date of the original sentence (see Sec.
4A1.2(d)(2)(B) and (e)(2)).'';
and inserting the following:
``Revocation of probation, parole, supervised release, special
parole, or mandatory release may affect the time period under which
certain sentences are counted as provided in Sec. 4A1.2(e). For the
purposes of determining the applicable time period, use the following:
(A) in the case of an adult term of imprisonment totaling more than one
year and one month, the date of last release from incarceration on such
sentence (see Sec. 4A1.2(e)(1)); and (B) in any other case, the date
of the original sentence (see Sec. 4A1.2(e)).''.
The Commentary to Sec. 4A1.2 captioned ``Application Notes'' is
amended--
in Note 7 by striking the following:
``Offenses Committed Prior to Age Eighteen.--Section 4A1.2(d)
covers offenses committed prior to age eighteen. Attempting to count
every juvenile adjudication would have the potential for creating large
disparities due to the differential availability of records. Therefore,
for offenses committed prior to age eighteen, only those that resulted
in adult sentences of imprisonment exceeding one year and one month, or
resulted in imposition of an adult or juvenile sentence or release from
confinement on that sentence within five years of the defendant's
commencement of the instant offense are counted. To avoid disparities
from jurisdiction to jurisdiction in the age at which a defendant is
considered a `juvenile,' this provision applies to all offenses
committed prior to age eighteen.'';
and inserting the following:
``Offenses Committed Prior to Age Eighteen.--Sentences resulting
from offenses committed prior to age eighteen are not counted.
[Nonetheless, the criminal conduct underlying any conviction resulting
from offenses committed prior to age eighteen may be considered
pursuant to Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category (Policy Statement)).]'';
and in Note 8 by striking ``Section 4A1.2(d)(2) and (e) establishes
the time period within which prior sentences are counted. As used in
Sec. 4A1.2(d)(2) and (e), the term `commencement of the instant
offense' includes any relevant conduct'' and inserting ``Section
4A1.2(e) establishes the time period within which prior sentences are
counted. As used in Sec. 4A1.2(e), the term `commencement of the
instant offense' includes any relevant conduct''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended--
in note 1 by striking ``A sentence imposed for an offense committed
prior to the defendant's eighteenth birthday is counted under this
subsection only if it resulted from an adult conviction'' and inserting
``A sentence imposed for an offense committed prior to the defendant's
eighteenth birthday is not counted'';
in Note 2 by striking ``An adult or juvenile sentence imposed for
an offense committed prior to the defendant's eighteenth birthday is
counted only if confinement resulting from such sentence extended into
the five-year period preceding the defendant's commencement of the
instant offense'' and inserting ``A sentence imposed for an offense
committed prior to the defendant's eighteenth birthday is not
counted'';
and in Note 3 by striking ``An adult or juvenile sentence imposed
for an offense committed prior to the defendant's eighteenth birthday
is counted only if imposed within five years of the defendant's
commencement of the current offense'' and inserting ``A sentence
imposed for an offense committed prior to the defendant's eighteenth
birthday is not counted''.
The Commentary to Sec. 2K1.3 captioned ``Application Notes'' is
amended in Note 2, in the paragraph that begins '' `Felony conviction'
means'', by striking ``A conviction for an offense committed prior to
age eighteen years is an adult conviction if it is classified as an
adult conviction under the laws of the jurisdiction in which the
defendant was convicted (e.g., a federal conviction for an offense
committed prior to the defendant's eighteenth birthday is an adult
conviction if the defendant was expressly proceeded against as an
adult).''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended in Note 1, in the paragraph that begins '' `Felony conviction'
means'', by striking ``A conviction for an offense committed prior to
age eighteen years is an adult conviction if it is classified as an
adult conviction under the laws of the jurisdiction in which the
defendant was convicted (e.g., a federal conviction for an offense
committed prior to the
[[Page 89149]]
defendant's eighteenth birthday is an adult conviction if the defendant
was expressly proceeded against as an adult).''.
The Commentary to Sec. 2L1.2 captioned ``Application Notes'' is
amended in Note 1 by striking the following:
``In General.--
(A) `Ordered Deported or Ordered Removed from the United States for
the First Time'.--For purposes of this guideline, a defendant shall be
considered `ordered deported or ordered removed from the United States'
if the defendant was ordered deported or ordered removed from the
United States based on a final order of exclusion, deportation, or
removal, regardless of whether the order was in response to a
conviction. `For the first time' refers to the first time the defendant
was ever the subject of such an order.
(B) Offenses Committed Prior to Age Eighteen.--Subsections (b)(1),
(b)(2), and (b)(3) do not apply to a conviction for an offense
committed before the defendant was eighteen years of age unless such
conviction is classified as an adult conviction under the laws of the
jurisdiction in which the defendant was convicted.'';
and inserting the following:
`` `Ordered Deported or Ordered Removed from the United States for
the First Time'.--For purposes of this guideline, a defendant shall be
considered `ordered deported or ordered removed from the United States'
if the defendant was ordered deported or ordered removed from the
United States based on a final order of exclusion, deportation, or
removal, regardless of whether the order was in response to a
conviction. `For the first time' refers to the first time the defendant
was ever the subject of such an order.''.
Section 4B1.2(e)(4) is amended by striking ``A conviction for an
offense committed prior to age eighteen is an adult conviction if it is
classified as an adult conviction under the laws of the jurisdiction in
which the defendant was convicted (e.g., a federal conviction for an
offense committed prior to the defendant's eighteenth birthday is an
adult conviction if the defendant was expressly proceeded against as an
adult).''.]
Issues for Comment:
1. The Commission seeks general comment on juvenile court systems
and sentencing of youthful individuals. In particular, the Commission
requests input on: (a) how different jurisdictions sentence younger
individuals (e.g., youthful rehabilitation statutes); (b) how judges
make decisions regarding residential placement or confinement upon an
adjudication of guilt; (c) the factors that influence transfer to adult
court for offenses committed prior to age eighteen; (d) racial
disparities; and (e) practices related to expungement and sealing of
records in different jurisdictions. For example, are there particular
research studies, experts, or practitioners that the Commission should
consult?
2. The Commission seeks comment on whether it should make any of
the changes set forth in Part A of the proposed amendment with respect
to juvenile sentences and sentences for offenses committed prior to age
eighteen for purposes of Chapter Four, Part A (Criminal History).
Should the Commission limit any of the options based on: (a) the type
of crime involved in the offense committed prior to age eighteen; (b)
the age of the individual at the time of the offense committed prior to
age eighteen; or (c) any other factor? Should the Commission consider
an alternative approach in accounting for offenses committed prior to
age eighteen, such as a downward departure?
3. If the Commission were to promulgate Option 2 (exclude juvenile
sentences) or Option 3 (exclude all sentences for offenses committed
prior to age eighteen) in Part A of the proposed amendment, should the
Commission provide that any such sentence may be considered for
purposes of an upward departure under Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category (Policy Statement)) as provided
in the bracketed language? If so, should the Commission limit the
consideration of such departures to certain offenses?
4. Option 3 would amend subsection (d) of Sec. 4A1.2 (Definitions
and Instructions for Computing Criminal History) to exclude all
sentences resulting from offenses committed prior to age eighteen from
being considered in the calculation of the criminal history score. This
change would impact the use of predicate offenses in multiple
guidelines, including Sec. Sec. 2K1.3 (Unlawful Receipt, Possession,
or Transportation of Explosive Materials; Prohibited Transactions
Involving Explosive Materials), 2K2.1 (Unlawful Receipt, Possession, or
Transportation of Firearms or Ammunition; Prohibited Transactions
Involving Firearms or Ammunition), 2L1.2 (Unlawfully Entering or
Remaining in the United States), and 4B1.2 (Definitions of Terms Used
in Section 4B1.1). Some of these guideline provisions were promulgated
in response to directives, such as 28 U.S.C. 994(h). The Commission
invites comment on whether Option 3 exceeds the Commission's authority
under 28 U.S.C. 994(h) or any other congressional directives.
5. If the Commission were to promulgate any of the options in Part
A of the proposed amendment and amend subsection (d) of Sec. 4A1.2
(Definitions and Instructions for Computing Criminal History), should
the Commission make any changes to Sec. 3B1.4 (Using a Minor to Commit
a Crime)? If so, what changes should the Commission make? For example,
should the Commission expand the scope of application or increase the
magnitude of the adjustment? If so, how?
(B) Sentencing of Youthful Individuals
Proposed Amendment:
Section 5H1.1 is amended by striking the following:
``Age (including youth) may be relevant in determining whether a
departure is warranted, if considerations based on age, individually or
in combination with other offender characteristics, are present to an
unusual degree and distinguish the case from the typical cases covered
by the guidelines. Age may be a reason to depart downward in a case in
which the defendant is elderly and infirm and where a form of
punishment such as home confinement might be equally efficient as and
less costly than incarceration. Physical condition, which may be
related to age, is addressed at Sec. 5H1.4 (Physical Condition,
Including Drug or Alcohol Dependence or Abuse; Gambling Addiction).'';
and inserting the following:
``Age may be relevant in determining whether a departure is
warranted. Age may be a reason to depart downward in a case in which
the defendant is elderly and infirm and where a form of punishment such
as home confinement might be equally efficient as and less costly than
incarceration. A downward departure also may be warranted due to the
defendant's youthfulness at the time of the offense. In an appropriate
case, the court may consider whether a form of punishment other than
imprisonment might be sufficient to meet the purposes of sentencing. In
determining whether a departure based on youth is warranted, and the
extent of such departure, the court should consider the following:
(1) Scientific studies on brain development showing that
psychosocial maturity, which involves impulse control, risk assessment,
decision-making, and resistance to peer pressure, is generally not
developed until the mid-20s.
(2) Research showing a correlation between age and rearrest rates,
with younger individuals rearrested at higher
[[Page 89150]]
rates and sooner after release than older individuals.
Physical condition, which may be related to age, is addressed at
Sec. 5H1.4 (Physical Condition, Including Drug or Alcohol Dependence
or Abuse; Gambling Addiction).''.
Issues for Comment:
1. The Commission seeks general comment on sentencing of younger
individuals, including how to balance brain development research
suggesting potentially lower culpability with research on higher
rearrest rates and potential dangerousness. The Commission further
seeks comment on any relevant developments in legal or scientific
literature relating to the impact of brain development and age on
youthful criminal behavior. For example, are there particular research
studies, experts, or practitioners that the Commission should consult?
2. The Commission seeks comment on whether it should amend Sec.
5H1.1 (Age (Policy Statement)) as set forth in Part B of the proposed
amendment or otherwise change the provision in any other way with
respect to youthful individuals. Should the Commission include
additional or different factors for courts to consider in determining
whether a downward departure based on youth may be warranted?
3. Acquitted Conduct
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's consideration of possible amendments to the
Guidelines Manual to prohibit the use of acquitted conduct in applying
the guidelines. See U.S. Sent'g Comm'n, ``Notice of Final Priorities,''
88 FR 60536 (Sept. 1, 2023).
Acquitted conduct is not expressly addressed in the Guidelines
Manual, except for a reference in the parenthetical summary of the
holding in United States v. Watts, 519 U.S. 148 (1997). See USSG Sec.
6A1.3, comment. However, consistent with the Supreme Court's holding in
Watts, consideration of acquitted conduct is permitted under the
guidelines through the operation of Sec. 1B1.3 (Relevant Conduct
(Factors that Determine the Guideline Range)), in conjunction with
Sec. 1B1.4 (Information to be Used in Imposing Sentence) and Sec.
6A1.3 (Resolution of Disputed Factors (Policy Statement)).
Section 1B1.3 sets forth the principles and limits of sentencing
accountability for purposes of determining a defendant's guideline
range, a concept referred to as ``relevant conduct.'' Relevant conduct
impacts nearly every aspect of guidelines application, including the
determination of: base offense levels where more than one level is
provided, specific offense characteristics, and any cross references in
Chapter Two (Offense Conduct); any adjustments in Chapter Three
(Adjustment); and certain departures and adjustments in Chapter Five
(Determining the Sentence).
Specifically, Sec. 1B1.3(a)(1) provides that relevant conduct
comprises ``all acts and omissions committed, aided, abetted,
counseled, commanded, induced, procured, or willfully caused by the
defendant,'' and all acts and omissions of others ``in the case of a
jointly undertaken criminal activity,'' that ``occurred during the
commission of the offense of conviction, in preparation for that
offense, or in the course of attempting to avoid detection or
responsibility for that offense.''
Relevant conduct also includes, for some offense types, ``all acts
and omissions described in subdivisions (1)(A) and (1)(B) above that
were part of the same course of conduct or common scheme or plan as the
offense of conviction,'' ``all harm that resulted from the acts and
omissions specified in subsections (a)(1) and (a)(2) above, and all
harm that was the object of such acts and omissions,'' and ``any other
information specified in the applicable guideline.'' See USSG Sec.
1B1.3(a)(2)-(a)(4). The background commentary to Sec. 1B1.3 explains
that ``[c]onduct that is not formally charged or is not an element of
the offense of conviction may enter into the determination of the
applicable guideline sentencing range.''
The Guidelines Manual also includes Chapter Six, Part A (Sentencing
Procedures) addressing sentencing procedures that are applicable in all
cases. Specifically, Sec. 6A1.3 provides for resolution of any
reasonably disputed factors important to the sentencing determination.
Section 6A1.3(a) provides, in pertinent part, that ``[i]n resolving any
dispute concerning a factor important to sentencing determination, the
court may consider relevant information without regard to its
admissibility under the rules of evidence applicable at trial, provided
that the information has sufficient indicia of reliability to support
its probable accuracy.'' The Commentary to Sec. 6A1.3 instructs that
``[i]n determining the relevant facts, sentencing judges are not
restricted to information that would be admissible at trial'' and that
``[a]ny information may be considered'' so long as it has sufficient
indicia of reliability to support its probable accuracy. The Commentary
cites to 18 U.S.C. 3661 and Supreme Court case law upholding the
sentencing court's discretion in considering any information at
sentencing, so long as it is proved by a preponderance of the evidence.
Consistent with the Supreme Court case law, the Commentary also
provides that ``[t]he Commission believes that use of a preponderance
of the evidence standard is appropriate to meet due process
requirements and policy concerns in resolving disputes regarding
application of the guidelines to the facts of a case.''
In fiscal year 2022, nearly all sentenced individuals (62,529;
97.5%) were convicted through a guilty plea. The remaining 1,613
sentenced individuals (2.5% of all sentenced individuals) were
convicted and sentenced after a trial, and 286 of those sentenced
individuals (0.4% of all sentenced individuals) were acquitted of at
least one offense or found guilty of only a lesser included offense.
The proposed amendment would amend the Guidelines Manual to address
the use of acquitted conduct for purposes of determining a sentence.
Three options are presented.
Option 1 would amend Sec. 1B1.3 to add a new subsection (c)
providing that acquitted conduct is not relevant conduct for purposes
of determining the guideline range. It would define ``acquitted
conduct'' as conduct [underlying] [constituting an element of] a charge
of which the defendant has been acquitted by the trier of fact in
federal court or upon a motion of acquittal pursuant to Rule 29 of the
Federal Rules of Criminal Procedure. It brackets possible language that
would exclude from the definition of ``acquitted conduct'' conduct
establishing, in whole or in part, the instant offense of conviction
that was admitted by the defendant during a guilty plea colloquy or
found by the trier of fact beyond a reasonable doubt. The proposed
amendment further brackets the possibility of clarifying that such
conduct is excluded from the definition regardless of whether the
conduct also underlies a charge of which the defendant has been
acquitted.
Option 1 would also amend the Commentary to Sec. 6A1.3 (Resolution
of Disputed Factors (Policy Statement)) to make conforming revisions
addressing the use of acquitted conduct for purposes of determining the
guideline range.
Option 2 would amend the Commentary to Sec. 1B1.3 to add a new
application note providing that a downward departure may be warranted
if the use of acquitted conduct has a disproportionate impact in
determining the guideline range relative to the offense of conviction.
It brackets the possibility of limiting the departure's application to
cases in which the impact
[[Page 89151]]
is ``extremely'' disproportionate. It clarifies in a parenthetical that
acquitted conduct is conduct [underlying] [constituting an element of]
a charge of which the defendant has been acquitted by the trier of fact
in federal court or upon a motion of acquittal pursuant to Rule 29 of
the Federal Rules of Criminal Procedure.
Option 3 would amend Sec. 6A1.3 to add a new subsection (c)
addressing the standard of proof required to resolve disputes involving
sentencing factors. It provides that a preponderance of the evidence
standard generally is appropriate to meet due process requirements and
policy concerns in resolving such disputes. However, it further
provides that acquitted conduct should not be considered unless it is
established by clear and convincing evidence.
It would define ``acquitted conduct'' as conduct [underlying]
[constituting an element of] a charge of which the defendant has been
acquitted by the trier of fact in federal court or upon a motion of
acquittal pursuant to Rule 29 of the Federal Rules of Criminal
Procedure.
Option 3 would also make conforming changes to the Commentary of
Sec. Sec. 6A1.3 and 1B1.3.
Issues for comment are also provided.
Proposed Amendment:
[Option 1 (Acquitted conduct excluded from guideline range):
Section 1B1.3 is amended--
in subsection (a), in the heading, by striking ``Chapters Two
(Offense Conduct) and Three (Adjustments).'' and inserting ``Chapters
Two (Offense Conduct) and Three (Adjustments).--'';
in subsection (b), in the heading, by striking ``Chapters Four
(Criminal History and Criminal Livelihood) and Five (Determining the
Sentence).'' and inserting ``Chapters Four (Criminal History and
Criminal Livelihood) and Five (Determining the Sentence).--'';
and by inserting at the end the following new subsection (c):
``(c) Acquitted Conduct.--
(1) Exclusion.--Acquitted conduct is not relevant conduct for
purposes of determining the guideline range.
(2) Definition of Acquitted Conduct.--`Acquitted conduct' means
conduct (i.e., any acts or omission) [underlying] [constituting an
element of] a charge of which the defendant has been acquitted by the
trier of fact in federal court or upon a motion of acquittal pursuant
to Rule 29 of the Federal Rules of Criminal Procedure.
[`Acquitted conduct' does not include conduct that--
(A) was admitted by the defendant during a guilty plea colloquy; or
(B) was found by the trier of fact beyond a reasonable doubt;
to establish, in whole or in part, the instant offense of
conviction[, regardless of whether such conduct also underlies a charge
of which the defendant has been acquitted].]''.
The Commentary to Sec. 6A1.3 is amended--
by striking ``see also United States v. Watts, 519 U.S. 148, 154
(1997) (holding that lower evidentiary standard at sentencing permits
sentencing court's consideration of acquitted conduct); Witte v. United
States, 515 U.S. 389, 399-401 (1995) (noting that sentencing courts
have traditionally considered wide range of information without the
procedural protections of a criminal trial, including information
concerning criminal conduct that may be the subject of a subsequent
prosecution);'' and inserting ``Witte v. United States, 515 U.S. 389,
397-401 (1995) (noting that sentencing courts have traditionally
considered a wide range of information without the procedural
protections of a criminal trial, including information concerning
uncharged criminal conduct, in sentencing a defendant within the range
authorized by statute);'';
by striking ``Watts, 519 U.S. at 157'' and inserting ``Witte, 515
U.S. at 399-401'';
and by inserting at the end of the paragraph that begins ``The
Commission believes that use of a preponderance of the evidence
standard'' the following: ``Acquitted conduct, however, is not relevant
conduct for purposes of determining the guideline range. See subsection
(c) of Sec. 1B1.3 (Relevant Conduct). The court is not precluded from
considering acquitted conduct in determining the sentence to impose
within the guideline range, or whether a departure from the guidelines
is warranted. See Sec. 1B1.4 (Information to be Used in Imposing a
Sentence (Selecting a Point Within the Guideline Range or Departing
from the Guidelines)).''.]
[Option 2 (Downward departure):
The Commentary to Sec. 1B1.3 captioned ``Application Notes'' is
amended by inserting at the end the following new Note 10:
``10. Downward Departure Consideration for Acquitted Conduct.--If
the use of acquitted conduct (i.e., conduct [underlying] [constituting
an element of] a charge of which the defendant has been acquitted by
the trier of fact in federal court or upon a motion of acquittal
pursuant to Rule 29 of the Federal Rules of Criminal Procedure) has [an
extremely] [a] disproportionate impact in determining the guideline
range relative to the offense of conviction, a downward departure may
be warranted.''.]
[Option 3 (Clear and convincing evidence standard):
Section 6A1.3 is amended--
in subsection (a) by inserting at the beginning the following new
heading: ``Presentation of Information.--'';
in subsection (b) by inserting at the beginning the following new
heading: ``Sentencing Hearing.--'';
and by inserting at the end the following new subsection (c):
``(c) Standard of Proof.--The use of a preponderance of the
evidence standard generally is appropriate to meet due process
requirements and policy concerns in resolving disputes regarding
application of the guidelines to the facts of a case. However, the
court shall not consider acquitted conduct unless such conduct is
established by clear and convincing evidence.
For purposes of this guideline, `acquitted conduct' means conduct
(i.e., any acts or omission) [underlying] [constituting an element of]
a charge of which the defendant has been acquitted by the trier of fact
in federal court or upon a motion of acquittal pursuant to Rule 29 of
the Federal Rules of Criminal Procedure.''.
The Commentary to Sec. 6A1.3 is amended by striking the last
paragraph as follows:
``The Commission believes that use of a preponderance of the
evidence standard is appropriate to meet due process requirements and
policy concerns in resolving disputes regarding application of the
guidelines to the facts of a case.''.
The Commentary to Sec. 1B1.3 captioned ``Application Notes'' is
amended by inserting at the end the following new Note 10:
``10. Acquitted Conduct.--In accordance with Sec. 6A1.3
(Resolution of Disputed Factors (Policy Statement), a court may not
consider acquitted conduct for purposes of determining the guideline
range unless such conduct is established by clear and convincing
evidence.''.]
Issues for Comment:
1. Option 1 of the proposed amendment would provide that acquitted
conduct is not relevant conduct for purposes of determining the
guideline range. It clarifies that a court is not precluded from
considering acquitted conduct in determining the sentence to impose
within the guideline range, or whether a departure from the guidelines
is warranted. The Commission seeks comment on whether it should
prohibit the consideration of acquitted conduct for purposes other than
determining the guideline range.
[[Page 89152]]
For example, should the Commission prohibit a court from considering
acquitted conduct in determining the sentence to impose within the
guideline range, or whether a departure from the guidelines is
warranted? Should the Commission go further by prohibiting the
consideration of acquitted conduct for all purposes when imposing a
sentence? The Commission seeks comment on the interaction between these
more expansive potential prohibitions and 18 U.S.C. 3661, which
provides that ``[n]o limitation shall be placed on the information
concerning the background, character, and conduct of a person convicted
of an offense which a court of the United States may receive and
consider for the purpose of imposing an appropriate sentence.'' The
Commission further seeks comment on whether any of these more expansive
potential prohibitions exceeds the Commission's authority under 28
U.S.C. 994 or any other congressional directives.
The Commission further seeks comment on whether alternatively it
should adopt a policy statement recommending against, rather than
prohibiting, the consideration of acquitted conduct for certain
sentencing steps. If so, what steps in the sentencing process should be
included in such a policy statement? For example, should the policy
statement recommend against the consideration of acquitted conduct for
purposes of determining the guideline range, the sentence to impose
within the guideline range, whether a departure from the guidelines is
warranted, or any factor when imposing a sentence?
2. The proposed amendment would define ``acquitted conduct'' as
``conduct (i.e., any acts or omission) [underlying] [constituting an
element of] a charge of which the defendant has been acquitted by the
trier of fact in federal court or upon a motion of acquittal pursuant
to Rule 29 of the Federal Rules of Criminal Procedure.'' The Commission
seeks comment on whether it should expand the proposed definition of
``acquitted conduct'' to also include acquittals from state, local, or
tribal jurisdictions. Alternatively, should the Commission adopt the
definition used in the ``Prohibiting Punishment of Acquitted Conduct
Act of 2023,'' S. 2788, 118th Cong. (1st Sess. 2023)? That bill would
define ``acquitted conduct'' as ``(1) an act (A) for which a person was
criminally charged and adjudicated not guilty after trial in a Federal,
State, or Tribal court; or (B) in the case of a juvenile, that was
charged and for which the juvenile was found not responsible after a
juvenile adjudication hearing; or (2) any act underlying a criminal
charge or juvenile information dismissed (A) in a Federal court upon a
motion for acquittal under rule 29 of the Federal Rules of Criminal
Procedure; or (B) in a State or Tribal court upon a motion for
acquittal or an analogous motion under the applicable State or Tribal
rule of criminal procedure.''
3. Option 1 of the proposed amendment brackets language that would
exclude from the definition of ``acquitted conduct'' conduct
establishing, in whole or in part, the instant offense of conviction
that was admitted by the defendant during a guilty plea colloquy or
found by the trier of fact beyond a reasonable doubt. This exclusion is
meant to address cases in which conduct underlying an acquitted charge
overlaps with conduct that establishes the instant offense of
conviction. The Commission seeks comment on whether such an exclusion
is necessary to address ``overlapping'' conduct. If so, does the
proposed exclusion adequately address overlapping conduct, or should
the Commission provide additional or different guidance to address
overlapping conduct? Alternatively, should the Commission add
commentary to Sec. 1B1.3 providing that courts should use their
discretion under 18 U.S.C. 3553(a) when considering acquitted conduct
in anomalous cases involving overlapping conduct, such as cases
involving interrelated charges (e.g., charges for inchoate offenses and
the underlying offense)?
4. The Commission seeks comment on whether any or all of the
options presented should be revised to specifically address acquittals
based on reasons unrelated to the substantive evidence, such as
jurisdiction, venue, or statute of limitations. If so, how? For
example, should conduct underlying such acquittals be excluded from the
definition of ``acquitted conduct''?
4. Circuit Conflicts
Synopsis of Proposed Amendment: This proposed amendment addresses
certain circuit conflicts involving Sec. 2K2.1 (Unlawful Receipt,
Possession, or Transportation of Firearms or Ammunition; Prohibited
Transactions Involving Firearms or Ammunition) and Sec. 2K2.4 (Use of
Firearm, Armor-Piercing Ammunition, or Explosive During or in Relation
to Certain Crimes). See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 88 FR 60536 (Sept. 1, 2023) (identifying resolution of
circuit conflicts as a priority). The proposed amendment contains two
parts (Part A and Part B). The Commission is considering whether to
promulgate either or both parts, as they are not mutually exclusive.
Part A would amend Sec. 2K2.1 to address a circuit conflict
concerning whether a serial number must be illegible in order to apply
the 4-level increase in Sec. 2K2.1(b)(4)(B)(i) for a firearm that
``had an altered or obliterated serial number.'' Two options are
presented. An issue for comment is also provided.
Part B would amend the Commentary to Sec. 2K2.4 to address a
circuit conflict concerning whether subsection (c) of Sec. 3D1.2
(Groups of Closely Related Counts) permits grouping of a firearms count
under 18 U.S.C. 922(g) with a drug trafficking count, where the
defendant also has a separate count under 18 U.S.C. 924(c) based on the
drug trafficking count. An issue for comment is also provided.
(A) Circuit Conflict Concerning Sec. 2K2.1(b)(4)(B)(ii)
Synopsis of Proposed Amendment: Subsection (b)(4) of Sec. 2K2.1
(Unlawful Receipt, Possession, or Transportation of Firearms or
Ammunition; Prohibited Transactions Involving Firearms or Ammunition)
provides an alternative enhancement for a firearm that was stolen, that
had an altered or obliterated serial number, or that was not otherwise
marked with a serial number (other than a firearm manufactured prior to
the effective date of the Gun Control Act of 1968). Specifically,
subsection (b)(4)(A) provides for a 2-level increase where a firearm is
stolen, while subsection (b)(4)(B) provides for a 4-level increase
where (i) a firearm has an altered or obliterated serial number or (ii)
the defendant knew that any firearm involved in the offense was not
otherwise marked with a serial number (other than a firearm
manufactured prior to the effective date of the Gun Control Act of
1968) or was willfully blind to or consciously avoided knowledge of
such fact. The Commentary to Sec. 2K2.1 provides that subsection
(b)(4)(A) and (B)(i) apply regardless of whether the defendant knew or
had reason to believe that the firearm was stolen or had an altered or
obliterated serial number. USSG Sec. 2K2.1, comment. (n.8(B)).
The circuits are split regarding whether a serial number must be
illegible in order to apply the 4-level increase in Sec.
2K2.1(b)(4)(B)(i) for a firearm that ``had an altered or obliterated
serial number.'' The Ninth Circuit first analyzed the meaning of
``altered or obliterated'' and determined that ``a firearm's serial
number is `altered or obliterated' when it is materially changed in a
way that makes
[[Page 89153]]
accurate information less accessible.'' See United States v. Carter,
421 F.3d 909, 916 (9th Cir. 2005). Various circuits have cited this
decision, with different conclusions on the extent of legibility.
The Sixth Circuit has determined that a serial number must be
illegible, adopting a ``naked eye test'', that is, ``a serial number
that is defaced but remains visible to the naked eye is not `altered or
obliterated' under the guideline.'' United States v. Sands, 948 F.3d
709, 719 (6th Cir. 2020). This holding is based on the Sixth Circuit's
determination that ``[a]ny person with basic vision and reading ability
would be able to tell immediately whether a serial number is legible,''
and may be less inclined to purchase a firearm without a legible serial
number. Id. at 717. The Second Circuit has followed the Sixth Circuit
in holding that ``altered'' means illegible for the same reasons. See
United States v. St. Hilaire, 960 F.3d 61, 66 (2d Cir. 2020) (``We
follow the Sixth Circuit, which defines `altered' to mean illegible.''
(citing Sands, 948 F.3d at 715, 719)).
By contrast, the Fourth, Fifth, and Eleventh Circuits have upheld
the enhancement where a serial number is legible or ``less legible.''
See, e.g., United States v. Millender, 791 F. App'x 782 (11th Cir.
2019); United States v. Harris, 720 F.3d 499 (4th Cir. 2013); United
States v. Perez, 585 F.3d 880 (5th Cir. 2009). The Fourth Circuit held
that ``a serial number that is made less legible is made different and
therefore is altered for purposes of the enhancement.'' Harris, 720
F.3d at 501. Similarly, the Fifth Circuit affirmed the enhancement
where the damage did not render the serial number unreadable but ``the
serial number of the firearm [ ] had been materially changed in a way
that made its accurate information less accessible.'' Perez, 585 F.3d
at 884. While the Eleventh Circuit reasoned that an interpretation
where altered means illegible ``would render `obliterated'
superfluous.'' Millender, 791 App'x at 783.
Part A of the proposed amendment would amend Sec. 2K2.1(b)(4) to
include a definition for ``altered or obliterated serial number'' to
address the circuit conflict. Two options are provided.
Option 1 would set forth a definition of ``altered or obliterated
serial number'' that adopts an approach similar to the approach of the
Second and Sixth Circuits. It would provide that such term
``[ordinarily] means a serial number of a firearm that has been
changed, modified, affected, defaced, scratched, erased, or replaced
such that the original information is rendered illegible or
unrecognizable to the unaided eye.''
Option 2 would set forth a definition of ``altered or obliterated
serial number'' that adopts an approach similar to the approach of the
Fourth, Fifth, Ninth, and Eleventh Circuits. It would provide that such
term ``[ordinarily] means a serial number of a firearm that has been
changed, modified, affected, defaced, scratched, erased, or replaced to
make the [original] information less accessible, even if such
information remains legible.''
An issue for comment is also provided.
Proposed Amendment:
[Option 1:
Section 2K2.1(b)(4) is amended by inserting after ``4 levels.'' the
following: ``For purposes of subsection (b)(4)(B)(i), an `altered or
obliterated serial number' [ordinarily] means a serial number of a
firearm that has been changed, modified, affected, defaced, scratched,
erased, or replaced such that the original information is rendered
illegible or unrecognizable to the unaided eye.''.]
[Option 2:
Section 2K2.1(b)(4) is amended by inserting after ``4 levels.'' the
following: ``For purposes of subsection (b)(4)(B)(i), an `altered or
obliterated serial number' [ordinarily] means a serial number of a
firearm that has been changed, modified, affected, defaced, scratched,
erased, or replaced to make the [original] information less accessible,
even if such information remains legible.''.]
Issue for Comment:
1. Part A of the proposed amendment sets forth two options to
address the circuit conflict described in the synopsis above. The
Commission seeks comment on whether it should address the circuit
conflict in a manner other than the options provided in Part A of the
proposed amendment. If so, how?
(B) Circuit Conflict Concerning the Interaction Between Sec. 2K2.4 and
Sec. 3D1.2(c)
Synopsis of Proposed Amendment: Section 3D1.2 (Grouping of Closely
Related Counts) addresses the grouping of closely related counts for
purposes of determining the offense level when a defendant has been
convicted on multiple counts. Subsection (c) states that counts are
grouped together ``[w]hen one of the counts embodies conduct that is
treated as a specific offense characteristic in, or other adjustment
to, the guideline applicable to another of the counts.'' The Commentary
to Sec. 3D1.2 further explains that ``[s]ubsection (c) provides that
when conduct that represents a separate count, e.g., bodily injury or
obstruction of justice, is also a specific offense characteristic in or
other adjustment to another count, the count represented by that
conduct is to be grouped with the count to which it constitutes an
aggravating factor.'' USSG Sec. 3D1.2, comment. (n.5).
Section 2K2.4 (Use of Firearm, Armor-Piercing Ammunition, or
Explosive During or in Relation to Certain Crimes) is the guideline
applicable to certain statutes with mandatory minimum terms of
imprisonment (e.g., 18 U.S.C. 924(c)). The guideline provides that if a
defendant, whether or not convicted of another crime, was convicted of
a violation of any of these statutes, the guideline sentence is the
minimum term of imprisonment required by statute. See USSG Sec.
2K2.4(a)-(b). Chapters Three (Adjustments) and Four (Criminal History
and Criminal Livelihood) do not apply to that count of conviction. Id.
In addition, the Commentary to Sec. 2K2.4 provides that ``[i]f a
sentence under this guideline is imposed in conjunction with a sentence
for an underlying offense, do not apply any specific offense
characteristic for possession, brandishing, use, or discharge of an
explosive or firearm when determining the sentence for the underlying
offense.'' Id. comment. (n.4). The examples included in the application
note specifically referenced 18 U.S.C. 924(c) (which penalizes the
possession or use of a firearm during, and in relation to, an
underlying ``crime of violence'' or ``drug trafficking crime'' by
imposing a mandatory minimum penalty consecutive to the sentence for
the underlying offense).
The circuits are split regarding whether Sec. 3D1.2(c) permits
grouping of a firearms count under 18 U.S.C. 922(g) with a drug
trafficking count, where the defendant also has a separate count under
18 U.S.C. 924(c) based on the drug trafficking count. Ordinarily, the
firearms and drug trafficking counts would group under Sec. 3D1.2(c).
The circuit conflict focuses on the presence of the count under 18
U.S.C. 924(c) and its interaction with the Commentary to Sec. 2K2.4
cited above precluding application of the relevant specific offense
characteristics where the conduct covered by any such enhancement forms
the basis of the conviction under 18 U.S.C.Sec. 924(c).
The Sixth, Eighth, and Eleventh Circuits have held that such counts
can be grouped in this situation. See, e.g., United States v. Gibbs,
395 F. App'x 248, 250 (6th Cir. 2010) (``The district court properly
grouped together Gibbs's drug and felon-in-possession
[[Page 89154]]
offenses.''); United States v. Bell, 477 F.3d 607, 615-16 (8th Cir.
2007) (``the felon in possession count and the crack cocaine count
should have been grouped together for sentencing purposes''); United
States v. King, 201 F. App'x 715, 718 (11th Cir. 2006) (grouping
permitted; felon-in-possession count ``embodies conduct that is treated
as a specific offense characteristic'' to drug trafficking counts).
These circuits held that grouping was permissible as the Chapter Two
guidelines for the felon-in-possession conviction and drug conviction
each include ``conduct that is treated as specific offense
characteristics in the other offense,'' regardless of whether the
enhancements are used due to the rules in Sec. 2K2.4 related to 18
U.S.C. 924(c)). Bell, 477 F.3d at 615-16.
By contrast, the Seventh Circuit has held that there is no basis
for grouping felon-in-possession and drug trafficking counts since
grouping rules are to be applied only after the offense level for each
count has been determined and ``by virtue of Sec. 2K2.4, [the counts]
did not operate as specific offense characteristics of each other, and
the enhancements in Sec. Sec. 2D1.1(b)(1) and 2K2.1(b)(6)(B) did not
apply.'' United States v. Sinclair, 770 F.3d 1148, 1157-58 (7th Cir.
2014); see also United States v. Lamon, 893 F.3d 369, 371 (7th Cir.
2018) (declining to overturn Sinclair to rectify the circuit split;
``the mere existence of a circuit split does not justify overturning
precedent . . . especially true here, because in Sinclair we knew that
we were creating the split, and in doing so weighed the impact that our
contrary decision would have on uniformity among the circuits''). The
Seventh Circuit further explained, ``[w]ith this particular combination
of offenses, the otherwise applicable basis for grouping the drug-
trafficking and felon-in-possession counts dropped out of the case.''
Sinclair, 770 F.3d at 1157-58.
Part B of the proposed amendment generally follows the Sixth,
Eighth, and Eleventh Circuits' approach. It would amend the Commentary
to Sec. 2K2.4 to restate the grouping rule in Sec. 3D1.2(c) and
provide an example stating that, in accordance with Sec. 3D1.2(c), in
case in which the defendant is convicted of a felon-in-possession count
under 18 U.S.C. 922(g) and a drug trafficking count underlying a
conviction under 18 U.S.C. 924(c), such counts shall be grouped.
An issue for comment is also provided.
Proposed Amendment: The Commentary to Sec. 2K2.4 captioned
``Application Notes'' is amended in Note 4 by striking the following:
``Weapon Enhancement.--If a sentence under this guideline is
imposed in conjunction with a sentence for an underlying offense, do
not apply any specific offense characteristic for possession,
brandishing, use, or discharge of an explosive or firearm when
determining the sentence for the underlying offense. A sentence under
this guideline accounts for any explosive or weapon enhancement for the
underlying offense of conviction, including any such enhancement that
would apply based on conduct for which the defendant is accountable
under Sec. 1B1.3 (Relevant Conduct). Do not apply any weapon
enhancement in the guideline for the underlying offense, for example,
if (A) a co-defendant, as part of the jointly undertaken criminal
activity, possessed a firearm different from the one for which the
defendant was convicted under 18 U.S.C. 924(c); or (B) in an ongoing
drug trafficking offense, the defendant possessed a firearm other than
the one for which the defendant was convicted under 18 U.S.C. 924(c).
However, if a defendant is convicted of two armed bank robberies, but
is convicted under 18 U.S.C. 924(c) in connection with only one of the
robberies, a weapon enhancement would apply to the bank robbery which
was not the basis for the 18 U.S.C. 924(c) conviction.
A sentence under this guideline also accounts for conduct that
would subject the defendant to an enhancement under Sec. 2D1.1(b)(2)
(pertaining to use of violence, credible threat to use violence, or
directing the use of violence). Do not apply that enhancement when
determining the sentence for the underlying offense.
If the explosive or weapon that was possessed, brandished, used, or
discharged in the course of the underlying offense also results in a
conviction that would subject the defendant to an enhancement under
Sec. 2K1.3(b)(3) (pertaining to possession of explosive material in
connection with another felony offense) or Sec. 2K2.1(b)(6)(B)
(pertaining to possession of any firearm or ammunition in connection
with another felony offense), do not apply that enhancement. A sentence
under this guideline accounts for the conduct covered by these
enhancements because of the relatedness of that conduct to the conduct
that forms the basis for the conviction under 18 U.S.C. 844(h), Sec.
924(c) or Sec. 929(a). For example, if in addition to a conviction for
an underlying offense of armed bank robbery, the defendant was
convicted of being a felon in possession under 18 U.S.C. 922(g), the
enhancement under Sec. 2K2.1(b)(6)(B) would not apply.
In a few cases in which the defendant is determined not to be a
career offender, the offense level for the underlying offense
determined under the preceding paragraphs may result in a guideline
range that, when combined with the mandatory consecutive sentence under
18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a), produces a total
maximum penalty that is less than the maximum of the guideline range
that would have resulted had there not been a count of conviction under
18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a) (i.e., the guideline
range that would have resulted if the enhancements for possession, use,
or discharge of a firearm had been applied). In such a case, an upward
departure may be warranted so that the conviction under 18 U.S.C.
844(h), Sec. 924(c), or Sec. 929(a) does not result in a decrease in
the total punishment. An upward departure under this paragraph shall
not exceed the maximum of the guideline range that would have resulted
had there not been a count of conviction under 18 U.S.C. 844(h), Sec.
924(c), or Sec. 929(a).'';
and inserting the following:
``Non-Applicability of Certain Enhancements.--
(A) In General.--If a sentence under this guideline is imposed in
conjunction with a sentence for an underlying offense, do not apply any
specific offense characteristic for possession, brandishing, use, or
discharge of an explosive or firearm when determining the sentence for
the underlying offense. A sentence under this guideline accounts for
any explosive or weapon enhancement for the underlying offense of
conviction, including any such enhancement that would apply based on
conduct for which the defendant is accountable under Sec. 1B1.3
(Relevant Conduct). Do not apply any weapon enhancement in the
guideline for the underlying offense, for example, if (A) a co-
defendant, as part of the jointly undertaken criminal activity,
possessed a firearm different from the one for which the defendant was
convicted under 18 U.S.C. 924(c); or (B) in an ongoing drug trafficking
offense, the defendant possessed a firearm other than the one for which
the defendant was convicted under 18 U.S.C. 924(c). However, if a
defendant is convicted of two armed bank robberies, but is convicted
under 18 U.S.C. 924(c) in connection with only one of the robberies, a
weapon enhancement would apply to the bank robbery which was not the
basis for the 18 U.S.C. 924(c) conviction.
[[Page 89155]]
A sentence under this guideline also accounts for conduct that
would subject the defendant to an enhancement under Sec. 2D1.1(b)(2)
(pertaining to use of violence, credible threat to use violence, or
directing the use of violence). Do not apply that enhancement when
determining the sentence for the underlying offense.
If the explosive or weapon that was possessed, brandished, used, or
discharged in the course of the underlying offense also results in a
conviction that would subject the defendant to an enhancement under
Sec. 2K1.3(b)(3) (pertaining to possession of explosive material in
connection with another felony offense) or Sec. 2K2.1(b)(6)(B)
(pertaining to possession of any firearm or ammunition in connection
with another felony offense), do not apply that enhancement. A sentence
under this guideline accounts for the conduct covered by these
enhancements because of the relatedness of that conduct to the conduct
that forms the basis for the conviction under 18 U.S.C. 844(h), Sec.
924(c) or Sec. 929(a). For example, if in addition to a conviction for
an underlying offense of armed bank robbery, the defendant was
convicted of being a felon in possession under 18 U.S.C. 922(g), the
enhancement under Sec. 2K2.1(b)(6)(B) would not apply.
(B) Impact on Grouping.--If two or more counts would otherwise
group under subsection (c) of Sec. 3D1.2 (Groups of Closely Related
Counts), the counts are to be grouped together under Sec. 3D1.2(c)
despite the non-applicability of certain enhancements under Application
Note 4(A). Thus, for example, in a case in which the defendant is
convicted of a felon-in-possession count under 18 U.S.C. 922(g) and a
drug trafficking count underlying a conviction under 18 U.S.C. 924(c),
the counts shall be grouped pursuant to Sec. 3D1.2(c). The applicable
Chapter Two guidelines for the felon-in-possession count and the drug
trafficking count each include `conduct that is treated as a specific
offense characteristic' in the other count, but the otherwise
applicable enhancements did not apply due to the rules in Sec. 2K2.4
related to 18 U.S.C. 924(c) convictions.
(C) Upward Departure Provision.--In a few cases in which the
defendant is determined not to be a career offender, the offense level
for the underlying offense determined under the preceding paragraphs
may result in a guideline range that, when combined with the mandatory
consecutive sentence under 18 U.S.C. 844(h), Sec. 924(c), or Sec.
929(a), produces a total maximum penalty that is less than the maximum
of the guideline range that would have resulted had there not been a
count of conviction under 18 U.S.C. 844(h), Sec. 924(c), or Sec.
929(a) (i.e., the guideline range that would have resulted if the
enhancements for possession, use, or discharge of a firearm had been
applied). In such a case, an upward departure may be warranted so that
the conviction under 18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a)
does not result in a decrease in the total punishment. An upward
departure under this paragraph shall not exceed the maximum of the
guideline range that would have resulted had there not been a count of
conviction under 18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a).''.
Issue for Comment:
1. Part B of the proposed amendment would amend the Commentary to
Sec. 2K2.4 (Use of Firearm, Armor-Piercing Ammunition, or Explosive
During or in Relation to Certain Crimes) to address the circuit
conflict described in the synopsis above. It would amend Application
Note 4 in the Commentary to Sec. 2K2.4 to restate the grouping rule in
subsection (c) of Sec. 3D1.2 (Grouping of Closely Related Counts) and
provide an example stating that, in accordance with Sec. 3D1.2(c), in
a case in which the defendant is convicted of a felon-in-possession
count under 18 U.S.C. 922(g) and a drug trafficking count underlying a
conviction under 18 U.S.C. 924(c), such counts shall be grouped. The
Commission seeks comment on whether it should provide additional or
different guidance to address this circuit conflict.
In the alternative, should the Commission address the circuit
conflict in a manner other than the one provided in Part B of the
proposed amendment? For example, should the Commission amend Sec.
3D1.2 to provide additional or different guidance about how to apply
Sec. 3D1.2(c)?
5. Miscellaneous
Synopsis of Proposed Amendment: This proposed amendment responds to
recently enacted legislation and miscellaneous guideline issues. See
U.S. Sent'g Comm'n, ``Notice of Final Priorities,'' 88 FR 60536 (Sept.
1, 2023) (identifying as priorities ``[i]mplementation of any
legislation warranting Commission action'' and ``[c]onsideration of
other miscellaneous issues coming to the Commission's attention''). The
proposed amendment contains six parts (Parts A through F). The
Commission is considering whether to promulgate any or all these parts,
as they are not mutually exclusive.
Part A responds to the Safeguard Tribal Objects of Patrimony
(``STOP'') Act of 2021, Public Law 117-258 (2022), by amending Appendix
A (Statutory Index) and the Commentary to Sec. 2B1.5 (Theft of, Damage
to, or Destruction of, Cultural Heritage Resources or Paleontological
Resources; Unlawful Sale, Purchase, Exchange, Transportation, or
Receipt of Cultural Heritage Resources or Paleontological Resources).
An issue for comment is also provided.
Part B responds to the Export Control Reform Act of 2018, enacted
as part of the John McCain National Defense Authorization Act for
Fiscal Year 2019, Public Law 115-232 (Aug. 13, 2018), and to concerns
raised by the Department of Justice and the Disruptive Technology
Strike Force (an interagency collaboration between the Department of
Justice's National Security Division and the Department of Commerce's
Bureau of Industry and Security), by amending Appendix A and Sec.
2M5.1 (Evasion of Export Controls; Financial Transactions with
Countries Supporting International Terrorism). Two issues for comment
are also provided.
Part C responds to concerns raised by the Department of Justice
relating to offenses under 31 U.S.C. 5322 and 5336 and Sec. 2S1.3
(Structuring Transactions to Evade Reporting Requirements; Failure to
Report Cash or Monetary Transactions; Failure to File Currency and
Monetary Instrument Report; Knowingly Filing False Reports; Bulk Cash
Smuggling; Establishing or Maintaining Prohibited Accounts), by
amending the specific offense characteristic at Sec. 2S1.3(b)(2)(B) to
reflect the enhanced penalty applicable to offenses under those
statutes.
Part D responds to concerns raised by the Department of Justice
relating to the statutes referenced in Appendix A to Sec. 2R1.1 (Bid-
Rigging, Price-Fixing or Market-Allocation Agreements Among
Competitors), by amending Appendix A and the Commentary to Sec. 2R1.1
to replace the reference to 15 U.S.C. 3(b) with a reference to 15
U.S.C. 3(a).
Part E addresses a miscellaneous issue regarding the application of
the base offense levels at subsections (a)(1)-(a)(4) of Sec. 2D1.1
(Unlawful Manufacturing, Importing, Exporting, or Trafficking
(Including Possession with Intent to Commit These Offenses); Attempt or
Conspiracy). Two options are presented.
Part F responds to concerns raised by the Department of Justice
relating to the scope of the definition of ``sex offense'' in
subsection (b)(2) of Sec. 4C1.1 (Adjustment for Certain Zero-Point
Offenders). Two options are presented.
[[Page 89156]]
(A) Safeguard Tribal Objects of Patrimony (``STOP'') Act of 2021
Synopsis of Proposed Amendment: Part A of the proposed amendment
responds to the Safeguard Tribal Objects of Patrimony (``STOP'') Act of
2021, Public Law 117-258 (Dec. 21, 2022). The Act added two new
criminal offenses at 25 U.S.C. 3073 (Export prohibitions; export
certification system; international agreements). In addition, the Act
increased the penalties for offenses under 18 U.S.C. 1170 (Illegal
trafficking in Native American human remains and cultural items).
The first new offense, created by the Act and codified at 25 U.S.C.
3073(a)(1), prohibits exporting, attempting to export, or otherwise
transporting from the United States any ``Item Prohibited from
Exportation,'' and conspiring to engage in and concealing such
activity. An ``Item Prohibited from Exportation'' means (A) a cultural
item prohibited from being trafficked (including through sale,
purchase, use for profit, or transport for sale or profit) by 18 U.S.C.
1170(b) or any other federal law or treaty; and (B) an archaeological
resource prohibited from being trafficked (including through sale,
purchase, exchange, transport, receipt, or offer to sell, purchase, or
exchange, including in interstate or foreign commerce) by subsections
(b) and (c) of 16 U.S.C. 470ee (Archaeological Resources Protection;
Prohibited acts and criminal penalties) or any other federal law or
treaty. 25 U.S.C. 3072(5). A violation of this offense, if the person
knew, or should have known, that the item was taken, possessed,
transported, or sold in violation of, or in a manner that is unlawful
under, any federal law or treaty, is punishable by a maximum term of
imprisonment of one year and one day for a first violation (and not
more than ten years for a second or subsequent violation), a fine, or
both. 25 U.S.C. 3073(a)(2).
The second new offense, codified at 25 U.S.C. 3073(b)(5)(A)(i),
prohibits exporting, attempting to export, or otherwise transporting
from the United States any ``Item Requiring Export Certification''
without first obtaining an export certification. An ``Item Requiring
Export Certification'' means a cultural item and an archaeological
resource but does not include any such item or resource for which an
Indian Tribe or Native Hawaiian organization with a cultural
affiliation with the item has provided a certificate authorizing
exportation of the item. 25 U.S.C. 3072(6). A violation of this
provision is subject to a civil penalty and any other applicable
penalties under chapter 32B (Safeguard Tribal Objects of Patrimony) of
title 25, United States Code. 25 U.S.C. 3073(b)(5)(A)(ii).
In addition, the Act increased the maximum terms of imprisonment
for offenses under 18 U.S.C. 1170. Section 1170(a) prohibits knowingly
selling, purchasing, using for profit, or transporting for sale or
profit, the human remains of a Native American without the right of
possession to those remains. The Act increased the penalty for this
offense from a maximum term of imprisonment of 12 months to one year
and one day, changing its classification from a misdemeanor to a
felony. It further increased the maximum term of imprisonment for a
second or subsequent offense under section 1170(a) from five to ten
years. The Act also increased the maximum term of imprisonment for a
second or subsequent offense under 18 U.S.C. 1170(b) from five to ten
years. Section 1170(b) prohibits knowingly selling, purchasing, using
for profit, or transporting for sale or profit, any Native American
cultural items obtained in violation of the Native American Grave
Protection and Repatriation Act. Section 1170 offenses are currently
referenced in Appendix A (Statutory Index) to Sec. 2B1.5 (Theft of,
Damage to, or Destruction of, Cultural Heritage Resources or
Paleontological Resources; Unlawful Sale, Purchase, Exchange,
Transportation, or Receipt of Cultural Heritage Resources or
Paleontological Resources). The maximum terms of imprisonment for
offenses under 18 U.S.C. 1170, as revised by the Act, are still within
the maximum penalty range of one year to 20 years for other offenses
referenced to Sec. 2B1.5.
Part A of the proposed amendment would amend Appendix A to
reference the new offenses under 25 U.S.C. 3073 to Sec. 2B1.5. The
conduct prohibited by 25 U.S.C. 3073 is similar to the conduct
prohibited by 18 U.S.C. 1170. Part A of the proposed amendment would
also amend the Commentary to Sec. 2B1.5 to reflect that 25 U.S.C. 3073
is referenced to the guideline. In addition, it would make additional
technical changes to the Commentary to Sec. 2B1.5, including
specifying that 18 U.S.C. 666(a)(1)(A) is referenced to the guideline.
An issue for comment is also provided.
Proposed Amendment: Appendix A (Statutory Index) is amended by
inserting before the line referenced to 25 U.S.C. 5306 the following
new line reference:
``25 U.S.C. 3073 2B1.5''.
The Commentary to Sec. 2B1.5 captioned ``Statutory Provisions'' is
amended by striking ``16 U.S.C. 470aaa-5, 470ee, 668(a), 707(b); 18
U.S.C. 541-546, 554, 641, 661-662, 666, 668, 1163, 1168, 1170, 1361,
1369, 2232, 2314-2315'' and inserting: ``16 U.S.C. 470aaa-5, 470ee,
668(a), 707(b); 18 U.S.C. 541-546, 554, 641, 661-662, 666(a)(1)(A),
668, 1163, 1168, 1170, 1361, 1369, 2232, 2314-2315; 25 U.S.C. 3073. For
additional statutory provision(s), see Appendix A (Statutory Index)''.
Issue for Comment:
1. In response to the Safeguard Tribal Objects of Patrimony
(``STOP'') Act of 2021, Public Law 117-258 (2022), Part A of the
proposed amendment would reference 25 U.S.C. 3073 to Sec. 2B1.5 (Theft
of, Damage to, or Destruction of, Cultural Heritage Resources or
Paleontological Resources; Unlawful Sale, Purchase, Exchange,
Transportation, or Receipt of Cultural Heritage Resources or
Paleontological Resources). The Commission seeks comment on whether any
additional changes to the guidelines are required in response to the
Act. Specifically, should the Commission amend Sec. 2B1.5 to provide a
higher or lower base offense level in response to the changes brought
by the Act? If so, what should that base offense level be and why?
Should the Commission add a specific offense characteristic to Sec.
2B1.5 in response to the Act? If so, what should that specific offense
characteristic provide and why?
(B) Evasion of Export Controls
Synopsis of Proposed Amendment: Part B of the proposed amendment
responds to the Export Control Reform Act of 2018, enacted as part of
the John McCain National Defense Authorization Act for Fiscal Year
2019, Public Law 115-232 (Aug. 13, 2018), and to concerns raised by the
Department of Justice and the Disruptive Technology Strike Force (an
interagency collaboration between the Department of Justice's National
Security Division and the Department of Commerce's Bureau of Industry
and Security).
The Export Control Reform Act of 2018 repealed the Export
Administration Act of 1979 (previously codified at 50 U.S.C. 4601-4623)
regarding export controls of dual-use items. Dual-use items have both
civilian and military applications and are subject to export licensing
requirements. The Export Control Reform Act of 2018 also included new
provisions, codified at 50 U.S.C. 4801-4826, relating to export
controls for national security and foreign policy purposes, to further
the policy of the United States ``to restrict the export of items which
would make a significant contribution to the military potential of any
other country or
[[Page 89157]]
combination of countries which would prove detrimental to the national
security of the United States'' and ``to restrict the export of items
if necessary to further significantly the foreign policy of the United
States or to fulfill its declared international obligations.'' See 50
U.S.C. 4811. These new provisions authorize the Department of Commerce
to develop the Export Administration Regulations, which establish the
export controls governing dual-use and other items. In addition, the
Export Control Reform Act of 2018 is the first export control statute
to explicitly consider the economic security of the United States as a
component or element of national security.
The Export Control Reform Act of 2018 maintained much of the dual-
use export controls previously established under the Export
Administration Act of 1979, but in a process that is still ongoing, the
agencies charged with administering and enforcing the Act are still
making significant changes to what items are controlled and have
increased the overall restrictions on export licensing. In addition to
the items and services already controlled by the Export Administration
Regulations, the Export Control Reform Act of 2018 requires the
President to establish an interagency process to identify ``emerging
and foundational technologies that are `essential to the national
security of the United States' '' but are not already included in the
definition of ``critical technologies'' in the Foreign Investment Risk
Review Modernization Act. See 50 U.S.C. 4817(a). Examples of ``emerging
technologies'' include artificial intelligence and machine learning;
quantum information and sensing technology; robotics; and
biotechnology. ``Foundational technologies'' are described as
technologies that may warrant stricter controls if an application or
capability of that technology poses a national security threat. The
Export Control Reform Act of 2018 also requires the Department of
Commerce to ``establish and maintain a list'' of controlled items,
foreign persons, and end uses determined to be a threat to national
security and foreign policy. Id. Sec. 4813.
The Export Control Reform Act of 2018 includes a criminal offense
at new section 4819 (replacing repealed 50 U.S.C. 4610 (Violations)),
which prohibits willfully committing, willfully attempting or
conspiring to commit, or aiding and abetting a violation of the Act or
of any regulation, order, license, or other authorization issued under
the Act. Any such violation is punishable by a fine of not more than
$1,000,000, a maximum term of imprisonment of 20 years, or both. See 50
U.S.C. 4819(b). Offenses under repealed section 4610 are currently
referenced in Appendix A (Statutory Index) to Sec. 2M5.1 (Evasion of
Export Controls; Financial Transactions with Countries Supporting
International Terrorism), which also appears to be the most analogous
guideline for the offenses under new section 4819. The maximum term of
imprisonment at new section 4819(b) is greater than the maximum
penalties of five and ten years provided in the repealed section 4610
but is within the maximum penalty range of ten to 20 years for other
offenses referenced to Sec. 2M5.1.
In addition, the Department of Justice and the Disruptive
Technology Strike Force recommended that the Commission consider
amending Sec. 2M5.1 to ensure that all controls related to national
security are covered by the guideline provisions. See Annual Letter
from the U.S. Department of Justice to the Commission (Aug. 1, 2023),
at https://www.ussc.gov/sites/default/files/pdf/amendment-process/public-comment/202308/88FR39907_public-comment_R.pdf#page=38; Letter
from U.S. Department of Justice National Security Division & U.S.
Department of Commerce Bureau of Industry and Security (Aug. 1, 2023),
at https://www.ussc.gov/sites/default/files/pdf/amendment-process/public-comment/202308/88FR39907_public-comment_R.pdf#page=55. Both the
Department of Justice and the Disruptive Technology Strike Force are
concerned that, given the wide-range of national security-related
controls in force, some courts have applied Sec. 2M5.1 too narrowly.
The Department of Justice explained that under the Export
Administration Regulations and the Commerce Control List (contained
within the Export Administration Regulations) export controls related
to national security can carry different designations correlating to
the specific reason certain items (i.e., commodities, software,
technology) are subject to the nation's export licensing authority and
are thus controlled. One such designation is ``NS'' (National
Security), while other designations include ``MT'' (Missile
Technology), ``RS,'' (Regional Stability), ``CB'' (Proliferation of
Chemical and Biological Weapons), ``AT'' (Anti-Terrorism), and ``NP''
(Nuclear Nonproliferation). The Department of Justice further clarified
that other export controls comprise ``the full spectrum of national
security related controls,'' including export controls to certain
military end-users and foreign entities when they present an
unacceptable security risk to national security policy interests and
export controls placed on certain goods and destinations based on
sanctions and embargoes imposed by the President pursuant to the
International Emergency Economic Powers Act (50 U.S.C. 1701-1705) or
other specific acts of Congress.
According to the Department of Justice, because Sec.
2M5.1(a)(1)(A) specifically refers to ``national security controls,''
some sentencing courts may erroneously conclude that only the goods
controlled under the Commerce Control List's ``NS'' designation, and
not the goods controlled under separate sections of the Export
Administration Regulations or the International Emergency Economic
Powers Act, qualify for the higher alternative base offense level 26 at
Sec. 2M5.1(a)(1)(A). Both the Department of Justice and the Disruptive
Technology Strike Force recommend replacing the term ``national
security controls'' currently used at Sec. 2M5.1(a)(1)(A) with the
term ``controls related to national security,'' to ensure that the
provision includes ``the full spectrum'' of national security-controls,
including anti-terrorism, missile technology, regional stability,
proliferation of chemical and biological weapons, nuclear
nonproliferation, and military and weapons of mass destruction end-uses
and end-users and entity-specific controls, and sanctions and
embargoes.
Part B of the proposed amendment would amend Appendix A and the
Commentary to Sec. 2M5.1 to reflect the new United States Code section
numbers relating to export controls for national security and foreign
policy.
Additionally, Part B of the proposed amendment would amend Sec.
2M5.1(a)(1)(A) in response to the concerns raised by the Department of
Justice and the Disruptive Technology Strike Force. It would replace
the term ``national security controls'' with ``controls relating to
national security [(including controls on emerging and foundational
technologies)].''
Finally, Part B of the proposed amendment would make technical
changes to the Commentary to Sec. 2M5.1 by reorganizing the
application notes and adding headings.
Two issues for comment are also provided.
Proposed Amendment: Appendix A (Statutory Index) is amended in the
line referenced to 50 U.S.C. 4610 by striking ``Sec. 4610'' and
inserting ``Sec. 4819''.
Section 2M5.1(a)(1) is amended by striking ``national security
controls'' and inserting ``controls relating to national security
[(including controls on
[[Page 89158]]
emerging and foundational technologies)]''.
The Commentary to Sec. 2M5.1 captioned ``Statutory Provisions'' is
amended by striking ``50 U.S.C. 1705; 50 U.S.C. 4601-4623'' and
inserting ``50 U.S.C. 1705, 4819''.
The Commentary to Sec. 2M5.1 captioned ``Application Notes'' is
amended--
by striking Notes 1 through 4 as follows:
``1. In the case of a violation during time of war or armed
conflict, an upward departure may be warranted.
2. In determining the sentence within the applicable guideline
range, the court may consider the degree to which the violation
threatened a security interest of the United States, the volume of
commerce involved, the extent of planning or sophistication, and
whether there were multiple occurrences. Where such factors are present
in an extreme form, a departure from the guidelines may be warranted.
See Chapter Five, Part K (Departures).
3. In addition to the provisions for imprisonment, 50 U.S.C. 4610
contains provisions for criminal fines and forfeiture as well as civil
penalties. The maximum fine for individual defendants is $250,000. In
the case of corporations, the maximum fine is five times the value of
the exports involved or $1 million, whichever is greater. When national
security controls are violated, in addition to any other sanction, the
defendant is subject to forfeiture of any interest in, security of, or
claim against: any goods or tangible items that were the subject of the
violation; property used to export or attempt to export that was the
subject of the violation; and any proceeds obtained directly or
indirectly as a result of the violation.
4. For purposes of subsection (a)(1)(B), `a country supporting
international terrorism' means a country designated under section 6(j)
of the Export Administration Act (50 U.S.C. 4605).'';
and by inserting the following new Notes 1, 2, and 3:
``1. Definition.--For purposes of subsection (a)(1)(B), `a country
supporting international terrorism' means a country designated under
section 1754 of the Export Controls Act of 2018 (50 U.S.C. 4813).
2. Additional Penalties.--In addition to the provisions for
imprisonment, 50 U.S.C. 4819 contains provisions for criminal fines and
forfeiture as well as civil penalties.
3. Departure Provisions.--
(A) In General.--In determining the sentence within the applicable
guideline range, the court may consider the degree to which the
violation threatened a security interest of the United States, the
volume of commerce involved, the extent of planning or sophistication,
and whether there were multiple occurrences. Where such factors are
present in an extreme form, a departure from the guidelines may be
warranted. See Chapter Five, Part K (Departures).
(B) War or Armed Conflict.--In the case of a violation during time
of war or armed conflict, an upward departure may be warranted.''.
Issues for Comment:
1. In response to the Export Control Reform Act of 2018, enacted as
part of the John McCain National Defense Authorization Act for Fiscal
Year 2019, Public Law 115-232 (Aug. 13, 2018), Part B of the proposed
amendment would amend Appendix A (Statutory Index) and the Commentary
to Sec. 2M5.1 (Evasion of Export Controls; Financial Transactions with
Countries Supporting International Terrorism). The current provisions
of Sec. 2M5.1, including the term ``national security controls'' used
in subsection (a)(1), are mostly based on the statutory provisions of
the Export Administration Act of 1979. As explained in the synopsis
above, the Export Control Reform Act of 2018 repealed and replaced the
1979 Act and expanded the meaning of national security (to explicitly
include the economic security of the United States as a component or
element of national security), the types of items controlled (e.g.,
emerging and foundational technologies), and the reasons for control
(e.g., persons and firms involved in activities contrary to national
security or foreign policy interests). In addition, the agencies
charged with administering and enforcing the Export Control Reform Act
of 2018 are still making significant changes to what items are
controlled and have increased the overall restrictions on export
licensing. Accordingly, the Commission seeks general comment on whether
any different or additional changes to the guidelines are required in
response to the changes brought by the Export Control Reform Act of
2018. Specifically, should the Commission revise the base offense
levels at Sec. 2M5.1(a)? If so, what revision should the Commission
make and why? Should the Commission add additional specific offense
characteristics to Sec. 2M5.1? If so, what should any such specific
offense characteristic provide and why? For example, should the
Commission provide a definition of the term ``controls relating to
national security''? Should the Commission include in the provisions of
Sec. 2M5.1 specific references to controls relating to foreign policy
or economic interest of the United States or to certain end-users and
entities?
2. Part B of the proposed amendment would also amend Sec. 2M5.1 in
response to the concerns raised by the Department of Justice and the
Disruptive Technology Strike Force (an interagency collaboration
between the Department of Justice's National Security Division and the
Department of Commerce's Bureau of Industry and Security). The
Commission invites general comment on the Department of Justice's and
Disruptive Technology Strike Force's concerns discussed in the synopsis
above. Are the changes to Sec. 2M5.1 appropriate to address those
concerns? Should the Commission provide additional or different
guidance for applying Sec. 2M5.1? Is there an alternative approach
that the Commission should consider in response to the concerns raised
by the Department of Justice and the Disruptive Technology Strike
Force?
(C) Offenses Involving Records and Reports on Monetary Instruments
Transactions
Synopsis of Proposed Amendment: Part C of the proposed amendment
responds to concerns raised by the Department of Justice relating to
enhanced penalties under 31 U.S.C. 5322 (Criminal penalties) and
covered by Sec. 2S1.3 (Structuring Transactions to Evade Reporting
Requirements; Failure to Report Cash or Monetary Transactions; Failure
to File Currency and Monetary Instrument Report; Knowingly Filing False
Reports; Bulk Cash Smuggling; Establishing or Maintaining Prohibited
Accounts).
Section 5322 is a penalty provision for the substantive criminal
offenses in subchapter II (Records and Reports on Monetary Instruments
Transactions) of chapter 53 of title 31, United States Code. The
provisions of this subchapter are the reporting requirements of the
Bank Secrecy Act (BSA) and impose substantial compliance requirements
on financial institutions. A simple violation of an offense in this
subchapter is punishable by a five-year maximum term of imprisonment, a
fine, or both under 31 U.S.C. 5322(a). However, if the offense also
involved ``violating another law of the United States or as part of a
pattern of any illegal activity involving more than $100,000 in a 12-
month period,'' the maximum term of imprisonment increases to ten years
as provided for at 31 U.S.C. 5322(b). Notably, other penalty provisions
in subchapter II of chapter 53 of title 31, United States
[[Page 89159]]
Code, increase the maximum term of imprisonment if the offense involved
``violating another law of the United States or as part of a pattern of
any illegal activity involving more than $100,000 in a 12-month
period.'' See 31 U.S.C. 5324(d) and 5336(h).
The majority of the substantive criminal offenses in subchapter II
of chapter 53 of title 31, United States Code, including 31 U.S.C.
5322, 5324 and 5336, are referenced in Appendix A (Statutory Index) to
Sec. 2S1.3. Relevant to this issue, Sec. 2S1.3(b)(2) provides for a
2-level enhancement if ``the defendant (A) was convicted of an offense
under subchapter II of chapter 53 of title 31, United States Code; and
(B) committed the offense as part of a pattern of unlawful activity
involving more than $100,000 in a 12-month period.'' USSG Sec.
2S1.3(b)(2).
During the 2022-2023 amendment cycle, the Department of Justice, in
its letter addressing a proposed crime legislation amendment, noted
that when the Commission promulgated Sec. 2S1.3(b)(2) it did not
include the additional factor set forth in 31 U.S.C. 5322(b) that
qualifies a defendant for the enhanced penalty, which is when an
individual commits an offense under subchapter II of chapter 53 of
title 31, United States Code, ``while violating another law of the
United States.'' At the time, the Commission expressed interest in
addressing this miscellaneous issue during the 2023-2024 amendment
cycle.
Part C of the proposed amendment would amend the specific offense
characteristic at Sec. 2S1.3(b)(2)(B) to reflect the additional
enhanced penalty factor under 31 U.S.C. 5322(b), 5324(d), and 5336.
Specifically, it would revise the 2-level enhancement at Sec.
2S1.3(b)(2)(B) to also apply if the defendant committed the offense
``while violating another law of the United States.''
Proposed Amendment: Section 2S1.3(b)(2)(B) is amended by striking
``committed the offense as part of a pattern of unlawful activity'' and
inserting ``committed the offense while violating another law of the
United States or as part of a pattern of unlawful activity''.
(D) Antitrust Offenses
Synopsis of Proposed Amendment: Part D of the proposed amendment
responds to concerns raised by the Department of Justice relating to
the statutes referenced in Appendix A (Statutory Index) to Sec. 2R1.1
(Bid-Rigging, Price-Fixing or Market-Allocation Agreements Among
Competitors).
Section 2R1.1 is intended to apply to antitrust offenses,
particularly offenses relating to agreements among competitors, such as
horizontal price-fixing (including bid-rigging) and horizontal market-
allocation, ``that are intended to, and serve no purpose other than to,
restrict output and raise prices, and that are so plainly
anticompetitive that they have been recognized as illegal per se, i.e.,
without any inquiry in individual cases as to their actual competitive
effect.'' USSG Sec. 2R1.1, comment. (backg'd.).
In the original 1987 Guidelines Manual, the only statute referenced
in Appendix A to Sec. 2R1.1 was 15 U.S.C. 1 (Trusts, etc., in
restraint of trade illegal; penalty), a provision of the Sherman
Antitrust Act of 1890 that prohibits any contract or combination in the
form of a trust or otherwise (or any such conspiracy) in restraint of
trade or commerce among the several states or with foreign nations. In
1990, the Commission amended Appendix A to reference 18 U.S.C. 1860
(Bids at land sales) to Sec. 2R1.1. See Appendix C, amendment 359
(effective Nov. 1, 1990). Section 1860 prohibits bargaining,
contracting, or agreeing, or attempting to bargain, contract, or agree
with another person that such person shall not bid upon or purchase any
parcel of lands of the United States offered at public sale. It also
prohibits using intimidation, combination, or unfair management, to
hinder, prevent, or attempt to hinder or prevent, any person from
bidding upon or purchasing any tract of land so offered for sale.
In 2002, Congress amended 15 U.S.C. 3 to create a new criminal
offense. See Section 14102 of the Antitrust Technical Corrections Act
of 2002, Public Law 107-273 (Nov. 2, 2002). Prior to the Antitrust
Technical Corrections Act of 2002, 15 U.S.C. 3 contained only one
provision prohibiting any contract or combination in the form of trust
or otherwise (or any such conspiracy) in restraint of trade or commerce
in any territory of the United States or the District of Columbia. The
Act redesignated the existing provision as subsection (a) and added a
new criminal offense at a new subsection (b). Section 3(b) prohibits
monopolization, attempts to monopolize, and combining or conspiring
with another person to monopolize any part of the trade or commerce in
or involving any territory of the United States or the District of
Columbia. 15 U.S.C. 3(b).
In 2003, the Commission amended Appendix A to reference 15 U.S.C.
3(b) to Sec. 2R1.1 and the Commentary to Sec. 2R1.1 to reflect such
reference. See Appendix C, amendment 661 (effective Nov. 1, 2003). The
Commission did not include a reference in Appendix A to the then newly
redesignated 15 U.S.C. 3(a). Section 3(a) is not currently referenced
in Appendix A to any guideline.
The Department of Justice has raised a concern that Appendix A and
Sec. 2R1.1 contain inaccurate references to 15 U.S.C. 3(b). According
to the Department of Justice, both Appendix A and the Commentary to
Sec. 2R1.1 lists 15 U.S.C. 3(b) as a statutory provision covered by
Sec. 2R1.1 when, in fact, the guideline should instead cover 15 U.S.C.
3(a). The Department of Justice indicates that, other than 15 U.S.C.
3(b), the statutes currently referenced in Appendix A to Sec. 2R1.1
cover offenses relating to agreements or combinations in restraint of
trade or commerce. Section 3(b) offenses address conduct relating to
the acquisition or maintenance of monopoly power in a relevant market,
which may be committed by a single entity and does not depend on
agreement among competitors. According to the Department of Justice,
these types of monopolization offenses are beyond the scope of Sec.
2R1.1, as described in the Background Commentary, thus maintaining the
Appendix A reference to the guideline has the potential to sow
confusion in antitrust prosecutions. The Department of Justice suggests
that the Commission replace the reference to 15 U.S.C. 3(b) in Appendix
A and Sec. 2R1.1 with a reference to 15 U.S.C. 3(a), which is the
provision in section 3 that addresses offenses relating to agreements
in restraint of trade or commerce and is more similar to the other
offenses already covered by Sec. 2R1.1.
Part D of the proposed amendment would amendment Appendix A and the
Commentary to Sec. 2R1.1 to replace the reference to 15 U.S.C. 3(b)
with a reference to 15 U.S.C. 3(a). In addition, it would make
technical changes to the Commentary to Sec. 2R1.1, including the
addition of headings to some application notes.
Proposed Amendment: Appendix A (Statutory Index) is amended in the
line referenced to 15 U.S.C. 3(b) by striking ``Sec. 3(b)'' and
inserting ``Sec. 3(a)''.
The Commentary to Sec. 2R1.1 captioned ``Statutory Provisions'' is
amended by striking ``Sec. Sec. 1, 3(b)'' and inserting ``Sec. Sec.
1, 3(a)''.
The Commentary to Sec. 2R1.1 captioned ``Application Notes'' is
amended--
in Note 3 by inserting at the beginning the following new heading:
``Fines for Organizations.--'';
[[Page 89160]]
in Note 4 by inserting at the beginning the following new heading:
``Another Consideration in Setting Fine.--'';
in Note 5 by inserting at the beginning the following new heading:
``Use of Alternatives Other Than Imprisonment.--'';
in Note 6 by inserting at the beginning the following new heading:
``Understatement of Seriousness.--'';
and in Note 7 by inserting at the beginning the following new
heading: ``Defendant with Previous Antitrust Convictions.--''.
The Commentary to Sec. 2R1.1 captioned ``Background'' is amended
by striking ``These guidelines apply'' and inserting ``This guideline
applies''.
(E) Enhanced Penalties for Drug Offenders
Synopsis of Proposed Amendment: Part E of the proposed amendment
addresses a miscellaneous issue regarding the application of the
enhanced base offense levels at subsections (a)(1)-(a)(4) of Sec.
2D1.1 (Unlawful Manufacturing, Importing, Exporting, or Trafficking
(Including Possession with Intent to Commit These Offenses); Attempt or
Conspiracy).
The most common drug offenses that carry mandatory minimum
penalties are set forth in 21 U.S.C. 841 and 960. Under both
provisions, the mandatory minimum penalties are tied to the quantity
and type of controlled substance involved in an offense. Enhanced
mandatory minimum penalties are set forth in 21 U.S.C. 841(b) and
960(b) for defendants whose instant offense resulted in death or
serious bodily injury, or who have prior convictions for certain
specified offenses. Greater enhanced mandatory minimum penalties are
provided for those defendants whose instant offense resulted in death
or serious bodily injury and who have a qualifying prior conviction.
Section 2D1.1 provides specific base offense levels to reflect this
enhanced penalty structure at Sec. 2D1.1(a)(1)-(a)(4). Section
2D1.1(a)(1)(A) provides for a base offense level of 43 if ``the
defendant is convicted under 21 U.S.C. 841(b)(1)(A) or (b)(1)(B), or 21
U.S.C. 960(b)(1) or (b)(2), and the offense of conviction establishes
that death or serious bodily injury resulted from the use of the
substance and that the defendant committed the offense after one or
more prior convictions for a serious drug felony or serious violent
felony.'' Similarly, Sec. 2D1.1(a)(1)(B) provides for a base offense
level of 43 if ``the defendant is convicted under 21 U.S.C.
841(b)(1)(C) or 21 U.S.C. 960(b)(3) and the offense of conviction
establishes that death or serious bodily injury resulted from the use
of the substance and that the defendant committed the offense after one
or more prior convictions for a felony drug offense.'' Each of the six
statutory provisions enumerated within Sec. 2D1.1(a)(1)(A) and (B)
require a mandatory term of life imprisonment for any defendant who has
a qualifying prior offense and whose instant offense involved a
substance that resulted in death or serious bodily injury.
Section 2D1.1(a)(2) provides for a base offense level of 38 ``if
the defendant is convicted under 21 U.S.C. 841(b)(1)(A), (b)(1)(B), or
(b)(1)(C), or 21 U.S.C. 960(b)(1), (b)(2), or (b)(3), and the offense
of conviction establishes that death or serious bodily injury resulted
from the use of the substance.'' Each of the six statutory provisions
enumerated within Sec. 2D1.1(a)(2) provides for a mandatory minimum
term of imprisonment of not less than 20 years for a defendant whose
instant offense involved a substance that resulted in death or serious
bodily injury.
Section 2D1.1(a)(3) provides for a base offense level of 30 if
``the defendant is convicted under 21 U.S.C. 841(b)(1)(E) or 21 U.S.C.
960(b)(5), and the offense of conviction establishes that death or
serious bodily injury resulted from the use of the substance and that
the defendant committed the offense after one or more prior convictions
for a felony drug offense.'' Both statutory provisions enumerated
within Sec. 2D1.1(a)(3) provide for an increased statutory maximum
term of imprisonment of 30 years for any defendant who has a qualifying
prior offense and whose instant offense involved a substance that
resulted in death or serious bodily injury.
Section 2D1.1(a)(4) provides for a base offense level of 26 if ``if
the defendant is convicted under 21 U.S.C. 841(b)(1)(E) or 21 U.S.C.
960(b)(5), and the offense of conviction establishes that death or
serious bodily injury resulted from the use of the substance.'' Both
statutory provisions enumerated within Sec. 2D1.1(a)(4) provide for an
increased statutory maximum term of imprisonment of 15 years for any
defendant whose instant offense involved a substance that resulted in
death or serious bodily injury.
The Commission has heard concerns that it is not clear whether the
enhanced base offense levels at Sec. 2D1.1(a)(1)-(a)(4) apply only
when the defendant was convicted under the enhanced penalty provision
of 21 U.S.C. 841 or 21 U.S.C. 960 because each statutory element was
established, or whether they also apply whenever a defendant meets the
applicable requirements, regardless of whether the defendant was in
fact convicted under the enhanced penalty provision.
Part E of the proposed amendment would amend Sec. 2D1.1(a)(1)-(4)
to address these concerns. Two options are provided.
Option 1 would amend Sec. 2D1.1(a)(1)-(4) to provide that the base
offense levels in those provisions apply only if the defendant was
convicted under 21 U.S.C. 841 or 21 U.S.C. 960, and was subject to a
statutorily enhanced sentence under title 21, United States Code, for
the offense of conviction because the specific statutory elements were
established in accordance with the relevant provision in title 21,
United States Code.
Option 2 would amend Sec. 2D1.1(a)(1)-(4) so that the base offense
levels in those provisions apply if the defendant was convicted under
21 U.S.C. 841 or 21 U.S.C. 960 and the offense involved the applicable
requirements. However, Sec. 2D1.1(a)(1) and (a)(3) would require that
the fact that the offense was committed after one or more prior
convictions for a serious drug felony, serious violent felony, or
felony drug offense be established by the information filed by the
government pursuant to 21 U.S.C. 851.
Proposed Amendment:
[Option 1:
Section 2D1.1(a) is amended by striking paragraphs (1) through (4)
as follows:
``(1) 43, if--
(A) the defendant is convicted under 21 U.S.C. 841(b)(1)(A) or
(b)(1)(B), or 21 U.S.C. 960(b)(1) or (b)(2), and the offense of
conviction establishes that death or serious bodily injury resulted
from the use of the substance and that the defendant committed the
offense after one or more prior convictions for a serious drug felony
or serious violent felony; or
(B) the defendant is convicted under 21 U.S.C. 841(b)(1)(C) or 21
U.S.C. 960(b)(3) and the offense of conviction establishes that death
or serious bodily injury resulted from the use of the substance and
that the defendant committed the offense after one or more prior
convictions for a felony drug offense; or
(2) 38, if the defendant is convicted under 21 U.S.C. 841(b)(1)(A),
(b)(1)(B), or (b)(1)(C), or 21 U.S.C. 960(b)(1), (b)(2), or (b)(3), and
the offense of conviction establishes that death or serious bodily
injury resulted from the use of the substance; or
(3) 30, if the defendant is convicted under 21 U.S.C. 841(b)(1)(E)
or 21 U.S.C. 960(b)(5), and the offense of
[[Page 89161]]
conviction establishes that death or serious bodily injury resulted
from the use of the substance and that the defendant committed the
offense after one or more prior convictions for a felony drug offense;
or
(4) 26, if the defendant is convicted under 21 U.S.C. 841(b)(1)(E)
or 21 U.S.C. 960(b)(5), and the offense of conviction establishes that
death or serious bodily injury resulted from the use of the substance;
or'';
and by inserting the following new paragraphs (1) through (4):
``(1) 43, if--
(A) the defendant (i) is convicted under 21 U.S.C. 841(b)(1)(A) or
(b)(1)(B), or 21 U.S.C. 960(b)(1) or (b)(2); and (ii) is subject to a
statutorily enhanced sentence under title 21, United States Code, for
the offense of conviction because (I) death or serious bodily injury
resulted from the use of the substance; and (II) the defendant
committed the offense after one or more prior convictions for a serious
drug felony or serious violent felony, as established by the
information filed by the government pursuant to 21 U.S.C. 851; or
(B) the defendant (i) is convicted under 21 U.S.C. 841(b)(1)(C) or
21 U.S.C. 960(b)(3); and (ii) is subject to a statutorily enhanced
sentence under title 21, United States Code, for the offense of
conviction because (I) death or serious bodily injury resulted from the
use of the substance; and (II) the defendant committed the offense
after one or more prior convictions for a felony drug offense, as
established by the information filed by the government pursuant to 21
U.S.C. 851; or
(2) 38, if the defendant (A) is convicted under 21 U.S.C.
841(b)(1)(A), (b)(1)(B), or (b)(1)(C), or 21 U.S.C. 960(b)(1), (b)(2),
or (b)(3); and (B) is subject to a statutorily enhanced sentence under
title 21, United States Code, for the offense of conviction because
death or serious bodily injury resulted from the use of the substance;
or
(3) 30, if the defendant (A) is convicted under 21 U.S.C.
841(b)(1)(E) or 21 U.S.C. 960(b)(5); and (B) is subject to a
statutorily enhanced sentence under title 21, United States Code, for
the offense of conviction because (i) death or serious bodily injury
resulted from the use of the substance; and (ii) the defendant
committed the offense after one or more prior convictions for a felony
drug offense, as established by the information filed by the government
pursuant to 21 U.S.C. 851; or
(4) 26, if the defendant (A) is convicted under 21 U.S.C.
841(b)(1)(E) or 21 U.S.C. 960(b)(5); and (B) is subject to a
statutorily enhanced sentence under title 21, United States Code, for
the offense of conviction because death or serious bodily injury
resulted from the use of the substance; or''.]
[Option 2:
Section 2D1.1(a) is amended by striking paragraphs (1) through (4)
as follows:
``(1) 43, if--
(A) the defendant is convicted under 21 U.S.C. 841(b)(1)(A) or
(b)(1)(B), or 21 U.S.C. 960(b)(1) or (b)(2), and the offense of
conviction establishes that death or serious bodily injury resulted
from the use of the substance and that the defendant committed the
offense after one or more prior convictions for a serious drug felony
or serious violent felony; or
(B) the defendant is convicted under 21 U.S.C. 841(b)(1)(C) or 21
U.S.C. 960(b)(3) and the offense of conviction establishes that death
or serious bodily injury resulted from the use of the substance and
that the defendant committed the offense after one or more prior
convictions for a felony drug offense; or
(2) 38, if the defendant is convicted under 21 U.S.C. 841(b)(1)(A),
(b)(1)(B), or (b)(1)(C), or 21 U.S.C. 960(b)(1), (b)(2), or (b)(3), and
the offense of conviction establishes that death or serious bodily
injury resulted from the use of the substance; or
(3) 30, if the defendant is convicted under 21 U.S.C. 841(b)(1)(E)
or 21 U.S.C. 960(b)(5), and the offense of conviction establishes that
death or serious bodily injury resulted from the use of the substance
and that the defendant committed the offense after one or more prior
convictions for a felony drug offense; or
(4) 26, if the defendant is convicted under 21 U.S.C. 841(b)(1)(E)
or 21 U.S.C. 960(b)(5), and the offense of conviction establishes that
death or serious bodily injury resulted from the use of the substance;
or'';
and by inserting the following new paragraphs (1) through (4):
``(1) 43, if--
(A) (i) the defendant is convicted under 21 U.S.C. 841(b)(1)(A) or
(b)(1)(B), or 21 U.S.C. 960(b)(1) or (b)(2); (ii) the offense involved
death or serious bodily injury resulting from the use of the substance;
and (iii) the defendant committed the offense after one or more prior
convictions for a serious drug felony or serious violent felony, as
established by the information filed by the government pursuant to 21
U.S.C. 851; or
(B) (i) the defendant is convicted under 21 U.S.C. 841(b)(1)(C) or
21 U.S.C. 960(b)(3); (ii) the offense involved death or serious bodily
injury resulting from the use of the substance; and (iii) the defendant
committed the offense after one or more prior convictions for a felony
drug offense, as established by the information filed by the government
pursuant to 21 U.S.C. 851; or
(2) 38, if (A) the defendant is convicted under 21 U.S.C.
841(b)(1)(A), (b)(1)(B), or (b)(1)(C), or 21 U.S.C. 960(b)(1), (b)(2),
or (b)(3); and (B) the offense involved death or serious bodily injury
resulting from the use of the substance; or
(3) 30, if (A) the defendant is convicted under 21 U.S.C.
841(b)(1)(E) or 21 U.S.C. 960(b)(5); (B) the offense involved death or
serious bodily injury resulting from the use of the substance; and (C)
the defendant committed the offense after one or more prior convictions
for a felony drug offense, as established by the information filed by
the government pursuant to 21 U.S.C. 851; or
(4) 26, if (A) the defendant is convicted under 21 U.S.C.
841(b)(1)(E) or 21 U.S.C. 960(b)(5); and (B) the offense involved death
or serious bodily injury resulting from the use of the substance;
or''.]
(F) ``Sex Offense'' Definition in Sec. 4C1.1
Synopsis of Proposed Amendment: Part F of the proposed amendment
responds to concerns raised by the Department of Justice relating to
the scope of the definition of ``sex offense'' in subsection (b)(2) of
Sec. 4C1.1 (Adjustment for Certain Zero-Point Offenders).
In 2023, the Commission added a new Chapter Four guideline, at
Sec. 4C1.1 (Adjustment for Certain Zero-Point Offenders), providing a
decrease of 2 levels from the offense level determined under Chapters
Two and Three for ``zero-point'' offenders who meet certain criteria.
See USSG App. C, amendment 821 (effective Nov. 1, 2023). The 2-level
adjustment for defendants with zero criminal history points at Sec.
4C1.1 applies only if none of the exclusionary criteria set forth in
subsections (a)(1) through (a)(10) apply. Among the exclusionary
criteria is subsection (a)(5), requiring that ``the [defendant's]
instant offense of conviction is not a sex offense.'' Section
4C1.1(b)(2) defines ``sex offense'' as ``(A) an offense, perpetrated
against a minor, under (i) chapter 109A of title 18, United States
Code; (ii) chapter 110 of title 18, not including a recordkeeping
offense; (iii) chapter 117 of title 18, not including transmitting
information about a minor or filing a factual statement about an alien
individual; or (iv) 18 U.S.C. 1591;
[[Page 89162]]
or (B) an attempt or a conspiracy to commit any offense described in
subparagraphs (A)(i) through (iv) of this definition.''
The Department of Justice has raised a concern that the current
definition of ``sex offense'' is too restrictive because it applies
only to offenses perpetrated against minors. The Department of Justice
first raised this issue during the 2022-2023 amendment cycle. In its
letter addressing the proposed amendment on sexual abuse offenses, the
Department of Justice noted that the restrictive definition of ``sex
offense'' in the then-proposed Sec. 4C1.1 would run counter to the
Commission's then-proposed amendment to increase the base offense level
from level 14 to level 18 at Sec. 2A3.3 (Criminal Sexual Abuse of a
Ward or Attempt to Commit Such Acts; Criminal Sexual Abuse of an
Individual in Federal Custody).
Part F of the proposed amendment would amend Sec. 4C1.2(b)(2) to
broaden the definition of ``sex offense.'' Two options are provided.
Option 1 would revise the current definition of ``sex offense'' at
Sec. 4C1.1(b)(2) to also cover sexual abuse offenses against wards and
individuals in federal custody under 18 U.S.C. 2243(b) and (c).
Option 2 would expand the definition of ``sex offense'' at Sec.
4C1.1(b)(2) to cover all offenses described in the listed provisions
instead of only to offenses perpetrated against minors.
Proposed Amendment:
[Option 1:
Section 4C1.1(b)(2) is amended by striking `` `Sex offense' means
(A) an offense, perpetrated against a minor, under (i) chapter 109A of
title 18, United States Code; (ii) chapter 110 of title 18, not
including a recordkeeping offense; (iii) chapter 117 of title 18, not
including transmitting information about a minor or filing a factual
statement about an alien individual; or (iv) 18 U.S.C. 1591; or (B) an
attempt or a conspiracy to commit any offense described in
subparagraphs (A)(i) through (iv) of this definition''; and inserting:
`` `Sex offense' means (A) an offense under 18 U.S.C. 2243(b) or (c);
(B) an offense, perpetrated against a minor, under (i) chapter 109A of
title 18, United States Code; (ii) chapter 110 of title 18, not
including a recordkeeping offense; (iii) chapter 117 of title 18, not
including transmitting information about a minor or filing a factual
statement about an alien individual; or (iv) 18 U.S.C. 1591; or (C) an
attempt or a conspiracy to commit any offense described in
subparagraphs (A) and (B) of this definition''.]
[Option 2:
Section 4C1.1(b)(2) is amended by striking `` `Sex offense' means
(A) an offense, perpetrated against a minor, under''; and inserting ``
`Sex offense' means (A) an offense under''.]
6. Technical
Synopsis of Proposed Amendment: This proposed amendment would make
technical and other non-substantive changes to the Guidelines Manual.
The proposed amendment contains two parts (Part A and Part B). The
Commission is considering whether to promulgate either or both parts,
as they are not mutually exclusive.
Technical and Conforming Changes Relating to Sec. 4C1.1
In 2023, the Commission added a new Chapter Four guideline, at
Sec. 4C1.1 (Adjustment for Certain Zero-Point Offenders), providing a
decrease of 2 levels from the offense level determined under Chapters
Two and Three for ``zero-point'' offenders who meet certain criteria.
See USSG App. C, amendment 821 (effective Nov. 1, 2023). Part A of the
proposed amendment would make technical and conforming changes relating
to Sec. 4C1.1.
First, Part A of the proposed amendment would amend Sec. 4C1.1.
The 2-level adjustment for defendants with zero criminal history points
at Sec. 4C1.1 applies only if none of exclusionary criteria set forth
in subsections (a)(1) through (a)(10) applies. Among the exclusionary
criteria is subsection (a)(10), requiring that ``the defendant did not
receive an adjustment under Sec. 3B1.1 (Aggravating Role) and was not
engaged in a continuing criminal enterprise, as defined in 21 U.S.C.
848.'' Several provisions in Sec. 4C1.1 track similar language found
in the safety valve criteria at 18 U.S.C. 3553(f). In particular, Sec.
4C1.1(a)(10) mirrors 18 U.S.C. 3553(f)(4), which provides as a
requirement that ``the defendant was not an organizer, leader, manager,
or supervisor of others in the offense, as determined under the
sentencing guidelines and was not engaged in a continuing criminal
enterprise, as defined in section 408 of the Controlled Substances
Act.''
Historically, courts have generally interpreted 18 U.S.C.
3553(f)(4) as excluding a defendant from safety valve eligibility if
such defendant had either an aggravating role or were engaged in a
continuing criminal enterprise, given the otherwise exclusionary
language beginning each phrase of subsection (f)(4) (i.e., ``the
defendant was not . . .'' and ``. . . was not engaged in''). The Sixth
and the Seventh Circuits have squarely addressed this issue and held
that defendants are ineligible for safety valve relief if they either
have an aggravating role or engaged in a continuing criminal
enterprise, but that it is not required to demonstrate both. See, e.g.,
United States v. Bazel, 80 F.3d 1140, 1143 (6th Cir. 1996); United
States v. Draheim, 958 F.3d 651, 660 (7th Cir. 2020).
The Commission intended Sec. 4C1.1(b)(10) to track the safety
valve criteria at 18 U.S.C. 3553(f)(4) and be applied by courts in the
same way--namely, that a defendant is ineligible for the adjustment if
the defendant meets either of the disqualifying conditions in the
provision. Nevertheless, since promulgation of new Sec. 4C1.1, several
stakeholders have raised the question of whether the ``and'' in the
subsection (a)(10) is conjunctive or disjunctive.
To address the confusion caused by the use of the word ``and'' in
that provision, Part A of the proposed amendment would make technical
changes to Sec. 4C1.1 to divide subsection (a)(10) into two separate
provisions, clarifying the Commission's intention that a defendant is
ineligible for the adjustment if the defendant meets either of the
disqualifying conditions listed in the provision.
Finally, Part A of the proposed amendment would make conforming
changes relating to Sec. 4C1.1 by adding necessary references to new
Chapter Four, Part C (Adjustment for Certain Zero-Point Offenders) in
subsection (a)(6) of Sec. 1B1.1 (Application Instructions), the
Introductory Commentary to Chapter Two (Offense Conduct), and the
Commentary to Sec. Sec. 3D1.1 (Procedure for Determining Offense Level
on Multiple Counts) and 3D1.5 (Determining the Total Punishment). These
guidelines and commentaries refer to the order in which the chapters of
the Guidelines Manual should be applied.
Additional Technical and Clerical Changes
Part B of the proposed amendment would make technical and clerical
changes to--
(1) the Commentary to Sec. 1B1.1 (Application Instructions), to
add headings to some application notes, provide stylistic consistency
in how subdivisions are designated, and correct a typographical error;
(2) Sec. 2B1.1 (Theft, Property Destruction, and Fraud), to
provide consistency in the use of capitalization and how subdivisions
are designated, and to correct a reference to the term ``equity
security'';
(3) the Commentary to Sec. 2B1.6 (Aggravated Identity Theft), to
correct
[[Page 89163]]
some typographical errors and provide stylistic consistency in how
subdivisions are designated;
(4) Sec. 2B3.1 (Robbery), to provide stylistic consistency in how
subdivisions are designated and add headings to the application notes
in the Commentary;
(5) Sec. 2B3.2 (Extortion by Force or Threat of Injury or Serious
Damage), to provide stylistic consistency in how subdivisions are
designated and add headings to some application notes in the
Commentary;
(6) Sec. 2C1.8 (Making, Receiving, or Failing to Report a
Contribution, Donation, or Expenditure in Violation of the Federal
Election Campaign Act; Fraudulently Misrepresenting Campaign Authority;
Soliciting or Receiving a Donation in Connection with an Election While
on Certain Federal Property), to provide consistency in the use of
capitalization;
(7) Sec. 2D1.1 (Unlawful Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with Intent to Commit These
Offenses)), to provide stylistic consistency in how subdivisions are
designated, make clerical changes to some controlled substances
references in the Drug Conversion Tables at Application Note 8(D) and
the Typical Weight Per Unit Table at Application Note 9, and correct a
reference to a statute in the Background commentary;
(8) the Background Commentary to Sec. 2D1.2 (Drug Offenses
Occurring Near Protected Locations or Involving Underage or Pregnant
Individuals; Attempt or Conspiracy), to correct a reference to a
statute;
(9) the Commentary to Sec. 2D1.5 (Continuing Criminal Enterprise;
Attempt or Conspiracy), to add headings to application notes and
correct a reference to a statutory provision;
(10) Sec. 2E2.1 (Making or Financing an Extortionate Extension of
Credit; Collecting an Extension of Credit by Extortionate Means), to
provide stylistic consistency in how subdivisions are designated and
add headings to the application notes in the Commentary;
(11) Sec. 2E3.1 (Gambling Offenses; Animal Fighting Offenses), to
provide stylistic consistency in how subdivisions are designated and
correct a reference to a statutory provision in the Commentary;
(12) Sec. 2H2.1 (Obstructing an Election or Registration), to
provide stylistic consistency in how subdivisions are designated and
add a heading to the application note in the Commentary;
(13) Sec. 2K1.4 (Arson; Property Damage by Use of Explosives), to
provide stylistic consistency in how subdivisions are designated;
(14) the Commentary to Sec. 2K2.4 (Use of Firearm, Armor-Piercing
Ammunition, or Explosive During or in Relation to Certain Crimes), to
correct some typographical errors;
(15) the Commentary to Sec. 2S1.1 (Laundering of Monetary
Instruments; Engaging in Monetary Transactions in Property Derived from
Unlawful Activity), to provide consistency in the use of capitalization
and how subdivisions are designated;
(16) Sec. 3B1.1 (Aggravating Role), to provide stylistic
consistency in how subdivisions are designated, add headings to the
application notes in the Commentary, and correct a typographical error;
(17) the Commentary to Sec. 3D1.1 (Procedure for Determining
Offense Level on Multiple Counts), to add a heading to an application
note;
(18) Sec. 4A1.1 (Criminal History Category), to provide stylistic
consistency in how subdivisions are designated and correct the headings
of the application notes in the Commentary;
(19) Sec. 4A1.2 (Definitions and Instructions for Computing
Criminal History), to provide stylistic consistency in how subdivisions
are designated;
(20) the Commentary to Sec. 5G1.2 (Sentencing on Multiple Counts
of Conviction), to provide stylistic consistency in how subdivisions
are designated, fix typographical errors in the Commentary, and update
an example that references 18 U.S.C. 924(c) (which was amended by the
First Step Act of 2018, Pub. L. 115-391 (2018));
(21) the Commentary to Sec. 5K1.1 (Substantial Assistance to
Authorities (Policy Statement)), to add headings to application notes
and correct a typographical error;
(22) Sec. 5K2.0 (Grounds for Departure (Policy Statement)), to
correct a typographical error and provide stylistic consistency in how
subdivisions are designated;
(23) Sec. 5E1.2 (Fines for Individual Defendants), to provide
stylistic consistency in how subdivisions are designated;
(24) Sec. 5F1.6 (Denial of Federal Benefits to Drug Traffickers
and Possessors), to provide consistency in the use of capitalization
and add a heading to an application note in the Commentary;
(25) Sec. 6A1.5 (Crime Victims' Rights (Policy Statement)), to
provide consistency in the use of capitalization; and
(26) the Commentary to Sec. 8B2.1 (Effective Compliance and Ethics
Program), to provide consistency in the use of capitalization.
(A) Technical and Conforming Changes Relating to Sec. 4C1.1
Proposed Amendment: Section 4C1.1(a) is amended--
in paragraph (9) by striking ``and'';
by striking paragraph (10) as follows:
``(10) the defendant did not receive an adjustment under Sec.
3B1.1 (Aggravating Role) and was not engaged in a continuing criminal
enterprise, as defined in 21 U.S.C. 848;'';
and by inserting at the end the following new paragraphs (10) and
(11):
``(10) the defendant did not receive an adjustment under Sec.
3B1.1 (Aggravating Role); and
(11) the defendant was not engaged in a continuing criminal
enterprise, as defined in 21 U.S.C. 848;''.
Section 1B1.1(a)(6) is amended by striking ``Part B of Chapter
Four'' and inserting ``Parts B and C of Chapter Four''.
Chapter Two is amended in the Introductory Commentary by striking
``Chapter Four, Part B (Career Offenders and Criminal Livelihood)'' and
inserting ``Chapter Four, Parts B (Career Offenders and Criminal
Livelihood) and C (Adjustment for Certain Zero-Point Offenders)''.
The Commentary to Sec. 3D1.1 captioned ``Background'' is amended
by striking ``Chapter Four, Part B (Career Offenders and Criminal
Livelihood)'' and inserting ``Chapter Four, Parts B (Career Offenders
and Criminal Livelihood) and C (Adjustment for Certain Zero-Point
Offenders)''.
The Commentary to Sec. 3D1.5 is amended by striking ``Chapter
Four, Part B (Career Offenders and Criminal Livelihood)'' and inserting
``Chapter Four, Parts B (Career Offenders and Criminal Livelihood) and
C (Adjustment for Certain Zero-Point Offenders)''.
(B) Additional Technical and Clerical Changes
Proposed Amendment: The Commentary to Sec. 1B1.1 captioned
``Application Notes'' is amended--
in Note 1 by inserting at the beginning the following new heading:
``Frequently Used Terms Defined.--'';
in Note 1(F) by striking ``subdivision'' and inserting ``clause'';
in Note 2 by inserting at the beginning the following new heading:
``Definition of Additional Terms.--''; and by striking ``case by case
basis'' and inserting ``case-by-case basis'';
in Note 3 by inserting at the beginning the following new heading:
``List of Statutory Provisions.--'';
in Note 4 by inserting at the beginning the following new heading:
[[Page 89164]]
``Cumulative Application of Multiple Adjustments.--'';
in Note 4(A) by striking ``subdivisions'' and inserting
``subparagraphs'';
and in Note 5 by inserting at the beginning the following new
heading: ``Two or More Guideline Provisions Equally Applicable.--''.
Section 2B1.1(b)(7) is amended by striking ``Federal'' and
inserting ``federal''; and by striking ``Government'' both places such
term appears and inserting ``government''.
Section 2B1.1(b)(17) is amended by striking ``subdivision'' both
places such term appears and inserting ``subparagraph''.
Section 2B1.1(b)(19)(B) is amended by striking ``subdivision'' and
inserting ``subparagraph''.
Section 2B1.1(c) is amended by striking ``subdivision'' and
inserting ``paragraph''.
The Commentary to 2B1.1 captioned ``Application Notes'' is
amended--
in Note 1 by striking '' `Equity securities' '' and inserting ``
`Equity security' '';
in Note 3(A) by striking ``subdivision'' and inserting
``subparagraph'';
in Note 3(A)(v) by striking ``subdivisions'' and inserting
``subclauses'';
in Note 3(F) by striking ``subdivision (A)'' and inserting
``subparagraph (A)'';
in Note 3(F)(i) by striking ``this subdivision'' and inserting
``this clause'';
in Note 3(F)(viii) by striking ``a Federal health care offense''
and inserting ``a federal health care offense''; and by striking
``Government health care program'' both places such term appears and
inserting ``government health care program'';
and in Note 4(C)(ii) by striking ``subdivision'' and inserting
``subparagraph''.
The Commentary to Sec. 2B6.1 captioned ``Application Notes'' is
amended in Note 1 by striking ``United State Code'' both places such
term appears and inserting ``United States Code''; and by striking
``subdivision'' and inserting ``subparagraph''.
Section 2B3.1(b)(3) is amended by striking ``subdivisions'' both
places such term appears and inserting ``subparagraphs''; and by
striking ``cumulative adjustments from (2) and (3)'' and inserting
``cumulative adjustments from application of paragraphs (2) and (3)''.
The Commentary to Sec. 2B3.1 captioned ``Application Notes'' is
amended--
in Note 1 by inserting at the beginning the following new heading:
``Definitions.--'';
in Note 2 by inserting at the beginning the following new heading:
``Dangerous Weapon.--'';
in Note 3 by inserting at the beginning the following new heading:
``Definition of `Loss'.--'';
in Note 4 by inserting at the beginning the following new heading:
``Cumulative Application of Subsections (b)(2) and (b)(3).--'';
in Note 5 by inserting at the beginning the following new heading:
``Upward Departure Provision.--'';
and in Note 6 by inserting at the beginning the following new
heading: `` `A Threat of Death'.--''.
Section 2B3.2(b)(3)(B) is amended by striking ``subdivisions'' and
inserting ``clauses''.
Section 2B3.2(b)(4) is amended by striking ``subdivisions'' both
places such term appears and inserting ``subparagraphs''; and by
striking ``cumulative adjustments from (3) and (4)'' and inserting
``cumulative adjustments from application of paragraphs (3) and (4)''.
The Commentary to Sec. 2B3.2 captioned ``Application Notes'' is
amended--
in Note 2 by inserting at the beginning the following new heading:
``Threat of Injury or Serious Damage.--'';
in Note 3 by inserting at the beginning the following new heading:
``Offenses Involving Public Officials and Other Extortion Offenses.--
'';
in Note 4 by inserting at the beginning the following new heading:
``Cumulative Application of Subsections (b)(3) and (b)(4).--'';
in Note 5 by inserting at the beginning the following new heading:
``Definition of `Loss to the Victim'.--'';
in Note 6 by inserting at the beginning the following new heading:
``Defendant's Preparation or Ability to Carry Out a Threat.--'';
in Note 7 by inserting at the beginning the following new heading:
``Upward Departure Based on Threat of Death or Serious Bodily Injury to
Numerous Victims.--'';
and in Note 8 by inserting at the beginning the following new
heading: ``Upward Departure Based on Organized Criminal Activity or
Threat to Family Member of Victim.--''.
Section 2C1.8(b)(3) is amended by striking ``Federal'' and
inserting ``federal''.
The Commentary to Sec. 2C1.8 captioned ``Application Notes'' is
amended in Note 2 by striking ``Federal'' both places such term appears
and inserting ``federal''; and by striking ``Presidential'' and
inserting ``presidential''.
Section 2D1.1(b)(14)(C)(ii) is amended by striking ``subdivision''
and inserting ``subparagraph''.
The Commentary to Sec. 2D1.1 captioned ``Application Notes'' is
amended--
in Note 8(D)--
under the heading relating to LSD, PCP, and Other Schedule I and II
Hallucinogens (and their immediate precursors), by striking the
following:
``1 gm of 1-Piperidinocyclohexanecarbonitrile (PCC) = 680 gm
1 gm of 4-Bromo-2,5-Dimethoxyamphetamine (DOB) = 2.5 kg
1 gm of 2,5-Dimethoxy-4-methylamphetamine (DOM) = 1.67 kg
1 gm of 3,4-Methylenedioxyamphetamine (MDA) = 500 gm
1 gm of 3,4-Methylenedioxymethamphetamine (MDMA) = 500 gm
1 gm of 3,4-Methylenedioxy-N-ethylamphetamine (MDEA) = 500 gm'';
and inserting the following:
``1 gm of 1-Piperidinocyclohexanecarbonitrile (PCC) = 680 gm
1 gm of 2,5-Dimethoxy-4-methylamphetamine (DOM) = 1.67 kg
1 gm of 3,4-Methylenedioxyamphetamine (MDA) = 500 gm
1 gm of 3,4-Methylenedioxymethamphetamine (MDMA) = 500 gm
1 gm of 3,4-Methylenedioxy-N-ethylamphetamine (MDEA) = 500 gm
1 gm of 4-Bromo-2,5-Dimethoxyamphetamine (DOB) = 2.5 kg'';
and under the heading relating to Schedule III Substances (except
ketamine), by striking ``1 unit of a Schedule III Substance'' and
inserting ``1 unit of a Schedule III Substance (except Ketamine)'';
and in Note 9, under the heading relating to Hallucinogens, by
striking the following:
``2,5-Dimethoxy-4-methylamphetamine (STP, DOM)* 3 mg
MDA 250 mg
MDMA 250 mg
Mescaline 500 mg
PCP* 5 mg'';
and inserting the following:
``2,5-Dimethoxy-4-methylamphetamine (STP, DOM)* 3 mg
3,4-Methylenedioxyamphetamine (MDA) 250 mg
3,4-Methylenedioxymethamphetamine (MDMA) 250 mg
Mescaline 500 mg
Phencyclidine (PCP)* 5 mg''.
The Commentary to Sec. 2D1.1 captioned ``Background'' is amended
by striking ``Section 6453 of the Anti-Drug Abuse Act of 1988'' and
inserting ``section 6453 of Public Law 100-690''.
[[Page 89165]]
The Commentary to Sec. 2D1.2 captioned ``Background'' is amended
by striking ``Section 6454 of the Anti-Drug Abuse Act of 1988'' and
inserting ``section 6454 of Public Law 100-690''.
The Commentary to Sec. 2D1.5 captioned ``Application Notes'' is
amended--
in Note 1 by inserting at the beginning the following new heading:
``Inapplicability of Chapter Three Adjustment.--'';
in Note 2 by inserting at the beginning the following new heading:
``Upward Departure Provision.--'';
in Note 3 by inserting at the beginning the following new heading:
`` `Continuing Series of Violations'.--'';
and in Note 4 by inserting at the beginning the following new
heading: ``Multiple Counts.--''.
The Commentary to Sec. 2D1.5 captioned ``Background'' is amended
by striking ``Title 21 U.S.C. 848'' and inserting ``Section 848 of
title 21, United States Code,''.
Section 2E2.1(b)(2) is amended by striking ``subdivisions'' both
places such term appears and inserting ``subparagraphs''; and by
striking ``the combined increase from (1) and (2)'' and inserting ``the
combined increase from application of paragraphs (1) and (2)''.
The Commentary to Sec. 2E2.1 captioned ``Application Notes'' is
amended--
in Note 1 by inserting at the beginning the following new heading:
``Definitions.--'';
and in Note 2 by inserting at the beginning the following new
heading: ``Interpretation of Specific Offense Characteristics.--''.
Section 2E3.1(a)(1) is amended by striking ``subdivision'' and
inserting ``paragraph''.
The Commentary to Sec. 2E3.1 captioned ``Application Notes'' is
amended in Note 1 by striking ``Sec. 2156(g)'' and inserting ``Sec.
2156(f)''.
Section 2H2.1(a)(2) is amended by striking ``in (3)'' and inserting
``in paragraph (3)''.
The Commentary to Sec. 2H2.1 captioned ``Application Notes'' is
amended in Note 1 by inserting at the beginning the following new
heading: ``Upward Departure Provision.--''.
Section 2K1.4(b)(2) is amended by striking ``under (a)(4)'' and
inserting ``under subsection (a)(4)''.
The Commentary to Sec. 2K2.4 captioned ``Application Notes'' is
amended in Note 1 by striking ``United State Code'' both place such
term appears and inserting ``United States Code''.
The Commentary to Sec. 2S1.1 captioned ``Application Notes'' is
amended--
in Note 1 by striking ``Federal'' and inserting ``federal'';
and in Note 4(B)(vi) by striking ``subdivisions'' and inserting
``clauses''.
Section 3B1.1(c) is amended by striking ``in (a) or (b)'' and
inserting ``in subsection (a) or (b)''.
The Commentary to Sec. 3B1.1 captioned ``Application Notes'' is
amended--
in Note 1 by inserting at the beginning the following new heading:
``Definition of `Participant'.--'';
in Note 2 by inserting at the beginning the following new heading:
``Organizer, Leader, Manager, or Supervisor of One or More
Participants.--'';
in Note 3 by inserting at the beginning the following new heading:
`` `Otherwise Extensive'.--'';
and in Note 4 by inserting at the beginning the following new
heading: ``Factors to Consider.--''; and by striking ``decision
making'' and inserting ``decision-making''.
The Commentary to Sec. 3D1.1 captioned ``Application Notes'' is
amended in Note 2 by inserting at the beginning the following new
heading: ``Application of Subsection (b).--''.
Section 4A1.1(b) is amended by striking ``in (a)'' and inserting
``in subsection (a)''.
Section 4A1.1(c) is amended by striking ``in (a) or (b)'' and
inserting ``in subsection (a) or (b)''.
Section 4A1.1(d) is amended by striking ``under (a), (b), or (c)''
and inserting ``under subsection (a), (b), or (c)''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended--
in Note 1, in the heading, by striking ``Sec. 4A1.1(a).'' and
inserting ``Sec. 4A1.1(a).--'';
in Note 2, in the heading, by striking ``Sec. 4A1.1(b).'' and
inserting ``Sec. 4A1.1(b).--'';
in Note 3, in the heading, by striking ``Sec. 4A1.1(c).'' and
inserting ``Sec. 4A1.1(c).--'';
in Note 4, in the heading, by striking ``Sec. 4A1.1(d).'' and
inserting ``Sec. 4A1.1(d).--'';
and in Note 5, in the heading, by striking ``Sec. 4A1.1(e).'' and
inserting ``Sec. 4A1.1(e).--''.
Section 4A1.2(a)(2) is amended by striking ``by (A) or (B)'' and
inserting ``by subparagraph (A) or (B)''.
Section 4A1.2(d)(2)(B) is amended by striking ``in (A)'' and
inserting ``in subparagraph (A)''.
Section 5E1.2(c)(2) is amended by striking ``in (4)'' and inserting
``in paragraph (4)''.
Section 5F1.6 is amended by striking ``Federal'' and inserting
``federal''.
The Commentary to 5F1.6 captioned ``Application Notes'' is amended
in Note 1 by inserting at the beginning the following new heading:
``Definition of `Federal Benefit'.--''.
The Commentary to Sec. 5G1.2 captioned ``Application Notes'' is
amended--
in Note 1 by striking ``See Note 3'' and inserting ``See
Application Note 3''.
in Note 2(A) by striking ``subdivision'' and inserting
``subparagraph'';
in Note 4(B)(i) by striking ``a drug trafficking offense (5 year
mandatory minimum), and one count of violating 21 U.S.C. 841(b)(1)(C)
(20 year statutory maximum)'' and inserting ``a drug trafficking
offense (5-year mandatory minimum), and one count of violating 21
U.S.C. 841(b)(1)(C) (20-year statutory maximum)'';
in Note 4(B)(ii) by striking ``one count of 18 U.S.C. 924(c) (5
year mandatory minimum), and one count of violating 21 U.S.C.
841(b)(1)(C) (20 year statutory maximum)'' and inserting ``one count of
18 U.S.C. 924(c) (5-year mandatory minimum), and one count of violating
21 U.S.C. 841(b)(1)(C) (20-year statutory maximum)'';
and in Note 4(B)(iii) by striking the following:
``The defendant is convicted of two counts of 18 U.S.C. 924(c) (5
year mandatory minimum on first count, 25 year mandatory minimum on
second count) and one count of violating 18 U.S.C. 113(a)(3) (10 year
statutory maximum). Applying Sec. 4B1.1(c), the court determines that
a sentence of 460 months is appropriate (applicable guideline range of
460-485 months). The court then imposes (I) a sentence of 60 months on
the first 18 U.S.C. 924(c) count; (II) a sentence of 300 months on the
second 18 U.S.C. 924(c) count; and (III) a sentence of 100 months on
the 18 U.S.C. 113(a)(3) count. The sentence on each count is imposed to
run consecutively to the other counts.'';
and inserting the following:
``The defendant is convicted of two counts of 18 U.S.C. 924(c) (5-
year mandatory minimum on each count) and one count of violating 18
U.S.C. 113(a)(3) (10-year statutory maximum). Applying Sec. 4B1.1(c),
the court determines that a sentence of 262 months is appropriate
(applicable guideline range of 262-327 months). The court then imposes
(I) a sentence of 82 months on the first 18 U.S.C. 924(c) count; (II) a
sentence of 60 months on the second 18 U.S.C. 924(c) count; and (III) a
sentence of 120 months on the 18 U.S.C. 113(a)(3) count. The sentence
on each count is imposed to run consecutively to the other counts.''.
The Commentary to Sec. 5K1.1 captioned ``Application Notes'' is
amended--
in Note 1 by inserting at the beginning the following new heading:
``Sentence Below Statutorily Required Minimum Sentence.--'';
in Note 2 by inserting at the beginning the following new heading:
``Interaction
[[Page 89166]]
with Acceptance of Responsibility Reduction.--'';
and in Note 3 by inserting at the beginning the following new
heading: ``Government's Evaluation of Extent of Defendant's
Assistance.--''.
The Commentary to Sec. 5K1.1 captioned ``Background'' is amended
by striking ``in camera'' and inserting ``in camera''.
Section 5K2.0(e) is amended by striking ``in camera'' and inserting
``in camera''.
The Commentary to Sec. 5K2.0 captioned ``Application Notes'' is
amended in Note 3(C) by striking ``subdivision'' and inserting
``subparagraph''.
Section 6A1.5 is amended by striking ``Federal'' and inserting
``federal''.
The Commentary to Sec. 8B2.1 captioned ``Application Notes'' is
amended in Note 4(A) by striking ``any Federal, State,'' and inserting
``any federal, state,''.
7. Simplification of Three-Step Process
Synopsis of Proposed Amendment: In September 2023, the Commission
identified as one of its policy priorities for the amendment cycle
ending May 1, 2024, the ``exploration of ways to simplify the
guidelines and possible consideration of amendments that might be
appropriate.'' U.S. Sent'g Comm'n, ``Notice of Final Priorities,'' 88
FR 60536 (Sept. 1, 2023). Consistent with this priority, the Commission
is publishing these issues for comment and proposed amendment to inform
the Commission's consideration of these issues.
The Three-Step Process in the Guidelines Manual
The Sentencing Reform Act of 1984 (Title II of the Comprehensive
Crime Control Act of 1984) (the ``Act'') provides for the development
of guidelines that will further the basic purposes of criminal
sentencing: deterrence, incapacitation, retribution, and
rehabilitation. The Act delegates broad authority to the Commission to
review and rationalize the federal sentencing process. The Act contains
detailed instructions as to how this determination should be made, the
most important of which directs the Commission to establish categories
of offenses and categories of defendants for use in prescribing
guideline ranges that specify an appropriate sentence and to consider
whether, and to what extent, specific offense-based and offender-based
factors are relevant to sentencing. See 28 U.S.C. 994(c) and (d). In
relation to the establishment of categories of defendants, the Act
placed several limitations upon the Commission's ability to consider
certain personal and individual characteristics in establishing the
guidelines and policy statements. See 28 U.S.C. 994(d), (e).
In United States v. Booker, 543 U.S. 220 (2005), the Supreme Court
held that the portion of 18 U.S.C. 3553 making the guidelines mandatory
was unconstitutional. The Court has further explained that the
guideline range, which reflects the defendant's criminal conduct and
the defendant's criminal history, should continue to be ``the starting
point and the initial benchmark'' in sentencing proceedings. See Gall
v. United States, 552 U.S. 38, 49 (2007); see also Peugh v. United
States, 569 U.S. 530 (2013) (noting that ``the post-Booker federal
sentencing system adopted procedural measures that make the guidelines
the `lodestone' of sentencing''). After determining the kinds of
sentence and guideline range, however, the court must also fully
consider the factors in 18 U.S.C. 3553(a), including, among other
factors, ``the nature and circumstances of the offense and the history
and characteristics of the defendant,'' to determine a sentence that is
sufficient but not greater than necessary.
In the wake of Booker and other cases, Sec. 1B1.1 (Application
Instructions) sets forth the instructions for determining the
applicable guideline range and type of sentence to impose, in
accordance with the Guidelines Manual. It sets forth a three-step
process for determining the sentence to be imposed, which is reflected
in the three main subdivisions of Sec. 1B1.1 (subsections (a) through
(c)). The three-step process can be summarized as follows: (1) the
court calculates the applicable guideline range and determines the
sentencing requirements and options related to probation, imprisonment,
supervision conditions, fines, and restitution; (2) the court considers
policy statements and guideline commentary relating to departures and
specific personal characteristics that might warrant consideration in
imposing the sentence; and (3) the court considers the applicable
factors in 18 U.S.C. 3553(a) in deciding what sentence to impose
(whether within the applicable guideline range, or whether as a
departure or as a variance (or as both)).
The first step in the three-step process, as set forth in Sec.
1B1.1(a), requires the court to calculate the applicable guideline
range and determine the kind of sentence by applying Chapters Two
(Offense Conduct), Three (Adjustments), and Four (Criminal History and
Criminal Livelihood), and Parts B through G of Chapter Five
(Determining the Sentence).
The second step in the three-step process, as set forth in Sec.
1B1.1(b), requires the court to consider ``Parts H and K of Chapter
Five, Specific Offender Characteristics and Departures, and any other
policy statements or commentary in the guidelines that might warrant
consideration in imposing sentence.'' Authorized grounds for departures
based on various circumstances of the offense, specific personal
characteristics of the offender, and certain procedural history of the
case are described throughout the Guidelines Manual: several Chapter
Two offense guidelines and Chapter Eight organizational guidelines
contain departure provisions within their corresponding Commentary;
grounds for departure based on criminal history are provided in Chapter
Four; and Chapter Five sets forth various policy statements with
additional grounds for departure. Chapter Five, Part H, addresses the
relevance of certain specific personal characteristics in sentencing by
allocating them into three general categories. The first category
includes specific personal characteristics that Congress has prohibited
from consideration or that the Commission has determined should be
prohibited. See, e.g., USSG Sec. 5H1.10 (Race, Sex, National Origin,
Creed, Religion, and Socio-Economic Status (Policy Statement)). The
second category includes specific personal characteristics that
Congress directed the Commission to ensure are reflected in the
guidelines and policy statements as generally inappropriate in
recommending a term of imprisonment or length of a term of
imprisonment. See, e.g., Sec. Sec. 5H1.2 (Employment Record); 5H1.6
(Family Ties and Responsibilities (Policy Statement)). The third
category includes specific personal characteristics that Congress
directed the Commission to consider in the guidelines only to the
extent that they have relevance to sentencing. See, e.g., USSG
Sec. Sec. 5H1.1 (Age (Policy Statement)); 5H1.3 (Mental and Emotional
Conditions (Policy Statement)).
The third step in the three-step process, as set forth in Sec.
1B1.1(c), requires the court to ``consider the applicable factors in 18
U.S.C. 3553(a) taken as a whole.'' Specifically, section 3553(a)
provides:
The court shall impose a sentence sufficient, but not greater than
necessary, to comply with the purposes set forth in paragraph (2) of
this subsection. The court, in determining the particular sentence to
be imposed, shall consider--
[[Page 89167]]
(1) the nature and circumstances of the offense and the history and
characteristics of the defendant;
(2) the need for the sentence imposed--
(A) to reflect the seriousness of the offense, to promote respect
for the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational
training, medical care, or other correctional treatment in the most
effective manner;
(3) the kinds of sentences available;
(4) the kinds of sentence and the sentencing range established
for--
(A) the applicable category of offense committed by the applicable
category of defendant as set forth in the guidelines--
(i) issued by the Sentencing Commission pursuant to section
994(a)(1) of title 28, United States Code, subject to any amendments
made to such guidelines by act of Congress (regardless of whether such
amendments have yet to be incorporated by the Sentencing Commission
into amendments issued under section 994(p) of title 28); and
(ii) that, except as provided in section 3742(g), are in effect on
the date the defendant is sentenced; or
(B) in the case of a violation of probation or supervised release,
the applicable guidelines or policy statements issued by the Sentencing
Commission pursuant to section 994(a)(3) of title 28, United States
Code, taking into account any amendments made to such guidelines or
policy statements by act of Congress (regardless of whether such
amendments have yet to be incorporated by the Sentencing Commission
into amendments issued under section 994(p) of title 28);
(5) any pertinent policy statement--
(A) issued by the Sentencing Commission pursuant to section
994(a)(2) of title 28, United States Code, subject to any amendments
made to such policy statement by act of Congress (regardless of whether
such amendments have yet to be incorporated by the Sentencing
Commission into amendments issued under section 994(p) of title 28);
and
(B) that, except as provided in section 3742(g), is in effect on
the date the defendant is sentenced.
(6) the need to avoid unwarranted sentence disparities among
defendants with similar records who have been found guilty of similar
conduct; and
(7) the need to provide restitution to any victims of the offense.
18 U.S.C. 3553(a).
Post-Booker, courts have been using departures provided under step
two of the three-step process with less frequency in favor of
variances. Given this trend, the Commission has identified the
reconceptualization of the three-step process as one potential method
of simplifying the guidelines.
Proposed Amendment
The proposed amendment contains two parts. Part A contains issues
for comment on whether any changes should be made to the Guidelines
Manual relating to the three-step process set forth in Sec. 1B1.1 and
the use of departures and policy statements relating to specific
personal characteristics. Part B contains a proposed amendment that
would restructure the Guidelines Manual to simplify both (1) the
current three-step process utilized in determining a sentence that is
``sufficient, but not greater than necessary,'' and (2) existing
guidance in the Guidelines Manual regarding a court's consideration of
the individual circumstances of the defendant as well as certain
offense characteristics. The proposed amendment set forth in Part B
also seeks to better address the distinction between the statutory
limitations on the Commission's ability to consider certain offense
characteristics and individual circumstances in recommending a term of
imprisonment or length of imprisonment, and the requirement that the
court consider a broad range of individual and offense characteristics
in determining an appropriate sentence pursuant to 18 U.S.C. 3553(a).
The proposed amendment would make changes to better align the
requirements placed on the court and acknowledge the growing shift away
from the use of departures provided for within the Guidelines Manual in
the wake of Booker and subsequent decisions. See United States v.
Booker, 543 U.S. 220 (2005); Irizarry v. United States, 553 U.S. 708
(2008) (holding that Rule 32(h) of the Federal Rules of Criminal
Procedure, which requires a court to give ``reasonable notice'' that
the court is contemplating a ``departure'' from the recommended
guideline range on a ground not identified for departure in the
presentence report or in a party's prehearing submission, does not
apply to a ``variance'' from a recommended guideline range).
The proposed amendment would revise Chapter One in multiple ways.
First, it would delete the ``Original Introduction to the Guidelines
Manual'' currently contained in Chapter One, Part A. This introduction
would be published as a historical background in Appendix B (Selected
Sentencing Statutes) of the Guidelines Manual. Second, the proposed
amendment would revise the application instructions provided in Sec.
1B1.1 to reflect the simplification of the three-step process into two
steps. Additionally, the definition of ``departures'' is removed from
the application notes to Sec. 1B1.1, and the Background Commentary is
revised accordingly.
Consistent with the revised approach, the proposed amendment would
reclassify most ``departures'' currently provided throughout the
Guidelines Manual. Under the new approach, current departure provisions
would be retained in more generalized language. Instead of being
identified as departures, they would be generally reclassified as
``Additional Considerations'' that may be relevant to the court's
determination under 18 U.S.C. 3553(a). Changes would be made throughout
the Guidelines Manual by revising the departure provisions currently
contained in commentary to various guidelines. Such provisions would be
maintained in a new section to the commentary titled ``Additional
Considerations'' and are intended to retain, to the extent possible,
the guidance and considerations provided by the deleted provisions and
to be neutral as to the scope and content of the conduct covered.
The proposed amendment would also retitle Chapter Five to reflect
its focus on the rules pertaining to the calculation of the guideline
range, specifically to better reflect the chapter's purpose in the
introductory commentary noting that ``a sentence is within the
guidelines if it complies with each applicable section of this
chapter.'' All current provisions contained in Chapter Five, Part H
(Specific Offender Characteristics) would be deleted. Similarly, most
of the provisions in Chapter Five, Part K (Departures), would be
deleted. Only the provisions pertaining to substantial assistance would
be retained, while the provision pertaining to early disposition
programs would be moved to a new Part F in Chapter Three.
The proposed amendment would also create a new Chapter Six
(renumbering existing chapters accordingly) to facilitate the court's
consideration of 18 U.S.C. 3553(a). The new chapter is divided into
three guidelines. The first generally reflects the court's
consideration of the section 3553(a) factors and specifically
references those
[[Page 89168]]
factors. The second and third guidelines compile factors which
generally are not considered in the calculation of the guideline range
in Chapters Two through Five, but which may be relevant to the court's
consideration of ``the nature and circumstances of the offense and the
history and characteristics of the defendant'' pursuant to 18 U.S.C.
3553(a)(1). These factors set forth reasons from former Parts H and K
of Chapter Five, including factors that are generally not considered in
the calculation of the guideline range in Chapters Two through Five,
but which courts regularly consider pursuant to section 3553(a). While
the list of factors is provided to both facilitate the court's
consideration and to assist with the collection of data by the
Commission, the proposed amendment includes language recognizing that
the nature, extent, and significance of specific personal
characteristics can involve a range of considerations that are
difficult or impossible to quantify for purposes of establishing the
guideline ranges. As such, the new chapter notes that the factors
identified are not weighted in any manner or intended to be
comprehensive or to otherwise infringe upon the court's unique position
to determine the most appropriate sentence.
The issues for comment set forth below are informed by the proposed
amendment contained in Part B. In addition to receiving input from the
issues for comment below, the Commission anticipates both general
comment on Part B of the proposed amendment and welcomes line edits on
the specific changes proposed.
(A) Issues for Comment
1. Part B of the proposed amendment would reconceptualize and
simplify the three-step process, as set forth in Sec. 1B1.1
(Application Instructions), to streamline the application of the
Guidelines Manual and to better reflect the interaction between 18
U.S.C. 3553(a) and the guidelines. It would do so by removing the
second step in the three-step process, as set forth in Sec. 1B1.1(b),
requiring the court to consider the departure provisions set forth
throughout the Guidelines Manual and the policy statements contained in
Chapter Five, Part H, relating to specific personal characteristics.
The Guidelines Manual currently contains more than two hundred
departure provisions in Chapter Five, Part K, and the commentary to
various guidelines elsewhere in the Manual. Chapter Five, Part H,
contains twelve policy statements addressing the relevance of certain
specific personal characteristics in sentencing. The Commission invites
general comment on whether the Commission should reconceptualize and
simplify the three-step process in this manner. If so, what, if any,
revisions would be appropriate to further the Commission's goal to
reconceptualize and simplify the three-step process? If not, are there
any other approaches that the Commission should consider to
reconceptualize and simplify the three-step process, and if so, what
are they?
2. The Commission seeks comment on whether revising the three-step
process either in general or as implemented in any particular provision
in Part B of the proposed amendment, is consistent with 28 U.S.C. 994
and 995 and all other provisions of federal law. In particular, the
Commission seeks comment regarding whether providing guidance to the
courts regarding consideration of the other factors in 18 U.S.C.
3553(a), including providing examples of factors that may be relevant
to the court's determination of the appropriate sentence, is consistent
with the Commission's authority. Similarly, the Commission seeks
comment on whether revising the three-step process is consistent with
other congressional directives to the Commission.
3. The proposed amendment contained in Part B would continue to
account for factors contained in most of the two hundred departure
provisions in Chapter Five, Parts H and K, and the commentary to
various guidelines in different ways. If the Commission were to remove
the second step in the three-step process, as proposed in Part B,
should the Commission continue to account for these factors? If so, how
and why? Should the Commission account for these factors in the manner
set forth in Part B of the proposed amendment? If not, should the
Commission consider a different approach? For example, should the
Commission remove some or all of the specific factors and rely on a
more general policy statement referencing the sentencing factors in 18
U.S.C.Sec. 3553(a)? What should such a policy statement specifically
provide? What factors should be retained or removed, and why?
4. The proposed amendment would create a new Chapter Six (and
renumber existing chapters accordingly) that consolidate in three
policy statements many of the factors in contained in Chapter Five,
Parts H and K. The new Chapter Six set forth in Part B of the proposed
amendment would facilitate the court's consideration of 18 U.S.C.
3553(a). The new chapter is divided into three guidelines, Sec. 6A1.1
through Sec. 6A1.3. New Sec. 6A1.1 generally reflects the court's
consideration of the section 3553(a) factors and specifically
references those factors. New Sec. Sec. 6A1.2 and 6A1.3 compile
factors which generally are not considered in the calculation of the
guideline range in Chapters Two through Five, but which may be relevant
to the court's consideration of ``the nature and circumstances of the
offense and the history and characteristics of the defendant'' pursuant
to 18 U.S.C. 3553(a)(1). New Sec. 6A1.2 enumerates certain personal
characteristics, while Sec. 6A1.3 provides a list of offense
characteristics along with some guidance for consideration of the
court. The Commission does not intend to expand the list of personal
and offense characteristics beyond those set forth in the proposed
amendment. The Commission does, however, seek comment on whether the
policy statement compiling factors relating to personal characteristics
in Sec. 6A1.2 should include more specific guidance to the court
regarding when and under what types of circumstances any such
characteristic may be relevant to the court's sentencing determination
in a manner that is more similar to new Sec. 6A1.3. Similarly, should
the Commission provide different guidance regarding the offense
characteristics in Sec. 6A1.3? If so, what guidance should the
Commission provide for both personal characteristics and offense
characteristics, and why? If not, how should the Commission lay out
such characteristics and why?
5. In addition to new Chapter Six, Part B of the proposed amendment
would reclassify most ``departures'' currently provided throughout the
Guidelines Manual. Instead of being identified as departures, they
would be generally reclassified in the corresponding Chapter Two
provisions as ``Additional Offense Specific Considerations'' that may
be relevant to the court's determination under 18 U.S.C. 3553(a). Under
the new approach, the current departure provisions would be retained in
more generalized language but are intended to be neutral as to the
scope and content of the conduct covered by the existing departures.
The Commission seeks comment on whether some or all of the factors
contained in the commentary to various guidelines should be
consolidated in the new Chapter Six. If so, which factors should be
moved into new Chapter Six, and why? Which factors should be retained
in their current guideline or policy statement, and why?
The Commission further seeks comment regarding whether any
revisions made in reclassifying
[[Page 89169]]
departures as ``Additional Considerations'' unintentionally remove
guidance and considerations provided by the deleted provisions or
unintentionally expand or contract the scope and content of those
provisions.
6. If the Commission were to remove or limit the departure
provisions in the Guidelines Manual, how should the Commission continue
to account for sentencing considerations for substantial assistance to
authorities and refusal to assist authorities, currently provided for
in Sec. Sec. 5K1.1 (Substantial Assistance to Authorities (Policy
Statement)) and 5K1.2 (Refusal to Assist (Policy Statement))?
7. If the Commission were to remove or limit the departure
provisions in the Guidelines Manual, how should the Commission continue
to account for sentencing considerations relating to early disposition
programs, currently provided for in Sec. 5K3.1 (Early Disposition
Programs (Policy Statement))?
8. The Commission seeks general comment on whether the proposed
changes to the Guidelines Manual, as set forth in Part B of the
proposed amendment, would make it easier for courts to report the
reasons for their sentences and allow possible improvements in data
collection on all of the factors courts consider when imposing a
sentence consistent with 18 U.S.C. 3553(a). What, if any, changes to
the proposed amendment would enhance such reporting and data collection
efforts? What changes should the Commission consider, in conjunction
with the Judicial Conference of the United States, to the Statement of
Reasons form if the proposed amendment is adopted?
(B) Proposed Amendment
Chapter One is amended by striking Part A as follows:
``Part A--Introduction and Authority
Introductory Commentary
Subparts 1 and 2 of this Part provide an introduction to the
Guidelines Manual describing the historical development and evolution
of the federal sentencing guidelines. Subpart 1 sets forth the original
introduction to the Guidelines Manual as it first appeared in 1987,
with the inclusion of amendments made occasionally thereto between 1987
and 2000. The original introduction, as so amended, explained a number
of policy decisions made by the United States Sentencing Commission
(`Commission') when it promulgated the initial set of guidelines and
therefore provides a useful reference for contextual and historical
purposes. Subpart 2 further describes the evolution of the federal
sentencing guidelines after the initial guidelines were promulgated.
Subpart 3 of this Part states the authority of the Commission to
promulgate federal sentencing guidelines, policy statements, and
commentary.
1. Original Introduction to the Guidelines Manual
The following provisions of this Subpart set forth the original
introduction to this manual, effective November 1, 1987, and as amended
through November 1, 2000:
1. Authority
The United States Sentencing Commission (`Commission') is an
independent agency in the judicial branch composed of seven voting and
two non-voting, ex officio members. Its principal purpose is to
establish sentencing policies and practices for the federal criminal
justice system that will assure the ends of justice by promulgating
detailed guidelines prescribing the appropriate sentences for offenders
convicted of federal crimes.
The guidelines and policy statements promulgated by the Commission
are issued pursuant to Section 994(a) of Title 28, United States Code.
2. The Statutory Mission
The Sentencing Reform Act of 1984 (Title II of the Comprehensive
Crime Control Act of 1984) provides for the development of guidelines
that will further the basic purposes of criminal punishment:
deterrence, incapacitation, just punishment, and rehabilitation. The
Act delegates broad authority to the Commission to review and
rationalize the federal sentencing process.
The Act contains detailed instructions as to how this determination
should be made, the most important of which directs the Commission to
create categories of offense behavior and offender characteristics. An
offense behavior category might consist, for example, of `bank robbery/
committed with a gun/$2500 taken.' An offender characteristic category
might be `offender with one prior conviction not resulting in
imprisonment.' The Commission is required to prescribe guideline ranges
that specify an appropriate sentence for each class of convicted
persons determined by coordinating the offense behavior categories with
the offender characteristic categories. Where the guidelines call for
imprisonment, the range must be narrow: the maximum of the range cannot
exceed the minimum by more than the greater of 25 percent or six
months. 28 U.S.C. 994(b)(2).
Pursuant to the Act, the sentencing court must select a sentence
from within the guideline range. If, however, a particular case
presents atypical features, the Act allows the court to depart from the
guidelines and sentence outside the prescribed range. In that case, the
court must specify reasons for departure. 18 U.S.C. 3553(b). If the
court sentences within the guideline range, an appellate court may
review the sentence to determine whether the guidelines were correctly
applied. If the court departs from the guideline range, an appellate
court may review the reasonableness of the departure. 18 U.S.C. 3742.
The Act also abolishes parole, and substantially reduces and
restructures good behavior adjustments.
The Commission's initial guidelines were submitted to Congress on
April 13, 1987. After the prescribed period of Congressional review,
the guidelines took effect on November 1, 1987, and apply to all
offenses committed on or after that date. The Commission has the
authority to submit guideline amendments each year to Congress between
the beginning of a regular Congressional session and May 1. Such
amendments automatically take effect 180 days after submission unless a
law is enacted to the contrary. 28 U.S.C. 994(p).
The initial sentencing guidelines and policy statements were
developed after extensive hearings, deliberation, and consideration of
substantial public comment. The Commission emphasizes, however, that it
views the guideline-writing process as evolutionary. It expects, and
the governing statute anticipates, that continuing research,
experience, and analysis will result in modifications and revisions to
the guidelines through submission of amendments to Congress. To this
end, the Commission is established as a permanent agency to monitor
sentencing practices in the federal courts.
3. The Basic Approach (Policy Statement)
To understand the guidelines and their underlying rationale, it is
important to focus on the three objectives that Congress sought to
achieve in enacting the Sentencing Reform Act of 1984. The Act's basic
objective was to enhance the ability of the criminal justice system to
combat crime through an effective, fair sentencing system. To achieve
this end, Congress first sought honesty in
[[Page 89170]]
sentencing. It sought to avoid the confusion and implicit deception
that arose out of the pre-guidelines sentencing system which required
the court to impose an indeterminate sentence of imprisonment and
empowered the parole commission to determine how much of the sentence
an offender actually would serve in prison. This practice usually
resulted in a substantial reduction in the effective length of the
sentence imposed, with defendants often serving only about one-third of
the sentence imposed by the court.
Second, Congress sought reasonable uniformity in sentencing by
narrowing the wide disparity in sentences imposed for similar criminal
offenses committed by similar offenders. Third, Congress sought
proportionality in sentencing through a system that imposes
appropriately different sentences for criminal conduct of differing
severity.
Honesty is easy to achieve: the abolition of parole makes the
sentence imposed by the court the sentence the offender will serve,
less approximately fifteen percent for good behavior. There is a
tension, however, between the mandate of uniformity and the mandate of
proportionality. Simple uniformity--sentencing every offender to five
years--destroys proportionality. Having only a few simple categories of
crimes would make the guidelines uniform and easy to administer, but
might lump together offenses that are different in important respects.
For example, a single category for robbery that included armed and
unarmed robberies, robberies with and without injuries, robberies of a
few dollars and robberies of millions, would be far too broad.
A sentencing system tailored to fit every conceivable wrinkle of
each case would quickly become unworkable and seriously compromise the
certainty of punishment and its deterrent effect. For example: a bank
robber with (or without) a gun, which the robber kept hidden (or
brandished), might have frightened (or merely warned), injured
seriously (or less seriously), tied up (or simply pushed) a guard,
teller, or customer, at night (or at noon), in an effort to obtain
money for other crimes (or for other purposes), in the company of a few
(or many) other robbers, for the first (or fourth) time.
The list of potentially relevant features of criminal behavior is
long; the fact that they can occur in multiple combinations means that
the list of possible permutations of factors is virtually endless. The
appropriate relationships among these different factors are exceedingly
difficult to establish, for they are often context specific. Sentencing
courts do not treat the occurrence of a simple bruise identically in
all cases, irrespective of whether that bruise occurred in the context
of a bank robbery or in the context of a breach of peace. This is so,
in part, because the risk that such a harm will occur differs depending
on the underlying offense with which it is connected; and also because,
in part, the relationship between punishment and multiple harms is not
simply additive. The relation varies depending on how much other harm
has occurred. Thus, it would not be proper to assign points for each
kind of harm and simply add them up, irrespective of context and total
amounts.
The larger the number of subcategories of offense and offender
characteristics included in the guidelines, the greater the complexity
and the less workable the system. Moreover, complex combinations of
offense and offender characteristics would apply and interact in
unforeseen ways to unforeseen situations, thus failing to cure the
unfairness of a simple, broad category system. Finally, and perhaps
most importantly, probation officers and courts, in applying a complex
system having numerous subcategories, would be required to make a host
of decisions regarding whether the underlying facts were sufficient to
bring the case within a particular subcategory. The greater the number
of decisions required and the greater their complexity, the greater the
risk that different courts would apply the guidelines differently to
situations that, in fact, are similar, thereby reintroducing the very
disparity that the guidelines were designed to reduce.
In view of the arguments, it would have been tempting to retreat to
the simple, broad category approach and to grant courts the discretion
to select the proper point along a broad sentencing range. Granting
such broad discretion, however, would have risked correspondingly broad
disparity in sentencing, for different courts may exercise their
discretionary powers in different ways. Such an approach would have
risked a return to the wide disparity that Congress established the
Commission to reduce and would have been contrary to the Commission's
mandate set forth in the Sentencing Reform Act of 1984.
In the end, there was no completely satisfying solution to this
problem. The Commission had to balance the comparative virtues and
vices of broad, simple categorization and detailed, complex
subcategorization, and within the constraints established by that
balance, minimize the discretionary powers of the sentencing court. Any
system will, to a degree, enjoy the benefits and suffer from the
drawbacks of each approach.
A philosophical problem arose when the Commission attempted to
reconcile the differing perceptions of the purposes of criminal
punishment. Most observers of the criminal law agree that the ultimate
aim of the law itself, and of punishment in particular, is the control
of crime. Beyond this point, however, the consensus seems to break
down. Some argue that appropriate punishment should be defined
primarily on the basis of the principle of `just deserts.' Under this
principle, punishment should be scaled to the offender's culpability
and the resulting harms. Others argue that punishment should be imposed
primarily on the basis of practical `crime control' considerations.
This theory calls for sentences that most effectively lessen the
likelihood of future crime, either by deterring others or
incapacitating the defendant.
Adherents of each of these points of view urged the Commission to
choose between them and accord one primacy over the other. As a
practical matter, however, this choice was unnecessary because in most
sentencing decisions the application of either philosophy will produce
the same or similar results.
In its initial set of guidelines, the Commission sought to solve
both the practical and philosophical problems of developing a coherent
sentencing system by taking an empirical approach that used as a
starting point data estimating pre-guidelines sentencing practice. It
analyzed data drawn from 10,000 presentence investigations, the
differing elements of various crimes as distinguished in substantive
criminal statutes, the United States Parole Commission's guidelines and
statistics, and data from other relevant sources in order to determine
which distinctions were important in pre-guidelines practice. After
consideration, the Commission accepted, modified, or rationalized these
distinctions.
This empirical approach helped the Commission resolve its practical
problem by defining a list of relevant distinctions that, although of
considerable length, was short enough to create a manageable set of
guidelines. Existing categories are relatively broad and omit
distinctions that some may believe important, yet they include most of
the major distinctions that statutes and data suggest made a
significant difference in sentencing decisions. Relevant distinctions
not reflected in the guidelines probably will occur rarely and
sentencing courts may take
[[Page 89171]]
such unusual cases into account by departing from the guidelines.
The Commission's empirical approach also helped resolve its
philosophical dilemma. Those who adhere to a just deserts philosophy
may concede that the lack of consensus might make it difficult to say
exactly what punishment is deserved for a particular crime. Likewise,
those who subscribe to a philosophy of crime control may acknowledge
that the lack of sufficient data might make it difficult to determine
exactly the punishment that will best prevent that crime. Both groups
might therefore recognize the wisdom of looking to those distinctions
that judges and legislators have, in fact, made over the course of
time. These established distinctions are ones that the community
believes, or has found over time, to be important from either a just
deserts or crime control perspective.
The Commission did not simply copy estimates of pre-guidelines
practice as revealed by the data, even though establishing offense
values on this basis would help eliminate disparity because the data
represent averages. Rather, it departed from the data at different
points for various important reasons. Congressional statutes, for
example, suggested or required departure, as in the case of the Anti-
Drug Abuse Act of 1986 that imposed increased and mandatory minimum
sentences. In addition, the data revealed inconsistencies in treatment,
such as punishing economic crime less severely than other apparently
equivalent behavior.
Despite these policy-oriented departures from pre-guidelines
practice, the guidelines represent an approach that begins with, and
builds upon, empirical data. The guidelines will not please those who
wish the Commission to adopt a single philosophical theory and then
work deductively to establish a simple and perfect set of
categorizations and distinctions. The guidelines may prove acceptable,
however, to those who seek more modest, incremental improvements in the
status quo, who believe the best is often the enemy of the good, and
who recognize that these guidelines are, as the Act contemplates, but
the first step in an evolutionary process. After spending considerable
time and resources exploring alternative approaches, the Commission
developed these guidelines as a practical effort toward the achievement
of a more honest, uniform, equitable, proportional, and therefore
effective sentencing system.
4. The Guidelines' Resolution of Major Issues (Policy Statement)
The guideline-drafting process required the Commission to resolve a
host of important policy questions typically involving rather evenly
balanced sets of competing considerations. As an aid to understanding
the guidelines, this introduction briefly discusses several of those
issues; commentary in the guidelines explains others.
(a) Real Offense vs. Charge Offense Sentencing
One of the most important questions for the Commission to decide
was whether to base sentences upon the actual conduct in which the
defendant engaged regardless of the charges for which he was indicted
or convicted (`real offense' sentencing), or upon the conduct that
constitutes the elements of the offense for which the defendant was
charged and of which he was convicted (`charge offense' sentencing). A
bank robber, for example, might have used a gun, frightened bystanders,
taken $50,000, injured a teller, refused to stop when ordered, and
raced away damaging property during his escape. A pure real offense
system would sentence on the basis of all identifiable conduct. A pure
charge offense system would overlook some of the harms that did not
constitute statutory elements of the offenses of which the defendant
was convicted.
The Commission initially sought to develop a pure real offense
system. After all, the pre-guidelines sentencing system was, in a
sense, this type of system. The sentencing court and the parole
commission took account of the conduct in which the defendant actually
engaged, as determined in a presentence report, at the sentencing
hearing, or before a parole commission hearing officer. The
Commission's initial efforts in this direction, carried out in the
spring and early summer of 1986, proved unproductive, mostly for
practical reasons. To make such a system work, even to formalize and
rationalize the status quo, would have required the Commission to
decide precisely which harms to take into account, how to add them up,
and what kinds of procedures the courts should use to determine the
presence or absence of disputed factual elements. The Commission found
no practical way to combine and account for the large number of diverse
harms arising in different circumstances; nor did it find a practical
way to reconcile the need for a fair adjudicatory procedure with the
need for a speedy sentencing process given the potential existence of
hosts of adjudicated `real harm' facts in many typical cases. The
effort proposed as a solution to these problems required the use of,
for example, quadratic roots and other mathematical operations that the
Commission considered too complex to be workable. In the Commission's
view, such a system risked return to wide disparity in sentencing
practice.
In its initial set of guidelines submitted to Congress in April
1987, the Commission moved closer to a charge offense system. This
system, however, does contain a significant number of real offense
elements. For one thing, the hundreds of overlapping and duplicative
statutory provisions that make up the federal criminal law forced the
Commission to write guidelines that are descriptive of generic conduct
rather than guidelines that track purely statutory language. For
another, the guidelines take account of a number of important, commonly
occurring real offense elements such as role in the offense, the
presence of a gun, or the amount of money actually taken, through
alternative base offense levels, specific offense characteristics,
cross references, and adjustments.
The Commission recognized that a charge offense system has
drawbacks of its own. One of the most important is the potential it
affords prosecutors to influence sentences by increasing or decreasing
the number of counts in an indictment. Of course, the defendant's
actual conduct (that which the prosecutor can prove in court) imposes a
natural limit upon the prosecutor's ability to increase a defendant's
sentence. Moreover, the Commission has written its rules for the
treatment of multicount convictions with an eye toward eliminating
unfair treatment that might flow from count manipulation. For example,
the guidelines treat a three-count indictment, each count of which
charges sale of 100 grams of heroin or theft of $10,000, the same as a
single-count indictment charging sale of 300 grams of heroin or theft
of $30,000. Furthermore, a sentencing court may control any
inappropriate manipulation of the indictment through use of its
departure power. Finally, the Commission will closely monitor charging
and plea agreement practices and will make appropriate adjustments
should they become necessary.
(b) Departures
The sentencing statute permits a court to depart from a guideline-
specified sentence only when it finds `an aggravating or mitigating
circumstance of a kind, or to a degree, not adequately taken into
consideration by the
[[Page 89172]]
Sentencing Commission in formulating the guidelines that should result
in a sentence different from that described.' 18 U.S.C. 3553(b). The
Commission intends the sentencing courts to treat each guideline as
carving out a `heartland,' a set of typical cases embodying the conduct
that each guideline describes. When a court finds an atypical case, one
to which a particular guideline linguistically applies but where
conduct significantly differs from the norm, the court may consider
whether a departure is warranted. Section 5H1.10 (Race, Sex, National
Origin, Creed, Religion, and Socio-Economic Status), Sec. 5H1.12 (Lack
of Guidance as a Youth and Similar Circumstances), the third sentence
of Sec. 5H1.4 (Physical Condition, Including Drug or Alcohol
Dependence or Abuse), the last sentence of Sec. 5K2.12 (Coercion and
Duress), and Sec. 5K2.19 (Post-Sentencing Rehabilitative Efforts) *
list several factors that the court cannot take into account as grounds
for departure. With those specific exceptions, however, the Commission
does not intend to limit the kinds of factors, whether or not mentioned
anywhere else in the guidelines, that could constitute grounds for
departure in an unusual case.
* Note: Section 5K2.19 (Post-Sentencing Rehabilitative Efforts) was
deleted by Amendment 768, effective November 1, 2012. (See USSG App. C,
amendment 768.)
The Commission has adopted this departure policy for two reasons.
First, it is difficult to prescribe a single set of guidelines that
encompasses the vast range of human conduct potentially relevant to a
sentencing decision. The Commission also recognizes that the initial
set of guidelines need not do so. The Commission is a permanent body,
empowered by law to write and rewrite guidelines, with progressive
changes, over many years. By monitoring when courts depart from the
guidelines and by analyzing their stated reasons for doing so and court
decisions with references thereto, the Commission, over time, will be
able to refine the guidelines to specify more precisely when departures
should and should not be permitted.
Second, the Commission believes that despite the courts' legal
freedom to depart from the guidelines, they will not do so very often.
This is because the guidelines, offense by offense, seek to take
account of those factors that the Commission's data indicate made a
significant difference in pre-guidelines sentencing practice. Thus, for
example, where the presence of physical injury made an important
difference in pre-guidelines sentencing practice (as in the case of
robbery or assault), the guidelines specifically include this factor to
enhance the sentence. Where the guidelines do not specify an
augmentation or diminution, this is generally because the sentencing
data did not permit the Commission to conclude that the factor was
empirically important in relation to the particular offense. Of course,
an important factor (e.g., physical injury) may infrequently occur in
connection with a particular crime (e.g., fraud). Such rare occurrences
are precisely the type of events that the courts' departure powers were
designed to cover--unusual cases outside the range of the more typical
offenses for which the guidelines were designed.
It is important to note that the guidelines refer to two different
kinds of departure. The first involves instances in which the
guidelines provide specific guidance for departure by analogy or by
other numerical or non-numerical suggestions. The Commission intends
such suggestions as policy guidance for the courts. The Commission
expects that most departures will reflect the suggestions and that the
courts of appeals may prove more likely to find departures
`unreasonable' where they fall outside suggested levels.
A second type of departure will remain unguided. It may rest upon
grounds referred to in Chapter Five, Part K (Departures) or on grounds
not mentioned in the guidelines. While Chapter Five, Part K lists
factors that the Commission believes may constitute grounds for
departure, the list is not exhaustive. The Commission recognizes that
there may be other grounds for departure that are not mentioned; it
also believes there may be cases in which a departure outside suggested
levels is warranted. In its view, however, such cases will be highly
infrequent.
(c) Plea Agreements
Nearly ninety percent of all federal criminal cases involve guilty
pleas and many of these cases involve some form of plea agreement. Some
commentators on early Commission guideline drafts urged the Commission
not to attempt any major reforms of the plea agreement process on the
grounds that any set of guidelines that threatened to change pre-
guidelines practice radically also threatened to make the federal
system unmanageable. Others argued that guidelines that failed to
control and limit plea agreements would leave untouched a `loophole'
large enough to undo the good that sentencing guidelines would bring.
The Commission decided not to make major changes in plea agreement
practices in the initial guidelines, but rather to provide guidance by
issuing general policy statements concerning the acceptance of plea
agreements in Chapter Six, Part B (Plea Agreements). The rules set
forth in Fed. R. Crim. P. 11(e) govern the acceptance or rejection of
such agreements. The Commission will collect data on the courts' plea
practices and will analyze this information to determine when and why
the courts accept or reject plea agreements and whether plea agreement
practices are undermining the intent of the Sentencing Reform Act. In
light of this information and analysis, the Commission will seek to
further regulate the plea agreement process as appropriate.
Importantly, if the policy statements relating to plea agreements are
followed, circumvention of the Sentencing Reform Act and the guidelines
should not occur.
The Commission expects the guidelines to have a positive,
rationalizing impact upon plea agreements for two reasons. First, the
guidelines create a clear, definite expectation in respect to the
sentence that a court will impose if a trial takes place. In the event
a prosecutor and defense attorney explore the possibility of a
negotiated plea, they will no longer work in the dark. This fact alone
should help to reduce irrationality in respect to actual sentencing
outcomes. Second, the guidelines create a norm to which courts will
likely refer when they decide whether, under Rule 11(e), to accept or
to reject a plea agreement or recommendation.
(d) Probation and Split Sentences
The statute provides that the guidelines are to `reflect the
general appropriateness of imposing a sentence other than imprisonment
in cases in which the defendant is a first offender who has not been
convicted of a crime of violence or an otherwise serious offense . . .
.' 28 U.S.C. 994(j). Under pre-guidelines sentencing practice, courts
sentenced to probation an inappropriately high percentage of offenders
guilty of certain economic crimes, such as theft, tax evasion,
antitrust offenses, insider trading, fraud, and embezzlement, that in
the Commission's view are `serious.'
The Commission's solution to this problem has been to write
guidelines that classify as serious many offenses for which probation
previously was frequently given and provide for at least a short period
of imprisonment in such cases. The Commission concluded that the
definite prospect of prison, even though the term may be short, will
serve as a significant deterrent, particularly
[[Page 89173]]
when compared with pre-guidelines practice where probation, not prison,
was the norm.
More specifically, the guidelines work as follows in respect to a
first offender. For offense levels one through eight, the sentencing
court may elect to sentence the offender to probation (with or without
confinement conditions) or to a prison term. For offense levels nine
and ten, the court may substitute probation for a prison term, but the
probation must include confinement conditions (community confinement,
intermittent confinement, or home detention). For offense levels eleven
and twelve, the court must impose at least one-half the minimum
confinement sentence in the form of prison confinement, the remainder
to be served on supervised release with a condition of community
confinement or home detention.* The Commission, of course, has not
dealt with the single acts of aberrant behavior that still may justify
probation at higher offense levels through departures.**
* Note: The Commission expanded Zones B and C of the Sentencing
Table in 2010 to provide a greater range of sentencing options to
courts with respect to certain offenders. (See USSG App. C, amendment
738.) In 2018, the Commission added a new application note to the
Commentary to Sec. 5C1.1 (Imposition of a Term of Imprisonment),
stating that if a defendant is a `nonviolent first offender and the
applicable guideline range is in Zone A or B of the Sentencing Table,
the court should consider imposing a sentence other than a sentence of
imprisonment.' (See USSG App. C, amendment 801.) In 2023, the
Commission added a new Chapter Four guideline, at Sec. 4C1.1
(Adjustment for Certain Zero-Point Offenders), providing a decrease of
2 levels from the offense level determined under Chapters Two and Three
for `zero-point' offenders who meet certain criteria. In addition, the
Commission further amended the Commentary to Sec. 5C1.1 to address the
alternatives to incarceration available to `zero-point' offenders by
revising the application note in Sec. 5C1.1 that addressed `nonviolent
first offenders' to focus on `zero-point' offenders. (See USSG App. C,
amendment 821.)
** Note: Although the Commission had not addressed `single acts of
aberrant behavior' at the time the Introduction to the Guidelines
Manual originally was written, it subsequently addressed the issue in
Amendment 603, effective November 1, 2000. (See USSG App. C, amendment
603.)
(e) Multi-Count Convictions
The Commission, like several state sentencing commissions, has
found it particularly difficult to develop guidelines for sentencing
defendants convicted of multiple violations of law, each of which makes
up a separate count in an indictment. The difficulty is that when a
defendant engages in conduct that causes several harms, each additional
harm, even if it increases the extent to which punishment is warranted,
does not necessarily warrant a proportionate increase in punishment. A
defendant who assaults others during a fight, for example, may warrant
more punishment if he injures ten people than if he injures one, but
his conduct does not necessarily warrant ten times the punishment. If
it did, many of the simplest offenses, for reasons that are often
fortuitous, would lead to sentences of life imprisonment--sentences
that neither just deserts nor crime control theories of punishment
would justify.
Several individual guidelines provide special instructions for
increasing punishment when the conduct that is the subject of that
count involves multiple occurrences or has caused several harms. The
guidelines also provide general rules for aggravating punishment in
light of multiple harms charged separately in separate counts. These
rules may produce occasional anomalies, but normally they will permit
an appropriate degree of aggravation of punishment for multiple
offenses that are the subjects of separate counts.
These rules are set out in Chapter Three, Part D (Multiple Counts).
They essentially provide: (1) when the conduct involves fungible items
(e.g., separate drug transactions or thefts of money), the amounts are
added and the guidelines apply to the total amount; (2) when
nonfungible harms are involved, the offense level for the most serious
count is increased (according to a diminishing scale) to reflect the
existence of other counts of conviction. The guidelines have been
written in order to minimize the possibility that an arbitrary casting
of a single transaction into several counts will produce a longer
sentence. In addition, the sentencing court will have adequate power to
prevent such a result through departures.
(f) Regulatory Offenses
Regulatory statutes, though primarily civil in nature, sometimes
contain criminal provisions in respect to particularly harmful
activity. Such criminal provisions often describe not only substantive
offenses, but also more technical, administratively-related offenses
such as failure to keep accurate records or to provide requested
information. These statutes pose two problems: first, which criminal
regulatory provisions should the Commission initially consider, and
second, how should it treat technical or administratively-related
criminal violations?
In respect to the first problem, the Commission found that it could
not comprehensively treat all regulatory violations in the initial set
of guidelines. There are hundreds of such provisions scattered
throughout the United States Code. To find all potential violations
would involve examination of each individual federal regulation.
Because of this practical difficulty, the Commission sought to
determine, with the assistance of the Department of Justice and several
regulatory agencies, which criminal regulatory offenses were
particularly important in light of the need for enforcement of the
general regulatory scheme. The Commission addressed these offenses in
the initial guidelines.
In respect to the second problem, the Commission has developed a
system for treating technical recordkeeping and reporting offenses that
divides them into four categories. First, in the simplest of cases, the
offender may have failed to fill out a form intentionally, but without
knowledge or intent that substantive harm would likely follow. He might
fail, for example, to keep an accurate record of toxic substance
transport, but that failure may not lead, nor be likely to lead, to the
release or improper handling of any toxic substance. Second, the same
failure may be accompanied by a significant likelihood that substantive
harm will occur; it may make a release of a toxic substance more
likely. Third, the same failure may have led to substantive harm.
Fourth, the failure may represent an effort to conceal a substantive
harm that has occurred.
The structure of a typical guideline for a regulatory offense
provides a low base offense level (e.g., 6) aimed at the first type of
recordkeeping or reporting offense. Specific offense characteristics
designed to reflect substantive harms that do occur in respect to some
regulatory offenses, or that are likely to occur, increase the offense
level. A specific offense characteristic also provides that a
recordkeeping or reporting offense that conceals a substantive offense
will have the same offense level as the substantive offense.
[[Page 89174]]
(g) Sentencing Ranges
In determining the appropriate sentencing ranges for each offense,
the Commission estimated the average sentences served within each
category under the pre-guidelines sentencing system. It also examined
the sentences specified in federal statutes, in the parole guidelines,
and in other relevant, analogous sources. The Commission's
Supplementary Report on the Initial Sentencing Guidelines (1987)
contains a comparison between estimates of pre-guidelines sentencing
practice and sentences under the guidelines.
While the Commission has not considered itself bound by pre-
guidelines sentencing practice, it has not attempted to develop an
entirely new system of sentencing on the basis of theory alone.
Guideline sentences, in many instances, will approximate average pre-
guidelines practice and adherence to the guidelines will help to
eliminate wide disparity. For example, where a high percentage of
persons received probation under pre-guidelines practice, a guideline
may include one or more specific offense characteristics in an effort
to distinguish those types of defendants who received probation from
those who received more severe sentences. In some instances, short
sentences of incarceration for all offenders in a category have been
substituted for a pre-guidelines sentencing practice of very wide
variability in which some defendants received probation while others
received several years in prison for the same offense. Moreover,
inasmuch as those who pleaded guilty under pre-guidelines practice
often received lesser sentences, the guidelines permit the court to
impose lesser sentences on those defendants who accept responsibility
for their misconduct. For defendants who provide substantial assistance
to the government in the investigation or prosecution of others, a
downward departure may be warranted.
The Commission has also examined its sentencing ranges in light of
their likely impact upon prison population. Specific legislation, such
as the Anti-Drug Abuse Act of 1986 and the career offender provisions
of the Sentencing Reform Act of 1984 (28 U.S.C. 994(h)), required the
Commission to promulgate guidelines that will lead to substantial
prison population increases. These increases will occur irrespective of
the guidelines. The guidelines themselves, insofar as they reflect
policy decisions made by the Commission (rather than legislated
mandatory minimum or career offender sentences), are projected to lead
to an increase in prison population that computer models, produced by
the Commission and the Bureau of Prisons in 1987, estimated at
approximately 10 percent over a period of ten years.
(h) The Sentencing Table
The Commission has established a sentencing table that for
technical and practical reasons contains 43 levels. Each level in the
table prescribes ranges that overlap with the ranges in the preceding
and succeeding levels. By overlapping the ranges, the table should
discourage unnecessary litigation. Both prosecution and defense will
realize that the difference between one level and another will not
necessarily make a difference in the sentence that the court imposes.
Thus, little purpose will be served in protracted litigation trying to
determine, for example, whether $10,000 or $11,000 was obtained as a
result of a fraud. At the same time, the levels work to increase a
sentence proportionately. A change of six levels roughly doubles the
sentence irrespective of the level at which one starts. The guidelines,
in keeping with the statutory requirement that the maximum of any range
cannot exceed the minimum by more than the greater of 25 percent or six
months (28 U.S.C. 994(b)(2)), permit courts to exercise the greatest
permissible range of sentencing discretion. The table overlaps offense
levels meaningfully, works proportionately, and at the same time
preserves the maximum degree of allowable discretion for the court
within each level.
Similarly, many of the individual guidelines refer to tables that
correlate amounts of money with offense levels. These tables often have
many rather than a few levels. Again, the reason is to minimize the
likelihood of unnecessary litigation. If a money table were to make
only a few distinctions, each distinction would become more important
and litigation over which category an offender fell within would become
more likely. Where a table has many small monetary distinctions, it
minimizes the likelihood of litigation because the precise amount of
money involved is of considerably less importance.
5. A Concluding Note
The Commission emphasizes that it drafted the initial guidelines
with considerable caution. It examined the many hundreds of criminal
statutes in the United States Code. It began with those that were the
basis for a significant number of prosecutions and sought to place them
in a rational order. It developed additional distinctions relevant to
the application of these provisions and it applied sentencing ranges to
each resulting category. In doing so, it relied upon pre-guidelines
sentencing practice as revealed by its own statistical analyses based
on summary reports of some 40,000 convictions, a sample of 10,000
augmented presentence reports, the parole guidelines, and policy
judgments.
The Commission recognizes that some will criticize this approach as
overly cautious, as representing too little a departure from pre-
guidelines sentencing practice. Yet, it will cure wide disparity. The
Commission is a permanent body that can amend the guidelines each year.
Although the data available to it, like all data, are imperfect,
experience with the guidelines will lead to additional information and
provide a firm empirical basis for consideration of revisions.
Finally, the guidelines will apply to more than 90 percent of all
felony and Class A misdemeanor cases in the federal courts. Because of
time constraints and the nonexistence of statistical information, some
offenses that occur infrequently are not considered in the guidelines.
Their exclusion does not reflect any judgment regarding their
seriousness and they will be addressed as the Commission refines the
guidelines over time.
2. Continuing Evolution and Role of the Guidelines
The Sentencing Reform Act of 1984 changed the course of federal
sentencing. Among other things, the Act created the United States
Sentencing Commission as an independent agency in the Judicial Branch,
and directed it to develop guidelines and policy statements for
sentencing courts to use when sentencing offenders convicted of federal
crimes. Moreover, it empowered the Commission with ongoing
responsibilities to monitor the guidelines, submit to Congress
appropriate modifications of the guidelines and recommended changes in
criminal statutes, and establish education and research programs. The
mandate rested on congressional awareness that sentencing is a dynamic
field that requires continuing review by an expert body to revise
sentencing policies, in light of application experience, as new
criminal statutes are enacted, and as more is learned about what
motivates and controls criminal behavior.
This statement finds resonance in a line of Supreme Court cases
that, taken together, echo two themes. The first
[[Page 89175]]
theme is that the guidelines are the product of a deliberative process
that seeks to embody the purposes of sentencing set forth in the
Sentencing Reform Act, and as such they continue to play an important
role in the sentencing court's determination of an appropriate sentence
in a particular case. The Supreme Court alluded to this in Mistretta v.
United States, 488 U.S. 361 (1989), which upheld the constitutionality
of both the federal sentencing guidelines and the Commission against
nondelegation and separation of powers challenges. Therein the Court
stated:
Developing proportionate penalties for hundreds of different crimes
by a virtually limitless array of offenders is precisely the sort of
intricate, labor-intensive task for which delegation to an expert body
is especially appropriate. Although Congress has delegated significant
discretion to the Commission to draw judgments from its analysis of
existing sentencing practice and alternative sentencing models, . . .
[w]e have no doubt that in the hands of the Commission `the criteria
which Congress has supplied are wholly adequate for carrying out the
general policy and purpose' of the Act.
Id. at 379 (internal quotation marks and citations omitted).
The continuing importance of the guidelines in federal sentencing
was further acknowledged by the Court in United States v. Booker, 543
U.S. 220 (2005), even as that case rendered the guidelines advisory in
nature. In Booker, the Court held that the imposition of an enhanced
sentence under the federal sentencing guidelines based on the
sentencing judge's determination of a fact (other than a prior
conviction) that was not found by the jury or admitted by the defendant
violated the Sixth Amendment. The Court reasoned that an advisory
guideline system, while lacking the mandatory features that Congress
enacted, retains other features that help to further congressional
objectives, including providing certainty and fairness in meeting the
purposes of sentencing, avoiding unwarranted sentencing disparities,
and maintaining sufficient flexibility to permit individualized
sentences when warranted. The Court concluded that an advisory
guideline system would `continue to move sentencing in Congress'
preferred direction, helping to avoid excessive sentencing disparities
while maintaining flexibility sufficient to individualize sentences
where necessary.' Id. at 264-65. An advisory guideline system continues
to assure transparency by requiring that sentences be based on
articulated reasons stated in open court that are subject to appellate
review. An advisory guideline system also continues to promote
certainty and predictability in sentencing, thereby enabling the
parties to better anticipate the likely sentence based on the
individualized facts of the case.
The continuing importance of the guidelines in the sentencing
determination is predicated in large part on the Sentencing Reform
Act's intent that, in promulgating guidelines, the Commission must take
into account the purposes of sentencing as set forth in 18 U.S.C.
3553(a). See 28 U.S.C. 994(f), 991(b)(1). The Supreme Court reinforced
this view in Rita v. United States, 551 U.S. 338 (2007), which held
that a court of appeals may apply a presumption of reasonableness to a
sentence imposed by a district court within a properly calculated
guideline range without violating the Sixth Amendment. In Rita, the
Court relied heavily on the complementary roles of the Commission and
the sentencing court in federal sentencing, stating:
[T]he presumption reflects the nature of the Guidelines-writing
task that Congress set for the Commission and the manner in which the
Commission carried out that task. In instructing both the sentencing
judge and the Commission what to do, Congress referred to the basic
sentencing objectives that the statute sets forth in 18 U.S.C. 3553(a)
. . . . The provision also tells the sentencing judge to `impose a
sentence sufficient, but not greater than necessary, to comply with'
the basic aims of sentencing as set out above. Congressional statutes
then tell the Commission to write Guidelines that will carry out these
same Sec. 3553(a) objectives.
Id. at 347-48 (emphasis in original). The Court concluded that
`[t]he upshot is that the sentencing statutes envision both the
sentencing judge and the Commission as carrying out the same basic
Sec. 3553(a) objectives, the one, at retail, the other at
wholesale[,]' id. at 348, and that the Commission's process for
promulgating guidelines results in `a set of Guidelines that seek to
embody the Sec. 3553(a) considerations, both in principle and in
practice.' Id. at 350.
Consequently, district courts are required to properly calculate
and consider the guidelines when sentencing, even in an advisory
guideline system. See 18 U.S.C. 3553(a)(4), (a)(5); Booker, 543 U.S. at
264 (`The district courts, while not bound to apply the Guidelines,
must . . . take them into account when sentencing.'); Rita, 551 U.S. at
351 (stating that a district court should begin all sentencing
proceedings by correctly calculating the applicable Guidelines range);
Gall v. United States, 552 U.S. 38, 49 (2007) (`As a matter of
administration and to secure nationwide consistency, the Guidelines
should be the starting point and the initial benchmark.'). The district
court, in determining the appropriate sentence in a particular case,
therefore, must consider the properly calculated guideline range, the
grounds for departure provided in the policy statements, and then the
factors under 18 U.S.C. 3553(a). See Rita, 551 U.S. at 351. The
appellate court engages in a two-step process upon review. The
appellate court `first ensure[s] that the district court committed no
significant procedural error, such as failing to calculate (or
improperly calculating) the Guidelines range . . . [and] then
consider[s] the substantive reasonableness of the sentence imposed
under an abuse-of-discretion standard[,] . . . tak[ing] into account
the totality of the circumstances, including the extent of any variance
from the Guidelines range.' Gall, 552 U.S. at 51.
The second and related theme resonant in this line of Supreme Court
cases is that, as contemplated by the Sentencing Reform Act, the
guidelines are evolutionary in nature. They are the product of the
Commission's fulfillment of its statutory duties to monitor federal
sentencing law and practices, to seek public input on the operation of
the guidelines, and to revise the guidelines accordingly. As the Court
acknowledged in Rita:
The Commission's work is ongoing. The statutes and the Guidelines
themselves foresee continuous evolution helped by the sentencing courts
and courts of appeals in that process. The sentencing courts, applying
the Guidelines in individual cases may depart (either pursuant to the
Guidelines or, since Booker, by imposing a non-Guidelines sentence).
The judges will set forth their reasons. The Courts of Appeals will
determine the reasonableness of the resulting sentence. The Commission
will collect and examine the results. In doing so, it may obtain advice
from prosecutors, defenders, law enforcement groups, civil liberties
associations, experts in penology, and others. And it can revise the
Guidelines accordingly.
Rita, 551 U.S. at 350; see also Booker, 543 U.S. at 264 (`[T]he
Sentencing Commission remains in place, writing Guidelines, collecting
information about actual district court sentencing decisions,
undertaking research, and revising the Guidelines accordingly.'); Gall,
552 U.S. at 46 (`[E]ven though the
[[Page 89176]]
Guidelines are advisory rather than mandatory, they are, as we pointed
out in Rita, the product of careful study based on extensive empirical
evidence derived from the review of thousands of individual sentencing
decisions.').
Provisions of the Sentencing Reform Act promote and facilitate this
evolutionary process. For example, pursuant to 28 U.S.C. 994(x), the
Commission publishes guideline amendment proposals in the Federal
Register and conducts hearings to solicit input on those proposals from
experts and other members of the public. Pursuant to 28 U.S.C. 994(o),
the Commission periodically reviews and revises the guidelines in
consideration of comments it receives from members of the federal
criminal justice system, including the courts, probation officers, the
Department of Justice, the Bureau of Prisons, defense attorneys and the
federal public defenders, and in consideration of data it receives from
sentencing courts and other sources. Statutory mechanisms such as these
bolster the Commission's ability to take into account fully the
purposes of sentencing set forth in 18 U.S.C. 3553(a)(2) in its
promulgation of the guidelines.
Congress retains authority to require certain sentencing practices
and may exercise its authority through specific directives to the
Commission with respect to the guidelines. As the Supreme Court noted
in Kimbrough v. United States, 552 U.S. 85 (2007), `Congress has shown
that it knows how to direct sentencing practices in express terms. For
example, Congress has specifically required the Sentencing Commission
to set Guideline sentences for serious recidivist offenders `at or
near' the statutory maximum.' Id. at 103; 28 U.S.C. 994(h).
As envisioned by Congress, implemented by the Commission, and
reaffirmed by the Supreme Court, the guidelines are the product of a
deliberative and dynamic process that seeks to embody within federal
sentencing policy the purposes of sentencing set forth in the
Sentencing Reform Act. As such, the guidelines continue to be a key
component of federal sentencing and to play an important role in the
sentencing court's determination of an appropriate sentence in any
particular case.
3. Authority
Sec. 1A3.1. Authority
The guidelines, policy statements, and commentary set forth in this
Guidelines Manual, including amendments thereto, are promulgated by the
United States Sentencing Commission pursuant to: (1) section 994(a) of
title 28, United States Code; and (2) with respect to guidelines,
policy statements, and commentary promulgated or amended pursuant to
specific congressional directive, pursuant to the authority contained
in that directive in addition to the authority under section 994(a) of
title 28, United States Code.'';
and inserting the following:
``Part A--Introduction and Authority
Introductory Commentary
The United States Sentencing Commission (`Commission') is an
independent agency in the judicial branch composed of seven voting and
two non-voting, ex officio members. Its principal purpose is to
establish sentencing policies and practices for the federal criminal
justice system that will assure the ends of justice by promulgating
detailed guidelines prescribing the appropriate sentences for offenders
convicted of federal crimes. This Part provides the statutory authority
and mission of the Commission to promulgate federal sentencing
guidelines, policy statements, and commentary.
Further information describing the historical development and
evolution of the federal sentencing guidelines is set forth in Appendix
D of the Guidelines Manual.
1. Authority
Sec. 1A1.1. Authority
The Sentencing Reform Act of 1984 (Title II of the Comprehensive
Crime Control Act of 1984) provides for the development of guidelines
that will further the basic purposes of criminal punishment:
deterrence, incapacitation, just punishment, and rehabilitation. The
Act delegates broad authority to the Commission to review and
rationalize the federal sentencing process.
The guidelines, policy statements, and commentary set forth in this
Guidelines Manual, including amendments thereto, are promulgated by the
United States Sentencing Commission pursuant to: (1) section 994(a) of
title 28, United States Code; and (2) with respect to guidelines,
policy statements, and commentary promulgated or amended pursuant to
specific congressional directive, pursuant to the authority contained
in that directive in addition to the authority under section 994(a) of
title 28, United States Code.''.
Section 1B1.1(a) is amended--
by inserting at the beginning the following new heading: ``Step
One: Calculation of Guideline Range and Determination of Sentencing
Requirements and Options under the Guidelines Manual.--'';
in paragraph 5 by striking ``Apply the adjustment as appropriate
for the defendant's acceptance of responsibility from Part E of Chapter
Three'' and inserting ``Apply the adjustment for the defendant's
acceptance of responsibility and the reduction pursuant to an early
disposition program, as appropriate, from Parts E and F of Chapter
Three'';
in paragraph 6 by striking ``Part B'' and inserting ``Parts B and
C'';
and by inserting at the end the following new paragraph 9:
``(9) Apply, as appropriate, Part K of Chapter Five.''.
Section 1B1.1 is amended by striking subsections (b) and (c) as
follows:
``(b) The court shall then consider Parts H and K of Chapter Five,
Specific Offender Characteristics and Departures, and any other policy
statements or commentary in the guidelines that might warrant
consideration in imposing sentence. See 18 U.S.C. 3553(a)(5).
(c) The court shall then consider the applicable factors in 18
U.S.C. 3553(a) taken as a whole. See 18 U.S.C. 3553(a).'';
and inserting the following new subsection (b):
``(b) Step Two: Consideration of Factors Set Forth in 18 U.S.C.
3553(a) and Related Guidance.--The court shall then consider as a whole
the additional factors identified in 18 U.S.C. 3553(a) and the guidance
provided in Chapter Six to determine the sentence that is sufficient,
but not greater than necessary, to comply with the purposes set forth
in 18 U.S.C. 3553(a)(2). See 18 U.S.C. 3553(a).''.
The Commentary to Sec. 1B1.1 captioned ``Application Notes'' is
amended in Note 1--
by striking subparagraph (F) as follows:
``(F) `Departure' means (i) for purposes other than those specified
in subdivision (ii), imposition of a sentence outside the applicable
guideline range or of a sentence that is otherwise different from the
guideline sentence; and (ii) for purposes of Sec. 4A1.3 (Departures
Based on Inadequacy of Criminal History Category), assignment of a
criminal history category other than the otherwise applicable criminal
history category, in order to effect a sentence outside the applicable
guideline range. `Depart' means grant a departure.
[[Page 89177]]
`Downward departure' means departure that effects a sentence less
than a sentence that could be imposed under the applicable guideline
range or a sentence that is otherwise less than the guideline sentence.
`Depart downward' means grant a downward departure.
`Upward departure' means departure that effects a sentence greater
than a sentence that could be imposed under the applicable guideline
range or a sentence that is otherwise greater than the guideline
sentence. `Depart upward' means grant an upward departure.'';
and by redesignating subparagraphs (G) through (M) as subparagraphs
(F) through (L), respectively.
The Commentary to Sec. 1B1.1 captioned ``Background'' is amended
by striking the following:
``The court must impose a sentence `sufficient, but not greater
than necessary,' to comply with the purposes of sentencing set forth in
18 U.S.C. 3553(a)(2). See 18 U.S.C. 3553(a). Subsections (a), (b), and
(c) are structured to reflect the three-step process used in
determining the particular sentence to be imposed. If, after step (c),
the court imposes a sentence that is outside the guidelines framework,
such a sentence is considered a `variance'. See Irizarry v. United
States, 553 U.S. 708, 709-16 (2008) (describing within-range sentences
and departures as `sentences imposed under the framework set out in the
Guidelines').'';
and inserting the following:
``The court must impose a sentence `sufficient, but not greater
than necessary,' to comply with the purposes of sentencing set forth in
18 U.S.C. 3553(a)(2). See 18 U.S.C. 3553(a). This guideline is
structured to reflect the advisory sentencing scheme established
following the Supreme Court's decision in United States v. Booker, 543
U.S. 220 (2005), by setting forth both essential steps of the court's
inquiry in making this determination.
District courts are required to properly calculate and consider the
guidelines when sentencing. See 18 U.S.C. 3553(a)(4), (a)(5); Booker,
543 U.S. at 264 (`The district courts, while not bound to apply the
Guidelines, must . . . take them into account when sentencing.'); Rita
v. United States, 551 U.S. 338, 351 (2007) (stating that a district
court should begin all sentencing proceedings by correctly calculating
the applicable Guidelines range); Gall v. United States, 552 U.S. 38,
49 (2007) (`As a matter of administration and to secure nationwide
consistency, the Guidelines should be the starting point and the
initial benchmark.'); Peugh v. United States, 569 U.S. 530 (2013)
(noting that `the post-Booker federal sentencing system adopted
procedural measures that make the guidelines the `lodestone' of
sentencing'). Step one sets forth the steps for properly calculating
the guidelines.
District courts are then required to fully and carefully consider
the additional factors set forth in 18 U.S.C. 3553(a), which include:
(1) the nature and circumstances of the offense and the history and
characteristics of the defendant; (2) the need for the sentence imposed
to meet the purposes of sentencing listed in 18 U.S.C. 3553(a)(2); (3)
the kinds of sentence available; (4) the need to avoid unwarranted
sentence disparities among defendants with similar records who have
been found guilty of similar conduct; and (5) the need to provide
restitution to any victims of the offense. See Rita, 551 U.S. at 351.
Step two, as set forth in subsection (b), reflects this step of the
sentencing process and also instructs courts to consider guidance
provided by the Commission in Chapter Six.''.
The Commentary to Sec. 1B1.2 captioned ``Application Notes'' is
amended in Note 1 by striking ``the court would be forced to use an
artificial guideline and then depart from it'' and inserting ``the
court would be forced to use an artificial guideline and then impose a
sentence that is greater than the otherwise applicable guideline
range''; by striking ``the probation officer might need to calculate
the robbery guideline to assist the court in determining the
appropriate degree of departure'' and inserting ``the probation officer
might need to calculate the robbery guideline to assist the court in
determining an appropriate sentence''; and by striking ``Chapter Six,
Part B (Plea Agreements)'' and inserting '' Chapter Seven, Part B (Plea
Agreements)''.
Section 1B1.3(b) is amended in the heading by striking ``Five
(Determining the Sentence)'' and inserting ``Five (Determining the
Sentencing Range and Options Under the Guidelines)''.
The Commentary to Sec. 1B1.3 captioned ``Application Notes'' is
amended--
in Note 3(B) by striking ``The Commission does not foreclose the
possibility that there may be some unusual set of circumstances in
which the exclusion of such conduct may not adequately reflect the
defendant's culpability; in such a case, an upward departure may be
warranted.'';
and in Note 6(B) by striking ``In a case in which creation of risk
is not adequately taken into account by the applicable offense
guideline, an upward departure may be warranted. See generally Sec.
1B1.4 (Information to be Used in Imposing Sentence); Sec. 5K2.0
(Grounds for Departure).''.
The Commentary to Sec. 1B1.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The conduct of members of a conspiracy prior to the defendant
joining the conspiracy, which is not otherwise considered as part of
the defendant's relevant conduct.
(B) The applicable guideline does not adequately account the risk
or danger of harm created.
See Sec. Sec. 6A1.1; 6A1.3.''.
Section 1B1.4 is amended--
in the heading by striking ``(Selecting a Point Within the
Guideline Range or Departing from the Guidelines)'';
and by striking ``In determining the sentence to impose within the
guideline range, or whether a departure from the guidelines is
warranted'' and inserting ``In determining the sentence to impose''.
The Commentary to 1B1.4 captioned ``Background'' is amended by
striking the following:
``This section distinguishes between factors that determine the
applicable guideline sentencing range (Sec. 1B1.3) and information
that a court may consider in imposing a sentence within that range. The
section is based on 18 U.S.C. 3661, which recodifies 18 U.S.C. 3577.
The recodification of this 1970 statute in 1984 with an effective date
of 1987 (99 Stat. 1728), makes it clear that Congress intended that no
limitation would be placed on the information that a court may consider
in imposing an appropriate sentence under the future guideline
sentencing system. A court is not precluded from considering
information that the guidelines do not take into account in determining
a sentence within the guideline range or from considering that
information in determining whether and to what extent to depart from
the guidelines. For example, if the defendant committed two robberies,
but as part of a plea negotiation entered a guilty plea to only one,
the robbery that was not taken into account by the guidelines would
provide a reason for sentencing at the top of the guideline range and
may provide a reason for an upward departure. Some policy statements
do, however, express a Commission policy
[[Page 89178]]
that certain factors should not be considered for any purpose, or
should be considered only for limited purposes. See, e.g., Chapter
Five, Part H (Specific Offender Characteristics).'';
and inserting the following:
``This section distinguishes between factors that determine the
applicable guideline sentencing range (Sec. 1B1.3) and information
that a court may consider in imposing a sentence. The section is based
on 18 U.S.C. 3661, which recodifies 18 U.S.C. 3577. The recodification
of this 1970 statute in 1984 with an effective date of 1987 (99 Stat.
1728), makes it clear that Congress intended that no limitation would
be placed on the information that a court may consider in imposing an
appropriate sentence under the future guideline sentencing system. A
court is not precluded from considering information that the guidelines
do not take into account. For example, if the defendant committed two
robberies, but as part of a plea negotiation entered a guilty plea to
only one, the robbery that was not taken into account by the guidelines
may provide a reason for sentencing at the top of, or above, the
guideline range. Chapter Six, Part A (Consideration of Factors in 18
U.S.C. 3553(a)) details factors which generally are not considered in
the calculation of the guideline range, but which courts regularly
consider pursuant to 18 U.S.C. 3553(a).''.
Section 1B1.7 is amended by striking ``the commentary may suggest
circumstances which, in the view of the Commission, may warrant
departure from the guidelines'' and inserting ``the commentary may
suggest additional considerations for the court to take into account in
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a)''; and by striking ``such commentary may provide guidance in
assessing the reasonableness of any departure from the guidelines'' and
inserting ``such commentary may provide guidance in determining the
appropriate sentence to impose''.
Section 1B1.8(b)(5) is amended by striking ``in determining
whether, or to what extent, a downward departure from the guidelines is
warranted pursuant to a government motion under Sec. 5K1.1
(Substantial Assistance to Authorities)'' and inserting ``in
determining whether, or to what extent, to impose a sentence that is
below the otherwise applicable guideline range pursuant to a government
motion under Sec. 5K1.1 (Substantial Assistance to Authorities)''.
The Commentary to Sec. 1B1.8 captioned ``Application Notes'' is
amended in Note 1 by striking ``Although the guideline itself affects
only the determination of the guideline range, the policy of the
Commission, as a corollary, is that information prohibited from being
used to determine the applicable guideline range shall not be used to
depart upward. In contrast, subsection (b)(5) provides that
consideration of such information is appropriate in determining
whether, and to what extent, a downward departure is warranted pursuant
to a government motion under Sec. 5K1.1 (Substantial Assistance to
Authorities); e.g., a court may refuse to depart downward on the basis
of such information.'' and inserting ``Although the guideline itself
affects only the determination of the guideline range, the policy of
the Commission, as a corollary, is that information prohibited from
being used to determine the applicable guideline range shall not be
used to increase a defendant's applicable guideline range. In contrast,
subsection (b)(5) provides that consideration of such information is
appropriate in determining whether, or to what extent, to impose a
sentence that is below the otherwise applicable guideline range
pursuant to a government motion under Sec. 5K1.1 (Substantial
Assistance to Authorities). For example, a court may refuse to impose a
sentence that is below the otherwise applicable guideline range on the
basis of such information.''.
The Commentary to Sec. 1B1.10 captioned ``Application Notes'' is
amended--
in Note 1(A) by striking ``(i.e., the guideline range that
corresponds to the offense level and criminal history category
determined pursuant to Sec. 1B1.1(a), which is determined before
consideration of any departure provision in the Guidelines Manual or
any variance)'' and inserting ``(i.e., the guideline range that
corresponds to the offense level and criminal history category
determined pursuant to Sec. 1B1.1(a), which is determined before
consideration of the remaining provisions in Sec. 1B1.1)'';
and in Note 3 by striking ``representing a downward departure of 20
percent'' and inserting ``representing a reduction of 20 percent''; and
by striking ``authorizing, upon government motion, a downward departure
based on the defendant's substantial assistance'' and inserting
``authorizing the court, upon government motion, to impose a sentence
that is below the otherwise applicable guideline range based on the
defendant's substantial assistance''.
Section 1B.12 is amended by striking ``sufficient to warrant an
upward departure from that guideline range'' and inserting ``sufficient
to warrant imposing a sentence that exceeds that guideline range''.
Chapter Two is amended in the Introductory Commentary by inserting
after ``adjust the offense level upward or downward.'' the following:
``Additionally, each guideline may identify certain conduct not fully
accounted for in the base offense level or specific offense
characteristics that the district court may choose to consider pursuant
to the additional factors set forth in 18 U.S.C. 3553(a) and the
guidance set forth in Chapter Six (Determining the Sentence
Imposed).''; and by striking ``Chapter Four, Part B (Career Offenders
and Criminal Livelihood); and Chapter Five, Part K (Departures)'' and
inserting: ``and Chapter Four, Part B (Career Offenders and Criminal
Livelihood). Additionally, Chapter Six, Part A (Consideration of
Factors in 18 U.S.C. 3553(a)) sets forth other factors that a court may
nevertheless consider in determining the appropriate sentence in a
particular case pursuant to 18 U.S.C. 3553(a)''.
The Commentary to Sec. 2A1.1 captioned ``Application Notes'' is
amended in Note 2 by striking the following:
``Imposition of Life Sentence.--
(A) Offenses Involving Premeditated Killing.--In the case of
premeditated killing, life imprisonment is the appropriate sentence if
a sentence of death is not imposed. A downward departure would not be
appropriate in such a case. A downward departure from a mandatory
statutory term of life imprisonment is permissible only in cases in
which the government files a motion for a downward departure for the
defendant's substantial assistance, as provided in 18 U.S.C. 3553(e).
(B) Felony Murder.--If the defendant did not cause the death
intentionally or knowingly, a downward departure may be warranted. For
example, a downward departure may be warranted if in robbing a bank,
the defendant merely passed a note to the teller, as a result of which
the teller had a heart attack and died. The extent of the departure
should be based upon the defendant's state of mind (e.g., recklessness
or negligence), the degree of risk inherent in the conduct, and the
nature of the underlying offense conduct. However, departure below the
minimum guideline sentence provided for second degree murder in Sec.
2A1.2 (Second Degree Murder) is not likely to be appropriate. Also,
because death obviously is an aggravating factor, it necessarily would
be inappropriate to impose a sentence at a level below that which the
guideline for the underlying offense requires in the absence of
death.'';
[[Page 89179]]
and inserting the following:
``Offenses Involving Premeditated Killing.--In the case of
premeditated killing, life imprisonment is the appropriate sentence if
a sentence of death is not imposed. If a mandatory statutory term of
life imprisonment applies, a lesser term of imprisonment is permissible
only in cases in which the government files a motion pertaining to the
defendant's substantial assistance, as provided in 18 U.S.C.
3553(e).''.
The Commentary to Sec. 2A1.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Defendant's Intent in Felony Murder Case.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the defendant did not intentionally or knowingly cause death in
the course of the commission of a felony (e.g., defendant passed a note
to a bank teller in the course of a robbery causing the teller to have
a heart attack) may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A1.2 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. Upward Departure Provision.--If the defendant's conduct was
exceptionally heinous, cruel, brutal, or degrading to the victim, an
upward departure may be warranted. See Sec. 5K2.8 (Extreme
Conduct).'';
and by inserting at the end the following new Commentary:
``Additional Offense Specific Consideration:
1. Extreme Conduct.--In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the defendant's
conduct was unusually heinous, cruel, brutal, or degrading to the
victim may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A2.1 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. Upward Departure Provision.--If the offense created a
substantial risk of death or serious bodily injury to more than one
person, an upward departure may be warranted.''.
The Commentary to Sec. 2A2.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Substantial Risk of Death or Serious Bodily Injury to Multiple
Victims.--In determining the appropriate sentence to impose pursuant to
18 U.S.C. 3553(a), evidence that the offense created a substantial risk
of death or serious bodily injury to more than one person may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A2.4 captioned ``Application Notes'' is
amended by striking Note 3 as follows:
``3. Upward Departure Provision.--The base offense level does not
assume any significant disruption of governmental functions. In
situations involving such disruption, an upward departure may be
warranted. See Sec. 5K2.7 (Disruption of Governmental Function).''.
The Commentary to Sec. 2A2.4 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Disruption of Governmental Function.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the defendant's conduct resulted in a significant disruption of a
governmental function may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A3.1 captioned ``Application Notes'' is
amended by striking Note 6 as follows:
``6. Upward Departure Provision.--If a victim was sexually abused
by more than one participant, an upward departure may be warranted. See
Sec. 5K2.8 (Extreme Conduct).''.
The Commentary to Sec. 2A3.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Victim Sexually Abused by More Than One Participant.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that a victim was sexually abused by more than one
participant may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A3.2 captioned ``Application Notes'' is
amended by striking Note 6 as follows:
``6. Upward Departure Consideration.--There may be cases in which
the offense level determined under this guideline substantially
understates the seriousness of the offense. In such cases, an upward
departure may be warranted. For example, an upward departure may be
warranted if the defendant committed the criminal sexual act in
furtherance of a commercial scheme such as pandering, transporting
persons for the purpose of prostitution, or the production of
pornography.''.
The Commentary to Sec. 2A3.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Underrepresentation of Seriousness of the Offense.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense level determined under this
guideline substantially underrepresents the seriousness of the offense
(e.g., the defendant committed the criminal sexual act in furtherance
of a commercial scheme such as pandering, transporting persons for the
purpose of prostitution, or the production of pornography) may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A3.6 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Upward Departure.--In a case in which the guideline sentence
is determined under subsection (a), a sentence above the minimum term
required by 18 U.S.C. 2250(d) is an upward departure from the guideline
sentence. A departure may be warranted, for example, in a case
involving a sex offense committed against a minor or if the offense
resulted in serious bodily injury to a minor.''.
The Commentary to Sec. 2A3.6 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Characteristic:
1. Sex Offense Against or Serious Bodily Injury to a Minor.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that a sex offense was committed against a minor, or
resulted in serious bodily injury to a minor, may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A5.3 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. If the conduct intentionally or recklessly endangered the
safety of the aircraft or passengers, an upward departure may be
warranted.''.
The Commentary to Sec. 2A5.3 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Endangering the Safety of the Aircraft or Passengers.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the conduct intentionally or recklessly
endangered the safety of the aircraft or passengers may be relevant.
See Sec. Sec. 6A1.1; 6A1.3.''.
[[Page 89180]]
The Commentary to Sec. 2A6.1 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Departure Provisions.--
(A) In General.--The Commission recognizes that offenses covered by
this guideline may include a particularly wide range of conduct and
that it is not possible to include all of the potentially relevant
circumstances in the offense level. Factors not incorporated in the
guideline may be considered by the court in determining whether a
departure from the guidelines is warranted. See Chapter Five, Part K
(Departures).
(B) Multiple Threats, False Liens or Encumbrances, or Victims;
Pecuniary Harm.--If the offense involved (i) substantially more than
two threatening communications to the same victim, (ii) a prolonged
period of making harassing communications to the same victim, (iii)
substantially more than two false liens or encumbrances against the
real or personal property of the same victim, (iv) multiple victims, or
(v) substantial pecuniary harm to a victim, an upward departure may be
warranted.''.
The Commentary to Sec. 2A6.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Multiple Victims or Multiple Harms to Same Victim.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense involved (A) substantially more than
two threatening communications to the same victim, (B) a prolonged
period of making harassing communications to the same victim, (C)
substantially more than two false liens or encumbrances against the
real or personal property of the same victim, (D) multiple victims, or
(E) substantial pecuniary harm to a victim, may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2A6.2 captioned ``Application Notes'' is
amended by striking Note 5 as follows:
``5. If the defendant received an enhancement under subsection
(b)(1) but that enhancement does not adequately reflect the extent or
seriousness of the conduct involved, an upward departure may be
warranted. For example, an upward departure may be warranted if the
defendant stalked the victim on many occasions over a prolonged period
of time.''.
The Commentary to Sec. 2A6.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factor Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense level determined under this guideline does not
adequately reflect the extent or seriousness of the conduct involved
(e.g., that the defendant stalked the victim on many occasions over a
prolonged period of time) may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2B1.1 captioned ``Application Notes'' is
amended--
in Note 8(A) by striking ``If, in a particular case, however, more
than one of the enumerated factors applied, an upward departure may be
warranted.'';
in Note 14(B)(i) by striking ``Sec. 8A1.1 (Applicability of
Chapter Eight)'' and inserting ``Sec. 9A1.1 (Applicability of Chapter
Nine)'';
and by striking Note 21 as follows:
``21. Departure Considerations.--
(A) Upward Departure Considerations.--There may be cases in which
the offense level determined under this guideline substantially
understates the seriousness of the offense. In such cases, an upward
departure may be warranted. The following is a non-exhaustive list of
factors that the court may consider in determining whether an upward
departure is warranted:
(i) A primary objective of the offense was an aggravating, non-
monetary objective. For example, a primary objective of the offense was
to inflict emotional harm.
(ii) The offense caused or risked substantial non-monetary harm.
For example, the offense caused physical harm, psychological harm, or
severe emotional trauma, or resulted in a substantial invasion of a
privacy interest (through, for example, the theft of personal
information such as medical, educational, or financial records). An
upward departure would be warranted, for example, in an 18 U.S.C. 1030
offense involving damage to a protected computer, if, as a result of
that offense, death resulted. An upward departure also would be
warranted, for example, in a case involving animal enterprise terrorism
under 18 U.S.C. 43, if, in the course of the offense, serious bodily
injury or death resulted, or substantial scientific research or
information were destroyed. Similarly, an upward departure would be
warranted in a case involving conduct described in 18 U.S.C. 670 if the
offense resulted in serious bodily injury or death, including serious
bodily injury or death resulting from the use of the pre-retail medical
product.
(iii) The offense involved a substantial amount of interest of any
kind, finance charges, late fees, penalties, amounts based on an
agreed-upon return or rate of return, or other similar costs, not
included in the determination of loss for purposes of subsection
(b)(1).
(iv) The offense created a risk of substantial loss beyond the loss
determined for purposes of subsection (b)(1), such as a risk of a
significant disruption of a national financial market.
(v) In a case involving stolen information from a `protected
computer', as defined in 18 U.S.C. 1030(e)(2), the defendant sought the
stolen information to further a broader criminal purpose.
(vi) In a case involving access devices or unlawfully produced or
unlawfully obtained means of identification:
(I) The offense caused substantial harm to the victim's reputation,
or the victim suffered a substantial inconvenience related to repairing
the victim's reputation.
(II) An individual whose means of identification the defendant used
to obtain unlawful means of identification is erroneously arrested or
denied a job because an arrest record has been made in that
individual's name.
(III) The defendant produced or obtained numerous means of
identification with respect to one individual and essentially assumed
that individual's identity.
(B) Upward Departure for Debilitating Impact on a Critical
Infrastructure.--An upward departure would be warranted in a case in
which subsection (b)(19)(A)(iii) applies and the disruption to the
critical infrastructure(s) is so substantial as to have a debilitating
impact on national security, national economic security, national
public health or safety, or any combination of those matters.
(C) Downward Departure Consideration.--There may be cases in which
the offense level determined under this guideline substantially
overstates the seriousness of the offense. In such cases, a downward
departure may be warranted.
For example, a securities fraud involving a fraudulent statement
made publicly to the market may produce an aggregate loss amount that
is substantial but diffuse, with relatively small loss amounts suffered
by a relatively large number of victims. In such a case, the loss table
in subsection (b)(1) and the victims table in subsection (b)(2) may
combine to produce an offense level that substantially overstates the
seriousness of the offense. If so, a downward departure may be
warranted.
[[Page 89181]]
(D) Downward Departure for Major Disaster or Emergency Victims.--If
(i) the minimum offense level of level 12 in subsection (b)(12)
applies; (ii) the defendant sustained damage, loss, hardship, or
suffering caused by a major disaster or an emergency as those terms are
defined in 42 U.S.C. 5122; and (iii) the benefits received illegally
were only an extension or overpayment of benefits received
legitimately, a downward departure may be warranted.''.
The Commentary to Sec. 2B1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense level determined under this guideline substantially
understates the seriousness of the offense.
(B) A primary objective of the offense was an aggravating, non-
monetary objective (e.g., to inflict emotional harm).
(C) The offense caused or risked substantial non-monetary harm
(e.g., physical harm, psychological harm, or severe emotional trauma,
or resulted in a substantial invasion of a privacy interest).
(D) The offense involved a substantial amount of interest of any
kind, finance charges, late fees, penalties, amounts based on an
agreed-upon return or rate of return, or other similar costs, not
included in the determination of loss.
(E) The offense created a risk of substantial loss beyond the loss
determination, such as a significant disruption of a national financial
market.
(F) The offense caused substantial harm to the victim's reputation,
or the victim suffered a substantial inconvenience related to repairing
the victim's reputation.
(G) The application of a particular enhancement is premised upon
alternative factors and more than one of the enumerated factors applied
(e.g., Sec. 2B1.1(b)(9)).
(H) The information stolen as part of the offense was stolen in
furtherance of a broader criminal purpose.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense level determined under this guideline substantially
overstates the seriousness of the offense.
(B) The offense produces an aggregate loss amount that is
substantial but diffuse, with relatively small loss amounts suffered by
a relatively large number of victims.
(C) The defendant had little or no gain as related to the loss.
(D) The defendant took steps (such as voluntary reporting or
cessation, or payment of restitution) to mitigate the harm from the
offense.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2B1.5 captioned ``Application Notes'' is
amended by striking Note 9 as follows:
``9. Upward Departure Provision.--There may be cases in which the
offense level determined under this guideline substantially understates
the seriousness of the offense. In such cases, an upward departure may
be warranted. For example, an upward departure may be warranted if (A)
in addition to cultural heritage resources or paleontological
resources, the offense involved theft of, damage to, or destruction of,
items that are not cultural heritage resources (such as an offense
involving the theft from a national cemetery of lawnmowers and other
administrative property in addition to historic gravemarkers or other
cultural heritage resources) or paleontological resources; or (B) the
offense involved a cultural heritage resource that has profound
significance to cultural identity (e.g., the Statue of Liberty or the
Liberty Bell).''.
The Commentary to Sec. 2B1.5 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Cultural Heritage Resources.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence of the
following may be relevant:
(A) The offense level determined under this guideline substantially
understates the seriousness of the offense may be relevant.
(B) The offense also involved theft of, damage to, or destruction
of, items that are not cultural heritage resources (such as an offense
involving the theft from a national cemetery of lawnmowers and other
administrative property in addition to historic gravemarkers or other
cultural heritage resources) or paleontological resources.
(C) The offense involved a cultural heritage resource that has
profound significance to cultural identity (e.g., the Statue of Liberty
or the Liberty Bell).
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2B2.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Characteristic:
1. Use of a Weapon.--In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the offense
involved the use of a weapon may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2B2.1 captioned ``Background'' is amended
by striking ``Weapon use would be a ground for upward departure.''.
The Commentary to Sec. 2B3.1 captioned ``Application Notes'' is
amended--
by striking Note 5 as follows:
``5. If the defendant intended to murder the victim, an upward
departure may be warranted; see Sec. 2A2.1 (Assault with Intent to
Commit Murder; Attempted Murder).'';
and by renumbering Note 6 as Note 5.
The Commentary to Sec. 2B3.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Intent to Murder Victim.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that the
defendant intended to murder the victim may be relevant. See Sec. Sec.
6A1.1; 6A1.3.''.
The Commentary to Sec. 2B3.2 captioned ``Application Notes'' is
amended by striking Notes 7 and 8 as follows:
``7. If the offense involved the threat of death or serious bodily
injury to numerous victims (e.g., in the case of a plan to derail a
passenger train or poison consumer products), an upward departure may
be warranted.
8. If the offense involved organized criminal activity, or a threat
to a family member of the victim, an upward departure may be
warranted.''.
The Commentary to Sec. 2B3.2 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Threat of Death or Serious Bodily Injury to Numerous Victims.--
In determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense involved the threat of death or
serious bodily injury to numerous victims (e.g., in the case of a plan
to derail a passenger train or poison consumer products) may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.
2. Organized Criminal Activity.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a),
[[Page 89182]]
evidence that the offense involved organized criminal activity may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
Section 2B4.1(c)(1) is amended by striking ``Sec. 8C2.4'' and
inserting ``Sec. 9C2.4''.
The Commentary to Sec. 2B5.3 captioned ``Application Notes'' is
amended by striking Note 5 as follows:
``5. Departure Considerations.--If the offense level determined
under this guideline substantially understates or overstates the
seriousness of the offense, a departure may be warranted. The following
is a non-exhaustive list of factors that the court may consider in
determining whether a departure may be warranted:
(A) The offense involved substantial harm to the reputation of the
copyright or trademark owner.
(B) The offense was committed in connection with, or in furtherance
of, the criminal activities of a national, or international, organized
criminal enterprise.
(C) The method used to calculate the infringement amount is based
upon a formula or extrapolation that results in an estimated amount
that may substantially exceed the actual pecuniary harm to the
copyright or trademark owner.
(D) The offense resulted in death or serious bodily injury.''.
The Commentary to Sec. 2B5.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Additional Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense involved substantial harm to the reputation of the
copyright or trademark owner.
(B) The offense was committed in connection with, or in furtherance
of, the criminal activities of a national, or international, organized
criminal enterprise.
(C) The method used to calculate the infringement amount is based
upon a formula or extrapolation that results in an estimated amount
that may substantially exceed the actual pecuniary harm to the
copyright or trademark owner.
(D) The offense resulted in death or serious bodily injury.
See Sec. Sec. 6A1.1; 6A1.3.''.
Section 2C1.1(d)(1) is amended by striking ``Sec. 8C2.4'' and
inserting ``Sec. 9C2.4''.
The Commentary to Sec. 2C1.1 captioned ``Application Notes'' is
amended--
in Note 5 by striking ``Chapter Three, Parts A-D'' and inserting
``Chapter Three, Parts A-E'';
and by striking Note 7 as follows:
``7. Upward Departure Provisions.--In some cases the monetary value
of the unlawful payment may not be known or may not adequately reflect
the seriousness of the offense. For example, a small payment may be
made in exchange for the falsification of inspection records for a
shipment of defective parachutes or the destruction of evidence in a
major narcotics case. In part, this issue is addressed by the
enhancements in Sec. 2C1.1(b)(2) and (c)(1), (2), and (3). However, in
cases in which the seriousness of the offense is still not adequately
reflected, an upward departure is warranted. See Chapter Five, Part K
(Departures).
In a case in which the court finds that the defendant's conduct was
part of a systematic or pervasive corruption of a governmental
function, process, or office that may cause loss of public confidence
in government, an upward departure may be warranted. See Sec. 5K2.7
(Disruption of Governmental Function).''.
The Commentary to Sec. 2C1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Monetary Value of the Unlawful Payment.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the monetary value of the unlawful payment is not known or
evidence that the monetary value of the unlawful payment does not
adequately reflect the seriousness of the offense may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
2. Systematic or Pervasive Corruption of Governmental Function.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the defendant's conduct was part of a systematic
or pervasive corruption of a governmental function, process, or office
that may cause loss of public confidence in government may be relevant.
See Sec. Sec. 6A1.1; 6A1.3.''.
Section 2C1.2(c)(1) is amended by striking ``Sec. 8C2.4'' and
inserting ``Sec. 9C2.4''.
The Commentary to Sec. 2C1.8 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Departure Provision.--In a case in which the defendant's
conduct was part of a systematic or pervasive corruption of a
governmental function, process, or office that may cause loss of public
confidence in government, an upward departure may be warranted.''.
The Commentary to Sec. 2C1.8 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Systematic or Pervasive Corruption of Governmental Function.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the defendant's conduct was part of a systematic
or pervasive corruption of a governmental function, process, or office
that may cause loss of public confidence in government may be relevant.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D1.1 captioned ``Application Notes'' is
amended--
in Note 2 by striking the following:
``An upward departure nonetheless may be warranted when the mixture
or substance counted in the Drug Quantity Table is combined with other,
non-countable material in an unusually sophisticated manner in order to
avoid detection.'';
in Note 10 by striking the following:
``In the case of liquid LSD (LSD that has not been placed onto a
carrier medium), using the weight of the LSD alone to calculate the
offense level may not adequately reflect the seriousness of the
offense. In such a case, an upward departure may be warranted.'';
in Note 18(A) by striking ``In some cases, the enhancement under
subsection (b)(14)(A) may not account adequately for the seriousness of
the environmental harm or other threat to public health or safety
(including the health or safety of law enforcement and cleanup
personnel). In such cases, an upward departure may be warranted.'';
in Note 22 by striking the following:
``Application of Subsection (e)(1).--
(A) Definition.--For purposes of this guideline, `sexual offense'
means a `sexual act' or `sexual contact' as those terms are defined in
18 U.S.C. 2246(2) and (3), respectively.
(B) Upward Departure Provision.--If the defendant committed a
sexual offense against more than one individual, an upward departure
would be warranted.'',
and inserting the following:
``Application of Subsection (e)(1).--For purposes of this
guideline, `sexual offense' means a `sexual act' or `sexual contact' as
those terms are defined in 18 U.S.C. 2246(2) and (3), respectively.'';
in Note 24 by striking ``a lower sentence imposed (including a
downward departure)'' and inserting ``a lower sentence imposed'';
and by striking Note 27 as follows:
``27. Departure Considerations.--
(A) Downward Departure Based on Drug Quantity in Certain Reverse
Sting Operations.--If, in a reverse sting (an
[[Page 89183]]
operation in which a government agent sells or negotiates to sell a
controlled substance to a defendant), the court finds that the
government agent set a price for the controlled substance that was
substantially below the market value of the controlled substance,
thereby leading to the defendant's purchase of a significantly greater
quantity of the controlled substance than his available resources would
have allowed him to purchase except for the artificially low price set
by the government agent, a downward departure may be warranted.
(B) Upward Departure Based on Drug Quantity.--In an extraordinary
case, an upward departure above offense level 38 on the basis of drug
quantity may be warranted. For example, an upward departure may be
warranted where the quantity is at least ten times the minimum quantity
required for level 38. Similarly, in the case of a controlled substance
for which the maximum offense level is less than level 38, an upward
departure may be warranted if the drug quantity substantially exceeds
the quantity for the highest offense level established for that
particular controlled substance.
(C) Upward Departure Based on Unusually High Purity.--Trafficking
in controlled substances, compounds, or mixtures of unusually high
purity may warrant an upward departure, except in the case of PCP,
amphetamine, methamphetamine, hydrocodone, or oxycodone for which the
guideline itself provides for the consideration of purity (see the
footnote to the Drug Quantity Table). The purity of the controlled
substance, particularly in the case of heroin, may be relevant in the
sentencing process because it is probative of the defendant's role or
position in the chain of distribution. Since controlled substances are
often diluted and combined with other substances as they pass down the
chain of distribution, the fact that a defendant is in possession of
unusually pure narcotics may indicate a prominent role in the criminal
enterprise and proximity to the source of the drugs. As large
quantities are normally associated with high purities, this factor is
particularly relevant where smaller quantities are involved.
(D) Departure Based on Potency of Synthetic Cathinones.--In
addition to providing converted drug weights for specific controlled
substances and groups of substances, the Drug Conversion Tables provide
converted drug weights for certain classes of controlled substances,
such as synthetic cathinones. In the case of a synthetic cathinone that
is not specifically referenced in this guideline, the converted drug
weight for the class should be used to determine the appropriate
offense level. However, there may be cases in which a substantially
lesser or greater quantity of a synthetic cathinone is needed to
produce an effect on the central nervous system similar to the effect
produced by a typical synthetic cathinone in the class, such as
methcathinone or alpha-PVP. In such a case, a departure may be
warranted. For example, an upward departure may be warranted in cases
involving MDPV, a substance of which a lesser quantity is usually
needed to produce an effect on the central nervous system similar to
the effect produced by a typical synthetic cathinone. In contrast, a
downward departure may be warranted in cases involving methylone, a
substance of which a greater quantity is usually needed to produce an
effect on the central nervous system similar to the effect produced by
a typical synthetic cathinone.
(E) Departures for Certain Cases involving Synthetic
Cannabinoids.--
(i) Departure Based on Concentration of Synthetic Cannabinoids.--
Synthetic cannabinoids are manufactured as powder or crystalline
substances. The concentrated substance is then usually sprayed on or
soaked into a plant or other base material, and trafficked as part of a
mixture. Nonetheless, there may be cases in which the substance
involved in the offense is a synthetic cannabinoid not combined with
any other substance. In such a case, an upward departure would be
warranted.
There also may be cases in which the substance involved in the
offense is a mixture containing a synthetic cannabinoid diluted with an
unusually high quantity of base material. In such a case, a downward
departure may be warranted.
(ii) Downward Departure Based on Potency of Synthetic
Cannabinoids.--In the case of a synthetic cannabinoid that is not
specifically referenced in this guideline, the converted drug weight
for the class should be used to determine the appropriate offense
level. However, there may be cases in which a substantially greater
quantity of a synthetic cannabinoid is needed to produce an effect on
the central nervous system similar to the effect produced by a typical
synthetic cannabinoid in the class, such as JWH-018 or AM-2201. In such
a case, a downward departure may be warranted.''.
The Commentary to Sec. 2D1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) Sophisticated Manner.--The mixture or substance counted in the
Drug Quantity Table is combined with other, non-countable material in
an unusually sophisticated manner in order to avoid detection.
(B) Drug Quantity.--The drug quantity used to determine the base
offense level substantially exceeds the quantity for the highest
offense level established for that particular controlled substance.
(C) Unusual High Purity.--The offense involved trafficking in
controlled substances, compounds, or mixtures of unusually high purity,
except in the case of PCP, amphetamine, methamphetamine, hydrocodone,
or oxycodone, for which the guideline itself provides for the
consideration of purity (see the Notes to Drug Quantity Table).
(D) Environmental Harm or Other Threat to Public Health or
Safety.--The seriousness of the environmental harm or other threat to
public health or safety (including the health or safety of law
enforcement and cleanup personnel) is understated based upon scope or
impact of the discharge, emission, or release of a hazardous or toxic
substance.
(E) LSD.--The potential harm of liquid D-Lysergic Acid
Diethylamide/Lysergide (LSD) (i.e., LSD that has not been placed onto a
carrier medium) is understated as a result of using the weight of the
LSD alone to calculate the offense level.
(F) Potency of Synthetic Cathinone.--The potency of a synthetic
cathinone is understated because a substantially lesser quantity of a
synthetic cathinone is needed to produce an effect on the central
nervous system similar to the effect produced by a typical synthetic
cathinone in the class.
(G) Unusually High Concentration of Synthetic Cannabinoid.--A
synthetic cannabinoid is sprayed on or soaked into a plant or other
base material in an unusually high concentration or is trafficked in a
pure form as opposed to being combined with another substance.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) Reversed Sting.--The offense involved a reverse sting (i.e., an
operation in which a government agent
[[Page 89184]]
sells or negotiates to sell a controlled substance to a defendant) in
which the government agent set a price for the controlled substance
that was substantially below the market value resulting in the
defendant purchasing a significantly greater quantity than available
resources would have otherwise allowed.
(B) Potency of Synthetic Cathinone or Synthetic Cannabinoid.--The
potency of a synthetic cathinone or synthetic cannabinoid is overstated
because a substantially greater quantity of the synthetic cathinone or
synthetic cannabinoid is needed to produce an effect on the central
nervous system similar to the effect produced by a typical synthetic
cathinone or synthetic cannabinoid in the class.
(C) Synthetic Cannabinoid Diluted.--The substance involved in the
offense is a mixture containing a synthetic cannabinoid diluted with an
unusually high quantity of base material.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D1.5 captioned ``Application Notes'' is
amended--
by striking Note 2 as follows:
``2. If as part of the enterprise the defendant sanctioned the use
of violence, or if the number of persons managed by the defendant was
extremely large, an upward departure may be warranted.'';
and by renumbering Notes 3 and 4 as Notes 2 and 3, respectively.
The Commentary to Sec. 2D1.5 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the defendant sanctioned the use of violence as part of the
enterprise, or that the number of persons managed by the defendant was
extremely large, may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D1.7 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. The typical case addressed by this guideline involves small-
scale trafficking in drug paraphernalia (generally from a retail
establishment that also sells items that are not unlawful). In a case
involving a large-scale dealer, distributor, or manufacturer, an upward
departure may be warranted. Conversely, where the offense was not
committed for pecuniary gain (e.g., transportation for the defendant's
personal use), a downward departure may be warranted.'';
and by inserting at the end the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factor for Large-Scale Trafficking.--The typical
case addressed by this guideline involves small-scale trafficking in
drug paraphernalia (generally from a retail establishment that also
sells items that are not unlawful). In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that the
offense involved a large-scale dealer, distributor, or manufacturer may
be relevant. See Sec. Sec. 6A1.1; 6A1.3.
2. Offense Not Committed for Pecuniary Gain.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense was not committed for pecuniary gain (e.g.,
transportation for the defendant's personal use) may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D1.11 captioned ``Application Notes'' is
amended--
in Note 1 by striking subparagraph (C) as follows:
``(C) Upward Departure.--In a case involving two or more chemicals
used to manufacture different controlled substances, or to manufacture
one controlled substance by different manufacturing processes, an
upward departure may be warranted if the offense level does not
adequately address the seriousness of the offense.'';
and in Note 4 by striking ``In some cases, the enhancement under
subsection (b)(3) may not adequately account for the seriousness of the
environmental harm or other threat to public health or safety
(including the health or safety of law enforcement and cleanup
personnel). In such cases, an upward departure may be warranted.''.
The Commentary to Sec. 2D1.11 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense level determined under this guideline does not
adequately address the seriousness of the offense because the offense
involved two or more chemicals used to manufacture different controlled
substances, or to manufacture one controlled substance by different
manufacturing processes.
(B) The seriousness of the environmental harm or other threat to
public health or safety (including the health or safety of law
enforcement and cleanup personnel) is understated based upon scope or
impact of the discharge, emission, or release of a hazardous or toxic
substance.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D1.12 captioned ``Application Notes'' is
amended--
by striking Note 1 as follows:
``1. If the offense involved the large-scale manufacture,
distribution, transportation, exportation, or importation of prohibited
flasks, equipment, chemicals, products, or material, an upward
departure may be warranted.'';
by redesignating Notes 2, 3, and 4 as Notes 1, 2, and 3,
respectively;
and in Note 2 (as so redesignated) by striking ``In some cases, the
enhancement under subsection (b)(2) may not adequately account for the
seriousness of the environmental harm or other threat to public health
or safety (including the health or safety of law enforcement and
cleanup personnel). In such cases, an upward departure may be
warranted.''.
The Commentary to Sec. 2D1.12 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense involved the large-scale manufacture, distribution,
transportation, exportation, or importation of prohibited flasks,
equipment, chemicals, products, or material.
(B) The seriousness of the environmental harm or other threat to
public health or safety (including the health or safety of law
enforcement and cleanup personnel) is understated based upon scope or
impact of the discharge, emission, or release of a hazardous or toxic
substance.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D2.1 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. The typical case addressed by this guideline involves possession
of a controlled substance by the defendant for the defendant's own
consumption.
[[Page 89185]]
Where the circumstances establish intended consumption by a person
other than the defendant, an upward departure may be warranted.'';
and by inserting before the Commentary captioned ``Background'' the
following new Commentary:
``Additional Offense Specific Consideration:
1. Intended Consumption by Another.--The typical case addressed by
this guideline involves possession of a controlled substance by the
defendant for the defendant's own consumption. In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
establishing intended consumption by a person other than the defendant
may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2D2.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Numerous Persons.--In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the offense
resulted in the death or serious bodily injury of a large number of
persons may be relevant. See Sec. Sec. 6A1.1; 6A1.3.
2. Risk to Passengers.--This guideline assumes that the offense
involved the operation of a common carrier carrying a number of
passengers (e.g., a bus). In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that no or only a few
passengers were placed at risk may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2D2.3 captioned ``Background'' is amended
by striking ``The offense levels assume that the offense involved the
operation of a common carrier carrying a number of passengers, e.g., a
bus. If no or only a few passengers were placed at risk, a downward
departure may be warranted. If the offense resulted in the death or
serious bodily injury of a large number of persons, such that the
resulting offense level under subsection (b) would not adequately
reflect the seriousness of the offense, an upward departure may be
warranted.''.
The Commentary to Sec. 2E1.1 captioned ``Application Notes'' is
amended--
in Note 1 by striking ``Chapter Three, Parts A, B, C, and D'' and
inserting ``Chapter Three, Parts A, B, C, D, and E'';
and in Note 4 by striking ``If this treatment produces an anomalous
result in a particular case, a guideline departure may be warranted.''.
The Commentary to Sec. 2E1.2 captioned ``Application Notes'' is
amended in Note 1 by striking ``Chapter Three, Parts A, B, C, and D''
and inserting ``Chapter Three, Parts A, B, C, D, and E''.
The Commentary to Sec. 2E3.1 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. Upward Departure Provision.--The base offense levels provided
for animal fighting ventures in subsection (a)(1) and (a)(3) reflect
that an animal fighting venture involves one or more violent fights
between animals and that a defeated animal often is severely injured in
the fight, dies as a result of the fight, or is killed afterward.
Nonetheless, there may be cases in which the offense level determined
under this guideline substantially understates the seriousness of the
offense. In such a case, an upward departure may be warranted. For
example, an upward departure may be warranted if (A) the offense
involved extraordinary cruelty to an animal beyond the violence
inherent in such a venture (such as by killing an animal in a way that
prolongs the suffering of the animal); or (B) the offense involved
animal fighting on an exceptional scale (such as an offense involving
an unusually large number of animals).''.
The Commentary to Sec. 2E3.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Extraordinary Cruelty or Exceptional Scale.--The base offense
levels provided for animal fighting ventures in subsections (a)(1) and
(a)(3) reflect that an animal fighting venture involves one or more
violent fights between animals and that a defeated animal often is
severely injured in the fight, dies as a result of the fight, or is
killed afterward. In determining the appropriate sentence to impose
pursuant to 18 U.S.C. 3553(a), evidence of the following may be
relevant:
(A) The offense involved extraordinary cruelty to an animal beyond
the violence inherent in such a venture (such as by killing an animal
in a way that prolongs the suffering of the animal).
(B) The offense involved animal fighting on an exceptional scale
(such as an offense involving an unusually large number of animals).
See Sec. Sec. 6A1.1; 6A1.3.''.
Section 2E5.1(c)(1) is amended by striking ``Sec. 8C2.4'' and
inserting ``Sec. 9C2.4''.
The Commentary to Sec. 2G1.1 captioned ``Application Notes'' is
amended--
in Note 2 by striking ``Subsection (b)(1) provides an enhancement
for fraud or coercion that occurs as part of the offense and
anticipates no bodily injury. If bodily injury results, an upward
departure may be warranted. See Chapter Five, Part K (Departures)'' and
inserting ``Subsection (b)(1) provides an enhancement for fraud or
coercion that occurs as part of the offense'';
and by striking Note 6 as follows:
``6. Upward Departure Provision.--If the offense involved more than
ten victims, an upward departure may be warranted.''.
The Commentary to Sec. 2G1.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense resulted in bodily injury or involved more than ten
victims may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2G1.3 captioned ``Application Notes'' is
amended by striking Note 7 as follows:
``7. Upward Departure Provision.--If the offense involved more than
ten minors, an upward departure may be warranted.''.
The Commentary to Sec. 2G1.3 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. More than Ten Minors.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense
involved more than ten minors may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2G2.1 captioned ``Application Notes'' is
amended by striking Note 8 as follows:
``8. Upward Departure Provision.--An upward departure may be
warranted if the offense involved more than 10 minors.''.
The Commentary to Sec. 2G2.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. More than Ten Minors.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense
involved more than ten minors may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2G2.2 captioned ``Application Notes'' is
amended--
in Note 6(B)(i) by striking ``If the number of images substantially
underrepresents the number of minors depicted, an upward departure may
be warranted.'';
[[Page 89186]]
in Note 6(B)(ii) by striking ``If the length of the visual
depiction is substantially more than 5 minutes, an upward departure may
be warranted.'';
and by striking Note 9 as follows:
``9. Upward Departure Provision.--If the defendant engaged in the
sexual abuse or exploitation of a minor at any time (whether or not
such abuse or exploitation occurred during the course of the offense or
resulted in a conviction for such conduct) and subsection (b)(5) does
not apply, an upward departure may be warranted. In addition, an upward
departure may be warranted if the defendant received an enhancement
under subsection (b)(5) but that enhancement does not adequately
reflect the seriousness of the sexual abuse or exploitation
involved.''.
The Commentary to Sec. 2G2.2 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The number of images involved in the offense substantially
underrepresents the number of minors depicted.
(B) The length of any video, video-clip, movie, or visual depiction
involved in the offense is substantially more than 5 minutes.
(C) The defendant engaged in the sexual abuse or exploitation of a
minor at any time (whether or not such abuse occurred during the course
of the offense or resulted in a conviction for such conduct) and
subsection (b)(5) did not apply or subsection (b)(5) did apply but the
enhancement does not adequately reflect the seriousness of the abuse or
exploitation.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2H2.1 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If the offense resulted in bodily injury or significant property
damage, or involved corrupting a public official, an upward departure
may be warranted. See Chapter Five, Part K (Departures).'';
and by inserting before the Commentary captioned ``Background'' the
following new Commentary:
``Additional Offense Specific Consideration:
1. Bodily Injury or Significant Property Damage.--In determining
the appropriate sentence to impose pursuant to 18 U.S.C. 3553(a),
evidence that the offense resulted in bodily injury or significant
property damage may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2H3.1 captioned ``Application Notes'' is
amended by striking Note 5 as follows:
``5. Upward Departure.--There may be cases in which the offense
level determined under this guideline substantially understates the
seriousness of the offense. In such a case, an upward departure may be
warranted. The following are examples of cases in which an upward
departure may be warranted:
(A) The offense involved personal information, means of
identification, confidential phone records information, or tax return
information of a substantial number of individuals.
(B) The offense caused or risked substantial non-monetary harm
(e.g., physical harm, psychological harm, or severe emotional trauma,
or resulted in a substantial invasion of privacy interest) to
individuals whose private or protected information was obtained.''.
The Commentary to Sec. 2H3.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense involved personal information, means of
identification, confidential phone records information, or tax return
information of a substantial number of individuals.
(B) The offense caused or risked substantial non-monetary harm
(e.g., physical harm, psychological harm, or severe emotional trauma,
or resulted in a substantial invasion of privacy interest) to
individuals whose private or protected information was obtained.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2H4.1 captioned ``Application Notes'' is
amended by striking Notes 3 and 4 as follows:
``3. If the offense involved the holding of more than ten victims
in a condition of peonage or involuntary servitude, an upward departure
may be warranted.
4. In a case in which the defendant was convicted under 18 U.S.C.
1589(b) or 1593A, a downward departure may be warranted if the
defendant benefitted from participating in a venture described in those
sections without knowing that (i.e., in reckless disregard of the fact
that) the venture had engaged in the criminal activity described in
those sections.''.
The Commentary to Sec. 2H4.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved the holding of more than ten victims in a
condition of peonage or involuntary servitude may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that a defendant convicted under 18 U.S.C. 1589(b) or 1593A benefitted
from participating in a venture described in those sections without
knowing that (i.e., in reckless disregard of the fact that) the venture
had engaged in the criminal activity described in those sections may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2J1.2 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. Upward Departure Considerations.--If a weapon was used, or
bodily injury or significant property damage resulted, an upward
departure may be warranted. See Chapter Five, Part K (Departures). In a
case involving an act of extreme violence (for example, retaliating
against a government witness by throwing acid in the witness's face) or
a particularly serious sex offense, an upward departure would be
warranted.'';
and by redesignating Note 5 as Note 4.
The Commentary to Sec. 2J1.2 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) A weapon was used, or bodily injury or significant property
damage resulted.
(B) The offense involved an act of extreme violence (for example,
retaliating against a government witness by throwing acid in the
witness's face) or a particularly serious sex offense.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2J1.3 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. If a weapon was used, or bodily injury or significant property
damage
[[Page 89187]]
resulted, an upward departure may be warranted. See Chapter Five, Part
K (Departures).'';
and by redesignating Note 5 as Note 4.
The Commentary to Sec. 2J1.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Weapon Used or Bodily Injury or Significant Property Damage
Resulted.--In determining the appropriate sentence to impose pursuant
to 18 U.S.C. 3553(a), evidence that a weapon was used, or bodily injury
or significant property damage resulted, may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2J1.6 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. If a defendant is convicted of both the underlying offense and
the failure to appear count, and the defendant committed additional
acts of obstructive behavior (e.g., perjury) during the investigation,
prosecution, or sentencing of the instant offense, an upward departure
may be warranted. The upward departure will ensure an enhanced sentence
for obstructive conduct for which no adjustment under Sec. 3C1.1
(Obstructing or Impeding the Administration of Justice) is made because
of the operation of the rules set out in Application Note 3.'';
and by redesignating Note 5 as Note 4.
The Commentary to Sec. 2J1.6 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Additional Acts of Obstructive Behavior.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a) in a case
where the defendant is convicted of both the underlying offense and the
failure to appear count, evidence that the defendant committed
additional acts of obstructive behavior (e.g., perjury) during the
investigation, prosecution, or sentencing of the instant offense may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2K1.3 captioned ``Application Notes'' is
amended--
by striking Note 10 as follows:
``10. An upward departure may be warranted in any of the following
circumstances: (A) the quantity of explosive materials significantly
exceeded 1000 pounds; (B) the explosive materials were of a nature more
volatile or dangerous than dynamite or conventional powder explosives
(e.g., plastic explosives); (C) the defendant knowingly distributed
explosive materials to a person under twenty-one years of age; or (D)
the offense posed a substantial risk of death or bodily injury to
multiple individuals.'';
by redesignating Note 11 as Note 10;
and in Note 10 (as so redesignated) by striking ``However, where
the defendant used or possessed a firearm or explosive to facilitate
another firearms or explosives offense (e.g., the defendant used or
possessed a firearm to protect the delivery of an unlawful shipment of
explosives), an upward departure under Sec. 5K2.6 (Weapons and
Dangerous Instrumentalities) may be warranted.''.
The Commentary to Sec. 2K1.3 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) The quantity of explosive materials significantly exceeded 1000
pounds.
(B) The explosive materials were of a nature more volatile or
dangerous than dynamite or conventional powder explosives (e.g.,
plastic explosives).
(C) The defendant knowingly distributed explosive materials to a
person under twenty-one years of age.
(D) The offense posed a substantial risk of death or bodily injury
to multiple individuals.
(E) The defendant used or possessed a firearm or explosive to
facilitate another firearms or explosives offense (e.g., the defendant
used or possessed a firearm to protect the delivery of an unlawful
shipment of explosives).
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2K1.4 captioned ``Application Notes'' is
amended by striking Note 3 as follows:
``3. Upward Departure Provision.--If bodily injury resulted, an
upward departure may be warranted. See Chapter Five, Part K
(Departures).''.
The Commentary to Sec. 2K1.4 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Bodily Injury Resulted.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense
resulted in bodily injury may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
Section 2K2.1(b)(9)(B) is amended by striking ``subsection (b) of
Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category)'' and inserting ``Sec. 4A1.3 (Additional Considerations
Based on Inadequacy of Criminal History Category)''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended--
in Note 7 by striking ``In a case in which the cumulative result of
the increased base offense level and the enhancement under subsection
(b)(3) does not adequately capture the seriousness of the offense
because of the type of destructive device involved, the risk to the
public welfare, or the risk of death or serious bodily injury that the
destructive device created, an upward departure may be warranted. See
also Sec. Sec. 5K2.1 (Death), 5K2.2 (Physical Injury), and 5K2.14
(Public Welfare).'';
by striking Note 11 as follows:
``11. Upward Departure Provisions.--An upward departure may be
warranted in any of the following circumstances: (A) the number of
firearms substantially exceeded 200; (B) the offense involved multiple
National Firearms Act weapons (e.g., machineguns, destructive devices),
military type assault rifles, non-detectable (`plastic') firearms
(defined at 18 U.S.C. 922(p)); (C) the offense involved large
quantities of armor-piercing ammunition (defined at 18 U.S.C.
921(a)(17)(B)); or (D) the offense posed a substantial risk of death or
bodily injury to multiple individuals (see Application Note 7).'';
by redesignating Notes 12, 13, and 14 as Notes 11, 12, and 13,
respectively;
in Note 12 (as so redesignated)--
by striking subparagraph (B) as follows:
``(B) Upward Departure Provision.--If the defendant transported,
transferred, sold, or otherwise disposed of, or purchased or received
with intent to transport, transfer, sell, or otherwise dispose of,
substantially more than 25 firearms, an upward departure may be
warranted.'';
and by redesignating subparagraph (C) as subparagraph (B);
and in Note 13 (as so redesignated)--
by striking subparagraph (D) as follows:
``(D) Upward Departure Provision.--In a case in which the defendant
used or possessed a firearm or explosive to facilitate another firearms
or explosives offense (e.g., the defendant used or possessed a firearm
to protect the delivery of an unlawful shipment of explosives), an
upward departure under Sec. 5K2.6 (Weapons and Dangerous
Instrumentalities) may be warranted.'';
and by redesignating subparagraph (E) as subparagraph (D).
[[Page 89188]]
The Commentary to Sec. 2K2.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense level determined under this guideline does not
adequately capture the seriousness of the offense because of the type
of destructive device involved, the risk to the public welfare, or the
risk of death or serious bodily injury that the destructive device
created.
(B) The offense posed a substantial risk of death or bodily injury
to multiple individuals.
(C) The number of firearms involved in the offense substantially
exceeded 200.
(D) The defendant transported, transferred, sold, or otherwise
disposed of, or purchased or received with intent to transport,
transfer, sell, or otherwise dispose of, substantially more than 25
firearms.
(E) The offense involved multiple National Firearms Act weapons
(e.g., machineguns, destructive devices), military type assault rifles,
or non-detectable (`plastic') firearms (defined at 18 U.S.C. 922(p)).
(F) The offense involved large quantities of armor-piercing
ammunition (defined at 18 U.S.C. 921(a)(17)(B)).
(G) The defendant used or possessed a firearm or explosive to
facilitate another firearms or explosives offense (e.g., the defendant
used or possessed a firearm to protect the delivery of an unlawful
shipment of explosives).
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2K2.4 captioned ``Application Notes'' is
amended--
in Note 2 by striking the following:
``Application of Subsection (b).--
(A) In General.--Sections 924(c) and 929(a) of title 18, United
States Code, provide mandatory minimum terms of imprisonment (e.g., not
less than five years). Except as provided in subsection (c), in a case
in which the defendant is convicted under 18 U.S.C. 924(c) or Sec.
929(a), the guideline sentence is the minimum term required by the
relevant statute. Each of 18 U.S.C. 924(c) and 929(a) also requires
that a term of imprisonment imposed under that section shall run
consecutively to any other term of imprisonment.
(B) Upward Departure Provision.--In a case in which the guideline
sentence is determined under subsection (b), a sentence above the
minimum term required by 18 U.S.C. 924(c) or Sec. 929(a) is an upward
departure from the guideline sentence. A departure may be warranted,
for example, to reflect the seriousness of the defendant's criminal
history in a case in which the defendant is convicted of an 18 U.S.C.
924(c) or Sec. 929(a) offense but is not determined to be a career
offender under Sec. 4B1.1.'';
and inserting the following:
``Application of Subsection (b).--Sections 924(c) and 929(a) of
title 18, United States Code, provide mandatory minimum terms of
imprisonment (e.g., not less than five years). Except as provided in
subsection (c), in a case in which the defendant is convicted under 18
U.S.C. 924(c) or Sec. 929(a), the guideline sentence is the minimum
term required by the relevant statute. Each of 18 U.S.C. 924(c) and
929(a) also requires that a term of imprisonment imposed under that
section shall run consecutively to any other term of imprisonment.'';
and in Note 4 by striking the following:
``In a few cases in which the defendant is determined not to be a
career offender, the offense level for the underlying offense
determined under the preceding paragraphs may result in a guideline
range that, when combined with the mandatory consecutive sentence under
18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a), produces a total
maximum penalty that is less than the maximum of the guideline range
that would have resulted had there not been a count of conviction under
18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a) (i.e., the guideline
range that would have resulted if the enhancements for possession, use,
or discharge of a firearm had been applied). In such a case, an upward
departure may be warranted so that the conviction under 18 U.S.C.
844(h), Sec. 924(c), or Sec. 929(a) does not result in a decrease in
the total punishment. An upward departure under this paragraph shall
not exceed the maximum of the guideline range that would have resulted
had there not been a count of conviction under 18 U.S.C. 844(h), Sec.
924(c), or Sec. 929(a).''.
The Commentary to Sec. 2K2.4 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Seriousness of the Offense.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that the
minimum term required by 18 U.S.C. 924(c) or Sec. 929(a) understates
the seriousness of the offense involved (e.g., the underlying offense
determined under this guideline results in a guideline range that, when
combined with the mandatory consecutive sentence under 18 U.S.C.
844(h), Sec. 924(c), or Sec. 929(a), produces a total maximum penalty
that is less than the maximum of the guideline range that would have
resulted had otherwise applicable Chapter Two enhancements for
possession, use, or discharge of a firearm been applied) may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2K2.5 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Where the firearm was brandished, discharged, or otherwise
used, in a federal facility, federal court facility, or school zone,
and the cross reference from subsection (c)(1) does not apply, an
upward departure may be warranted.''.
The Commentary to Sec. 2K2.5 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Firearm Brandished, Discharged, or Otherwise Used.--In
determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a) in a case where the cross reference from subsection (c)(1) does
not apply, evidence that the firearm was brandished, discharged, or
otherwise used, in a federal facility, federal court facility, or
school zone may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2L1.1 captioned ``Application Notes'' is
amended--
in Note 4 by striking ``Application Note 1(M) of Sec. 1B1.1'' and
inserting ``Application Note 1(L) of Sec. 1B1.1'';
and by striking Note 7 as follows:
``7. Upward Departure Provisions.--An upward departure may be
warranted in any of the following cases:
(A) The defendant smuggled, transported, or harbored an alien
knowing that the alien intended to enter the United States to engage in
subversive activity, drug trafficking, or other serious criminal
behavior.
(B) The defendant smuggled, transported, or harbored an alien the
defendant knew was inadmissible for reasons of security and related
grounds, as set forth under 8 U.S.C. 1182(a)(3).
(C) The offense involved substantially more than 100 aliens.''.
The Commentary to Sec. 2L1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
[[Page 89189]]
that the offense involved any of the following may be relevant:
(A) The defendant smuggled, transported, or harbored an alien
knowing that the alien intended to enter the United States to engage in
subversive activity, drug trafficking, or other serious criminal
behavior.
(B) The defendant smuggled, transported, or harbored an alien the
defendant knew was inadmissible for reasons of security and related
grounds, as set forth under 8 U.S.C. 1182(a)(3).
(C) The offense involved substantially more than 100 aliens.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2L1.2 captioned ``Application Notes'' is
amended by striking Notes 6, 7, and 8 as follows:
``6. Departure Based on Seriousness of a Prior Offense.--There may
be cases in which the offense level provided by an enhancement in
subsection (b)(2) or (b)(3) substantially understates or overstates the
seriousness of the conduct underlying the prior offense, because (A)
the length of the sentence imposed does not reflect the seriousness of
the prior offense; (B) the prior conviction is too remote to receive
criminal history points (see Sec. 4A1.2(e)); or (C) the time actually
served was substantially less than the length of the sentence imposed
for the prior offense. In such a case, a departure may be warranted.
7. Departure Based on Time Served in State Custody.--In a case in
which the defendant is located by immigration authorities while the
defendant is serving time in state custody, whether pre- or post-
conviction, for a state offense, the time served is not covered by an
adjustment under Sec. 5G1.3(b) and, accordingly, is not covered by a
departure under Sec. 5K2.23 (Discharged Terms of Imprisonment). See
Sec. 5G1.3(a). In such a case, the court may consider whether a
departure is appropriate to reflect all or part of the time served in
state custody, from the time immigration authorities locate the
defendant until the service of the federal sentence commences, that the
court determines will not be credited to the federal sentence by the
Bureau of Prisons. Any such departure should be fashioned to achieve a
reasonable punishment for the instant offense.
Such a departure should be considered only in cases where the
departure is not likely to increase the risk to the public from further
crimes of the defendant. In determining whether such a departure is
appropriate, the court should consider, among other things, (A) whether
the defendant engaged in additional criminal activity after illegally
reentering the United States; (B) the seriousness of any such
additional criminal activity, including (1) whether the defendant used
violence or credible threats of violence or possessed a firearm or
other dangerous weapon (or induced another person to do so) in
connection with the criminal activity, (2) whether the criminal
activity resulted in death or serious bodily injury to any person, and
(3) whether the defendant was an organizer, leader, manager, or
supervisor of others in the criminal activity; and (C) the seriousness
of the defendant's other criminal history.
8. Departure Based on Cultural Assimilation.--There may be cases in
which a downward departure may be appropriate on the basis of cultural
assimilation. Such a departure should be considered only in cases where
(A) the defendant formed cultural ties primarily with the United States
from having resided continuously in the United States from childhood,
(B) those cultural ties provided the primary motivation for the
defendant's illegal reentry or continued presence in the United States,
and (C) such a departure is not likely to increase the risk to the
public from further crimes of the defendant.
In determining whether such a departure is appropriate, the court
should consider, among other things, (1) the age in childhood at which
the defendant began residing continuously in the United States, (2)
whether and for how long the defendant attended school in the United
States, (3) the duration of the defendant's continued residence in the
United States, (4) the duration of the defendant's presence outside the
United States, (5) the nature and extent of the defendant's familial
and cultural ties inside the United States, and the nature and extent
of such ties outside the United States, (6) the seriousness of the
defendant's criminal history, and (7) whether the defendant engaged in
additional criminal activity after illegally reentering the United
States.''.
The Commentary to Sec. 2L1.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense level determined under this guideline substantially
understates the seriousness of the conduct underlying the prior offense
may be relevant because of any of the following reasons:
(A) The length of the sentence imposed does not reflect the
seriousness of the prior offense.
(B) The prior conviction is too remote to receive criminal history
points (see Sec. 4A1.2(e)).
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense level determined under this guideline overstates
the seriousness of the conduct underlying the prior offense because the
time actually served was substantially less than the length of the
sentence imposed for the prior offense.
(B) The defendant is located by immigration authorities while the
defendant is serving time in state custody, whether pre- or post-
conviction, for a state offense and the time served is not covered by
an adjustment under Sec. 5G1.3(b). The court may also consider, among
other things: (i) whether the defendant engaged in additional criminal
activity after illegally reentering the United States; (ii) the
seriousness of any such additional criminal activity, including (I)
whether the defendant used violence or credible threats of violence or
possessed a firearm or other dangerous weapon (or induced another
person to do so) in connection with the criminal activity, (II) whether
the criminal activity resulted in death or serious bodily injury to any
person, and (III) whether the defendant was an organizer, leader,
manager, or supervisor of others in the criminal activity; and (iii)
the seriousness of the defendant's other criminal history.
(C) The defendant formed cultural ties primarily with the United
States from having resided continuously in the United States from
childhood, and those cultural ties provided the primary motivation for
the defendant's illegal reentry or continued presence in the United
States. The court may also consider, among other things: (i) the age in
childhood at which the defendant began residing continuously in the
United States; (ii) whether and for how long the defendant attended
school in the United States; (iii) the duration of the defendant's
continued residence in the United States; (iv) the duration of the
defendant's presence outside the United States; (v) the nature and
extent of the defendant's familial and cultural ties inside the United
States, and the nature and extent of such ties outside the United
States; (vi) the seriousness of the defendant's criminal history; and
(vii) whether the defendant engaged in
[[Page 89190]]
additional criminal activity after illegally reentering the United
States.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2L2.1 captioned ``Application Notes'' is
amended--
by striking Note 3 as follows:
``3. Subsection (b)(3) provides an enhancement if the defendant
knew, believed, or had reason to believe that a passport or visa was to
be used to facilitate the commission of a felony offense, other than an
offense involving violation of the immigration laws. If the defendant
knew, believed, or had reason to believe that the felony offense to be
committed was of an especially serious type, an upward departure may be
warranted.'';
by redesignating Note 4 as Note 3;
and by striking Note 5 as follows:
``5. If the offense involved substantially more than 100 documents,
an upward departure may be warranted.''.
The Commentary to Sec. 2L2.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) The defendant knew, believed, or had reason to believe that a
passport or visa was to be used to facilitate the commission of a
felony offense, other than an offense involving violation of the
immigration laws, that was of an especially serious type.
(B) The offense involved substantially more than 100 documents.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2L2.2 captioned ``Application Notes'' is
amended by striking Note 6 as follows:
``6. Upward Departure Provision.--If the defendant fraudulently
obtained or used a United States passport for the purpose of entering
the United States to engage in terrorist activity, an upward departure
may be warranted. See Application Note 4 of the Commentary to Sec.
3A1.4 (Terrorism).''.
The Commentary to Sec. 2L2.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Entering the United States with Purpose to Engage in Terrorist
Activity.--In determining the appropriate sentence to impose pursuant
to 18 U.S.C. 3553(a), evidence that the defendant fraudulently obtained
or used a United States passport for the purpose of entering the United
States to engage in terrorist activity may be relevant. See Sec. Sec.
6A1.1; 6A1.3.''.
The Commentary to Sec. 2M3.1 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Notes 2 and 3 as follows:
``2. The Commission has set the base offense level in this subpart
on the assumption that the information at issue bears a significant
relation to the nation's security, and that the revelation will
significantly and adversely affect security interests. When revelation
is likely to cause little or no harm, a downward departure may be
warranted. See Chapter Five, Part K (Departures).
3. The court may depart from the guidelines upon representation by
the President or his duly authorized designee that the imposition of a
sanction other than authorized by the guideline is necessary to protect
national security or further the objectives of the nation's foreign
policy.''.
The Commentary to Sec. 2M3.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a),
representation by the President or his duly authorized designee that
the imposition of a sanction other than authorized by the guideline is
necessary to protect national security or further the objectives of the
nation's foreign policy may be relevant. See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--The Commission has
set the base offense level in this subpart on the assumption that the
information at issue bears a significant relation to the nation's
security, and that the revelation will significantly and adversely
affect security interests. In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the revelation is
likely to cause little or no harm may be relevant. See Sec. Sec.
6A1.1; 6A1.3.''.
The Commentary to Sec. 2M4.1 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. Subsection (b)(1) does not distinguish between whether the
offense was committed in peacetime or during time of war or armed
conflict. If the offense was committed when persons were being inducted
for compulsory military service during time of war or armed conflict,
an upward departure may be warranted.'';
and by inserting at the end the following new Commentary:
``Additional Offense Specific Consideration:
1. War or Armed Conflict.--This guideline does not distinguish
between whether the offense was committed in peacetime or during time
of war or armed conflict. In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the offense was
committed when persons were being inducted for compulsory military
service during time of war or armed conflict may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2M5.1 captioned ``Application Notes'' is
amended--
by striking Notes 1 and 2 as follows:
``1. In the case of a violation during time of war or armed
conflict, an upward departure may be warranted.
2. In determining the sentence within the applicable guideline
range, the court may consider the degree to which the violation
threatened a security interest of the United States, the volume of
commerce involved, the extent of planning or sophistication, and
whether there were multiple occurrences. Where such factors are present
in an extreme form, a departure from the guidelines may be warranted.
See Chapter Five, Part K (Departures).'';
and by redesignating Notes 3 and 4 as Notes 1 and 2.
The Commentary to Sec. 2M5.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. War or Armed Conflict.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense was
committed during time of war or armed conflict may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
2. Additional Aggravating Factors Relating to the Offense.--In
determining the sentence within the applicable guideline range, the
degree to which the violation threatened a security interest of the
United States, the volume of commerce involved, the extent of planning
or sophistication, and whether there were multiple occurrences may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''
The Commentary to Sec. 2M5.2 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
[[Page 89191]]
in Note 1 by striking the following:
``The base offense level assumes that the offense conduct was
harmful or had the potential to be harmful to a security or foreign
policy interest of the United States. In the unusual case where the
offense conduct posed no such risk, a downward departure may be
warranted. In the case of a violation during time of war or armed
conflict, an upward departure may be warranted. See Chapter Five, Part
K (Departures).'';
and by striking Note 2 as follows:
``2. In determining the sentence within the applicable guideline
range, the court may consider the degree to which the violation
threatened a security or foreign policy interest of the United States,
the volume of commerce involved, the extent of planning or
sophistication, and whether there were multiple occurrences. Where such
factors are present in an extreme form, a departure from the guidelines
may be warranted.''.
The Commentary to Sec. 2M5.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
sentence within the applicable guideline range, the court may consider
the degree to which the violation threatened a security or foreign
policy interest of the United States, the volume of commerce involved,
the extent of planning or sophistication, and whether there were
multiple occurrences. Nonetheless, in determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that such
factors are present in an extreme form may be relevant. See Sec. Sec.
6A1.1; 6A1.3.
2. War or Armed Conflict.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense was
committed during time of war or armed conflict may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
3. Mitigating Factors Relating to the Offense.--This guideline
assumes that the offense conduct was harmful or had the potential to be
harmful to a security or foreign policy interest of the United States.
In determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense conduct posed no such risk may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2M5.3 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. Departure Provisions.--
(A) In General.--In determining the sentence within the applicable
guideline range, the court may consider the degree to which the
violation threatened a security interest of the United States, the
volume of the funds or other material support or resources involved,
the extent of planning or sophistication, and whether there were
multiple occurrences. In a case in which such factors are present in an
extreme form, a departure from the guidelines may be warranted. See
Chapter Five, Part K (Departures).
(B) War or Armed Conflict.--In the case of a violation during time
of war or armed conflict, an upward departure may be warranted.''.
The Commentary to Sec. 2M5.3 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
sentence within the applicable guideline range, the court may consider
the degree to which the violation threatened a security interest of the
United States, the volume of the funds or other material support or
resources involved, the extent of planning or sophistication, and
whether there were multiple occurrences. Nonetheless, in determining
the appropriate sentence to impose pursuant to 18 U.S.C. 3553(a),
evidence that such factors are present in an extreme form may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.
2. War or Armed Conflict.--In determining the appropriate sentence
to impose pursuant to 18 U.S.C. 3553(a), evidence that the offense was
committed during time of war or armed conflict may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2N1.1 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
by striking Note 1 as follows:
``1. The base offense level reflects that this offense typically
poses a risk of death or serious bodily injury to one or more victims;
or causes, or is intended to cause, bodily injury. Where the offense
posed a substantial risk of death or serious bodily injury to numerous
victims, or caused extreme psychological injury or substantial property
damage or monetary loss, an upward departure may be warranted. In the
unusual case in which the offense did not cause a risk of death or
serious bodily injury, and neither caused nor was intended to cause
bodily injury, a downward departure may be warranted.'';
and by redesignating Note 2 as Note 1.
The Commentary to Sec. 2N1.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense posed a substantial risk of death or serious bodily
injury to numerous victims, or caused extreme psychological injury or
substantial property damage or monetary loss may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--This guideline
reflects that this offense typically poses a risk of death or serious
bodily injury to one or more victims; or causes, or is intended to
cause, bodily injury. In determining the appropriate sentence to impose
pursuant to 18 U.S.C. 3553(a), evidence that the offense did not cause
a risk of death or serious bodily injury, and neither caused nor was
intended to cause bodily injury, may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2N1.2 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If death or bodily injury, extreme psychological injury, or
substantial property damage or monetary loss resulted, an upward
departure may be warranted. See Chapter Five, Part K (Departures).'';
and by inserting at the end the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense resulted in death or bodily injury, extreme
psychological injury, or substantial property damage or monetary loss
may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2N1.3 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If death or bodily injury, extreme psychological injury, or
substantial property damage or monetary loss resulted, an upward
departure may be warranted. See Chapter Five, Part K (Departures).'';
and by inserting at the end the following new Commentary:
[[Page 89192]]
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense resulted in death or bodily injury, extreme
psychological injury, or substantial property damage or monetary loss
may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2N2.1 captioned ``Application Notes'' is
amended--
by striking Note 1 as follows:
``1. This guideline assumes a regulatory offense that involved
knowing or reckless conduct. Where only negligence was involved, a
downward departure may be warranted. See Chapter Five, Part K
(Departures).'';
by redesignating Note 2 as Note 1;
by striking Note 3 as follows:
``3. Upward Departure Provisions.--The following are circumstances
in which an upward departure may be warranted:
(A) The offense created a substantial risk of bodily injury or
death; or bodily injury, death, extreme psychological injury, property
damage, or monetary loss resulted from the offense. See Chapter Five,
Part K (Departures).
(B) The defendant was convicted under 7 U.S.C. 7734.'';
and by redesignating Note 4 as Note 2.
The Commentary to Sec. 2N2.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense created a substantial risk of bodily injury or
death; or bodily injury, death, extreme psychological injury, property
damage, or monetary loss resulted from the offense.
(B) The defendant was convicted under 7 U.S.C. 7734.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--This guideline
assumes a regulatory offense that involved knowing or reckless conduct.
In determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense only involved negligence may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2P1.1 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. If death or bodily injury resulted, an upward departure may be
warranted. See Chapter Five, Part K (Departures).'';
and by redesignating Notes 5 and 6 as Notes 4 and 5, respectively.
The Commentary to Sec. 2P1.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Death or Bodily Injury Resulted.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that the
offense resulted in death or bodily injury may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2P1.3 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If death or bodily injury resulted, an upward departure may be
warranted. See Chapter Five, Part K (Departures).'';
and by inserting at the end the following new Commentary:
``Additional Offense Specific Consideration:
1. Death or Bodily Injury Resulted.--In determining the appropriate
sentence to impose pursuant to 18 U.S.C. 3553(a), evidence that the
offense resulted in death or bodily injury may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2Q1.1 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If death or serious bodily injury resulted, an upward departure
may be warranted. See Chapter Five, Part K (Departures).'';
and by inserting before the Commentary captioned ``Background'' the
following new Commentary:
``Additional Offense Specific Consideration:
1. Death or Serious Bodily Injury Resulted.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense resulted in death or serious bodily injury may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2Q1.2 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. Except when the adjustment in subsection (b)(6) for simple
recordkeeping offenses applies, this section assumes knowing conduct.
In cases involving negligent conduct, a downward departure may be
warranted.'';
redesignating Notes 5 through 8 as Notes 4 through 7, respectively;
in Note 4 (as so redesignated) by striking ``Depending upon the
harm resulting from the emission, release or discharge, the quantity
and nature of the substance or pollutant, the duration of the offense
and the risk associated with the violation, a departure of up to two
levels in either direction from the offense levels prescribed in these
specific offense characteristics may be appropriate.'';
in Note 5 (as so redesignated) by striking ``Depending upon the
nature of the risk created and the number of people placed at risk, a
departure of up to three levels upward or downward may be warranted. If
death or serious bodily injury results, a departure would be called
for. See Chapter Five, Part K (Departures).'';
in Note 6 (as so redesignated) by striking ``Depending upon the
nature of the contamination involved, a departure of up to two levels
either upward or downward could be warranted.'';
in Note 7 (as so redesignated) by striking ``Depending upon the
nature and quantity of the substance involved and the risk associated
with the offense, a departure of up to two levels either upward or
downward may be warranted.'';
and by striking Note 9 as follows:
``9. Other Upward Departure Provisions.--
(A) Civil Adjudications and Failure to Comply with Administrative
Order.--In a case in which the defendant has previously engaged in
similar misconduct established by a civil adjudication or has failed to
comply with an administrative order, an upward departure may be
warranted. See Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category).
(B) Extreme Psychological Injury.--If the offense caused extreme
psychological injury, an upward departure may be warranted. See Sec.
5K2.3 (Extreme Psychological Injury).
(C) Terrorism.--If the offense was calculated to influence or
affect the conduct of government by intimidation or coercion, or to
retaliate against government conduct, an upward departure would be
warranted. See Application Note 4 of the Commentary to Sec. 3A1.4
(Terrorism).''.
The Commentary to Sec. 2Q1.2 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense resulted in death or serious bodily injury.
[[Page 89193]]
(B) The defendant has previously engaged in similar misconduct
established by a civil adjudication or has failed to comply with an
administrative order.
(C) The offense caused extreme psychological injury.
(D) The offense was calculated to influence or affect the conduct
of government by intimidation or coercion, or to retaliate against
government conduct.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--Except when the
adjustment in subsection (b)(6) for simple recordkeeping offenses
applies, this guideline assumes knowing conduct. In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense only involved negligent conduct may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.
3. Additional Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) The harm resulting from the emission, release or discharge into
the environment, the quantity and nature of the substance or pollutant,
the duration of the offense and the risk associated with the violation.
(B) The nature of the risk created, and the number of people placed
at risk.
(C) The nature and quantity of the substance or contamination
involved in, and the risk associated with, the offense.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2Q1.3 captioned ``Application Notes'' is
amended--
by striking Note 3 as follows:
``3. The specific offense characteristics in this section assume
knowing conduct. In cases involving negligent conduct, a downward
departure may be warranted.'';
by redesignating Notes 4 through 7 as Notes 3 through 6;
in Note 3 (as so redesignated) by striking ``Depending upon the
harm resulting from the emission, release or discharge, the quantity
and nature of the substance or pollutant, the duration of the offense
and the risk associated with the violation, a departure of up to two
levels in either direction from that prescribed in these specific
offense characteristics may be appropriate.'';
in Note 4 (as so redesignated) by striking ``Depending upon the
nature of the risk created and the number of people placed at risk, a
departure of up to three levels upward or downward may be warranted. If
death or serious bodily injury results, a departure would be called
for. See Chapter Five, Part K (Departures).'';
in Note 5 (as so redesignated) by striking ``Depending upon the
nature of the contamination involved, a departure of up to two levels
in either direction could be warranted.'';
in Note 6 (as so redesignated) by striking ``Depending upon the
nature and quantity of the substance involved and the risk associated
with the offense, a departure of up to two levels in either direction
may be warranted.'';
and by striking Note 8 as follows:
``8. Where a defendant has previously engaged in similar misconduct
established by a civil adjudication or has failed to comply with an
administrative order, an upward departure may be warranted. See Sec.
4A1.3 (Departures Based on Inadequacy of Criminal History Category
(Policy Statement)).''.
The Commentary to Sec. 2Q1.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The offense resulted in death or serious bodily injury.
(B) The defendant has previously engaged in similar misconduct
established by a civil adjudication or has failed to comply with an
administrative order.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--This guideline
assumes knowing conduct. In determining the appropriate sentence to
impose pursuant to 18 U.S.C. 3553(a), evidence that the offense only
involved negligent conduct may be relevant. See Sec. Sec. 6A1.1;
6A1.3.
3. Additional Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) The harm resulting from the emission, release or discharge into
the environment, the quantity and nature of the substance or pollutant,
the duration of the offense and the risk associated with the violation.
(B) The nature of the risk created, and the number of people placed
at risk.
(C) The nature and quantity of the substance or contamination
involved in, and the risk associated with, the offense.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2Q1.4 captioned ``Application Notes'' is
amended by striking Note 3 as follows:
``3. Departure Provisions.--
(A) Downward Departure Provision.--The base offense level in
subsection (a)(1) reflects that offenses covered by that subsection
typically pose a risk of death or serious bodily injury to one or more
victims, or cause, or are intended to cause, bodily injury. In the
unusual case in which such an offense did not cause a risk of death or
serious bodily injury, and neither caused nor was intended to cause
bodily injury, a downward departure may be warranted.
(B) Upward Departure Provisions.--If the offense caused extreme
psychological injury, or caused substantial property damage or monetary
loss, an upward departure may be warranted.
If the offense was calculated to influence or affect the conduct of
government by intimidation or coercion, or to retaliate against
government conduct, an upward departure would be warranted. See
Application Note 4 of Sec. 3A1.4 (Terrorism).''.
The Commentary to Sec. 2Q1.4 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Considerations:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved any of the following may be relevant:
(A) The offense caused extreme psychological injury or caused
substantial property damage or monetary loss.
(B) The offense was calculated to influence or affect the conduct
of government by intimidation or coercion, or to retaliate against
government conduct.
See Sec. Sec. 6A1.1; 6A1.3.
2. Mitigating Factors Relating to the Offense.--The base offense
level in subsection (a)(1) reflects that offenses covered by that
subsection typically pose a risk of death or serious bodily injury to
one or more victims, or cause, or are intended to cause, bodily injury.
In determining the appropriate sentence to impose pursuant to 18 U.S.C.
3553(a), evidence that the offense did not cause a risk of death or
serious bodily injury, and neither caused nor was intended to cause
bodily injury, may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2Q2.1 captioned ``Application Notes'' is
amended--
by striking Note 5 as follows:
``5. If the offense involved the destruction of a substantial
quantity of
[[Page 89194]]
fish, wildlife, or plants, and the seriousness of the offense is not
adequately measured by the market value, an upward departure may be
warranted.'';
and by redesignating Note 6 as Note 5.
The Commentary to Sec. 2Q2.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense involved the destruction of a substantial quantity of
fish, wildlife, or plants, and the seriousness of the offense is not
adequately measured by the market value, may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
Section 2R1.1(d)(1) is amended by striking ``Sec. 8C2.4'' and
inserting ``Sec. 9C2.4''.
Section 2R1.1(d)(2) is amended by striking ``Sec. 8C2.6'' and
inserting ``Sec. 9C2.6''.
The Commentary to Sec. 2R1.1 captioned ``Application Notes'' is
amended--
in Note 3 by striking ``Chapter Eight'' and inserting ``Chapter
Nine''; and by striking ``Sec. 8C2.4(a)(3)'' and inserting ``Sec.
9C2.4(a)(3)'';
and by striking Note 7 as follows:
``7. In the case of a defendant with previous antitrust
convictions, a sentence at the maximum of the applicable guideline
range, or an upward departure, may be warranted. See Sec. 4A1.3
(Departures Based on Inadequacy of Criminal History Category (Policy
Statement)).''.
The Commentary to Sec. 2R1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Defendant with Previous Antitrust Convictions.--In determining
the appropriate sentence to impose pursuant to 18 U.S.C. 3553(a),
evidence that the defendant had prior antitrust convictions may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2R1.1 captioned ``Background'' is amended
by striking ``Chapter Eight'' and inserting ``Chapter Nine''.
The Commentary to Sec. 2T1.1 captioned ``Application Notes'' is
amended in Note 3 by striking ``Sec. 6A1.3'' both places such term
appears and inserting ``Sec. 7A1.3''.
The Commentary to Sec. 2T1.8 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. If the defendant was attempting to evade, rather than merely
delay, payment of taxes, an upward departure may be warranted.'';
and by inserting before the Commentary captioned ``Background'' the
following new Commentary:
``Additional Offense Specific Consideration:
1. Attempt to Evade Payment of Taxes.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the defendant was attempting to evade, rather than merely delay,
payment of taxes may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2T2.1 captioned ``Application Notes'' is
amended--
in the caption by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. Offense conduct directed at more than tax evasion (e.g., theft
or fraud) may warrant an upward departure.''.
The Commentary to Sec. 2T2.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the offense conduct was directed at more than tax evasion (e.g.,
theft or fraud) may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
Chapter Two, Part T, Subpart 3 is amended in the Introductory
Commentary by striking ``for departing upward if there is not another
more specific applicable guideline'' and inserting ``for imposing a
sentence that is greater than the otherwise applicable guideline range
pursuant to Chapter Six, Part A (Consideration of Factors in 18 U.S.C.
3553(a))''.
The Commentary to Sec. 2T3.1 captioned ``Application Notes'' is
amended in Note 2 by striking ``Especially when such items are harmful
or protective quotas are in effect, the duties evaded on such items may
not adequately reflect the harm to society or protected industries
resulting from their importation. In such instances, an upward
departure may be warranted.''.
The Commentary to Sec. 2T3.1 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
that the duties evaded on the items involved in the offense do not
adequately reflect the harm to society or protected industries
resulting from their importation may be relevant. See Sec. Sec. 6A1.1;
6A1.3.''.
The Commentary to Sec. 2X5.1 captioned ``Application Notes'' is
amended--
in Note 1 by inserting after ``include:'' the following: ``Sec.
3F1.1 (Early Disposition Programs (Policy Statement));''; by striking
``Chapter Five, Part H (Specific Offender Characteristics); Chapter
Five, Part J (Relief from Disability); Chapter Five, Part K
(Departures); Chapter Six, Part A (Sentencing Procedures); Chapter Six,
Part B (Plea Agreements)'' and inserting ``Chapter Five, Part J (Relief
from Disability); Chapter Five, Part K (Assistance to Authorities);
Chapter Seven, Part A (Sentencing Procedures); Chapter Seven, Part B
(Plea Agreements)'';
and in Note 2 by striking the following:
``2. Convictions under 18 U.S.C. 1841(a)(1).--
(A) In General.--If the defendant is convicted under 18 U.S.C.
1841(a)(1), the Chapter Two offense guideline that applies is the
guideline that covers the conduct the defendant is convicted of having
engaged in, i.e., the conduct of which the defendant is convicted that
violates a specific provision listed in 18 U.S.C. 1841(b) and that
results in the death of, or bodily injury to, a child in utero at the
time of the offense of conviction. For example, if the defendant
committed aggravated sexual abuse against the unborn child's mother and
it caused the death of the child in utero, the applicable Chapter Two
guideline would be Sec. 2A3.1 (Criminal Sexual Abuse; Attempt to
Commit Criminal Sexual Abuse).
(B) Upward Departure Provision.--For offenses under 18 U.S.C.
1841(a)(1), an upward departure may be warranted if the offense level
under the applicable guideline does not adequately account for the
death of, or serious bodily injury to, the child in utero.'';
and inserting the following:
``Convictions under 18 U.S.C. 1841(a)(1).--If the defendant is
convicted under 18 U.S.C. 1841(a)(1), the Chapter Two offense guideline
that applies is the guideline that covers the conduct the defendant is
convicted of having engaged in, i.e., the conduct of which the
defendant is convicted that violates a specific provision listed in 18
U.S.C. 1841(b) and that results in the death of, or bodily injury to, a
child in utero at the time of the offense of
[[Page 89195]]
conviction. For example, if the defendant committed aggravated sexual
abuse against the unborn child's mother and it caused the death of the
child in utero, the applicable Chapter Two guideline would be Sec.
2A3.1 (Criminal Sexual Abuse; Attempt to Commit Criminal Sexual
Abuse).''.
The Commentary to Sec. 2X5.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a) for
offenses under 18 U.S.C. 1841(a)(1), evidence that the offense level
under the applicable guideline does not adequately account for the
death of, or serious bodily injury to, the child in utero may be
relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 2X7.2 is amended--
by striking the Commentary captioned ``Application Note'' in its
entirety as follows:
``Application Note:
1. Upward Departure Provisions.--An upward departure may be
warranted in any of the following cases:
(A) The defendant engaged in a pattern of activity involving use of
a submersible vessel or semi-submersible vessel described in 18 U.S.C.
2285 to facilitate other felonies.
(B) The offense involved use of the vessel as part of an ongoing
criminal organization or enterprise.'';
and by inserting before the Commentary captioned ``Background'' the
following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), evidence
of the following may be relevant:
(A) The defendant engaged in a pattern of activity involving use of
a submersible vessel or semi-submersible vessel described in 18 U.S.C.
2285 to facilitate other felonies.
(B) The offense involved use of the vessel as part of an ongoing
criminal organization or enterprise.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3A1.1 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. If an enhancement from subsection (b) applies and the
defendant's criminal history includes a prior sentence for an offense
that involved the selection of a vulnerable victim, an upward departure
may be warranted.''; and by redesignating Note 5 as Note 4.
The Commentary to Sec. 3A1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Consideration:
1. Criminal History Involving Vulnerable Victims.--In determining
the appropriate sentence to impose under 18 U.S.C. 3553(a), a prior
offense that also involved the selection of a vulnerable victim may be
relevant in a case in which an enhancement from subsection (b) applies.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3A1.2 captioned ``Application Notes'' is
amended by striking Note 5 as follows:
``5. Upward Departure Provision.--If the official victim is an
exceptionally high-level official, such as the President or the Vice
President of the United States, an upward departure may be warranted
due to the potential disruption of the governmental function.''.
The Commentary to Sec. 3A1.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Exceptionally High-Level Official.--In determining the
appropriate sentence to impose under 18 U.S.C. 3553(a), evidence that
the official victim is an exceptionally high-level official, such as
the President or the Vice President of the United States, may be
relevant due to the potential disruption of the governmental function.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3A1.3 captioned ``Application Notes'' is
amended by striking Note 3 as follows:
``3. If the restraint was sufficiently egregious, an upward
departure may be warranted. See Sec. 5K2.4 (Abduction or Unlawful
Restraint).''.
The Commentary to Sec. 3A1.3 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Sufficiently Egregious Restraint.--In determining the
appropriate sentence to impose under 18 U.S.C. 3553(a), evidence that
the restraint was sufficiently egregious may be relevant. See
Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3A1.4 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Upward Departure Provision.--By the terms of the directive to
the Commission in section 730 of the Antiterrorism and Effective Death
Penalty Act of 1996, the adjustment provided by this guideline applies
only to federal crimes of terrorism. However, there may be cases in
which (A) the offense was calculated to influence or affect the conduct
of government by intimidation or coercion, or to retaliate against
government conduct but the offense involved, or was intended to
promote, an offense other than one of the offenses specifically
enumerated in 18 U.S.C. 2332b(g)(5)(B); or (B) the offense involved, or
was intended to promote, one of the offenses specifically enumerated in
18 U.S.C. 2332b(g)(5)(B), but the terrorist motive was to intimidate or
coerce a civilian population, rather than to influence or affect the
conduct of government by intimidation or coercion, or to retaliate
against government conduct. In such cases an upward departure would be
warranted, except that the sentence resulting from such a departure may
not exceed the top of the guideline range that would have resulted if
the adjustment under this guideline had been applied.''.
The Commentary to Sec. 3A1.4 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--By the terms of
the directive to the Commission in section 730 of the Antiterrorism and
Effective Death Penalty Act of 1996, the adjustment provided by this
guideline applies only to federal crimes of terrorism. However, in
determining the appropriate sentence to impose under 18 U.S.C. 3553(a),
evidence that the offense was calculated to influence or affect the
conduct of government by intimidation or coercion, to retaliate against
government conduct or to intimidate or coerce a civilian population may
be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3B1.1 captioned ``Application Notes'' is
amended in Note 2 by striking ``An upward departure may be warranted,
however, in the case of a defendant who did not organize, lead, manage,
or supervise another participant, but who nevertheless exercised
management responsibility over the property, assets, or activities of a
criminal organization.''.
The Commentary to Sec. 3B1.1 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Management of Property, Assets, or Activities.--In determining
the appropriate sentence to impose under 18 U.S.C. 3553(a), evidence
that the defendant exercised management
[[Page 89196]]
responsibility over the property, assets, or activities of a criminal
organization may be relevant, regardless of whether this adjustment
applied. See Sec. Sec. 6A1.1; 6A1.2.''.
The Commentary to Sec. 3B1.4 captioned ``Application Notes'' is
amended by striking Note 3 as follows:
``3. If the defendant used or attempted to use more than one person
less than eighteen years of age, an upward departure may be
warranted.''.
The Commentary to Sec. 3B1.4 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Using Multiple Minors.--In determining the appropriate sentence
to impose under 18 U.S.C. 3553(a), evidence that the defendant used or
attempted to use more than one person less than eighteen years of age
may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3C1.2 captioned ``Application Notes'' is
amended--
in Note 2 by striking ``However, where a higher degree of
culpability was involved, an upward departure above the 2-level
increase provided in this section may be warranted.'';
and by striking Note 6 as follows:
``6. If death or bodily injury results or the conduct posed a
substantial risk of death or bodily injury to more than one person, an
upward departure may be warranted. See Chapter Five, Part K
(Departures).''.
The Commentary to Sec. 3C1.2 is amended by inserting at the end
the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose under 18 U.S.C. 3553(a), evidence that
the offense involved any of the following may be relevant:
(A) The offense involved a degree of culpability higher than
recklessness.
(B) Death or bodily injury resulted from the offense, or the
conduct posed a substantial risk of death or bodily injury to more than
one person.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3D1.1 captioned ``Background'' is amended
by striking ``Chapter Five (Determining the Sentence)'' both places
such phrase appears and inserting ``Chapter Five (Determining the
Sentencing Range and Options Under the Guidelines)''.
The Commentary to Sec. 3D1.2 captioned ``Background'' is amended
by striking ``because it probably would require departure in many cases
in order to capture adequately the criminal behavior'' and inserting
``because, in many cases, it would not fully capture the scope and
impact of the criminal behavior''.
The Commentary to Sec. 3D1.3 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Sometimes the rule specified in this section may not result in
incremental punishment for additional criminal acts because of the
grouping rules. For example, if the defendant commits forcible criminal
sexual abuse (rape), aggravated assault, and robbery, all against the
same victim on a single occasion, all of the counts are grouped
together under Sec. 3D1.2. The aggravated assault will increase the
guideline range for the rape. The robbery, however, will not. This is
because the offense guideline for rape (Sec. 2A3.1) includes the most
common aggravating factors, including injury, that data showed to be
significant in actual practice. The additional factor of property loss
ordinarily can be taken into account adequately within the guideline
range for rape, which is fairly wide. However, an exceptionally large
property loss in the course of the rape would provide grounds for an
upward departure. See Sec. 5K2.5 (Property Damage or Loss).''.
The Commentary to Sec. 3D1.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Offense Specific Consideration:
1. Aggravating Factors Relating to the Offense.--In determining the
appropriate sentence to impose under 18 U.S.C. 3553(a), evidence that
the grouping rules under this section result in an offense level that
substantially understates the seriousness of the defendant's conduct
may be relevant. See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3D1.4 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Consideration:
1. Factors Relating to Assignment of Units.--In determining the
appropriate sentence to impose under 18 U.S.C. 3553(a), the following
may be relevant:
(A) The total number of Units is significantly more than 5 Units.
(B) There is no increase in the offense level under this guideline,
because the most serious group has an offense level that is
substantially higher than all of the other groups.
(C) The case involved several ungrouped minor offenses resulting in
an excessive increase in the offense level under this guideline.
See Sec. Sec. 6A1.1; 6A1.3.''.
The Commentary to Sec. 3D1.4 captioned ``Background'' is amended
by striking the following:
``When Groups are of roughly comparable seriousness, each Group
will represent one Unit. When the most serious Group carries an offense
level substantially higher than that applicable to the other Groups,
however, counting the lesser Groups fully for purposes of the table
could add excessive punishment, possibly even more than those offenses
would carry if prosecuted separately. To avoid this anomalous result
and produce declining marginal punishment, Groups 9 or more levels less
serious than the most serious Group should not be counted for purposes
of the table, and that Groups 5 to 8 levels less serious should be
treated as equal to one-half of a Group. Thus, if the most serious
Group is at offense level 15 and if two other Groups are at level 10,
there would be a total of two Units for purposes of the table (one plus
one-half plus one-half) and the combined offense level would be 17.
Inasmuch as the maximum increase provided in the guideline is 5 levels,
departure would be warranted in the unusual case where the additional
offenses resulted in a total of significantly more than 5 Units.
In unusual circumstances, the approach adopted in this section
could produce adjustments for the additional counts that are inadequate
or excessive. If there are several groups and the most serious offense
is considerably more serious than all of the others, there will be no
increase in the offense level resulting from the additional counts.
Ordinarily, the court will have latitude to impose added punishment by
sentencing toward the upper end of the range authorized for the most
serious offense. Situations in which there will be inadequate scope for
ensuring appropriate additional punishment for the additional crimes
are likely to be unusual and can be handled by departure from the
guidelines. Conversely, it is possible that if there are several minor
offenses that are not grouped together, application of the rules in
this part could result in an excessive increase in the sentence range.
Again, such situations should be infrequent and can be handled through
departure. An alternative method for ensuring more precise adjustments
would have been to determine the appropriate offense level adjustment
through a more complicated mathematical formula; that approach was not
adopted because of its complexity.'';
and inserting the following:
``When Groups are of roughly comparable seriousness, each Group
[[Page 89197]]
will represent one Unit. When the most serious Group carries an offense
level substantially higher than that applicable to the other Groups,
however, counting the lesser Groups fully for purposes of the table
could add excessive punishment, possibly even more than those offenses
would carry if prosecuted separately. To avoid this anomalous result
and produce declining marginal punishment, Groups 9 or more levels less
serious than the most serious Group should not be counted for purposes
of the table, and that Groups 5 to 8 levels less serious should be
treated as equal to one-half of a Group. Thus, if the most serious
Group is at offense level 15 and if two other Groups are at level 10,
there would be a total of two Units for purposes of the table (one plus
one-half plus one-half) and the combined offense level would be 17.''.
The Commentary to Sec. 3D1.5 is amended by striking ``Chapter Five
(Determining the Sentence)'' and inserting ``Chapter Five (Determining
the Sentencing Range and Options Under the Guidelines)''.
Chapter Three is amended by inserting at the end the following new
Part F:
``Part F--Early Disposition Program
Sec. 3F1.1. Early Disposition Programs (Policy Statement)
Upon motion of the Government, the court may decrease the
defendant's offense level pursuant to an early disposition program
authorized by the Attorney General of the United States and the United
States Attorney for the district in which the court resides. The level
of the decrease shall be consistent with the authorized program within
the filing district and the government motion filed, but shall be not
more than 4 levels.
Commentary
Background: This policy statement implements the directive to the
Commission in section 401(m)(2)(B) of the Prosecutorial Remedies and
Other Tools to end the Exploitation of Children Today Act of 2003 (the
`PROTECT Act ', Public Law 108-21).''.
The Commentary to Sec. 4A1.1 captioned ``Background'' is amended
by striking ``Sec. 4A1.3 authorizes the court to depart from the
otherwise applicable criminal history category in certain
circumstances'' and inserting ``Sec. 4A1.3 (Additional Considerations
Based on Inadequacy of Criminal History Category (Policy Statement))
provides a list of factors the court may consider in determining
whether a defendant's criminal history category under- or over-
represents the seriousness of the defendant's criminal history or the
likelihood that the defendant will commit other crimes''.
Section 4A1.2(h) is amended by striking ``Sec. 4A1.3 (Departures
Based on Inadequacy of Criminal History Category (Policy Statement))''
and inserting ``Sec. 4A1.3 (Additional Considerations Based on
Inadequacy of Criminal History Category (Policy Statement))''.
Section 4A1.2(i) is amended by striking ``Sec. 4A1.3 (Departures
Based on Inadequacy of Criminal History Category (Policy Statement))''
and inserting ``Sec. 4A1.3 (Additional Considerations Based on
Inadequacy of Criminal History Category (Policy Statement))''.
Section 4A1.2(j) is amended by striking ``Sec. 4A1.3 (Departures
Based on Inadequacy of Criminal History Category (Policy Statement))''
and inserting ``Sec. 4A1.3 (Additional Considerations Based on
Inadequacy of Criminal History Category (Policy Statement))''.
The Commentary to Sec. 4A1.2 captioned ``Applications Notes'' is
amended--
in Note 3 by striking the following:
``Application of `Single Sentence ' Rule (Subsection (a)(2)).--
(A) Predicate Offenses.--In some cases, multiple prior sentences
are treated as a single sentence for purposes of calculating the
criminal history score under Sec. 4A1.1(a), (b), and (c). However, for
purposes of determining predicate offenses, a prior sentence included
in the single sentence should be treated as if it received criminal
history points, if it independently would have received criminal
history points. Therefore, an individual prior sentence may serve as a
predicate under the career offender guideline (see Sec. 4B1.2(c)) or
other guidelines with predicate offenses, if it independently would
have received criminal history points. However, because predicate
offenses may be used only if they are counted `separately' from each
other (see Sec. 4B1.2(c)), no more than one prior sentence in a given
single sentence may be used as a predicate offense.
For example, a defendant's criminal history includes one robbery
conviction and one theft conviction. The sentences for these offenses
were imposed on the same day, eight years ago, and are treated as a
single sentence under Sec. 4A1.2(a)(2). If the defendant received a
one-year sentence of imprisonment for the robbery and a two-year
sentence of imprisonment for the theft, to be served concurrently, a
total of 3 points is added under Sec. 4A1.1(a). Because this
particular robbery met the definition of a felony crime of violence and
independently would have received 2 criminal history points under Sec.
4A1.1(b), it may serve as a predicate under the career offender
guideline.
Note, however, that if the sentences in the example above were
imposed thirteen years ago, the robbery independently would have
received no criminal history points under Sec. 4A1.1(b), because it
was not imposed within ten years of the defendant's commencement of the
instant offense. See Sec. 4A1.2(e)(2). Accordingly, it may not serve
as a predicate under the career offender guideline.
(B) Upward Departure Provision.--Treating multiple prior sentences
as a single sentence may result in a criminal history score that
underrepresents the seriousness of the defendant's criminal history and
the danger that the defendant presents to the public. In such a case,
an upward departure may be warranted. For example, if a defendant was
convicted of a number of serious non-violent offenses committed on
different occasions, and the resulting sentences were treated as a
single sentence because either the sentences resulted from offenses
contained in the same charging instrument or the defendant was
sentenced for these offenses on the same day, the assignment of a
single set of points may not adequately reflect the seriousness of the
defendant's criminal history or the frequency with which the defendant
has committed crimes.'';
and inserting the following:
``Application of `Single Sentence' Rule (Subsection (a)(2)).--In
some cases, multiple prior sentences are treated as a single sentence
for purposes of calculating the criminal history score under Sec.
4A1.1(a), (b), and (c). However, for purposes of determining predicate
offenses, a prior sentence included in the single sentence should be
treated as if it received criminal history points, if it independently
would have received criminal history points. Therefore, an individual
prior sentence may serve as a predicate under the career offender
guideline (see Sec. 4B1.2(c)) or other guidelines with predicate
offenses, if it independently would have received criminal history
points. However, because predicate offenses may be used only if they
are counted `separately' from each other (see Sec. 4B1.2(c)), no more
than one prior sentence in a given single sentence may be used as a
predicate offense.
For example, a defendant's criminal history includes one robbery
conviction and one theft conviction. The sentences for these offenses
were imposed on the same day, eight years ago, and are
[[Page 89198]]
treated as a single sentence under Sec. 4A1.2(a)(2). If the defendant
received a one-year sentence of imprisonment for the robbery and a two-
year sentence of imprisonment for the theft, to be served concurrently,
a total of 3 points is added under Sec. 4A1.1(a). Because this
particular robbery met the definition of a felony crime of violence and
independently would have received 2 criminal history points under Sec.
4A1.1(b), it may serve as a predicate under the career offender
guideline.
Note, however, that if the sentences in the example above were
imposed thirteen years ago, the robbery independently would have
received no criminal history points under Sec. 4A1.1(b), because it
was not imposed within ten years of the defendant's commencement of the
instant offense. See Sec. 4A1.2(e)(2). Accordingly, it may not serve
as a predicate under the career offender guideline.'';
in Note 6 by striking ``Sec. 4A1.3 (Departures Based on Inadequacy
of Criminal History Category (Policy Statement))'' and inserting
``Sec. 4A1.3 (Additional Considerations Based on Inadequacy of
Criminal History Category (Policy Statement))'';
and in Note 8 by striking ``in determining whether an upward
departure is warranted under Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category (Policy Statement))'' and
inserting ``pursuant to Sec. 4A1.3 (Additional Considerations Based on
Inadequacy of Criminal History Category (Policy Statement))''.
The Commentary to Sec. 4A1.2 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Consideration:
1. Multiple Prior Sentences.--In cases in which multiple prior
sentences are treated as a single sentence, the court may, in
determining the appropriate sentence to impose under 18 U.S.C. 3553(a),
consider whether such treatment results in a criminal history score
that underrepresents the seriousness of the defendant's criminal
history and the danger that the defendant presents to the public. See
Sec. 4A1.3.''.
Section 4A1.3 is amended--
in the heading by striking ``Departures'' and inserting
``Additional Considerations'';
by striking the following:
``(a) Upward Departures.--
(1) Standard for Upward Departure.--If reliable information
indicates that the defendant's criminal history category substantially
under-represents the seriousness of the defendant's criminal history or
the likelihood that the defendant will commit other crimes, an upward
departure may be warranted.
(2) Types of Information Forming the Basis for Upward Departure.--
The information described in subsection (a)(1) may include information
concerning the following:
(A) Prior sentence(s) not used in computing the criminal history
category (e.g., sentences for foreign and tribal convictions).
(B) Prior sentence(s) of substantially more than one year imposed
as a result of independent crimes committed on different occasions.
(C) Prior similar misconduct established by a civil adjudication or
by a failure to comply with an administrative order.
(D) Whether the defendant was pending trial or sentencing on
another charge at the time of the instant offense.
(E) Prior similar adult criminal conduct not resulting in a
criminal conviction.
(3) Prohibition.--A prior arrest record itself shall not be
considered for purposes of an upward departure under this policy
statement.
(4) Determination of Extent of Upward Departure.--
(A) In General.--Except as provided in subdivision (B), the court
shall determine the extent of a departure under this subsection by
using, as a reference, the criminal history category applicable to
defendants whose criminal history or likelihood to recidivate most
closely resembles that of the defendant's.
(B) Upward Departures from Category VI.--In a case in which the
court determines that the extent and nature of the defendant's criminal
history, taken together, are sufficient to warrant an upward departure
from Criminal History Category VI, the court should structure the
departure by moving incrementally down the sentencing table to the next
higher offense level in Criminal History Category VI until it finds a
guideline range appropriate to the case.
(b) Downward Departures.--
(1) Standard for Downward Departure.--If reliable information
indicates that the defendant's criminal history category substantially
over-represents the seriousness of the defendant's criminal history or
the likelihood that the defendant will commit other crimes, a downward
departure may be warranted.
(2) Prohibitions.--
(A) Criminal History Category I.--Unless otherwise specified, a
departure below the lower limit of the applicable guideline range for
Criminal History Category I is prohibited.
(B) Armed Career Criminal and Repeat and Dangerous Sex Offender.--A
downward departure under this subsection is prohibited for (i) an armed
career criminal within the meaning of Sec. 4B1.4 (Armed Career
Criminal); and (ii) a repeat and dangerous sex offender against minors
within the meaning of Sec. 4B1.5 (Repeat and Dangerous Sex Offender
Against Minors).
(3) Limitations.--
(A) Limitation on Extent of Downward Departure for Career
Offender.--The extent of a downward departure under this subsection for
a career offender within the meaning of Sec. 4B1.1 (Career Offender)
may not exceed one criminal history category.
(B) Limitation on Applicability of Sec. 5C1.2 in Event of Downward
Departure.--A defendant who receives a downward departure under this
subsection does not meet the criminal history requirement of subsection
(a)(1) of Sec. 5C1.2 (Limitation on Applicability of Statutory Maximum
Sentences in Certain Cases) if the defendant did not otherwise meet
such requirement before receipt of the downward departure.
(c) Written Specification of Basis for Departure.--In departing
from the otherwise applicable criminal history category under this
policy statement, the court shall specify in writing the following:
(1) In the case of an upward departure, the specific reasons why
the applicable criminal history category substantially under-represents
the seriousness of the defendant's criminal history or the likelihood
that the defendant will commit other crimes.
(2) In the case of a downward departure, the specific reasons why
the applicable criminal history category substantially over-represents
the seriousness of the defendant's criminal history or the likelihood
that the defendant will commit other crimes.'';
and inserting the following:
``(a) Aggravating and Mitigating Factors.--In determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a), the court
should consider whether the defendant's criminal history category
under- or over-represents the seriousness of the defendant's criminal
history or the likelihood that the defendant will commit other crimes.
If established by reliable information, the following aggravating or
mitigating factors may be relevant to this determination:
(1) Aggravating Factors.--
(A) Prior sentence(s) not used in computing the criminal history
category (e.g., sentences for foreign and tribal convictions).
[[Page 89199]]
(B) Prior sentences of substantially more than one year imposed as
a result of independent crimes committed on different occasions.
(C) Prior similar misconduct established by a civil adjudication or
by a failure to comply with an administrative order.
(D) Whether the defendant was pending trial or sentencing on
another charge at the time of the instant offense.
(E) Prior similar adult criminal conduct not resulting in a
criminal conviction.
(2) Mitigating Factors.--
(A) The defendant had two minor misdemeanor convictions close to
ten years prior to the instant offense and no other evidence of prior
criminal behavior in the intervening period.
(B) The defendant received criminal history points from a sentence
for possession of marihuana for personal use, without an intent to sell
or distribute it to another person.
(b) Prior Arrest Record.--A prior arrest record itself is not a
relevant consideration under this policy statement.''.
The Commentary to Sec. 4A1.3 is amended--
by striking the Commentary captioned ``Application Notes'' and
``Background'' in its entirety as follows:
``Application Notes:
1. Definitions.--For purposes of this policy statement, the terms
`depart', `departure', `downward departure', and `upward departure'
have the meaning given those terms in Application Note 1 of the
Commentary to Sec. 1B1.1 (Application Instructions).
2. Upward Departures.--
(A) Examples.--An upward departure from the defendant's criminal
history category may be warranted based on any of the following
circumstances:
(i) A previous foreign sentence for a serious offense.
(ii) Receipt of a prior consolidated sentence of ten years for a
series of serious assaults.
(iii) A similar instance of large scale fraudulent misconduct
established by an adjudication in a Securities and Exchange Commission
enforcement proceeding.
(iv) Commission of the instant offense while on bail or pretrial
release for another serious offense.
(B) Upward Departures from Criminal History Category VI.--In the
case of an egregious, serious criminal record in which even the
guideline range for Criminal History Category VI is not adequate to
reflect the seriousness of the defendant's criminal history, a
departure above the guideline range for a defendant with Criminal
History Category VI may be warranted. In determining whether an upward
departure from Criminal History Category VI is warranted, the court
should consider that the nature of the prior offenses rather than
simply their number is often more indicative of the seriousness of the
defendant's criminal record. For example, a defendant with five prior
sentences for very large-scale fraud offenses may have 15 criminal
history points, within the range of points typical for Criminal History
Category VI, yet have a substantially more serious criminal history
overall because of the nature of the prior offenses.
(C) Upward Departures Based on Tribal Court Convictions.--In
determining whether, or to what extent, an upward departure based on a
tribal court conviction is appropriate, the court shall consider the
factors set forth in Sec. 4A1.3(a) above and, in addition, may
consider relevant factors such as the following:
(i) The defendant was represented by a lawyer, had the right to a
trial by jury, and received other due process protections consistent
with those provided to criminal defendants under the United States
Constitution.
(ii) The defendant received the due process protections required
for criminal defendants under the Indian Civil Rights Act of 1968,
Public Law 90-284, as amended.
(iii) The tribe was exercising expanded jurisdiction under the
Tribal Law and Order Act of 2010, Public Law 111-211.
(iv) The tribe was exercising expanded jurisdiction under the
Violence Against Women Reauthorization Act of 2013, Public Law 113-4.
(v) The tribal court conviction is not based on the same conduct
that formed the basis for a conviction from another jurisdiction that
receives criminal history points pursuant to this chapter.
(vi) The tribal court conviction is for an offense that otherwise
would be counted under Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History).
3. Downward Departures.--
(A) Examples.--A downward departure from the defendant's criminal
history category may be warranted based on any of the following
circumstances:
(i) The defendant had two minor misdemeanor convictions close to
ten years prior to the instant offense and no other evidence of prior
criminal behavior in the intervening period.
(ii) The defendant received criminal history points from a sentence
for possession of marihuana for personal use, without an intent to sell
or distribute it to another person.
(B) Downward Departures from Criminal History Category I.--A
departure below the lower limit of the applicable guideline range for
Criminal History Category I is prohibited under subsection (b)(2)(A),
unless otherwise specified.
Background: This policy statement recognizes that the criminal
history score is unlikely to take into account all the variations in
the seriousness of criminal history that may occur. For example, a
defendant with an extensive record of serious, assaultive conduct who
had received what might now be considered extremely lenient treatment
in the past might have the same criminal history category as a
defendant who had a record of less serious conduct. Yet, the first
defendant's criminal history clearly may be more serious. This may be
particularly true in the case of younger defendants (e.g., defendants
in their early twenties or younger) who are more likely to have
received repeated lenient treatment, yet who may actually pose a
greater risk of serious recidivism than older defendants. This policy
statement authorizes the consideration of a departure from the
guidelines in the limited circumstances where reliable information
indicates that the criminal history category does not adequately
reflect the seriousness of the defendant's criminal history or
likelihood of recidivism, and provides guidance for the consideration
of such departures.'';
and inserting the following new Commentary:
``Application Note:
1. Tribal Convictions.--In considering tribal court convictions not
counted in the criminal history score, the presence of the following
factors may be relevant to the court's determination:
(A) The defendant was represented by a lawyer, had the right to a
trial by jury, and received other due process protections consistent
with those provided to criminal defendants under the United States
Constitution.
(B) The defendant received the due process protections required for
criminal defendants under the Indian Civil Rights Act of 1968, Public
Law 90-284, as amended.
(C) The tribe was exercising expanded jurisdiction under the Tribal
Law and Order Act of 2010, Public Law 111-211.
(D) The tribe was exercising expanded jurisdiction under the
Violence Against Women Reauthorization Act of 2013, Public Law 113-4.
(E) The tribal court conviction is not based on the same conduct
that formed
[[Page 89200]]
the basis for a conviction from another jurisdiction that receives
criminal history points pursuant to this chapter.
(F) The tribal court conviction is for an offense that otherwise
would be counted under Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History).
Background: This policy statement recognizes that the criminal
history score is unlikely to take into account all the variations in
the seriousness of criminal history that may occur. This policy
statement recognizes that consideration of whether additional
aggravating or mitigating factors established by reliable information
indicates that the criminal history category assigned does not
adequately reflect the seriousness of the defendant's criminal history
or likelihood of recidivism is appropriate in determining the
appropriate sentence to impose pursuant to 18 U.S.C. 3553(a).''.
The Commentary to Sec. 4B1.1 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Departure Provision for State Misdemeanors.--In a case in
which one or both of the defendant's `two prior felony convictions' is
based on an offense that was classified as a misdemeanor at the time of
sentencing for the instant federal offense, application of the career
offender guideline may result in a guideline range that substantially
overrepresents the seriousness of the defendant's criminal history or
substantially overstates the seriousness of the instant offense. In
such a case, a downward departure may be warranted without regard to
the limitation in Sec. 4A1.3(b)(3)(A).''.
The Commentary to Sec. 4B1.2 captioned ``Application Notes'' is
amended by striking Note 4 as follows:
``4. Upward Departure for Burglary Involving Violence.--There may
be cases in which a burglary involves violence, but does not qualify as
a `crime of violence' as defined in Sec. 4B1.2(a) and, as a result,
the defendant does not receive a higher offense level or higher
Criminal History Category that would have applied if the burglary
qualified as a `crime of violence.' In such a case, an upward departure
may be appropriate.''.
The Commentary to Sec. 4B1.2 is amended by inserting at the end
the following new Commentary:
``Additional Considerations:
1. State Misdemeanors.--In a case in which one or both of the
defendant's `two prior felony convictions' is based on an offense that
was classified as a misdemeanor at the time of sentencing for the
instant federal offense, evidence that application of the career
offender guideline results in a guideline range that substantially
overrepresents the seriousness of the defendant's criminal history or
substantially overstates the seriousness of the instant offense may be
relevant in determining the appropriate sentence to impose under 18
U.S.C. 3553(a).
2. Offense Involving Violence.--In determining the appropriate
sentence to impose under 18 U.S.C. 3553(a), evidence that a prior
offense, such as burglary, involved violence but does not qualify as a
`crime of violence' as defined in Sec. 4B1.2(a) may be relevant.''.
The Commentary to Sec. 4B1.4 captioned ``Application Notes'' is
amended in Note 2, in the paragraph that begins ``In a few cases'', by
striking ``In such a case, an upward departure may be warranted so that
the conviction under 18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a)
does not result in a decrease in the total punishment. An upward
departure under this paragraph shall not exceed the maximum of the
guideline range that would have resulted had there not been a count of
conviction under 18 U.S.C. 844(h), Sec. 924(c), or Sec. 929(a)'' and
inserting ``In such a case, a sentence greater than the applicable
guideline range may be warranted so that the conviction under 18 U.S.C.
844(h), Sec. 924(c), or Sec. 929(a) does not result in a decrease in
the total punishment. An increase in the total punishment under this
paragraph shall not exceed the maximum of the guideline range that
would have resulted had there not been a count of conviction under 18
U.S.C. 844(h), Sec. 924(c), or Sec. 929(a)''.
The Commentary to Sec. 4B1.4 captioned ``Background'' is amended
by striking ``Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category (Policy Statement))'' and inserting ``Sec. 4A1.3
(Additional Considerations Based on Inadequacy of Criminal History
Category (Policy Statement))''.
The Commentary to Sec. 4C1.1 captioned ``Application Notes'' is
amended--
in the heading by striking ``Notes'' and inserting ``Note'';
and by striking Note 2 as follows:
``2. Upward Departure.--An upward departure may be warranted if an
adjustment under this guideline substantially underrepresents the
seriousness of the defendant's criminal history. For example, an upward
departure may be warranted if the defendant has a prior conviction or
other comparable judicial disposition for an offense that involved
violence or credible threats of violence.''.
The Commentary to Sec. 4C1.1 is amended by inserting at the end
the following new Commentary:
``Additional Consideration:
1. Application of Adjustment.--In determining the appropriate
sentence to impose under 18 U.S.C. 3553(a), information establishing
that an adjustment under this guideline substantially underrepresents
the seriousness of the defendant's criminal history may be relevant.
For example, a sentence greater than the applicable guideline range may
be warranted if the defendant has a prior conviction or other
comparable judicial disposition for an offense that involved violence
or credible threats of violence.''.
Chapter Five is amended--
in the heading by striking ``Determining the Sentence'' and
inserting ``Determining the Sentencing Range and Options Under the
Guidelines'';
and in the Introductory Commentary by striking the following:
`` For certain categories of offenses and offenders, the guidelines
permit the court to impose either imprisonment or some other sanction
or combination of sanctions. In determining the type of sentence to
impose, the sentencing judge should consider the nature and seriousness
of the conduct, the statutory purposes of sentencing, and the pertinent
offender characteristics. A sentence is within the guidelines if it
complies with each applicable section of this chapter. The court should
impose a sentence sufficient, but not greater than necessary, to comply
with the statutory purposes of sentencing. 18 U.S.C. 3553(a).'';
and inserting the following:
`` Chapter Five sets forth the steps used to determine the
applicable sentencing range based upon the guideline calculations made
in Chapters Two through Four. For certain categories of offenses and
offenders, the guidelines permit the court to impose either
imprisonment or some other sanction or combination of sanctions. A
sentence is within the guidelines if it complies with each applicable
section of this chapter.''.
The Commentary to Sec. 5C1.1 captioned ``Applications Notes'' is
amended--
by striking Note 6 as follows:
``6. Departures Based on Specific Treatment Purpose.--There may be
cases in which a departure from the sentencing options authorized for
Zone C of the Sentencing Table (under which at least half the minimum
term must be satisfied by imprisonment) to the sentencing options
authorized for Zone B of the Sentencing Table (under which all or most
of the minimum term may
[[Page 89201]]
be satisfied by intermittent confinement, community confinement, or
home detention instead of imprisonment) is appropriate to accomplish a
specific treatment purpose. Such a departure should be considered only
in cases where the court finds that (A) the defendant is an abuser of
narcotics, other controlled substances, or alcohol, or suffers from a
significant mental illness, and (B) the defendant's criminality is
related to the treatment problem to be addressed.
In determining whether such a departure is appropriate, the court
should consider, among other things, (1) the likelihood that completion
of the treatment program will successfully address the treatment
problem, thereby reducing the risk to the public from further crimes of
the defendant, and (2) whether imposition of less imprisonment than
required by Zone C will increase the risk to the public from further
crimes of the defendant.
Examples: The following examples both assume the applicable
guideline range is 12-18 months and the court departs in accordance
with this application note. Under Zone C rules, the defendant must be
sentenced to at least six months imprisonment. (1) The defendant is a
nonviolent drug offender in Criminal History Category I and probation
is not prohibited by statute. The court departs downward to impose a
sentence of probation, with twelve months of intermittent confinement,
community confinement, or home detention and participation in a
substance abuse treatment program as conditions of probation. (2) The
defendant is convicted of a Class A or B felony, so probation is
prohibited by statute (see Sec. 5B1.1(b)). The court departs downward
to impose a sentence of one month imprisonment, with eleven months in
community confinement or home detention and participation in a
substance abuse treatment program as conditions of supervised
release.'';
by redesignating Notes 7 through 10 as Notes 6 through 9,
respectively;
and in Note 9 (as so redesignated) by striking the following:
``Zero-Point Offenders.--
(A) Zero-Point Offenders in Zones A and B of the Sentencing
Table.--If the defendant received an adjustment under Sec. 4C1.1
(Adjustment for Certain Zero-Point Offenders) and the defendant's
applicable guideline range is in Zone A or B of the Sentencing Table, a
sentence other than a sentence of imprisonment, in accordance with
subsection (b) or (c)(3), is generally appropriate. See 28 U.S.C.
994(j).
(B) Departure for Cases Where the Applicable Guideline Range
Overstates the Gravity of the Offense.--A departure, including a
departure to a sentence other than a sentence of imprisonment, may be
appropriate if the defendant received an adjustment under Sec. 4C1.1
(Adjustment for Certain Zero-Point Offenders) and the defendant's
applicable guideline range overstates the gravity of the offense
because the offense of conviction is not a crime of violence or an
otherwise serious offense. See 28 U.S.C. 994(j).'';
and inserting the following:
``Zero-Point Offenders in Zones A and B of the Sentencing Table.--
If the defendant received an adjustment under Sec. 4C1.1 (Adjustment
for Certain Zero-Point Offenders) and the defendant's applicable
guideline range is in Zone A or B of the Sentencing Table, a sentence
other than a sentence of imprisonment, in accordance with subsection
(b) or (c)(3), is generally appropriate. See 28 U.S.C. 994(j).''.
The Commentary to Sec. 5C1.1 is amended by inserting at the end
the following new Commentary:
``Additional Considerations:
1. Cases Where the Applicable Guideline Range of Zero-Point
Offender Overstates the Gravity of the Offense.--A sentence other than
a sentence of imprisonment may be appropriate if the defendant received
an adjustment under Sec. 4C1.1 (Adjustment for Certain Zero-Point
Offenders) and the defendant's applicable guideline range overstates
the gravity of the offense because the offense of conviction is not a
crime of violence or an otherwise serious offense. See 28 U.S.C. Sec.
994(j).
2. Specific Treatment Purpose.--A sentencing option other than
those authorized by the applicable zone of the Sentencing Table may be
appropriate to accomplish a specific treatment purpose addressing a
problem (e.g., substance abuse, alcohol abuse, or mental illness) that
is related to the defendant's criminality.''.
The Commentary to Sec. 5C1.2 captioned ``Application Notes'' is
amended by inserting at the end the following new Note 7:
``7. Interaction of Sec. 5C1.2 and Sec. 4A1.3.--A defendant whose
criminal history category was adjusted in accordance with Sec. 4A1.3
(Additional Considerations Based on Inadequacy of Criminal History
Category (Policy Statement)) does not meet the criminal history
requirement of Sec. 5C1.2(a)(1) if the defendant did not otherwise
meet such requirement before application of Sec. 4A1.3.''.
The Commentary to Sec. 5D1.1 captioned ``Application Notes'' is
amended--
in Note 1 by striking ``The court may depart from this guideline
and not impose a term of supervised release'' and inserting ``The court
may not impose a term of supervised release'';
and in Note 3(C) by striking ``Sec. 5H1.4 (Physical Condition,
Including Drug or Alcohol Dependence or Abuse; Gambling Addiction)''
and inserting ``Subsection (a)(7) of Sec. 6A1.2 (Factors Relating to
Individual Circumstances (Policy Statement))''.
The Commentary to Sec. 5E1.2 captioned ``Applications Notes'' is
amended--
by striking Note 4 as follows:
``4. The Commission envisions that for most defendants, the maximum
of the guideline fine range from subsection (c) will be at least twice
the amount of gain or loss resulting from the offense. Where, however,
two times either the amount of gain to the defendant or the amount of
loss caused by the offense exceeds the maximum of the fine guideline,
an upward departure from the fine guideline may be warranted.
Moreover, where a sentence within the applicable fine guideline
range would not be sufficient to ensure both the disgorgement of any
gain from the offense that otherwise would not be disgorged (e.g., by
restitution or forfeiture) and an adequate punitive fine, an upward
departure from the fine guideline range may be warranted.'';
and by redesignating Notes 5, 6, and 7 as Notes 4, 5, and 6,
respectively.
The Commentary to Sec. 5E1.2 is amended by inserting at the end
the following new Commentary:
``Additional Consideration:
1. Additional Factors Relating to the Offense.--In determining the
appropriate amount of the fine to impose pursuant to 18 U.S.C. 3553(a),
evidence that the fine range determined under this guideline
understates the seriousness of the offense (e.g., the applicable fine
guideline range would not provide adequate punishment for the offense
and ensure disgorgement of any gain from the offense) may be
relevant.''.
The Commentary to Sec. 5E1.3 captioned ``Application Notes'' is
amended in Note 1 by striking ``Sec. 8E1.1'' and inserting ``Sec.
9E1.1''.
The Commentary to Sec. 5G1.1 is amended by striking ``; a sentence
of less than 48 months would be a guideline departure''; and by
striking ``; a sentence of more than 60 months would be a guideline
departure''.
The Commentary to Sec. 5G1.3 captioned ``Application Notes'' is
amended--
in Note 4(C) by striking ``Sec. 7B1.3'' and inserting ``Sec.
8B1.3'';
by striking Note 4(E) as follows:
[[Page 89202]]
``(E) Downward Departure.--Unlike subsection (b), subsection (d)
does not authorize an adjustment of the sentence for the instant
offense for a period of imprisonment already served on the undischarged
term of imprisonment. However, in an extraordinary case involving an
undischarged term of imprisonment under subsection (d), it may be
appropriate for the court to downwardly depart. This may occur, for
example, in a case in which the defendant has served a very substantial
period of imprisonment on an undischarged term of imprisonment that
resulted from conduct only partially within the relevant conduct for
the instant offense. In such a case, a downward departure may be
warranted to ensure that the combined punishment is not increased
unduly by the fortuity and timing of separate prosecutions and
sentencings. Nevertheless, it is intended that a departure pursuant to
this application note result in a sentence that ensures a reasonable
incremental punishment for the instant offense of conviction.
To avoid confusion with the Bureau of Prisons' exclusive authority
provided under 18 U.S.C. 3585(b) to grant credit for time served under
certain circumstances, the Commission recommends that any downward
departure under this application note be clearly stated on the Judgment
in a Criminal Case Order as a downward departure pursuant to Sec.
5G1.3(d), rather than as a credit for time served.'';
and by striking Note 5 as follows:
``5. Downward Departure Provision.--In the case of a discharged
term of imprisonment, a downward departure is not prohibited if the
defendant (A) has completed serving a term of imprisonment; and (B)
subsection (b) would have provided an adjustment had that completed
term of imprisonment been undischarged at the time of sentencing for
the instant offense. See Sec. 5K2.23 (Discharged Terms of
Imprisonment).''.
The Commentary to Sec. 5G1.3 is amended by inserting before the
Commentary captioned ``Background'' the following new Commentary:
``Additional Considerations:
1. Time Served on Undischarged Terms of Imprisonment.--Unlike
subsection (b), subsection (d) does not authorize an adjustment of the
sentence for the instant offense for a period of imprisonment already
served on the undischarged term of imprisonment. However, in an
extraordinary case involving an undischarged term of imprisonment under
subsection (d), it may be appropriate for the court to impose a
sentence below the otherwise applicable guideline range. This may
occur, for example, in a case in which the defendant has served a very
substantial period of imprisonment on an undischarged term of
imprisonment that resulted from conduct only partially within the
relevant conduct for the instant offense. In such a case, a sentence
below the applicable guideline range may be warranted to ensure that
the combined punishment is not increased unduly by the fortuity and
timing of separate prosecutions and sentencings. Nevertheless, it is
intended that a sentence below the applicable guideline range pursuant
to this additional consideration result in a sentence that ensures a
reasonable incremental punishment for the instant offense of
conviction.
To avoid confusion with the Bureau of Prisons' exclusive authority
provided under 18 U.S.C. 3585(b) to grant credit for time served under
certain circumstances, the Commission recommends that any sentence
below the applicable guideline range under this additional
consideration be clearly stated as such on the Judgment in a Criminal
Case Order, rather than as a credit for time served.
2. Discharged Terms of Imprisonment.--In a case where (A) the
defendant has completed serving a term of imprisonment, and (B)
subsection (b) of Sec. 5G1.3 (Imposition of a Sentence on a Defendant
Subject to Undischarged Term of Imprisonment or Anticipated Term of
Imprisonment) would have provided an adjustment had that completed term
of imprisonment been undischarged at the time of sentencing for the
instant offense, it may be appropriate for the court to impose a
sentence below the otherwise applicable guideline range.''.
Chapter Five is amended by striking Part H in its entirety as
follows:
``Part H--Specific Offender Characteristics
Introductory Commentary
This part addresses the relevance of certain specific offender
characteristics in sentencing. The Sentencing Reform Act (the `Act')
contains several provisions regarding specific offender
characteristics:
First, the Act directs the Commission to ensure that the guidelines
and policy statements `are entirely neutral' as to five
characteristics--race, sex, national origin, creed, and socioeconomic
status. See 28 U.S.C. 994(d).
Second, the Act directs the Commission to consider whether eleven
specific offender characteristics, `among others', have any relevance
to the nature, extent, place of service, or other aspects of an
appropriate sentence, and to take them into account in the guidelines
and policy statements only to the extent that they do have relevance.
See 28 U.S.C. 994(d).
Third, the Act directs the Commission to ensure that the guidelines
and policy statements, in recommending a term of imprisonment or length
of a term of imprisonment, reflect the `general inappropriateness' of
considering five of those characteristics--education; vocational
skills; employment record; family ties and responsibilities; and
community ties. See 28 U.S.C. 994(e).
Fourth, the Act also directs the sentencing court, in determining
the particular sentence to be imposed, to consider, among other
factors, `the history and characteristics of the defendant'. See 18
U.S.C. 3553(a)(1).
Specific offender characteristics are taken into account in the
guidelines in several ways. One important specific offender
characteristic is the defendant's criminal history, see 28 U.S.C.
994(d)(10), which is taken into account in the guidelines in Chapter
Four (Criminal History and Criminal Livelihood). See Sec. 5H1.8
(Criminal History). Another specific offender characteristic in the
guidelines is the degree of dependence upon criminal history for a
livelihood, see 28 U.S.C. 994(d)(11), which is taken into account in
Chapter Four, Part B (Career Offenders and Criminal Livelihood). See
Sec. 5H1.9 (Dependence upon Criminal Activity for a Livelihood). Other
specific offender characteristics are accounted for elsewhere in this
manual. See, e.g., Sec. Sec. 2C1.1(a)(1) and 2C1.2(a)(1) (providing
alternative base offense levels if the defendant was a public
official); 3B1.3 (Abuse of Position of Trust or Use of Special Skill);
and 3E1.1 (Acceptance of Responsibility).
The Supreme Court has emphasized that the advisory guideline system
should `continue to move sentencing in Congress' preferred direction,
helping to avoid excessive sentencing disparities while maintaining
flexibility sufficient to individualize sentences where necessary.' See
United States v. Booker, 543 U.S. 220, 264-65 (2005). Although the
court must consider `the history and characteristics of the defendant'
among other factors, see 18 U.S.C. 3553(a), in order to avoid
unwarranted sentencing disparities the court should not give them
excessive weight. Generally, the most appropriate use of specific
offender characteristics is to consider them not as a reason for a
sentence outside the applicable guideline range but for other reasons,
such as in determining the sentence within the
[[Page 89203]]
applicable guideline range, the type of sentence (e.g., probation or
imprisonment) within the sentencing options available for the
applicable Zone on the Sentencing Table, and various other aspects of
an appropriate sentence. To avoid unwarranted sentencing disparities
among defendants with similar records who have been found guilty of
similar conduct, see 18 U.S.C. 3553(a)(6), 28 U.S.C. 991(b)(1)(B), the
guideline range, which reflects the defendant's criminal conduct and
the defendant's criminal history, should continue to be `the starting
point and the initial benchmark.' Gall v. United States, 552 U.S. 38,
49 (2007).
Accordingly, the purpose of this part is to provide sentencing
courts with a framework for ad-dressing specific offender
characteristics in a reasonably consistent manner. Using such a
framework in a uniform manner will help `secure nationwide
consistency,' see Gall v. United States, 552 U.S. 38, 49 (2007), `avoid
unwarranted sentencing disparities,' see 28 U.S.C. 991(b)(1)(B), 18
U.S.C. 3553(a)(6), `provide certainty and fairness,' see 28 U.S.C.
991(b)(1)(B), and `promote respect for the law,' see 18 U.S.C.
3553(a)(2)(A).
This part allocates specific offender characteristics into three
general categories.
In the first category are specific offender characteristics the
consideration of which Congress has prohibited (e.g., Sec. 5H1.10
(Race, Sex, National Origin, Creed, Religion, and Socio-Economic
Status)) or that the Commission has determined should be prohibited.
In the second category are specific offender characteristics that
Congress directed the Commission to take into account in the guidelines
only to the extent that they have relevance to sentencing. See 28
U.S.C. 994(d). For some of these, the policy statements indicate that
these characteristics may be relevant in determining whether a sentence
outside the applicable guideline range is warranted (e.g., age; mental
and emotional condition; physical condition). These characteristics may
warrant a sentence outside the applicable guideline range if the
characteristic, individually or in combination with other such
characteristics, is present to an unusual degree and distinguishes the
case from the typical cases covered by the guidelines. These specific
offender characteristics also may be considered for other reasons, such
as in determining the sentence within the applicable guideline range,
the type of sentence (e.g., probation or imprisonment) within the
sentencing options available for the applicable Zone on the Sentencing
Table, and various other aspects of an appropriate sentence.
In the third category are specific offender characteristics that
Congress directed the Commission to ensure are reflected in the
guidelines and policy statements as generally inappropriate in
recommending a term of imprisonment or length of a term of
imprisonment. See 28 U.S.C. 994(e). The policy statements indicate that
these characteristics are not ordinarily relevant to the determination
of whether a sentence should be outside the applicable guideline range.
Unless expressly stated, this does not mean that the Commission views
such circumstances as necessarily inappropriate to the determination of
the sentence within the applicable guideline range, the type of
sentence (e.g., probation or imprisonment) within the sentencing
options available for the applicable Zone on the Sentencing Table, or
various other aspects of an appropriate sentence (e.g., the appropriate
conditions of probation or supervised release). Furthermore, although
these circumstances are not ordinarily relevant to the determination of
whether a sentence should be outside the applicable guideline range,
they may be relevant to this determination in exceptional cases. They
also may be relevant if a combination of such circumstances makes the
case an exceptional one, but only if each such circumstance is
identified as an affirmative ground for departure and is present in the
case to a substantial degree. See Sec. 5K2.0 (Grounds for Departure).
As with the other provisions in this manual, these policy
statements `are evolutionary in nature'. See Chapter One, Part A,
Subpart 2 (Continuing Evolution and Role of the Guidelines); 28 U.S.C.
994(o). The Commission expects, and the Sentencing Reform Act
contemplates, that continuing research, experience, and analysis will
result in modifications and revisions.
The nature, extent, and significance of specific offender
characteristics can involve a range of considerations. The Commission
will continue to provide information to the courts on the relevance of
specific offender characteristics in sentencing, as the Sentencing
Reform Act contemplates. See, e.g., 28 U.S.C. 995(a)(12)(A) (the
Commission serves as a `clearinghouse and information center' on
federal sentencing). Among other things, this may include information
on the use of specific offender characteristics, individually and in
combination, in determining the sentence to be imposed (including,
where available, information on rates of use, criteria for use, and
reasons for use); the relationship, if any, between specific offender
characteristics and (A) the `forbidden factors' specified in 28 U.S.C.
994(d) and (B) the `discouraged factors' specified in 28 U.S.C. 994(e);
and the relationship, if any, between specific offender characteristics
and the statutory purposes of sentencing.
Sec. 5H1.1. Age (Policy Statement)
Age (including youth) may be relevant in determining whether a
departure is warranted, if considerations based on age, individually or
in combination with other offender characteristics, are present to an
unusual degree and distinguish the case from the typical cases covered
by the guidelines. Age may be a reason to depart downward in a case in
which the defendant is elderly and in-firm and where a form of
punishment such as home confinement might be equally efficient as and
less costly than incarceration. Physical condition, which may be
related to age, is addressed at Sec. 5H1.4 (Physical Condition,
Including Drug or Alcohol Dependence or Abuse; Gambling Addiction).
Sec. 5H1.2. Education and Vocational Skills (Policy Statement)
Education and vocational skills are not ordinarily relevant in
determining whether a departure is warranted, but the extent to which a
defendant may have misused special training or education to facilitate
criminal activity is an express guideline factor. See Sec. 3B1.3
(Abuse of Position of Trust or Use of Special Skill).
Education and vocational skills may be relevant in determining the
conditions of probation or supervised release for rehabilitative
purposes, for public protection by restricting activities that allow
for the utilization of a certain skill, or in determining the
appropriate type of community service.
Sec. 5H1.3. Mental and Emotional Conditions (Policy Statement)
Mental and emotional conditions may be relevant in determining
whether a departure is warranted, if such conditions, individually or
in combination with other offender characteristics, are present to an
unusual degree and distinguish the case from the typical cases covered
by the guidelines. See also Chapter Five, Part K, Subpart 2 (Other
Grounds for Departure).
[[Page 89204]]
In certain cases a downward departure may be appropriate to
accomplish a specific treatment purpose. See Sec. 5C1.1, Application
Note 7.
Mental and emotional conditions may be relevant in determining the
conditions of probation or supervised release; e.g., participation in a
mental health program (see Sec. Sec. 5B1.3(d)(5) and 5D1.3(d)(5)).
Sec. 5H1.4. Physical Condition, Including Drug or Alcohol Dependence
or Abuse; Gambling Addiction (Policy Statement)
Physical condition or appearance, including physique, may be
relevant in determining whether a departure is warranted, if the
condition or appearance, individually or in combination with other
offender characteristics, is present to an unusual degree and
distinguishes the case from the typical cases covered by the
guidelines. An extraordinary physical impairment may be a reason to de-
part downward; e.g., in the case of a seriously infirm defendant, home
detention may be as efficient as, and less costly than, imprisonment.
Drug or alcohol dependence or abuse ordinarily is not a reason for
a downward departure. Substance abuse is highly correlated to an
increased propensity to commit crime. Due to this increased risk, it is
highly recommended that a defendant who is incarcerated also be
sentenced to supervised release with a requirement that the defendant
participate in an appropriate substance abuse program (see Sec.
5D1.3(d)(4)). If participation in a substance abuse program is
required, the length of supervised release should take into account the
length of time necessary for the probation office to judge the success
of the program.
In certain cases a downward departure may be appropriate to
accomplish a specific treatment purpose. See Sec. 5C1.1, Application
Note 7.
In a case in which a defendant who is a substance abuser is
sentenced to probation, it is strongly recommended that the conditions
of probation contain a requirement that the defendant participate in an
appropriate substance abuse program (see Sec. 5B1.3(d)(4)).
Addiction to gambling is not a reason for a downward departure.
Sec. 5H1.5. Employment Record (Policy Statement)
Employment record is not ordinarily relevant in determining whether
a departure is warranted.
Employment record may be relevant in determining the conditions of
probation or supervised release (e.g., the appropriate hours of home
detention).
Sec. 5H1.6. Family Ties and Responsibilities (Policy Statement)
In sentencing a defendant convicted of an offense other than an
offense de-scribed in the following paragraph, family ties and
responsibilities are not ordinarily relevant in determining whether a
departure may be warranted.
In sentencing a defendant convicted of an offense involving a minor
victim under section 1201, an offense under section 1591, or an offense
under chapter 71, 109A, 110, or 117, of title 18, United States Code,
family ties and responsibilities and community ties are not relevant in
determining whether a sentence should be below the applicable guideline
range.
Family responsibilities that are complied with may be relevant to
the determination of the amount of restitution or fine.
Commentary
Application Note:
1. Circumstances to Consider.--
(A) In General.--In determining whether a departure is warranted
under this policy statement, the court shall consider the following
non-exhaustive list of circumstances:
(i) The seriousness of the offense.
(ii) The involvement in the offense, if any, of members of the
defendant's family.
(iii) The danger, if any, to members of the defendant's family as a
result of the offense.
(B) Departures Based on Loss of Caretaking or Financial Support.--A
departure under this policy statement based on the loss of caretaking
or financial support of the defendant's family requires, in addition to
the court's consideration of the non-exhaustive list of circumstances
in subdivision (A), the presence of the following circumstances:
(i) The defendant's service of a sentence within the applicable
guideline range will cause a substantial, direct, and specific loss of
essential caretaking, or essential financial support, to the
defendant's family.
(ii) The loss of caretaking or financial support substantially
exceeds the harm ordinarily incident to incarceration for a similarly
situated defendant. For example, the fact that the defendant's family
might incur some degree of financial hardship or suffer to some extent
from the absence of a parent through incarceration is not in itself
sufficient as a basis for departure because such hardship or suffering
is of a sort ordinarily incident to incarceration.
(iii) The loss of caretaking or financial support is one for which
no effective remedial or ameliorative programs reasonably are
available, making the defendant's caretaking or financial support
irreplaceable to the defendant's family.
(iv) The departure effectively will address the loss of caretaking
or financial support.
Background: Section 401(b)(4) of Public Law 108-21 directly amended
this policy statement to add the second paragraph, effective April 30,
2003.
Sec. 5H1.7. Role in the Offense (Policy Statement)
A defendant's role in the offense is relevant in determining the
applicable guideline range (see Chapter Three, Part B (Role in the
Offense)) but is not a basis for departing from that range (see
subsection (d) of Sec. 5K2.0 (Grounds for Departures)).
Sec. 5H1.8. Criminal History (Policy Statement)
A defendant's criminal history is relevant in determining the
applicable criminal history category. See Chapter Four (Criminal
History and Criminal Livelihood). For grounds of departure based on the
defendant's criminal history, see Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category).
Sec. 5H1.9. Dependence upon Criminal Activity for a Livelihood (Policy
Statement)
The degree to which a defendant depends upon criminal activity for
a livelihood is relevant in determining the appropriate sentence. See
Chapter Four, Part B (Career Offenders and Criminal Livelihood).
Sec. 5H1.10. Race, Sex, National Origin, Creed, Religion, and Socio-
Economic Status (Policy Statement)
These factors are not relevant in the determination of a sentence.
Sec. 5H1.11. Military, Civic, Charitable, or Public Service;
Employment-Related Contributions; Record of Prior Good Works (Policy
Statement)
Military service may be relevant in determining whether a departure
is war-ranted, if the military service, individually or in combination
with other offender characteristics, is present to an unusual degree
and distinguishes the case from the typical cases covered by the
guidelines.
Civic, charitable, or public service; employment-related
contributions; and
[[Page 89205]]
similar prior good works are not ordinarily relevant in determining
whether a departure is warranted.
Sec. 5H1.12. Lack of Guidance as a Youth and Similar Circumstances
(Policy Statement)
Lack of guidance as a youth and similar circumstances indicating a
disadvantaged upbringing are not relevant grounds in determining
whether a departure is warranted.''.
Chapter Five, Part K is amended in the heading by striking
``DEPARTURES'' and inserting ``ASSISTANCE TO AUTHORITIES''.
Chapter Five, Part K, Subpart 1 is amended by striking the heading
as follows:
``1. Substantial Assistance To Authorities''
Section 5K1.1 is amended by striking ``the court may depart from
the guidelines'' and inserting ``the court may impose a sentence that
is below the otherwise applicable guideline range''.
Chapter Five, Part K is amended by striking Subparts 2 and 3 in
their entirety as follows:
``2. Other Grounds For Departure
Sec. 5K2.0. Grounds for Departure (Policy Statement)
(a) Upward Departures in General and Downward Departures in
Criminal Cases Other than Child Crimes and Sexual Offenses.--
(1) In General.--The sentencing court may depart from the
applicable guideline range if--
(A) in the case of offenses other than child crimes and sexual
offenses, the court finds, pursuant to 18 U.S.C. 3553(b)(1), that there
exists an aggravating or mitigating circumstance; or
(B) in the case of child crimes and sexual offenses, the court
finds, pursuant to 18 U.S.C. 3553(b)(2)(A)(i), that there exists an
aggravating circumstance,
of a kind, or to a degree, not adequately taken into consideration
by the Sentencing Commission in formulating the guidelines that, in
order to advance the objectives set forth in 18 U.S.C. 3553(a)(2),
should result in a sentence different from that described.
(2) Departures Based on Circumstances of a Kind Not Adequately
Taken into Consideration.--
(A) Identified Circumstances.--This subpart (Chapter Five, Part K,
Subpart 2 (Other Grounds for Departure)) identifies some of the
circumstances that the Commission may have not adequately taken into
consideration in determining the applicable guideline range (e.g., as a
specific offense characteristic or other adjustment). If any such
circumstance is present in the case and has not adequately been taken
into consideration in determining the applicable guideline range, a
departure consistent with 18 U.S.C. 3553(b) and the provisions of this
subpart may be warranted.
(B) Unidentified Circumstances.--A departure may be warranted in
the exceptional case in which there is present a circumstance that the
Commission has not identified in the guidelines but that nevertheless
is relevant to determining the appropriate sentence.
(3) Departures Based on Circumstances Present to a Degree Not
Adequately Taken into Consideration.--A departure may be warranted in
an exceptional case, even though the circumstance that forms the basis
for the departure is taken into consideration in determining the
guideline range, if the court determines that such circumstance is
present in the offense to a degree substantially in excess of, or
substantially below, that which ordinarily is involved in that kind of
offense.
(4) Departures Based on Not Ordinarily Relevant Offender
Characteristics and Other Circumstances.--An offender characteristic or
other circumstance identified in Chapter Five, Part H (Offender
Characteristics) or elsewhere in the guidelines as not ordinarily
relevant in determining whether a departure is warranted may be
relevant to this determination only if such offender characteristic or
other circumstance is present to an exceptional degree.
(b) Downward Departures in Child Crimes and Sexual Offenses.--Under
18 U.S.C. 3553(b)(2)(A)(ii), the sentencing court may impose a sentence
below the range established by the applicable guidelines only if the
court finds that there exists a mitigating circumstance of a kind, or
to a degree, that--
(1) has been affirmatively and specifically identified as a
permissible ground of downward departure in the sentencing guidelines
or policy statements issued under section 994(a) of title 28, United
States Code, taking account of any amendments to such sentencing
guidelines or policy statements by act of Congress;
(2) has not adequately been taken into consideration by the
Sentencing Commission in formulating the guidelines; and
(3) should result in a sentence different from that described.
The grounds enumerated in this Part K of Chapter Five are the sole
grounds that have been affirmatively and specifically identified as a
permissible ground of downward departure in these sentencing guidelines
and policy statements. Thus, notwithstanding any other reference to
authority to depart downward elsewhere in this Sentencing Manual, a
ground of downward departure has not been affirmatively and
specifically identified as a permissible ground of downward departure
within the meaning of section 3553(b)(2) unless it is expressly
enumerated in this Part K as a ground upon which a downward departure
may be granted.
(c) Limitation on Departures Based on Multiple Circumstances.--The
court may depart from the applicable guideline range based on a
combination of two or more offender characteristics or other
circumstances, none of which independently is sufficient to provide a
basis for departure, only if--
(1) such offender characteristics or other circumstances, taken
together, make the case an exceptional one; and
(2) each such offender characteristic or other circumstance is--
(A) present to a substantial degree; and
(B) identified in the guidelines as a permissible ground for
departure, even if such offender characteristic or other circumstance
is not ordinarily relevant to a determination of whether a departure is
warranted.
(d) Prohibited Departures.--Notwithstanding subsections (a) and (b)
of this policy statement, or any other provision in the guidelines, the
court may not depart from the applicable guideline range based on any
of the following circumstances:
(1) Any circumstance specifically prohibited as a ground for
departure in Sec. Sec. 5H1.10 (Race, Sex, National Origin, Creed,
Religion, and Socio-Economic Status), 5H1.12 (Lack of Guidance as a
Youth and Similar Circumstances), the last sentence of 5H1.4 (Physical
Condition, Including Drug or Alcohol Dependence or Abuse; Gambling
Addiction), and the last sentence of 5K2.12 (Coercion and Duress).
(2) The defendant's acceptance of responsibility for the offense,
which may be taken into account only under Sec. 3E1.1 (Acceptance of
Responsibility).
(3) The defendant's aggravating or mitigating role in the offense,
which may be taken into account only under Sec. 3B1.1 (Aggravating
Role) or Sec. 3B1.2 (Mitigating Role), respectively.
(4) The defendant's decision, in and of itself, to plead guilty to
the offense or to enter a plea agreement with respect to the offense
(i.e., a departure may not
[[Page 89206]]
be based merely on the fact that the defendant decided to plead guilty
or to enter into a plea agreement, but a departure may be based on
justifiable, non-prohibited reasons as part of a sentence that is
recommended, or agreed to, in the plea agreement and accepted by the
court. See Sec. 6B1.2 (Standards for Acceptance of Plea Agreement).
(5) The defendant's fulfillment of restitution obligations only to
the extent required by law including the guidelines (i.e., a departure
may not be based on unexceptional efforts to remedy the harm caused by
the offense).
(6) Any other circumstance specifically prohibited as a ground for
departure in the guidelines.
(e) Requirement of Specific Reasons for Departure.--If the court
departs from the applicable guideline range, it shall state, pursuant
to 18 U.S.C. 3553(c), its specific reasons for departure in open court
at the time of sentencing and, with limited exception in the case of
statements received in camera, shall state those reasons with
specificity in the statement of reasons form.
Commentary
Application Notes:
1. Definitions.--For purposes of this policy statement:
`Circumstance' includes, as appropriate, an offender characteristic
or any other offense factor.
`Depart', `departure', `downward departure', and `upward departure'
have the meaning given those terms in Application Note 1 of the
Commentary to Sec. 1B1.1 (Application Instructions).
2. Scope of this Policy Statement.--
(A) Departures Covered by this Policy Statement.--This policy
statement covers departures from the applicable guideline range based
on offense characteristics or offender characteristics of a kind, or to
a degree, not adequately taken into consideration in determining that
range. See 18 U.S.C. 3553(b).
Subsection (a) of this policy statement applies to upward
departures in all cases covered by the guidelines and to downward
departures in all such cases except for downward departures in child
crimes and sexual offenses.
Subsection (b) of this policy statement applies only to downward
departures in child crimes and sexual offenses.
(B) Departures Covered by Other Guidelines.--This policy statement
does not cover the following departures, which are addressed elsewhere
in the guidelines: (i) departures based on the defendant's criminal
history (see Chapter Four (Criminal History and Criminal Livelihood),
particularly Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category)); (ii) departures based on the defendant's
substantial assistance to the authorities (see Sec. 5K1.1 (Substantial
Assistance to Authorities)); and (iii) departures based on early
disposition programs (see Sec. 5K3.1 (Early Disposition Programs)).
3. Kinds and Expected Frequency of Departures under Subsection
(a).--As set forth in subsection (a), there generally are two kinds of
departures from the guidelines based on offense characteristics and/or
offender characteristics: (A) departures based on circumstances of a
kind not adequately taken into consideration in the guidelines; and (B)
departures based on circumstances that are present to a degree not
adequately taken into consideration in the guidelines.
(A) Departures Based on Circumstances of a Kind Not Adequately
Taken into Account in Guidelines.--Subsection (a)(2) authorizes the
court to depart if there exists an aggravating or a mitigating
circumstance in a case under 18 U.S.C. 3553(b)(1), or an aggravating
circumstance in a case under 18 U.S.C. 3553(b)(2)(A)(i), of a kind not
adequately taken into consideration in the guidelines.
(i) Identified Circumstances.--This subpart (Chapter Five, Part K,
Subpart 2) identifies several circumstances that the Commission may
have not adequately taken into consideration in setting the offense
level for certain cases. Offense guidelines in Chapter Two (Offense
Conduct) and adjustments in Chapter Three (Adjustments) sometimes
identify circumstances the Commission may have not adequately taken
into consideration in setting the offense level for offenses covered by
those guidelines. If the offense guideline in Chapter Two or an
adjustment in Chapter Three does not adequately take that circumstance
into consideration in setting the offense level for the offense, and
only to the extent not adequately taken into consideration, a departure
based on that circumstance may be warranted.
(ii) Unidentified Circumstances.--A case may involve circumstances,
in addition to those identified by the guidelines, that have not
adequately been taken into consideration by the Commission, and the
presence of any such circumstance may warrant departure from the
guidelines in that case. However, inasmuch as the Commission has
continued to monitor and refine the guidelines since their inception to
take into consideration relevant circumstances in sentencing, it is
expected that departures based on such unidentified circumstances will
occur rarely and only in exceptional cases.
(B) Departures Based on Circumstances Present to a Degree Not
Adequately Taken into Consideration in Guidelines.--
(i) In General.--Subsection (a)(3) authorizes the court to depart
if there exists an aggravating or a mitigating circumstance in a case
under 18 U.S.C. 3553(b)(1), or an aggravating circumstance in a case
under 18 U.S.C. 3553(b)(2)(A)(i), to a degree not adequately taken into
consideration in the guidelines. However, inasmuch as the Commission
has continued to monitor and refine the guidelines since their
inception to determine the most appropriate weight to be accorded the
mitigating and aggravating circumstances specified in the guidelines,
it is expected that departures based on the weight accorded to any such
circumstance will occur rarely and only in exceptional cases.
(ii) Examples.--As set forth in subsection (a)(3), if the
applicable offense guideline and adjustments take into consideration a
circumstance identified in this subpart, departure is warranted only if
the circumstance is present to a degree substantially in excess of that
which ordinarily is involved in the offense. Accordingly, a departure
pursuant to Sec. 5K2.7 for the disruption of a governmental function
would have to be substantial to warrant departure from the guidelines
when the applicable offense guideline is bribery or obstruction of
justice. When the guideline covering the mailing of injurious articles
is applicable, however, and the offense caused disruption of a
governmental function, departure from the applicable guideline range
more readily would be appropriate. Similarly, physical injury would not
warrant departure from the guidelines when the robbery offense
guideline is applicable because the robbery guideline includes a
specific adjustment based on the extent of any injury. However, because
the robbery guideline does not deal with injury to more than one
victim, departure may be warranted if several persons were injured.
(C) Departures Based on Circumstances Identified as Not Ordinarily
Relevant.--Because certain circumstances are specified in the
guidelines as not ordinarily relevant to sentencing (see, e.g., Chapter
Five, Part H (Specific Offender Characteristics)), a departure based on
any one of such circumstances should occur only in exceptional cases,
and only if the circumstance is present in the case to an exceptional
degree. If two or more of
[[Page 89207]]
such circumstances each is present in the case to a substantial degree,
however, and taken together make the case an exceptional one, the court
may consider whether a departure would be warranted pursuant to
subsection (c). Departures based on a combination of not ordinarily
relevant circumstances that are present to a substantial degree should
occur extremely rarely and only in exceptional cases.
In addition, as required by subsection (e), each circumstance
forming the basis for a departure described in this subdivision shall
be stated with specificity in the statement of reasons form.
4. Downward Departures in Child Crimes and Sexual Offenses.--
(A) Definition.--For purposes of this policy statement, the term
`child crimes and sexual offenses' means offenses under any of the
following: 18 U.S.C. 1201 (involving a minor victim), 18 U.S.C. 1591,
or chapter 71, 109A, 110, or 117 of title 18, United States Code.
(B) Standard for Departure.--
(i) Requirement of Affirmative and Specific Identification of
Departure Ground.--The standard for a downward departure in child
crimes and sexual offenses differs from the standard for other
departures under this policy statement in that it includes a
requirement, set forth in 18 U.S.C. 3553(b)(2)(A)(ii)(I) and subsection
(b)(1) of this guideline, that any mitigating circumstance that forms
the basis for such a downward departure be affirmatively and
specifically identified as a ground for downward departure in this part
(i.e., Chapter Five, Part K).
(ii) Application of Subsection (b)(2).--The commentary in
Application Note 3 of this policy statement, except for the commentary
in Application Note 3(A)(ii) relating to unidentified circumstances,
shall apply to the court's determination of whether a case meets the
requirement, set forth in subsection 18 U.S.C. 3553(b)(2)(A)(ii)(II)
and subsection (b)(2) of this policy statement, that the mitigating
circumstance forming the basis for a downward departure in child crimes
and sexual offenses be of kind, or to a degree, not adequately taken
into consideration by the Commission.
5. Departures Based on Plea Agreements.--Subsection (d)(4)
prohibits a downward departure based only on the defendant's decision,
in and of itself, to plead guilty to the offense or to enter a plea
agreement with respect to the offense. Even though a departure may not
be based merely on the fact that the defendant agreed to plead guilty
or enter a plea agreement, a departure may be based on justifiable,
non-prohibited reasons for departure as part of a sentence that is
recommended, or agreed to, in the plea agreement and accepted by the
court. See Sec. 6B1.2 (Standards for Acceptance of Plea Agreements).
In cases in which the court departs based on such reasons as set forth
in the plea agreement, the court must state the reasons for departure
with specificity in the statement of reasons form, as required by
subsection (e).
Background: This policy statement sets forth the standards for
departing from the applicable guideline range based on offense and
offender characteristics of a kind, or to a degree, not adequately
considered by the Commission. Circumstances the Commission has
determined are not ordinarily relevant to determining whether a
departure is warranted or are prohibited as bases for departure are
addressed in Chapter Five, Part H (Offender Characteristics) and in
this policy statement. Other departures, such as those based on the
defendant's criminal history, the defendant's substantial assistance to
authorities, and early disposition programs, are addressed elsewhere in
the guidelines.
As acknowledged by Congress in the Sentencing Reform Act and by the
Commission when the first set of guidelines was promulgated, `it is
difficult to prescribe a single set of guidelines that encompasses the
vast range of human conduct potentially relevant to a sentencing
decision.' (See Chapter One, Part A). Departures, therefore, perform an
integral function in the sentencing guideline system. Departures permit
courts to impose an appropriate sentence in the exceptional case in
which mechanical application of the guidelines would fail to achieve
the statutory purposes and goals of sentencing. Departures also help
maintain `sufficient flexibility to permit individualized sentences
when warranted by mitigating or aggravating factors not taken into
account in the establishment of general sentencing practices.' 28
U.S.C. 991(b)(1)(B). By monitoring when courts depart from the
guidelines and by analyzing their stated reasons for doing so, along
with appellate cases reviewing these departures, the Commission can
further refine the guidelines to specify more precisely when departures
should and should not be permitted.
As reaffirmed in the Prosecutorial Remedies and Other Tools to end
the Exploitation of Children Today Act of 2003 (the `PROTECT Act',
Public Law 108-21), circumstances warranting departure should be rare.
Departures were never intended to permit sentencing courts to
substitute their policy judgments for those of Congress and the
Sentencing Commission. Departure in such circumstances would produce
unwarranted sentencing disparity, which the Sentencing Reform Act was
designed to avoid.
In order for appellate courts to fulfill their statutory duties
under 18 U.S.C. 3742 and for the Commission to fulfill its ongoing
responsibility to refine the guidelines in light of information it
receives on departures, it is essential that sentencing courts state
with specificity the reasons for departure, as required by the PROTECT
Act.
This policy statement, including its commentary, was substantially
revised, effective October 27, 2003, in response to directives
contained in the PROTECT Act, particularly the directive in section
401(m) of that Act to--
`(1) review the grounds of downward departure that are authorized
by the sentencing guidelines, policy statements, and official
commentary of the Sentencing Commission; and
(2) promulgate, pursuant to section 994 of title 28, United States
Code--
(A) appropriate amendments to the sentencing guidelines, policy
statements, and official commentary to ensure that the incidence of
downward departures is substantially reduced;
(B) a policy statement authorizing a departure pursuant to an early
disposition program; and
(C) any other conforming amendments to the sentencing guidelines,
policy statements, and official commentary of the Sentencing Commission
necessitated by the Act, including a revision of . . . section 5K2.0'.
The substantial revision of this policy statement in response to
the PROTECT Act was intended to refine the standards applicable to
departures while giving due regard for concepts, such as the
`heartland', that have evolved in departure jurisprudence over time.
Section 401(b)(1) of the PROTECT Act directly amended this policy
statement to add subsection (b), effective April 30, 2003.
Sec. 5K2.1. Death (Policy Statement)
If death resulted, the court may increase the sentence above the
authorized guideline range.
Loss of life does not automatically suggest a sentence at or near
the statutory maximum. The sentencing judge must give consideration to
matters that would normally distinguish among levels of homicide, such
as the defendant's state of mind and the degree of planning or
preparation. Other appropriate factors are whether multiple deaths
resulted, and the means by
[[Page 89208]]
which life was taken. The extent of the increase should depend on the
dangerousness of the defendant's conduct, the extent to which death or
serious injury was intended or knowingly risked, and the extent to
which the offense level for the offense of conviction, as determined by
the other Chapter Two guidelines, already reflects the risk of personal
injury. For example, a substantial increase may be appropriate if the
death was intended or knowingly risked or if the underlying offense was
one for which base offense levels do not reflect an allowance for the
risk of personal injury, such as fraud.
Sec. 5K2.2. Physical Injury (Policy Statement)
If significant physical injury resulted, the court may increase the
sentence above the authorized guideline range. The extent of the
increase ordinarily should depend on the extent of the injury, the
degree to which it may prove permanent, and the extent to which the
injury was intended or knowingly risked. When the victim suffers a
major, permanent disability and when such injury was intentionally
inflicted, a substantial departure may be appropriate. If the injury is
less serious or if the defendant (though criminally negligent) did not
knowingly create the risk of harm, a less substantial departure would
be indicated. In general, the same considerations apply as in Sec.
5K2.1.
Sec. 5K2.3. Extreme Psychological Injury (Policy Statement)
If a victim or victims suffered psychological injury much more
serious than that normally resulting from commission of the offense,
the court may increase the sentence above the authorized guideline
range. The extent of the increase ordinarily should depend on the
severity of the psychological injury and the extent to which the injury
was intended or knowingly risked.
Normally, psychological injury would be sufficiently severe to
warrant application of this adjustment only when there is a substantial
impairment of the intellectual, psychological, emotional, or behavioral
functioning of a victim, when the impairment is likely to be of an
extended or continuous duration, and when the impairment manifests
itself by physical or psychological symptoms or by changes in behavior
patterns. The court should consider the extent to which such harm was
likely, given the nature of the defendant's conduct.
Sec. 5K2.4. Abduction or Unlawful Restraint (Policy Statement)
If a person was abducted, taken hostage, or unlawfully restrained
to facilitate commission of the offense or to facilitate the escape
from the scene of the crime, the court may increase the sentence above
the authorized guideline range.
Sec. 5K2.5. Property Damage or Loss (Policy Statement)
If the offense caused property damage or loss not taken into
account within the guidelines, the court may increase the sentence
above the authorized guideline range. The extent of the increase
ordinarily should depend on the extent to which the harm was intended
or knowingly risked and on the extent to which the harm to property is
more serious than other harm caused or risked by the conduct relevant
to the offense of conviction.
Sec. 5K2.6. Weapons and Dangerous Instrumentalities (Policy Statement)
If a weapon or dangerous instrumentality was used or possessed in
the commission of the offense the court may increase the sentence above
the authorized guideline range. The extent of the increase ordinarily
should depend on the dangerousness of the weapon, the manner in which
it was used, and the extent to which its use endangered others. The
discharge of a firearm might warrant a substantial sentence increase.
Sec. 5K2.7. Disruption of Governmental Function (Policy Statement)
If the defendant's conduct resulted in a significant disruption of
a governmental function, the court may increase the sentence above the
authorized guideline range to reflect the nature and extent of the
disruption and the importance of the governmental function affected.
Departure from the guidelines ordinarily would not be justified when
the offense of conviction is an offense such as bribery or obstruction
of justice; in such cases interference with a governmental function is
inherent in the offense, and unless the circumstances are unusual the
guidelines will reflect the appropriate punishment for such
interference.
Sec. 5K2.8. Extreme Conduct (Policy Statement)
If the defendant's conduct was unusually heinous, cruel, brutal, or
degrading to the victim, the court may increase the sentence above the
guideline range to reflect the nature of the conduct. Examples of
extreme conduct include torture of a victim, gratuitous infliction of
injury, or prolonging of pain or humiliation.
Sec. 5K2.9. Criminal Purpose (Policy Statement)
If the defendant committed the offense in order to facilitate or
conceal the commission of another offense, the court may increase the
sentence above the guideline range to reflect the actual seriousness of
the defendant's conduct.
Sec. 5K2.10. Victim's Conduct (Policy Statement)
If the victim's wrongful conduct contributed significantly to
provoking the offense behavior, the court may reduce the sentence below
the guideline range to reflect the nature and circumstances of the
offense. In deciding whether a sentence reduction is warranted, and the
extent of such reduction, the court should consider the following:
(1) The size and strength of the victim, or other relevant physical
characteristics, in comparison with those of the defendant.
(2) The persistence of the victim's conduct and any efforts by the
defendant to prevent confrontation.
(3) The danger reasonably perceived by the defendant, including the
victim's reputation for violence.
(4) The danger actually presented to the defendant by the victim.
(5) Any other relevant conduct by the victim that substantially
contributed to the danger presented.
(6) The proportionality and reasonableness of the defendant's
response to the victim's provocation.
Victim misconduct ordinarily would not be sufficient to warrant
application of this provision in the context of offenses under Chapter
Two, Part A, Subpart 3 (Criminal Sexual Abuse). In addition, this
provision usually would not be relevant in the context of non-violent
offenses. There may, however, be unusual circumstances in which
substantial victim misconduct would warrant a reduced penalty in the
case of a non-violent offense. For example, an extended course of
provocation and harassment might lead a defendant to steal or destroy
property in retaliation.
Sec. 5K2.11. Lesser Harms (Policy Statement)
Sometimes, a defendant may commit a crime in order to avoid a
perceived greater harm. In such instances, a reduced sentence may be
appropriate, provided that the circumstances significantly diminish
society's interest in punishing the conduct, for example, in the case
of a mercy killing. Where the
[[Page 89209]]
interest in punishment or deterrence is not reduced, a reduction in
sentence is not warranted. For example, providing defense secrets to a
hostile power should receive no lesser punishment simply because the
defendant believed that the government's policies were misdirected.
In other instances, conduct may not cause or threaten the harm or
evil sought to be prevented by the law proscribing the offense at
issue. For example, where a war veteran possessed a machine gun or
grenade as a trophy, or a school teacher possessed controlled
substances for display in a drug education program, a reduced sentence
might be warranted.
Sec. 5K2.12. Coercion and Duress (Policy Statement)
If the defendant committed the offense because of serious coercion,
blackmail or duress, under circumstances not amounting to a complete
defense, the court may depart downward. The extent of the decrease
ordinarily should depend on the reasonableness of the defendant's
actions, on the proportionality of the defendant's actions to the
seriousness of coercion, blackmail, or duress involved, and on the
extent to which the conduct would have been less harmful under the
circumstances as the defendant believed them to be. Ordinarily coercion
will be sufficiently serious to warrant departure only when it involves
a threat of physical injury, substantial damage to property or similar
injury resulting from the unlawful action of a third party or from a
natural emergency. Notwithstanding this policy statement, personal
financial difficulties and economic pressures upon a trade or business
do not warrant a downward departure.
Sec. 5K2.13. Diminished Capacity (Policy Statement)
A downward departure may be warranted if (1) the defendant
committed the offense while suffering from a significantly reduced
mental capacity; and (2) the significantly reduced mental capacity
contributed substantially to the commission of the offense. Similarly,
if a departure is warranted under this policy statement, the extent of
the departure should reflect the extent to which the reduced mental
capacity contributed to the commission of the offense.
However, the court may not depart below the applicable guideline
range if (1) the significantly reduced mental capacity was caused by
the voluntary use of drugs or other intoxicants; (2) the facts and
circumstances of the defendant's offense indicate a need to protect the
public because the offense involved actual violence or a serious threat
of violence; (3) the defendant's criminal history indicates a need to
incarcerate the defendant to protect the public; or (4) the defendant
has been convicted of an offense under chapter 71, 109A, 110, or 117,
of title 18, United States Code.
Commentary
Application Note:
1. For purposes of this policy statement--
`Significantly reduced mental capacity' means the defendant,
although convicted, has a significantly impaired ability to (A)
understand the wrongfulness of the behavior comprising the offense or
to exercise the power of reason; or (B) control behavior that the
defendant knows is wrongful.
Background: Section 401(b)(5) of Public Law 108-21 directly amended
this policy statement to add subdivision (4), effective April 30, 2003.
Sec. 5K2.14. Public Welfare (Policy Statement)
If national security, public health, or safety was significantly
endangered, the court may depart upward to reflect the nature and
circumstances of the offense.
Sec. 5K2.16. Voluntary Disclosure of Offense (Policy Statement)
If the defendant voluntarily discloses to authorities the existence
of, and accepts responsibility for, the offense prior to the discovery
of such offense, and if such offense was unlikely to have been
discovered otherwise, a downward departure may be warranted. For
example, a downward departure under this section might be considered
where a defendant, motivated by remorse, discloses an offense that
otherwise would have remained undiscovered. This provision does not
apply where the motivating factor is the defendant's knowledge that
discovery of the offense is likely or imminent, or where the
defendant's disclosure occurs in connection with the investigation or
prosecution of the defendant for related conduct.
Sec. 5K2.17. Semiautomatic Firearms Capable of Accepting Large
Capacity Magazine (Policy Statement)
If the defendant possessed a semiautomatic firearm capable of
accepting a large capacity magazine in connection with a crime of
violence or controlled substance offense, an upward departure may be
warranted. A `semiautomatic firearm capable of accepting a large
capacity magazine' means a semiautomatic firearm that has the ability
to fire many rounds without reloading because at the time of the
offense (1) the firearm had attached to it a magazine or similar device
that could accept more than 15 rounds of ammunition; or (2) a magazine
or similar device that could accept more than 15 rounds of ammunition
was in close proximity to the firearm. The extent of any increase
should depend upon the degree to which the nature of the weapon
increased the likelihood of death or injury in the circumstances of the
particular case.
Commentary
Application Note:
1. `Crime of violence' and `controlled substance offense' are
defined in Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1).
Sec. 5K2.18. Violent Street Gangs (Policy Statement)
If the defendant is subject to an enhanced sentence under 18 U.S.C.
521 (pertaining to criminal street gangs), an upward departure may be
warranted. The purpose of this departure provision is to enhance the
sentences of defendants who participate in groups, clubs,
organizations, or associations that use violence to further their ends.
It is to be noted that there may be cases in which 18 U.S.C. 521
applies, but no violence is established. In such cases, it is expected
that the guidelines will account adequately for the conduct and,
consequently, this departure provision would not apply.
Sec. 5K2.20. Aberrant Behavior (Policy Statement)
(a) In General.--Except where a defendant is convicted of an
offense involving a minor victim under section 1201, an offense under
section 1591, or an offense under chapter 71, 109A, 110, or 117, of
title 18, United States Code, a downward departure may be warranted in
an exceptional case if (1) the defendant's criminal conduct meets the
requirements of subsection (b); and (2) the departure is not prohibited
under subsection (c).
(b) Requirements.--The court may depart downward under this policy
statement only if the defendant committed a single criminal occurrence
or single criminal transaction that (1) was committed without
significant planning; (2) was of limited duration; and (3) represents a
marked deviation by the defendant from an otherwise law-abiding life.
(c) Prohibitions Based on the Presence of Certain Circumstances.--
The court may not depart downward pursuant to
[[Page 89210]]
this policy statement if any of the following circumstances are
present:
(1) The offense involved serious bodily injury or death.
(2) The defendant discharged a firearm or otherwise used a firearm
or a dangerous weapon.
(3) The instant offense of conviction is a serious drug trafficking
offense.
(4) The defendant has either of the following: (A) more than one
criminal history point, as determined under Chapter Four (Criminal
History and Criminal Livelihood) before application of subsection (b)
of Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category); or (B) a prior federal or state felony conviction, or any
other significant prior criminal behavior, regardless of whether the
conviction or significant prior criminal behavior is countable under
Chapter Four.
Commentary
Application Notes:
1. Definitions.--For purposes of this policy statement:
`Dangerous weapon,' `firearm,' `otherwise used,' and `serious
bodily injury' have the meaning given those terms in the Commentary to
Sec. 1B1.1 (Application Instructions).
`Serious drug trafficking offense' means any controlled substance
offense under title 21, United States Code, other than simple
possession under 21 U.S.C. 844, that provides for a mandatory minimum
term of imprisonment of five years or greater, regardless of whether
the defendant meets the criteria of Sec. 5C1.2 (Limitation on
Applicability of Statutory Mandatory Minimum Sentences in Certain
Cases).
2. Repetitious or Significant, Planned Behavior.--Repetitious or
significant, planned behavior does not meet the requirements of
subsection (b). For example, a fraud scheme generally would not meet
such requirements because such a scheme usually involves repetitive
acts, rather than a single occurrence or single criminal transaction,
and significant planning.
3. Other Circumstances to Consider.--In determining whether the
court should depart under this policy statement, the court may consider
the defendant's (A) mental and emotional conditions; (B) employment
record; (C) record of prior good works; (D) motivation for committing
the offense; and (E) efforts to mitigate the effects of the offense.
Background: Section 401(b)(3) of Public Law 108-21 directly amended
subsection (a) of this policy statement, effective April 30, 2003.
Sec. 5K2.21. Dismissed and Uncharged Conduct (Policy Statement)
The court may depart upward to reflect the actual seriousness of
the offense based on conduct (1) underlying a charge dismissed as part
of a plea agreement in the case, or underlying a potential charge not
pursued in the case as part of a plea agreement or for any other
reason; and (2) that did not enter into the determination of the
applicable guideline range.
Sec. 5K2.22. Specific Offender Characteristics as Grounds for Downward
Departure in Child Crimes and Sexual Offenses (Policy Statement)
In sentencing a defendant convicted of an offense involving a minor
victim under section 1201, an offense under section 1591, or an offense
under chapter 71, 109A, 110, or 117, of title 18, United States Code:
(1) Age may be a reason to depart downward only if and to the
extent permitted by Sec. 5H1.1.
(2) An extraordinary physical impairment may be a reason to depart
downward only if and to the extent permitted by Sec. 5H1.4.
(3) Drug, alcohol, or gambling dependence or abuse is not a reason
to depart downward.
Commentary
Background: Section 401(b)(2) of Public Law 108-21 directly amended
Chapter Five, Part K, to add this policy statement, effective April 30,
2003.
Sec. 5K2.23. Discharged Terms of Imprisonment (Policy Statement)
A downward departure may be appropriate if the defendant (1) has
completed serving a term of imprisonment; and (2) subsection (b) of
Sec. 5G1.3 (Imposition of a Sentence on a Defendant Subject to
Undischarged Term of Imprisonment or Anticipated Term of Imprisonment)
would have provided an adjustment had that completed term of
imprisonment been undischarged at the time of sentencing for the
instant offense. Any such departure should be fashioned to achieve a
reasonable punishment for the instant offense.
Sec. 5K2.24. Commission of Offense While Wearing or Displaying
Unauthorized or Counterfeit Insignia or Uniform (Policy Statement)
If, during the commission of the offense, the defendant wore or
displayed an official, or counterfeit official, insignia or uniform
received in violation of 18 U.S.C. 716, an upward departure may be
warranted.
Commentary
Application Note:
1. Definition.--For purposes of this policy statement, `official
insignia or uniform' has the meaning given that term in 18 U.S.C. Sec.
716(c)(3).
3. Early Disposition Programs
Sec. 5K3.1. Early Disposition Programs (Policy Statement)
Upon motion of the Government, the court may depart downward not
more than 4 levels pursuant to an early disposition program authorized
by the Attorney General of the United States and the United States
Attorney for the district in which the court resides.
Commentary
Background: This policy statement implements the directive to the
Commission in section 401(m)(2)(B) of the Prosecutorial Remedies and
Other Tools to end the Exploitation of Children Today Act of 2003 (the
`PROTECT Act', Public Law 108-21).''.
Chapter Eight is amended--
by redesignating Chapter Eight as Chapter Nine;
in the heading by striking ``Chapter Eight'' and inserting
``Chapter Nine'';
in Part A by redesignating Sec. Sec. 8A1.1 and 8A1.2 as Sec. Sec.
9A1.1 and 9A1.2, respectively;
in Part B, Subpart 1 by redesignating Sec. Sec. 8B1.1, 8B1.2,
8B1.3, and 8B1.4 as Sec. Sec. 9B1.1, 9B1.2, 9B1.3, and 9B1.4,
respectively;
in Part B, Subpart 2 by redesignating Sec. 8B2.1 as Sec. 9B2.1;
in Part C, Subpart 1 by redesignating Sec. 8C1.1 as Sec. 9C1.1;
in Part C, Subpart 2 by redesignating Sec. Sec. 8C2.1, 8C2.2,
8C2.3, 8C2.4, 8C2.5, 8C2.6, 8C2.7, 8C2.8, 8C2.9, and 8C2.10 as
Sec. Sec. 9C2.1, 9C2.2, 9C2.3, 9C2.4, 9C2.5, 9C2.6, 9C2.7, 9C2.8,
9C2.9, and 9C2.10, respectively;
in Part C, Subpart 3 by redesignating Sec. Sec. 8C3.1, 8C3.2,
8C3.3, and 8C3.4 as Sec. Sec. 9C3.1, 9C3.2, 9C3.3, and 9C3.4,
respectively;
in Part C, Subpart 4--
by redesignating Sec. 8C4.1 as Sec. 9C4.1;
and striking Sec. Sec. 8C4.2 through 8C4.11 as follows:
``Sec. 8C4.2. Risk of Death or Bodily Injury (Policy Statement)
If the offense resulted in death or bodily injury, or involved a
foreseeable risk of death or bodily injury, an upward departure may be
warranted. The extent of any such departure should depend, among other
factors, on the nature of the harm and the extent to which the harm was
intended or knowingly risked, and the extent to
[[Page 89211]]
which such harm or risk is taken into account within the applicable
guideline fine range.
Sec. 8C4.3. Threat to National Security (Policy Statement)
If the offense constituted a threat to national security, an upward
departure may be warranted.
Sec. 8C4.4. Threat to the Environment (Policy Statement)
If the offense presented a threat to the environment, an upward
departure may be warranted.
Sec. 8C4.5. Threat to a Market (Policy Statement)
If the offense presented a risk to the integrity or continued
existence of a market, an upward departure may be warranted. This
section is applicable to both private markets (e.g., a financial
market, a commodities market, or a market for consumer goods) and
public markets (e.g., government contracting).
Sec. 8C4.6. Official Corruption (Policy Statement)
If the organization, in connection with the offense, bribed or
unlawfully gave a gratuity to a public official, or attempted or
conspired to bribe or unlawfully give a gratuity to a public official,
an upward departure may be warranted.
Sec. 8C4.7. Public Entity (Policy Statement)
If the organization is a public entity, a downward departure may be
warranted.
Sec. 8C4.8. Members or Beneficiaries of the Organization as Victims
(Policy Statement)
If the members or beneficiaries, other than shareholders, of the
organization are direct victims of the offense, a downward departure
may be warranted. If the members or beneficiaries of an organization
are direct victims of the offense, imposing a fine upon the
organization may increase the burden upon the victims of the offense
without achieving a deterrent effect. In such cases, a fine may not be
appropriate. For example, departure may be appropriate if a labor union
is convicted of embezzlement of pension funds.
Sec. 8C4.9. Remedial Costs that Greatly Exceed Gain (Policy Statement)
If the organization has paid or has agreed to pay remedial costs
arising from the offense that greatly exceed the gain that the
organization received from the offense, a downward departure may be
warranted. In such a case, a substantial fine may not be necessary in
order to achieve adequate punishment and deterrence. In deciding
whether departure is appropriate, the court should consider the level
and extent of substantial authority personnel involvement in the
offense and the degree to which the loss exceeds the gain. If an
individual within high-level personnel was involved in the offense, a
departure would not be appropriate under this section. The lower the
level and the more limited the extent of substantial authority
personnel involvement in the offense, and the greater the degree to
which remedial costs exceeded or will exceed gain, the less will be the
need for a substantial fine to achieve adequate punishment and
deterrence.
Sec. 8C4.10. Mandatory Programs to Prevent and Detect Violations of
Law (Policy Statement)
If the organization's culpability score is reduced under Sec.
8C2.5(f) (Effective Compliance and Ethics Program) and the organization
had implemented its program in response to a court order or
administrative order specifically directed at the organization, an
upward departure may be warranted to offset, in part or in whole, such
reduction.
Similarly, if, at the time of the instant offense, the organization
was required by law to have an effective compliance and ethics program,
but the organization did not have such a program, an upward departure
may be warranted.
Sec. 8C4.11. Exceptional Organizational Culpability (Policy Statement)
If the organization's culpability score is greater than 10, an
upward departure may be appropriate.
If no individual within substantial authority personnel
participated in, condoned, or was willfully ignorant of the offense;
the organization at the time of the offense had an effective program to
prevent and detect violations of law; and the base fine is determined
under Sec. 8C2.4(a)(1), Sec. 8C2.4(a)(3), or a special instruction
for fines in Chapter Two (Offense Conduct), a downward departure may be
warranted. In a case meeting these criteria, the court may find that
the organization had exceptionally low culpability and therefore a fine
based on loss, offense level, or a special Chapter Two instruction
results in a guideline fine range higher than necessary to achieve the
purposes of sentencing. Nevertheless, such fine should not be lower
than if determined under Sec. 8C2.4(a)(2).'';
in Part D by redesignating Sec. Sec. 8D1.1, 8D1.2, 8D1.3, and
8D1.4 as Sec. Sec. 9D1.1, 9D1.2, 9D1.3, and 9D1.4, respectively;
in Part E by redesignating Sec. Sec. 8E1.1, 8E1.2, and 8E1.3 as
Sec. Sec. 9E1.1, 9E1.2, and 9E1.3, respectively;
and in Part F by redesignating Sec. 8F1.1 as Sec. 9F1.1.
Chapter Seven is amended--
by redesignating Chapter Seven as Chapter Eight;
in the heading by striking ``Chapter Seven'' and inserting
``Chapter Eight'';
and in Part B by redesignating Sec. Sec. 7B1.1, 7B1.2, 7B1.3,
7B1.4, and 7B1.5 as Sec. Sec. 8B1.1, 8B1.2, 8B1.3, 8B1.4, and 8B1.5.
Chapter Six is amended--
by redesignating Chapter Six as Chapter Seven;
in the heading by striking ``Chapter Six'' and inserting ``Chapter
Seven'';
in Part A--
by redesignating Sec. Sec. 6A1.1, 6A1.2, 6A1.3, and 6A1.5 as
Sec. Sec. 7A1.1, 7A1.2, 7A1.3, and 7A1.4, respectively;
and by striking Sec. 6A1.4 as follows:
``Sec. 6A1.4. Notice of Possible Departure (Policy Statement)
Before the court may depart from the applicable sentencing
guideline range on a ground not identified for departure either in the
presentence report or in a party's prehearing submission, the court
must give the parties reasonable notice that it is contemplating such a
departure. The notice must specify any ground on which the court is
contemplating a departure. Rule 32(h), Fed. R. Crim. P.
Commentary
Background: The Federal Rules of Criminal Procedure were amended,
effective December 1, 2002, to incorporate into Rule 32(h) the holding
in Burns v. United States, 501 U.S. 129, 138-39 (1991). This policy
statement parallels Rule 32(h), Fed. R. Crim. P.'';
and in Part B by redesignating Sec. Sec. 6B1.1, 6B1.2, 6B1.3, and
6B1.4 as Sec. Sec. 7B1.1, 7B1.2, 7B1.3, and 7B1.4, respectively.
The Guidelines Manual is amended by inserting before Chapter Seven
(Sentencing Procedures, Plea Agreements, and Crime Victims' Rights) (as
so redesignated) the following new Chapter Six:
``Chapter Six
Determining the Sentence
Introductory Commentary
The Sentencing Reform Act of 1984 (Title II of the Comprehensive
Crime Control Act of 1984) (the `Act') provides that courts must
consider a variety of factors when imposing a sentence `sufficient but
not greater than necessary' to comply with the purposes
[[Page 89212]]
of sentencing as set forth in the Act. 18 U.S.C. 3553(a). The Act
provides for the development of guidelines that will further the basic
purposes of criminal punishment. 28 U.S.C. 994(f). Originally, those
guidelines were mandatory under the Act, with limited exceptions. See
18 U.S.C. 3553(b). Later, in United States v. Booker, 543 U.S. 220
(2005), the Supreme Court held that the provision in 18 U.S.C. 3553(b)
making the guidelines mandatory was unconstitutional. Following Booker,
the guideline ranges established by application of the Guidelines
Manual remain `the starting point and the initial benchmark' of
sentencing, though the guidelines are advisory in nature. See Gall v.
United States, 552 U.S. 38, 49 (2007); Peugh v. United States, 569 U.S.
530 (2013) (noting that `the post-Booker federal sentencing system
adopted procedural measures that make the guidelines the `lodestone' of
sentencing'). Consistent with 18 U.S.C. 3553(a), which remains binding
on courts following Booker, courts must also consider a variety of
additional factors when determining the sentence to be imposed.
As background, Congress provided specific directives to the
Commission when setting a guideline range for `each category of offense
involving each category of defendant.' 28 U.S.C. 994(b)(1).
First, to effectuate Congress's intent that sentences not `afford
preferential treatment to defendants of a particular race or religion
or level of affluence, or to relegate to prisons defendants who are
poor, uneducated, and in need of education and vocational training,'
Rep. 225, 98th Cong., 1st Sess. 171 (1983), the Act directs the
Commission to ensure that the guidelines and policy statements `are
entirely neutral' as to five characteristics--race, sex, national
origin, creed, and socioeconomic status. See 28 U.S.C. 994(d).
Second, the Act directs the Commission to consider (a) whether
seven matters, `among others,' have any relevance to the nature,
extent, place of service, or other aspects of an appropriate sentence
for purposes of establishing categories of offenses, and (b) whether
eleven matters, `among others', have any relevance to the nature,
extent, place of service, or other aspects of an appropriate sentence
for purposes of establishing categories of defendants, and to take them
into account in the guidelines and policy statements only to the extent
that they do have relevance. See 28 U.S.C. 994(d).
Third, to effectuate Congress's intent to `guard against the
inappropriate use of incarceration for those defendants who lack
education, employment, and stabilizing ties.' S. Rep. 225, 98th Cong.,
1st Sess. 174 (1983), the Act directs the Commission to ensure that the
guidelines and policy statements, in recommending a term of
imprisonment or length of a term of imprisonment, reflect the `general
inappropriateness' of considering five of those characteristics--
education; vocational skills; employment record; family ties and
responsibilities; and community ties. See 28 U.S.C. 994(e).
The statutory requirements placed by Congress upon courts in 18
U.S.C. 3553(a), however, do not include the same limitations placed
upon the Commission. Accordingly, the purpose of this chapter is to
assist courts in complying with their obligation under 18 U.S.C.
3553(a) to consider a variety of factors, including the `nature and
circumstances of the offense and the history and characteristics of the
defendant,' in addition to the guideline range when determining the
sentence to be imposed. This chapter provides examples of factors that
are generally not considered in the calculation of the guideline range
in Chapters Two through Five, but which courts regularly consider
pursuant to section 3553(a). The Commission recognizes that the nature,
extent, and significance of various considerations may be difficult or
impossible to quantify for purposes of establishing the guideline
ranges. As such, the factors identified in this chapter are neither
weighted in any manner nor intended to be comprehensive so as to
otherwise infringe upon the court's unique position to determine the
most appropriate sentence.
Part A--Consideration of Factors in 18 U.S.C. 3553(a)
Sec. 6A1.1. Factors To Be Considered in Imposing a Sentence (Policy
Statement)
(a) After determining the kinds of sentence and guidelines range
pursuant to subsection (a) of Sec. 1B1.1 (Application Instructions)
and 18 U.S.C. 3553(a)(4) and (5), the court shall consider the other
applicable factors in 18 U.S.C. 3553(a) to determine a sentence that is
sufficient but not greater than necessary. Specifically, as set forth
in 18 U.S.C. 3553(a), in determining the particular sentence to be
imposed, the court shall also consider--
(1) the nature and circumstances of the offense and the history and
characteristics of the defendant;
(2) the need for the sentence imposed to meet the purposes of
sentencing listed in 18 U.S.C. 3553(a)(2);
(3) the kinds of sentences available;
(4) the need to avoid unwarranted sentence disparities among
defendants with similar records who have been found guilty of similar
conduct; and
(5) the need to provide restitution to any victims of the offense.
Commentary
Section 3553(a) of title 18, United States Code, requires courts to
impose a sentence `sufficient, but not greater than necessary,' to
comply with the purposes of sentencing set forth in 18 U.S.C.
3553(a)(2). See 18 U.S.C. 3553(a). After determining the kinds of
sentence and guidelines range, the court must also fully consider the
factors in 18 U.S.C. 3553(a), including, among other factors, `the
nature and circumstances of the offense and the history and
characteristics of the defendant,' to determine an appropriate
sentence. To the extent that any of the above-noted statutory
provisions conflict with the provisions of this policy statement, the
applicable statutory provision shall control.
Sec. 6A1.2. Factors Relating to Individual Circumstances (Policy
Statement)
(a) In considering the history and characteristics of the defendant
pursuant to 18 U.S.C. 3553(a)(1), the following factors may be
relevant:
(1) Age.
(2) Education.
(3) Vocational Skills.
(4) Mental and Emotional Conditions.
(5) Diminished Mental Capacity.
(6) Physical Condition.
(7) Drug or Alcohol Dependence.
(8) Gambling Addiction.
(9) Previous Employment Record.
(10) Family Ties and Responsibilities.
(11) Lack of Guidance as a Youth and Similar Circumstances.
(12) Community Ties.
(13) Role in the Offense.
(14) Personal Financial Difficulties and Economic Pressures.
(15) Degree of Dependence Upon Criminal Activity for a Livelihood.
(16) Military Service.
(17) Civic, Charitable, or Public Service.
(18) Employment-Related Contributions.
(19) Record of Prior Good Works.
(20) Aberrant Behavior.
(21) Other Individual Circumstances Relating to the Culpability of
or the Need to Incapacitate the Defendant.
Commentary
This policy statement recognizes that the nature, extent, and
significance of individual circumstances can involve a range of
considerations that are difficult or impossible to quantify for
purposes of
[[Page 89213]]
establishing the guideline range. This policy statement provides
examples of factors relating to the history and characteristics of the
defendant that are generally not considered in the calculation of the
guideline range in Chapters Two through Five, but which courts
regularly consider pursuant to 18 U.S.C. 3553(a). The factors
identified in this policy statement are not weighted in any manner or
intended to be comprehensive or to otherwise infringe upon the court's
unique position to determine the most appropriate sentence.
Sec. 6A1.3. Factors Relating to the Nature and Circumstances of the
Offense (Policy Statement)
(a) In considering the nature and circumstances of the offense
pursuant to 18 U.S.C. 3553(a)(1), the following factors, if not
accounted for in the applicable Chapter Two guideline, may be relevant:
(1) Other Offense Specific Conduct Over- or Under-Representing
Serious of Offense.--Additional factors the court determines support a
finding that the offense level determined under the applicable
guideline over- or under-represents the seriousness of the offense.
Such factors may be identified in specific Chapter Two guidelines as
`Additional Considerations.'
(2) Death.--In cases in which death resulted, the court may
consider, for example, whether multiple deaths resulted, the means by
which life was taken, the defendant's state of mind, and the degree of
planning or preparation.
(3) Extreme Physical Injury.--In cases in which extreme physical
injury resulted, the court may consider, for example, whether multiple
victims suffered such injury, the nature of the injury, and the extent
to which the defendant intended the injury or knowingly created risk.
(4) Extreme Psychological Injury.--The defendant caused extended or
continuous substantial impairment of the intellectual, psychological,
emotional, or behavioral functioning of the victim that is more serious
than that normally resulting from the commission of the offense.
(5) Abduction or Unlawful Restraint.--The defendant abducted, took
hostage, or unlawfully restrained a person to facilitate the commission
of the offense or escape.
(6) Extreme Conduct.--The defendant engaged in unusually heinous,
cruel, brutal, or degrading conduct such as the torture of a victim,
gratuitous infliction of injury, or prolonging of pain or humiliation.
(7) Weapons and Dangerous Instrumentalities.--In cases in which the
defendant possessed a weapon or dangerous instrumentality, the court
may consider, for example, the dangerousness of the weapon, the manner
in which it was used, and the extent to which its use endangered
others.
(8) Semiautomatic Firearms Capable of Accepting Large Capacity
Magazine.--The defendant possessed a semiautomatic firearm capable of
accepting a large capacity magazine in connection with a crime of
violence or controlled substance offense.
(9) Property Damage or Loss.--In cases in which the offense caused
property damage or loss not taken into account within the guidelines,
the court may consider, for example, the extent to which the defendant
knowingly intended or risked harm, and the extent to which the harm to
property is more serious than other harm caused or risked by the
defendant's conduct.
(10) Disruption of a Governmental Function.--The defendant's
conduct resulted in a significant disruption of a governmental
function.
(11) Public Welfare.--The defendant's conduct significantly
endangered national security, public health, or safety.
(12) Commission of Offense While Wearing or Displaying Unauthorized
or Counterfeit Insignia or Uniform.--The defendant wore or displayed an
official, or counterfeit official, insignia or uniform during the
commission of the offense.
(13) Criminal Purpose.--The defendant committed the offense in
order to facilitate or conceal the commission of another offense.
(14) Victim's Conduct.--The victim's wrongful conduct contributed
significantly to provoking the offense behavior.
(15) Lesser Harms.--The defendant committed the offense in order to
avoid a perceived greater harm.
(16) Coercion or Duress.--The defendant committed the offense under
coercion, blackmail, duress, or circumstances not amounting to a
complete defense.
(17) Dismissed and Uncharged Conduct.--The offense level determined
under the applicable guideline under-represents the seriousness of the
offense because conduct underlying a charge dismissed as part of a plea
agreement in the case or conduct underlying a potential charge not
pursued in the case as part of a plea agreement or for any other reason
did not enter into the determination of the applicable guideline range.
(18) Voluntary Disclosure of Offense.--The defendant voluntarily
disclosed to authorities the existence of, and accepted responsibility
for, an offense that was unlikely to have been discovered otherwise.
(19) Discharged Terms of Imprisonment.--In the case of a discharged
term of imprisonment, (A) the defendant has completed serving a term of
imprisonment; and (B) subsection (b) of Sec. 5G1.3 (Imposition of a
Sentence on a Defendant Subject to Undischarged Term of Imprisonment or
Anticipated Term of Imprisonment) would have provided an adjustment had
that completed term of imprisonment been undischarged at the time of
sentencing for the instant offense.
(20) Violent Street Gangs.--The defendant is subject to an enhanced
sentence under 18 U.S.C. 521 (pertaining to criminal street gangs) and
the offense involved violence.
Commentary
This policy statement recognizes that the nature, extent, and
significance of individual circumstances can involve a range of
considerations that are difficult or impossible to quantify for
purposes of establishing the guideline range. This policy statement
provides examples of factors relating to the nature and circumstances
of the offense that are generally not considered in the calculation of
the guideline range in Chapters Two through Five, but which courts
regularly consider pursuant to 18 U.S.C. 3553(a). The factors
identified in this policy statement are not weighted in any manner or
intended to be comprehensive or to otherwise infringe upon the court's
unique position to determine the most appropriate sentence.''.
Chapter Seven, Part B (as so redesignated) is amended in the
Introductory Commentary by striking ``The policy statements also ensure
that the basis for any judicial decision to depart from the guidelines
will be explained on the record.''.
The Commentary to Sec. 7B1.1 (as so redesignated) is amended in
the second paragraph by striking ``Section 6B1.1(c)'' and inserting
``Section 7B1.1(c)''.
The Commentary to Sec. 7B1.2 (as so redesignated) is amended--
in the paragraph that begins ``Similarly, the court'' by striking
``As set forth in subsection (d) of Sec. 5K2.0 (Grounds for
Departure), however, the court may not depart below the applicable
guideline range merely because of the defendant's decision to plead
guilty to the offense or to enter a plea agreement with respect to the
offense.'';
[[Page 89214]]
and in the paragraph that begins ``The second paragraph of
subsection (a)'' by striking ``Section 5K2.21 (Dismissed and Uncharged
Conduct) addresses the use, as a basis for upward departure, of conduct
underlying a charge dismissed as part of a plea agreement in the case,
or underlying a potential charge not pursued in the case as part of a
plea agreement.''.
The Commentary to Sec. 7B1.4 (as so redesignated) is amended--
in the paragraph that begins ``Because of the importance'' by
striking ``Sec. 6A1.2'' and inserting ``Sec. 7A1.2'';
and in the final paragraph by striking ``Section 6B1.4(d)'' and
inserting ``Section 7B1.4(d)''.
Chapter Eight, Part A (as so redesignated) is amended in the
heading by striking ``CHAPTER SEVEN'' and inserting ``CHAPTER EIGHT''.
Section 8B1.3(b) (as so redesignated) is amended by striking
``Sec. 7B1.4'' and inserting ``Sec. 8B1.4''.
Section 8B1.3(c)(1) (as so redesignated) is amended by striking
``Sec. 7B1.4'' and inserting ``Sec. 8B1.4''.
Section 8B1.3(c)(2) (as so redesignated) is amended by striking
``Sec. 7B1.4'' and inserting ``Sec. 8B1.4''.
Section 8B1.3(d) (as so redesignated) is amended by striking
``Sec. 7B1.4'' and inserting ``Sec. 8B1.4''.
The Commentary to Sec. 8B1.4 (as so redesignated) captioned
``Application Notes'' is amended--
by striking Notes 2, 3, and 4 as follows:
``2. Departure from the applicable range of imprisonment in the
Revocation Table may be warranted when the court departed from the
applicable range for reasons set forth in Sec. 4A1.3 (Departures Based
on Inadequacy of Criminal History Category) in originally imposing the
sentence that resulted in supervision. Additionally, an upward
departure may be warranted when a defendant, subsequent to the federal
sentence resulting in supervision, has been sentenced for an offense
that is not the basis of the violation proceeding.
3. In the case of a Grade C violation that is associated with a
high risk of new felonious conduct (e.g., a defendant, under
supervision for conviction of criminal sexual abuse, violates the
condition that the defendant not associate with children by loitering
near a schoolyard), an upward departure may be warranted.
4. Where the original sentence was the result of a downward
departure (e.g., as a reward for substantial assistance), or a charge
reduction that resulted in a sentence below the guideline range
applicable to the defendant's underlying conduct, an upward departure
may be warranted.'';
and by redesignating Notes 5 and 6 as Notes 2 and 3, respectively.
The Commentary to Sec. 8B1.4 (as so redesignated) is amended by
inserting at the end the following new Commentary:
``Additional Consideration:
1. Aggravating Factors.--In determining the appropriate term of
imprisonment upon revocation pursuant to 18 U.S.C. 3553(a), the
following factors may be relevant:
(A) The court previously departed or varied on the basis that the
defendant's criminal history category at the original sentencing
substantially over- or under-represented the seriousness of the
defendant's criminal history.
(B) The defendant, subsequent to the federal sentence resulting in
supervision, has been sentenced for an offense that is not the basis of
the violation proceeding.
(C) The revocation is the result of a Grade C violation that is
associated with a high risk of new felonious conduct (e.g., a
defendant, under supervision for conviction of criminal sexual abuse,
violates the condition that the defendant not associate with children
by loitering near a schoolyard).
(D) The defendant was originally sentenced below the applicable
guideline range as the result of a departure or variance (e.g., as a
reward for substantial assistance) or charge reduction.''.
Section 9A1.1 (as so redesignated) is amended in the heading by
striking ``Chapter Eight'' and inserting ``Chapter Nine''.
The Commentary to Sec. 9A1.1 (as so redesignated) captioned
``Application Notes'' is amended in Note 2 by striking ``Sec. Sec.
8C2.2 through 8C2.9'' both places such phrase appears and inserting
``Sec. Sec. 9C2.2 through 9C2.9''.
Section 9A1.2(b) (as so redesignated) is amended--
in paragraph (1) by striking ``Sec. 8C1.1'' and inserting ``Sec.
9C1.1''.
in paragraph (2) by striking ``Sec. 8C2.1'' and inserting ``Sec.
9C2.1''; and by striking ``Sec. Sec. 8C2.2 through 8C2.9'' and
inserting ``Sec. Sec. 9C2.2 through 9C2.9'';
in paragraph (2)(A) by striking ``Sec. 8C2.2'' and inserting
``Sec. 9C2.2'';
in paragraph (2)(B) by striking ``Sec. 8C2.3'' and inserting
``Sec. 9C2.3'';
in paragraph (2)(C) by striking ``Sec. 8C2.4'' and inserting
``Sec. 9C2.4'';
in paragraph (2)(D) by striking ``Sec. 8C2.5 (Culpability Score)''
and inserting ``Sec. 9C2.5 (Culpability Score)''; by striking ``Sec.
8C2.5(f)'' and inserting ``Sec. 9C2.5(f)''; and by striking ``Sec.
8B2.1'' and inserting ``Sec. 9B2.1'';
in paragraph (2)(E) by striking ``Sec. 8C2.6'' and inserting
``Sec. 9C2.6'';
in paragraph (2)(F) by striking ``Sec. 8C2.7'' and inserting
``Sec. 9C2.7'';
in paragraph (2)(G) by striking ``Sec. 8C2.8'' and inserting
``Sec. 9C2.8'';
in paragraph (2)(H) by striking ``Sec. 8C2.9'' and inserting
``Sec. 9C2.9'';
in the paragraph that begins ``For any count'' by striking ``Sec.
8C2.1'' and inserting ``Sec. 9C2.1''; and by striking ``Sec. 8C2.10''
and inserting ``Sec. 9C2.10'';
in paragraph (4) by striking ``For grounds for departure from the
applicable guideline fine range, refer to Part C, Subpart 4 (Departures
from the Guideline Fine Range)'' and inserting ``Determine whether a
sentence below the otherwise applicable guideline range is appropriate
upon motion of the government pursuant to Sec. 9C4.1 (Substantial
Assistance to Authorities--Organizations (Policy Statement))'';
and by inserting at the end the following new paragraph (5):
``(5) Consider as a whole the additional factors identified in 18
U.S.C. 3553(a) and the guidance provided in Part C, Subpart 5
(Consideration of Factors in Determining the Guideline Fine Range) of
this chapter to determine the sentence that is sufficient, but not
greater than necessary, to comply with the purposes set forth in 18
U.S.C. 3553(a)(2). See 18 U.S.C. 3553(a).''.
The Commentary to Sec. 9A1.2 (as so redesignated) captioned
``Application Notes'' is amended--
in Note 2 by striking ``and E (Acceptance of Responsibility)'' and
inserting ``E (Acceptance of Responsibility), and F (Early Disposition
Program)''; by striking ``Chapter Six (Sentencing Procedures, Plea
Agreements, and Crime Victims' Rights)'' and inserting ``Chapter Seven
(Sentencing Procedures, Plea Agreements, and Crime Victims' Rights)'';
and by striking ``Chapter Seven (Violations of Probation and Supervised
Release)'' and inserting ``Chapter Eight (Violations of Probation and
Supervised Release)'';
and in Note 3(B) by striking ``Sec. 8C2.5'' and inserting ``Sec.
9C2.5''.
Section 9B1.2(a) (as so redesignated) is amended by striking
``Sec. 8B1.1'' and inserting ``Sec. 9B1.1''.
Section 9B2.1(a) (as so redesignated) is amended by striking
``Sec. 8C2.5'' and inserting ``Sec. 9C2.5''; and by striking ``Sec.
8D1.4'' and inserting ``Sec. 9D1.4''.
The Commentary to Sec. 9B2.1 (as so redesignated) captioned
``Application Notes'' is amended--
in Note 1 by striking ``Sec. 8A1.2'' and inserting ``Sec.
9A1.2'';
and in Note 2(D) by striking ``Sec. 8A1.2'' and inserting ``Sec.
9A1.2''.
[[Page 89215]]
Section 9C1.1 (as so redesignated) is amended by striking ``Sec.
8C3.4'' and inserting ``Sec. 9C3.4''.
Section 9C2.1 (as so redesignated) is amended by striking
``Sec. Sec. 8C2.2 through 8C2.9'' and inserting ``Sec. Sec. 9C2.2
through 9C2.9''.
The Commentary to Sec. 9C2.1 (as so redesignated) captioned
``Applications Notes'' is amended--
in Note 1 by striking ``Sec. Sec. 8C2.2 through 8C2.9'' in both
places such phrase appears and inserting ``Sec. Sec. 9C2.2 through
9C2.9'';
and in Note 2 by striking ``Sec. Sec. 8C2.2 through 8C2.9'' in
both places such phrase appears and inserting ``Sec. Sec. 9C2.2
through 9C2.9''.
The Commentary to Sec. 9C2.1 (as so redesignated) captioned
``Background'' is amended by striking ``Sec. Sec. 8C2.2 through
8C2.9'' and inserting ``Sec. Sec. 9C2.2 through 9C2.9''; and by
striking ``Sec. 8C2.10'' and inserting ``Sec. 9C2.10''.
Section 9C2.2(a) (as so redesignated) is amended by striking
``Sec. 8B1.1'' and inserting ``Sec. 9B1.1''; and by striking ``Sec.
8C3.3(a)'' and inserting ``Sec. 9C3.3(a)''.
Section 9C2.2(b) (as so redesignated) is amended by striking
``Sec. Sec. 8C2.3 through 8C2.7'' and inserting ``Sec. Sec. 9C2.3
through 9C2.7''; and by striking ``Sec. 8C3.3'' and inserting ``Sec.
9C3.3''.
The Commentary to Sec. 9C2.2 (as so redesignated) captioned
``Background'' is amended by striking ``Sec. 8C2.7(a)'' and inserting
``Sec. 9C2.7(a)''; by striking ``Sec. 8C2.7 (Guideline Fine Range--
Organizations)'' and inserting ``Sec. 9C2.7 (Guideline Fine Range--
Organizations)''; and by striking ``Sec. 8C3.3'' and inserting ``Sec.
9C3.3''.
Section 9C2.3(a) (as so redesignated) is amended by striking
``Sec. 8C2.1'' and inserting ``Sec. 9C2.1''.
The Commentary to Sec. 9C2.3 (as so redesignated) captioned
``Application Notes'' is amended in Note 2 by striking ``and E
(Acceptance of Responsibility)'' and inserting ``E (Acceptance of
Responsibility), and F (Early Disposition Program)''.
Section 9C2.4(a)(1) (as so redesignated) is amended by striking
``Sec. 8C2.3'' and inserting ``Sec. 9C2.3''.
The Commentary to Sec. 9C2.4 (as so redesignated) captioned
``Application Notes'' is amended--
in Note 1 by striking ``Sec. 8A1.2'' and inserting ``Sec.
9A1.2'';
and in Note 4 by striking ``Sec. 8C2.4(a)(3)'' and inserting
``Sec. 9C2.4(a)(3)''.
The Commentary to Sec. 9C2.4 (as so redesignated) captioned
``Background'' is amended by striking ``Sec. 8C2.5'' and inserting
``Sec. 9C2.5''.
Section 9C2.5(f) (as so redesignated) is amended--
in paragraph (1) by striking ``Sec. 8B2.1'' and inserting ``Sec.
9B2.1'';
in paragraph (3)(A) by striking ``Sec. 8B2.1(b)(2)(B) or (C)'' and
inserting ``Sec. 9B2.1(b)(2)(B) or (C)'';
and in paragraph (3)(C)(i) by striking ``Sec. 8B2.1(b)(2)(C)'' and
inserting ``Sec. 9B2.1(b)(2)(C)''.
The Commentary to Sec. 9C2.5 (as so redesignated) captioned
``Application Notes'' is amended--
in Note 1 by striking ``Sec. 8A1.2'' and inserting ``Sec.
9A1.2'';
and in Note 3 by striking ``Sec. 8A1.2'' and inserting ``Sec.
9A1.2''.
Section 9C2.6 (as so redesignated) is amended by striking ``Sec.
8C2.5'' and inserting ``Sec. 9C2.5''.
Section 9C2.7(a) (as so redesignated) is amended by striking
``Sec. 8C2.4'' and inserting ``Sec. 9C2.4''; and by striking ``Sec.
8C2.6'' and inserting ``Sec. 9C2.6''.
Section 9C2.7(b) (as so redesignated) is amended by striking
``Sec. 8C2.4'' and inserting ``Sec. 9C2.4''; and by striking ``Sec.
8C2.6'' and inserting ``Sec. 9C2.6''.
Section 9C2.8(a)(7) (as so redesignated) is amended by striking
``Sec. 8C2.5(c)'' and inserting ``Sec. 9C2.5(c)''.
Section 9C2.8(a)(8) (as so redesignated) is amended by striking
``Sec. 8C2.5'' and inserting ``Sec. 9C2.5''.
Section 9C2.8(a)(9) (as so redesignated) is amended by striking
``Sec. 8C2.5'' and inserting ``Sec. 9C2.5''.
Section 9C2.8(a)(11) (as so redesignated) is amended by striking
``Sec. 8B2.1'' and inserting ``Sec. 9B2.1''.
The Commentary to Sec. 9C2.8 (as so redesignated) captioned
``Application Notes'' is amended--
in Note 5 by striking ``Sec. 8C2.5(c)'' each place such term
appears and inserting ``Sec. 9C2.5(c)''; and by striking ``In a case
involving a pattern of illegality, an upward departure may be
warranted.'';
and in Note 7 by striking ``Sec. 8C2.5(c)(2)'' and inserting
``Sec. 9C2.5(c)(2)''.
The Commentary to Sec. 9C2.8 (as so redesignated) is amended by
inserting before the Commentary captioned ``Background'' the following
new Commentary:
``Additional Consideration:
1. Pattern of Illegality.--In determining the appropriate fine
pursuant to 18 U.S.C. 3553(a) and 3572(a), evidence of a pattern of
illegality may be relevant.''.
The Commentary to Sec. 9C2.8 (as so redesignated) captioned
``Background'' is amended by striking ``a basis for departure'' and
inserting ``a basis for setting the fine either above or below the
otherwise applicable guideline fine range''.
Section 9C2.9 (as so redesignated) is amended by striking ``Sec.
8C2.8'' and inserting ``Sec. 9C2.8''.
Section 9C2.10 (as so redesignated) is amended by striking ``Sec.
8C2.1'' and inserting ``Sec. 9C2.1''; by striking ``Sec. 8C2.8'' and
inserting ``Sec. 9C2.8''; and by striking ``Sec. 8C2.9'' and
inserting ``Sec. 9C2.9''.
The Commentary to Sec. 9C2.10 (as so redesignated) captioned
``Background'' is amended by striking ``Sec. 8C2.1'' and inserting
``Sec. 9C2.1''.
Section 9C3.1(a) (as so redesignated) is amended by striking
``Sec. 8C1.1'' and inserting ``Sec. 9C1.1''; by striking ``Sec.
8C2.7'' and inserting ``Sec. 9C2.7''; by striking ``Sec. 8C2.9'' and
inserting ``Sec. 9C2.9''; and by striking ``Sec. 8C2.10'' and
inserting ``Sec. 9C2.10''.
Section 9C3.3(a) (as so redesignated) is amended by striking
``Sec. 8C1.1'' and inserting ``Sec. 9C1.1''; by striking ``Sec.
8C2.7'' and inserting ``Sec. 9C2.7''; and by striking ``Sec. 8C2.9''
and inserting ``Sec. 9C2.9''.
Section 9C3.3(b) (as so redesignated) is amended by striking
``Sec. 8C2.7'' both places such term appears and inserting ``Sec.
9C2.7''; and by striking ``Sec. 8C2.9'' both places such term appears
and inserting ``Sec. 9C2.9''.
The Commentary to Sec. 9C3.3 (as so redesignated) captioned
``Application Notes'' is amended in Note 1 by striking ``Sec. 8C3.2''
and inserting ``Sec. 9C3.2''.
Chapter Nine, Part C, Subpart 4 (as so redesignated) is amended--
in the heading by striking ``DEPARTURES FROM THE GUIDELINE FINE
RANGE'' and inserting ``SUBSTANTIAL ASSISTANCE TO AUTHORITIES'';
and by striking the Introductory Commentary as follows:
``Introductory Commentary
The statutory provisions governing departures are set forth in 18
U.S.C. 3553(b). Departure may be warranted if the court finds `that
there exists an aggravating or mitigating circumstance of a kind, or to
a degree, not adequately taken into consideration by the Sentencing
Commission in formulating the guidelines that should result in a
sentence different from that described.' This subpart sets forth
certain factors that, in connection with certain offenses, may not have
been adequately taken into consideration by the guidelines. In deciding
whether departure is warranted, the court should consider the extent to
which that factor is adequately taken into consideration by the
guidelines and the relative importance or substantiality of that factor
in the particular case.
To the extent that any policy statement from Chapter Five, Part K
(Departures) is relevant to the organization, a departure from the
[[Page 89216]]
applicable guideline fine range may be warranted. Some factors listed
in Chapter Five, Part K that are particularly applicable to
organizations are listed in this subpart. Other factors listed in
Chapter Five, Part K may be applicable in particular cases. While this
subpart lists factors that the Commission believes may constitute
grounds for departure, the list is not exhaustive.''.
Section 9C4.1(a) (as so redesignated) is amended by striking ``the
court may depart from the guidelines'' and inserting ``the court may
set a fine that is below the otherwise applicable guideline fine
range''.
The Commentary to Sec. 9C4.1 (as so redesignated) captioned
``Application Note'' is amended in Note 1 by striking ``Departure'' and
inserting ``Fine reduction''.
Chapter Nine, Part C (as so redesignated) is amended by inserting
at the end the following new Subpart 5:
``5. Consideration of Factors in Determining the Guideline Fine Range
Introductory Commentary
Following United States v. Booker, 543 U.S. 220 (2005), the fine
range established in this chapter remains `the starting point and the
initial benchmark,'but the ranges established by application of the
Guidelines Manual are advisory. See Gall v. United States, 552 U.S. 38,
49 (2007); Peugh v. United States, 569 U.S. 530 (2013). Consistent with
18 U.S.C. 3553(a), which remains binding on courts, courts must also
consider a variety of additional factors when determining the sentence
to be im-posed. This subpart sets forth certain factors that, in
connection with certain offenses, may not have been adequately taken
into consideration by the guidelines. These factors are provided to
assist courts in complying with their obligation under 18 U.S.C.
3553(a).
To the extent that any policy statement from Chapter Six, Part A
(Consideration of Factors in 18 U.S.C. 3553(a)) is relevant to the
organization, the court may consider such policy statement when
determining the applicable guideline fine range. Some factors listed in
Chapter Six, Part A that are particularly applicable to organizations
are listed in this subpart. Other factors listed in Chapter Six, Part A
may be applicable in particular cases. While this subpart lists factors
that the Commission believes may be relevant, the list is not
exhaustive.
Sec. 9C5.1. Factors Relating to the Nature and Circumstances of the
Organization's Offense (Policy Statement)
(a) In considering the nature and circumstances of the offense
pursuant to 18 U.S.C. 3553(a)(1), the following factors, if not
accounted for in the applicable Chapter Two guideline, may be relevant:
(1) Risk of Death or Bodily Injury--The court may consider whether
the offense resulted in death or bodily injury or involved a
foreseeable risk of death or bodily injury, the nature of the harm and
the extent to which the harm was intended or knowingly risked, and the
extent to which such harm or risk is taken into account within the
applicable guideline fine range.
(2) Threat to National Security.--The offense constituted a threat
to national security.
(3) Threat to the Environment.--The offense presented a threat to
the environment.
(4) Threat to a Market.--The offense presented a risk to the
integrity or continued existence of a market, including either private
markets (e.g., a financial market, a commodities market, or a market
for consumer goods) or public markets (e.g., government contracting).
(5) Official Corruption.--The organization, in connection with the
offense, bribed or unlawfully gave a gratuity to a public official, or
at-tempted or conspired to bribe or unlawfully give a gratuity to a
public official.
(6) Public Entity.--The organization is a public entity.
(7) Members or Beneficiaries of the Organization as Victims.--In
cases in which the members or beneficiaries, other than shareholders,
of the organization are direct victims of the offense, the court may
consider whether imposing a fine upon the organization may increase the
burden upon the victims of the offense without achieving a deterrent
effect.
(8) Remedial Costs that Greatly Exceed Gain.--In cases in which the
organization has paid or has agreed to pay remedial costs arising from
the offense that greatly exceed the gain that the organization received
from the offense, the court may consider whether a substantial fine is
necessary in order to achieve adequate punishment and deterrence, the
level and extent of substantial authority personnel involvement in the
offense, and the degree to which the loss exceeds the gain.
(9) Mandatory Programs to Prevent and Detect Violations of Law.--
The organization's culpability score is reduced under Sec. 9C2.5(f)
(Effective Compliance and Ethics Program) and the organization had
implemented its program in response to a court order or administrative
order specifically directed at the organization, or the organization
was required by law to have an effective compliance and ethics pro-gram
but did not have such a program.
(10) Exceptionally High Organizational Culpability.--The
organization's culpability score is greater than 10.
(11) Exceptionally Low Organizational Culpability.--No individual
within substantial authority personnel participated in, condoned, or
was willfully ignorant of the offense; the organization at the time of
the offense had an effective program to prevent and detect violations
of law; and the base fine is determined under Sec. 9C2.4(a)(1), Sec.
9C2.4(a)(3), or a special instruction for fines in Chapter Two (Offense
Conduct).
Commentary
This policy statement recognizes that the nature, extent, and
significance of offense specific characteristics can involve a range of
considerations that are difficult or impossible to quantify for
purposes of establishing the guideline fine range. This policy
statement provides examples of factors relating to the nature and
circumstances of the offense that are generally not considered in the
calculation of the guideline fine range, but which courts regularly
consider pursuant to 18 U.S.C. 3553(a). The factors identified in this
policy statement are not weighted in any manner or intended to be
comprehensive or to otherwise infringe upon the court's unique position
to determine the most appropriate sentence.''.
Chapter Nine, Part D is amended in the Introductory Commentary by
striking ``Section 8D1.1'' and inserting ``Section 9D1.1''; and by
striking ``Sections 8D1.2 through 8D1.4, and 8F1.1'' and inserting
``Sections 9D1.2 through 9D1.4, and 9F1.1''.
Section 9D1.1(a)(1) (as so redesignated) is amended by striking
``Sec. 8B1.1'' and inserting ``Sec. 9B1.1''; by striking ``Sec.
8B1.2'' and inserting ``Sec. 9B1.2''; and by striking ``Sec. 8B1.3''
and inserting ``Sec. 9B1.3''.
Section 9D1.4(b) (as so redesignated) is amended by striking
``Sec. 8D1.1'' and inserting ``Sec. 9D1.1''.
Section 9D1.4(b)(1) (as so redesignated) is amended by striking
``Sec. 8B2.1'' and inserting ``Sec. 9B2.1''.
The Commentary to Sec. 9D1.4 captioned ``Application Notes'' is
amended in
[[Page 89217]]
Note 1 by striking ``Sec. 8D1.1'' and inserting ``Sec. 9D1.1''; and
by striking ``Sec. 8B2.1'' and inserting ``Sec. 9B2.1''.
The Commentary to Sec. 9F1.1 captioned ``Application Notes'' is
amended in Note 2 by striking ``Sec. Sec. 8D1.3 (Conditions of
Probation--Organizations) and 8D1.4 (Recommended Conditions of
Probation--Organizations)'' and inserting ``Sec. Sec. 9D1.3
(Conditions of Probation--Organizations) and 9D1.4 (Recommended
Conditions of Probation--Organizations)''.
[FR Doc. 2023-28317 Filed 12-22-23; 8:45 am]
BILLING CODE 2210-40-P