Sentencing Guidelines for United States Courts, 7180-7234 [2023-01346]
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Federal Register / Vol. 88, No. 22 / Thursday, February 2, 2023 / Notices
FOR FURTHER INFORMATION CONTACT:
UNITED STATES SENTENCING
COMMISSION
Sentencing Guidelines for United
States Courts
United States Sentencing
Commission.
ACTION: Notice and request for public
comment and hearing.
AGENCY:
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 March 14,
2023. 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.
SUMMARY:
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
200002–8002, Attention: Public
Affairs—Proposed Amendments.
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ADDRESSES:
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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
§ 1B1.13 (Reduction in Term of
Imprisonment Under 18 U.S.C.
3582(c)(1)(A) (Policy Statement)) to
implement the First Step Act of 2018
(Pub. L. 115–391) and revise the list of
circumstances that should be
considered extraordinary and
compelling reasons for sentence
reductions under 18 U.S.C.
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3582(c)(1)(A), and related issues for
comment;
(2) A two-part proposed amendment
to implement the First Step Act of 2018
(Pub. L. 115–391) including (A) (i)
amendments to § 5C1.2 (Limitation on
Applicability of Statutory Minimum
Sentences in Certain Cases) to reflect the
broader class of defendants who are
eligible for safety valve relief under the
First Step Act and to provide additional
conforming changes; (ii) amendments to
§ 4A1.3 (Departures Based on
Inadequacy of Criminal History
Category (Policy Statement)) to make
conforming changes; (iii) two options
for amending §§ 2D1.1 (Unlawful
Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with
Intent to Commit These Offenses);
Attempt or Conspiracy) and 2D1.11
(Unlawfully Distributing, Importing,
Exporting or Possessing a Listed
Chemical; Attempt or Conspiracy) in
light of the proposed revisions to
§ 5C1.2; and (iv) related issues for
comment; and (B) amendments to
§ 2D1.1 to make the guideline’s base
offense levels consistent with the First
Step Act’s changes to the type of prior
offenses that trigger enhanced
mandatory minimum penalties;
(3) A multi-part proposed amendment
to § 2K2.1 (Unlawful Receipt,
Possession, or Transportation of
Firearms or Ammunition; Prohibited
Transactions Involving Firearms or
Ammunition) to implement the
Bipartisan Safer Communities Act (Pub.
L. 117–159) and make other changes
that may be warranted to appropriately
address firearms offenses, including (A)
amendments to Appendix A (Statutory
Index) and two options for amending
§ 2K2.1 to address (i) the new offenses
established by the Bipartisan Safer
Communities Act and to increase
penalties for offenses involving straw
purchases and firearms trafficking as
required by the directive contained in
the Act; (ii) the part of the directive in
the Bipartisan Safer Communities Act
that requires the Commission to
‘‘consider, in particular, an appropriate
amendment to reflect the intent of
Congress that straw purchasers without
significant criminal histories receive
sentences that are sufficient to deter
participation in such activities and
reflect the defendant’s role and
culpability, and any coercion, domestic
violence survivor history, or other
mitigating factors’’; (iii) the part of the
directive in the Bipartisan Safer
Communities Act that requires the
Commission to ‘‘review and amend its
guidelines and policy statements to
reflect the intent of Congress that a
person convicted of an offense under
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section 932 or 933 of title 18, United
States Code, who is affiliated with a
gang, cartel, organized crime ring, or
other such enterprise should be subject
to higher penalties than an otherwise
unaffiliated individual’’; and (iv) related
issues for comment; (B) amendments to
§ 2K2.1 in response to concerns
expressed by some commenters that the
guideline does not adequately address
firearms that are not marked by a serial
number (i.e., ‘‘ghost guns’’), and a
related issue for comment; and (C) a
series of issues for comment on possible
further revisions to § 2K2.1 that may be
warranted to appropriately address
firearms offenses;
(4) A two-part proposed amendment
addressing certain circuit conflicts
involving § 3E1.1 (Acceptance of
Responsibility) and § 4B1.2 (Definitions
of Terms Used in Section 4B1.1),
including (A) amendments to § 3E1.1 to
address circuit conflicts regarding the
permissible bases for withholding a
reduction under § 3E1.1(b), and a
related issue for comment; and (B) two
options for amending § 4B1.2 to address
a circuit conflict concerning whether
the definition of ‘‘controlled substance
offense’’ in § 4B1.2(b) only covers
offenses involving substances controlled
by federal law, and a related issue for
comment;
(5) A multi-part proposed amendment
in response to recently enacted
legislation, including (A) amendments
to Appendix A (Statutory Index) and the
Commentary to § 2N2.1 (Violations of
Statutes and Regulations Dealing with
Any Food, Drug, Biological Product,
Device, Cosmetic, Agricultural Product,
or Consumer Product) in response to the
FDA Reauthorization Act of 2017 (Pub.
L. 115–52), and to the Commentary to
§ 2N1.1 (Tampering or Attempting to
Tamper Involving Risk of Death or
Bodily Injury) to make a technical
correction, and a related issue for
comment; (B) amendments to Appendix
A, § 2G1.1 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
an Individual Other than a Minor), and
§ 2G1.3 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Sex Trafficking of Children; Use
of Interstate Facilities to Transport
Information about a Minor), as well as
bracketing the possibility of amending
the Commentary to §§ 4B1.5 (Repeat and
Dangerous Sex Offender Against
Minors) and 5D1.2 (Term of Supervised
Release), in response to the Allow States
and Victims to Fight Online Sex
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Trafficking Act of 2017 (Pub. L. 115–
164), and related issues for comment;
(C) amendments to Appendix A and
§ 2A5.2 (Interference with Flight Crew
Member or Flight Attendant;
Interference with Dispatch, Navigation,
Operation, or Maintenance of Mass
Transportation Vehicle), as well as the
Commentary to §§ 2A2.4 (Obstructing or
Impeding Officers) and 2X5.2 (Class A
Misdemeanors (Not Covered by Another
Specific Offense Guideline)), in
response to the FAA Reauthorization
Act of 2018 (Pub. L. 115–254), and a
related issue for comment; (D)
amendments to Appendix A and the
Commentary to §§ 2B1.1 (Theft,
Property Destruction, and Fraud) and
2B4.1 (Bribery in Procurement of Bank
Loan and Other Commercial Bribery) in
response to the SUPPORT for Patients
and Communities Act (Pub. L. 115–271),
and a related issue for comment; (E)
amendments to Appendix A and the
Commentary to § 2X5.2 in response to
the Amy, Vicky, and Andy Child
Pornography Victim Assistance Act of
2018 (Pub. L. 115–299), and a related
issue for comment; (F) amendments to
Appendix A and the Commentary to
§ 2H3.1 (Interception of
Communications; Eavesdropping;
Disclosure of Certain Private or
Protected Information) in response to
the Foundations for Evidence-Based
Policymaking Act of 2018 (Pub. L. 115–
435), and a related issue for comment;
(G) amendments to Appendix A and the
Commentary to § 2X5.2 in response to
the National Defense Authorization Act
for Fiscal Year 2020 (Pub. L. 116–92),
and a related issue for comment; (H)
amendments to Appendix A and the
Commentary to § 2B1.1 in response to
the Representative Payee Fraud
Prevention Act of 2019 (Pub. L. 116–
126), and a related issue for comment;
(I) amendments to Appendix A and the
Commentary to § 2B1.1 in response to
the Stop Student Debt Relief Scams Act
of 2019 (Pub. L. 116–251), and a related
issue for comment; (J) amendments to
Appendix A in response to the
Protecting Lawful Streaming Act of
2020, part of the Consolidation
Appropriation Act, 2021 (Pub. L. 116–
260), and related issues for comment;
and (K) amendments to Appendix A and
the Commentary to § 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) in
response to the William M. (Mac)
Thornberry National Defense
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Authorization Act for Fiscal Year 2021
(Pub. L. 116–283), and a related issue
for comment;
(6) A multi-part proposed amendment
relating to § 4B1.2 (Definitions of Terms
Used in Section 4B1.1), including (A) (i)
amendments § 4B1.2 to eliminate the
categorical approach from the
guidelines by defining ‘‘crime of
violence’’ and ‘‘controlled substance
offense’’ based upon a list of guidelines,
rather than offenses or elements of an
offense; (ii) conforming changes to the
guidelines that use the terms ‘‘crime of
violence’’ and ‘‘controlled substance
offense’’ and define these terms by
making specific reference to § 4B1.2;
and (iii) related issues for comment; (B)
amendments to § 4B1.2 and the
Commentary to § 2L1.2 (Unlawfully
Entering or Remaining in the United
States) to address the concern that
certain robbery offenses, such as Hobbs
Act robbery, no longer constitute a
‘‘crime of violence’’ under § 4B1.2, as
amended in 2016, because these
offenses do not meet either the generic
definition of ‘‘robbery’’ or the new
guidelines definition of ‘‘extortion,’’ and
related issues for comment; (C) two
options for amending § 4B1.2 to address
two circuit conflicts regarding the
commentary provision stating that the
terms ‘‘crime of violence’’ and
‘‘controlled substance offense’’ include
the offenses of aiding and abetting,
conspiring to commit, and attempting to
commit a ‘‘crime of violence’’ and a
‘‘controlled substance offense,’’ and
related issues for comment; and (D)
revisions to the definition of ‘‘controlled
substance offense’’ in § 4B1.2(b) to
include offenses involving an offer to
sell a controlled substance and offenses
described in 46 U.S.C. 70503(a) and
70506(b), and a related issue for
comment;
(7) A multi-part proposed amendment
relating to criminal history, including
(A) three options for amending the
Guidelines Manual to address the
impact of ‘‘status points’’ under
subsection (d) of section 4A1.1
(Criminal History Category), and related
issues for comment; (B) (i) two options
for establishing a new Chapter Four
guideline, at § 4C1.1 (Adjustment for
Certain Zero-Point Offenders), that
would provide an offense level decrease
for offenders with zero criminal history
points who meet certain criteria; (ii)
amendments to the Commentary to
§ 5C1.1 (Imposition of a Term of
Imprisonment) to address the
alternatives to incarceration available to
offenders with zero criminal history
points who receive an adjustment under
the proposed § 4C1.1, and conforming
changes to § 4A1.3 (Departures Based on
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Inadequacy of Criminal History
Category (Policy Statement)) and
Chapter One, Part A, Subpart 1(4)(d)
(Probation and Split Sentences); and
(iii) related issues for comment; (C)
amendments to the Commentary to
§ 4A1.3 (Departures Based on
Inadequacy of Criminal History
Category (Policy Statement)) to include
sentences resulting from possession of
marihuana offenses as an example of
when a downward departure from the
defendant’s criminal history may be
warranted, and related issues for
comment;
(8) A proposed amendment to § 1B1.3
(Relevant Conduct (Factors that
Determine the Guideline Range)) and
§ 6A1.3 (Resolution of Disputed Factors
(Policy Statement)) to generally limit the
use of acquitted conduct for purposes of
determining the guideline range, except
when such conduct was admitted by the
defendant during a guilty plea colloquy
or was found by the trier of fact beyond
a reasonable doubt to establish, in
whole or in part, the instant offense of
conviction, and related issues for
comment;
(9) A two-part proposed amendment
to certain guidelines applicable to
sexual abuse offenses, including (A)
amendments to Appendix A (Statutory
Index), § 2A3.3 (Criminal Sexual Abuse
of a Ward or Attempt to Commit Such
Acts), and the Commentary to § 2H1.1
(Offenses Involving Individual Rights)
in response to the Violence Against
Women Act Reauthorization Act of
2022, which was part of the
Consolidated Appropriations Act, 2022
(Pub. L. 117–103), and related issues for
comment; and (B) amendments to
§ 2A3.3 to address concerns regarding
the increasing number of cases
involving sexual abuse committed by
law enforcement or correctional
personnel against victims in their
custody, care, or supervision, and
related issues for comment;
(10) Issues for comment regarding a
potential study of federal alternative-toincarceration court programs and
possible amendments to the Guidelines
Manual to address such programs;
(11) A proposed amendment to
§ 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking
(Including Possession with Intent to
Commit These Offenses); Attempt or
Conspiracy) to address offenses
involving ‘‘fake pills’’ (i.e., illicitly
manufactured pills represented or
marketed as legitimate pharmaceutical
pills) containing fentanyl or fentanyl
analogue, and a related issue for
comment;
(12) A two-part proposed amendment
addressing miscellaneous guideline
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issues, including (A) amendments to
§ 3D1.2 (Grouping of Closely Related
Counts) to address the interaction
between § 2G1.3 (Promoting a
Commercial Sex Act or Prohibited
Sexual Conduct with a Minor;
Transportation of Minors to Engage in a
Commercial Sex Act or Prohibited
Sexual Conduct; Travel to Engage in
Commercial Sex Act or Prohibited
Sexual Conduct with a Minor; Sex
Trafficking of Children; Use of Interstate
Facilities to Transport Information
about a Minor) and § 3D1.2(d); and (B)
amendments to the Commentary to
§ 5F1.7 (Shock Incarceration Program
(Policy Statement)) to reflect the fact
that the Bureau of Prisons no longer
operates a shock incarceration program;
and
(13) A multi-part proposed
amendment to make technical and other
non-substantive changes to the
Guidelines Manual, including (A)
technical changes to provide updated
references to certain sections in the
United States Code that were
redesignated in legislation; (B) technical
changes to reflect the editorial
reclassification of certain sections in the
United States Code; (C) technical
changes throughout the Commentary to
§ 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking
(Including Possession with Intent to
Commit These Offenses); Attempt or
Conspiracy) to, among other things,
reorganize in alphabetical order the
controlled substances contained in the
tables therein to make them more userfriendly; (D) technical changes to the
commentary of several guidelines to
provide references to the specific
applicable provisions of 18 U.S.C. 876;
(E) technical changes to the commentary
of several guidelines in Chapter Eight
(Sentencing of Organizations); and (F)
clerical changes to correct typographical
errors in several guidelines, policy
statements, and commentary.
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 § 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 § 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 § 1B1.10 lists the
purpose of the amendment, the
magnitude of the change in the
guideline range made by the
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amendment, and the difficulty of
applying the amendment retroactively
to determine an amended guideline
range under § 1B1.10(b) as among the
factors the Commission considers in
selecting the amendments included in
§ 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.
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. First Step Act—Reduction in Term of
Imprisonment Under 18 U.S.C.
3582(c)(1)(A)
Synopsis of Proposed Amendment:
This proposed amendment responds to
the First Step Act of 2018, Public Law
115–391 (Dec. 21, 2018) (‘‘First Step
Act’’ or ‘‘Act’’), which contains
numerous provisions related to
sentencing, prison programming,
recidivism reduction efforts, and reentry
procedures. Specifically, the sentencing
reform provisions of the Act (1)
amended the sentencing modification
procedures set forth in 18 U.S.C.
3582(c)(1)(A) to allow a defendant to file
a motion seeking a reduction in the
defendant’s term of imprisonment under
certain circumstances; (2) reduced
certain enhanced penalties imposed
pursuant to 21 U.S.C. 851 for some
repeat offenders and changed the prior
offenses that qualify for such enhanced
penalties; (3) broadened the eligibility
criteria of the ‘‘safety valve’’ provision
at 18 U.S.C. 3553(f); (4) limited the
‘‘stacking’’ of certain mandatory
minimum penalties imposed under 18
U.S.C. 924(c) for multiple offenses that
involve using, carrying, possessing,
brandishing, or discharging a firearm in
furtherance of a crime of violence or
drug trafficking offense; and (5) allowed
for retroactive application of the Fair
Sentencing Act of 2010. Revisions to the
Guidelines Manual may be appropriate
to implement the Act’s changes to 18
U.S.C. 3582(c)(1)(A).
The Sentencing Reform Act of 1984
(‘‘SRA’’) established a system of
determinate sentencing, prohibiting a
court from modifying a term of
imprisonment once it had been imposed
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except in certain instances specified in
section 3582(c) of title 18, United States
Code. One of those instances is set forth
in 18 U.S.C. 3582(c)(1)(A), which
authorizes a court to reduce the term of
imprisonment of a defendant, after
considering the factors in 18 U.S.C.
3553(a) to the extent they are applicable,
if ‘‘extraordinary and compelling
reasons’’ warrant such a reduction or
the defendant is at least 70 years of age
and meets certain other criteria. Such a
reduction must be consistent with
applicable policy statements issued by
the Sentencing Commission. See 18
U.S.C. 3582(c)(1).
Prior to the First Step Act, a court was
authorized to grant a reduction in a
defendant’s term of imprisonment under
section 3582(c)(1)(A) only ‘‘upon
motion of the Director of the Bureau of
Prisons.’’ Section 603(b) of the First
Step Act amended 18 U.S.C.
3582(c)(1)(A) to allow a defendant to file
a motion seeking a sentence reduction
after the defendant has fully exhausted
all administrative rights to appeal a
failure of the Bureau of Prisons (‘‘BOP’’)
to bring a motion on the defendant’s
behalf or the lapse of 30 days from the
receipt of such a request by the warden
of the defendant’s facility, whichever is
earlier.
Section 3582(c)(1)(A) does not define
the phrase ‘‘extraordinary and
compelling reasons.’’ Instead, the SRA
directs that ‘‘[t]he Commission, in
promulgating general policy statements
regarding the sentencing modification
provisions in section 3582(c)(1)(A) of
title 18, shall describe what should be
considered extraordinary and
compelling reasons for sentence
reduction, including the criteria to be
applied and a list of specific examples.’’
28 U.S.C. 994(t). Section 994(t) also
directs that ‘‘[r]ehabilitation of the
defendant alone shall not be considered
an extraordinary and compelling
reason.’’ Id. The SRA provides the
Commission with the authority to set
the policy regarding what reasons
should qualify as ‘‘extraordinary and
compelling reasons’’ for a sentence
reduction under section 3582(c)(1)(A)
and the courts with the authority to find
that the ‘‘extraordinary and compelling
reasons warrant such a reduction . . .
and that such reduction is consistent
with applicable policy statements
issued by the Sentencing Commission.’’
See 28 U.S.C. 994(a)(2)(C), 994(t), &
995(b); 18 U.S.C. 3582(c)(1)(A).
The Commission implemented the
section 994(t) directive by promulgating
the policy statement at § 1B1.13
(Reduction in Term of Imprisonment
Under 18 U.S.C. 3582(c)(1)(A) (Policy
Statement)). See U.S. Sent’g Comm’n,
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Guidelines Manual, § 1B1.13 (Nov.
2021). Currently, § 1B1.13 provides only
for motions filed by the Director of the
BOP and does not account for motions
filed by a defendant under the amended
statute. The policy statement describes
the circumstances that constitute
‘‘extraordinary and compelling reasons’’
in the Commentary to § 1B1.13.
Application Note 1(A) through (C)
provides for three categories of
extraordinary and compelling reasons,
i.e., ‘‘Medical Condition of the
Defendant,’’ ‘‘Age of the Defendant,’’
and ‘‘Family Circumstances.’’ See USSG
§ 1B1.13, comment. (n.1(A)–(C)).
Application Note 1(D) provides that the
Director of the BOP may determine
whether there exists in a defendant’s
case ‘‘other reasons’’ that are
extraordinary and compelling ‘‘other
than, or in combination with,’’ the
reasons described in Application Note
1(A) through (C). USSG § 1B1.13,
comment. (n.1(D)).
The proposed amendment would
implement the First Step Act’s relevant
provisions by amending § 1B1.13 and its
accompanying commentary.
Specifically, the proposed amendment
would revise the policy statement to
reflect that 18 U.S.C. 3582(c)(1)(A), as
amended by the First Step Act,
authorizes a defendant to a file a motion
seeking a sentence reduction.
The proposed amendment would also
revise the list of ‘‘extraordinary and
compelling reasons’’ in § 1B1.13 in
several ways.
First, the proposed amendment would
move the list of extraordinary and
compelling reasons from the
Commentary to the guideline itself as a
new subsection (b). The new subsection
(b) would set forth the same three
categories of extraordinary and
compelling reasons currently found in
Application Note 1(A) through (C) (with
the revisions described below), add two
new categories, and revise the ‘‘Other
Reasons’’ category currently found in
Application Note 1(D). New subsection
(b) would also provide that
extraordinary and compelling reasons
exist under any of the circumstances, or
a combination thereof, described in
such categories.
Second, the proposed amendment
would add two new subcategories to the
‘‘Medical Condition of the Defendant’’
category at new subsection (b)(1). The
first new subcategory is for a defendant
suffering from a medical condition that
requires long-term or specialized
medical care, without which the
defendant is at risk of serious
deterioration in health or death, that is
not being provided in a timely or
adequate manner. The other new
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subcategory is for a defendant who
presents the following circumstances:
(1) the defendant is housed at a
correctional facility affected or at risk of
being affected by an ongoing outbreak of
infectious disease or an ongoing public
health emergency declared by the
appropriate governmental authority; (2)
the defendant is at increased risk of
suffering severe medical complications
or death as a result of exposure to the
ongoing outbreak of infectious disease
or ongoing public health emergency;
and (3) such risk cannot be mitigated in
a timely or adequate manner.
Third, the proposed amendment
would modify the ‘‘Family
Circumstances’’ category at new
subsection (b)(3) in three ways. First,
the proposed amendment would revise
the current subcategory relating to the
death or incapacitation of the caregiver
of a defendant’s minor child by making
it also applicable to a defendant’s child
who is 18 years of age or older and
incapable of self-care because of a
mental or physical disability or a
medical condition. Second, the
proposed amendment would add a new
subcategory to the ‘‘Family
Circumstances’’ category for cases
where a defendant’s parent is
incapacitated and the defendant would
be the only available caregiver for the
parent. Third, the proposed amendment
brackets the possibility of adding a more
general subcategory applicable if the
defendant presents circumstances
similar to those listed in the other
subcategories of ‘‘Family
Circumstances’’ involving any other
immediate family member or an
individual whose relationship with the
defendant is similar in kind to that of an
immediate family member.
Fourth, the proposed amendment
brackets the possibility of adding two
new categories: (1) Victim of Assault
(‘‘The defendant was a victim of sexual
assault or physical abuse resulting in
serious bodily injury committed by a
correctional officer or other employee or
contractor of the Bureau of Prisons
while in custody.’’); and (2) Changes in
Law (‘‘The defendant is serving a
sentence that is inequitable in light of
changes in the law.’’).
Fifth, the proposed amendment
would revise the provision currently
found in Application Note 1(D) of
§ 1B1.13. Three options are provided.
All three options would redesignate this
category as ‘‘Other Circumstances’’ and
expand the scope of the category to
apply to all motions filed under 18
U.S.C. 3582(c)(1)(A), regardless of
whether such motion is filed by the
Director of the BOP or the defendant.
Option 1 would provide that this
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category of extraordinary and
compelling reasons applies in cases
where a defendant presents any other
circumstance or a combination of
circumstances similar in nature and
consequence to any of the
circumstances described in paragraphs
(1) through [(3)][(4)][(5)] of § 1B1.13.
Option 2 would provide that that this
category applies if, as a result of changes
in the defendant’s circumstances [or
intervening events that occurred after
the defendant’s sentence was imposed],
it would be inequitable to continue the
defendant’s imprisonment or require the
defendant to serve the full length of the
sentence. Option 3 would track the
language in current Application Note
1(D) of § 1B1.13 and apply if the
defendant presents an extraordinary and
compelling reason other than, or in
combination with, the circumstances
described in paragraphs (1) through
[(3)][(4)][(5)].
Finally, the proposed amendment
would move current Application Note 3
(stating that, pursuant to 28 U.S.C.
994(t), rehabilitation of a defendant is
not, by itself, an extraordinary and
compelling reason for purposes of
§ 1B1.13) into the guideline as a new
subsection (c). In addition, as
conforming changes, the proposed
amendment would delete application
notes 2 (concerning the foreseeability of
extraordinary and compelling reasons),
4 (concerning a motion by the Director
of the Bureau of Prisons), and 5
(concerning application of subdivision
3), and make a minor technical change
to the Background commentary.
Issues for comment are also provided.
Proposed Amendment
Section 1B1.13 is amended—
by inserting at the beginning the
following new heading: ‘‘(a) In
General.—’’;
by striking ‘‘Bureau of Prisons under’’
and inserting ‘‘Bureau of Prisons or the
defendant pursuant to’’;
and inserting at the end the following:
‘‘(b) Extraordinary and Compelling
Reasons.—Extraordinary and
compelling reasons exist under any of
the following circumstances or a
combination thereof:
(1) Medical Circumstances of the
Defendant.—
(A) The defendant is suffering from a
terminal illness (i.e., a serious and
advanced illness with an end of life
trajectory). A specific prognosis of life
expectancy (i.e., a probability of death
within a specific time period) is not
required. Examples include metastatic
solid-tumor cancer, amyotrophic lateral
sclerosis (ALS), end-stage organ disease,
and advanced dementia.
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(B) The defendant is—
(i) suffering from a serious physical or
medical condition,
(ii) suffering from a serious functional
or cognitive impairment, or
(iii) experiencing deteriorating
physical or mental health because of the
aging process,
that substantially diminishes the ability
of the defendant to provide self-care
within the environment of a correctional
facility and from which he or she is not
expected to recover.
(C) The defendant is suffering from a
medical condition that requires longterm or specialized medical care,
without which the defendant is at risk
of serious deterioration in health or
death, that is not being provided in a
timely or adequate manner.
(D) The defendant presents the
following circumstances—
(i) the defendant is housed at a
correctional facility affected or at risk of
being affected by (I) an ongoing outbreak
of infectious disease, or (II) an ongoing
public health emergency declared by the
appropriate federal, state, or local
authority;
(ii) the defendant is at increased risk
of suffering severe medical
complications or death as a result of
exposure to the ongoing outbreak of
infectious disease or the ongoing public
health emergency described in clause
(i); and
(iii) such risk cannot be mitigated in
a timely or adequate manner.
(2) Age of the Defendant.—The
defendant (A) is at least 65 years old; (B)
is experiencing a serious deterioration
in physical or mental health because of
the aging process; and (C) has served at
least 10 years or 75 percent of his or her
term of imprisonment, whichever is
less.
(3) Family Circumstances of the
Defendant.—
(A) The death or incapacitation of the
caregiver of the defendant’s minor child
or the defendant’s child who is 18 years
of age or older and incapable of self-care
because of a mental or physical
disability or a medical condition.
(B) The incapacitation of the
defendant’s spouse or registered partner
when the defendant would be the only
available caregiver for the spouse or
registered partner.
(C) The incapacitation of the
defendant’s parent when the defendant
would be the only available caregiver
for the parent.
[(D) The defendant presents
circumstances similar to those listed in
paragraphs (3)(A) through (3)(C)
involving any other immediate family
member or an individual whose
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relationship with the defendant is
similar in kind to that of an immediate
family member.]
[(4) Victim of Assault.—The
defendant was a victim of sexual assault
or physical abuse resulting in serious
bodily injury committed by a
correctional officer or other employee or
contractor of the Bureau of Prisons
while in custody.]
[(5) Changes in Law.—The defendant
is serving a sentence that is inequitable
in light of changes in the law.]
[Option 1:
(6) Other Circumstances.—The
defendant presents any other
circumstance or a combination of
circumstances similar in nature and
consequence to any of the
circumstances described in paragraphs
(1) through [(3)][(4)][(5)].]
[Option 2:
(6) Other Circumstances.—As a result
of changes in the defendant’s
circumstances [or intervening events
that occurred after the defendant’s
sentence was imposed], it would be
inequitable to continue the defendant’s
imprisonment or require the defendant
to serve the full length of the sentence.]
[Option 3:
(6) Other Circumstances.—The
defendant presents an extraordinary and
compelling reason other than, or in
combination with, the circumstances
described in paragraphs (1) through
[(3)][(4)][(5)].]
(c) Rehabilitation of the Defendant.—
Pursuant to 28 U.S.C. 994(t),
rehabilitation of the defendant is not, by
itself, an extraordinary and compelling
reason for purposes of this policy
statement.’’.
The Commentary to § 1B1.13
captioned ‘‘Application Notes’’ is
amended by striking it as follows:
‘‘Application Notes:
1. Extraordinary and Compelling
Reasons.—Provided the defendant
meets the requirements of subdivision
(2), extraordinary and compelling
reasons exist under any of the
circumstances set forth below:
(A) Medical Condition of the
Defendant.—
(i) The defendant is suffering from a
terminal illness (i.e., a serious and
advanced illness with an end of life
trajectory). A specific prognosis of life
expectancy (i.e., a probability of death
within a specific time period) is not
required. Examples include metastatic
solid-tumor cancer, amyotrophic lateral
sclerosis (ALS), end-stage organ disease,
and advanced dementia.
(ii) The defendant is—
(I) suffering from a serious physical or
medical condition,
(II) suffering from a serious functional
or cognitive impairment, or
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(III) experiencing deteriorating
physical or mental health because of the
aging process,
that substantially diminishes the ability
of the defendant to provide self-care
within the environment of a correctional
facility and from which he or she is not
expected to recover.
(B) Age of the Defendant.—The
defendant (i) is at least 65 years old; (ii)
is experiencing a serious deterioration
in physical or mental health because of
the aging process; and (iii) has served at
least 10 years or 75 percent of his or her
term of imprisonment, whichever is
less.
(C) Family Circumstances.—
(i) The death or incapacitation of the
caregiver of the defendant’s minor child
or minor children.
(ii) The incapacitation of the
defendant’s spouse or registered partner
when the defendant would be the only
available caregiver for the spouse or
registered partner.
(D) Other Reasons.—As determined
by the Director of the Bureau of Prisons,
there exists in the defendant’s case an
extraordinary and compelling reason
other than, or in combination with, the
reasons described in subdivisions (A)
through (C).
2. Foreseeability of Extraordinary and
Compelling Reasons.—For purposes of
this policy statement, an extraordinary
and compelling reason need not have
been unforeseen at the time of
sentencing in order to warrant a
reduction in the term of imprisonment.
Therefore, the fact that an extraordinary
and compelling reason reasonably could
have been known or anticipated by the
sentencing court does not preclude
consideration for a reduction under this
policy statement.
3. Rehabilitation of the Defendant.—
Pursuant to 28 U.S.C. 994(t),
rehabilitation of the defendant is not, by
itself, an extraordinary and compelling
reason for purposes of this policy
statement.
4. Motion by the Director of the
Bureau of Prisons.—A reduction under
this policy statement may be granted
only upon motion by the Director of the
Bureau of Prisons pursuant to 18 U.S.C.
3582(c)(1)(A). The Commission
encourages the Director of the Bureau of
Prisons to file such a motion if the
defendant meets any of the
circumstances set forth in Application
Note 1. The court is in a unique position
to determine whether the circumstances
warrant a reduction (and, if so, the
amount of reduction), after considering
the factors set forth in 18 U.S.C. 3553(a)
and the criteria set forth in this policy
statement, such as the defendant’s
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medical condition, the defendant’s
family circumstances, and whether the
defendant is a danger to the safety of
any other person or to the community.
This policy statement shall not be
construed to confer upon the defendant
any right not otherwise recognized in
law.
5. Application of Subdivision (3).—
Any reduction made pursuant to a
motion by the Director of the Bureau of
Prisons for the reasons set forth in
subdivisions (1) and (2) is consistent
with this policy statement.’’.
The Commentary to § 1B1.13
captioned ‘‘Background’’ is amended by
striking ‘‘the Commission is authorized’’
and inserting ‘‘the Commission is
required’’.
Issues for Comment
1. The proposed amendment would
revise the list of ‘‘extraordinary and
compelling reasons’’ in § 1B1.13
(Reduction in Term of Imprisonment
Under 18 U.S.C. 3582(c)(1)(A) (Policy
Statement)) in several ways. The
Commission invites comment on
whether the proposed amendment—in
particular proposed subsections (b)(5)
and (6)—exceeds the Commission’s
authority under 28 U.S.C. 994(a) and (t),
or any other provision of federal law.
2. The proposed amendment would
make changes to § 1B1.13 (Reduction in
Term of Imprisonment Under 18 U.S.C.
3582(c)(1)(A) (Policy Statement)) and its
corresponding commentary to
implement the First Step Act of 2018,
Public Law 115–391 (Dec. 21, 2018).
The Commission seeks general comment
on the proposed changes and whether
the Commission should make any
different or additional changes to
implement the Act.
3. The proposed amendment would
revise the categories of circumstances in
which ‘‘extraordinary and compelling
reasons’’ exist under the Commission’s
policy statement at § 1B1.13. The
Commission adopted the policy
statement at § 1B1.13 to implement the
directive in 28 U.S.C. 994(t). As noted
above, the directive requires the
Commission to ‘‘describe what should
be considered extraordinary and
compelling reasons for sentence
reduction, including the criteria to be
applied and a list of specific examples.’’
The Commission also has the authority
to promulgate general policy statements
regarding the application of the
guidelines or other aspects of sentencing
that in the view of the Commission
would further the purposes of
sentencing (18 U.S.C. 3553(a)(2)),
including the appropriate use of the
sentence modification provisions set
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7185
forth in 18 U.S.C. 3582(c). See 28 U.S.C.
994(a)(2)(C).
The Commission seeks comment on
whether the proposed categories of
circumstances are appropriate and
provide clear guidance to the courts and
the Bureau of Prisons. Should the
Commission further define and expand
the categories? Should the Commission
provide additional or different criteria
or examples of circumstances that
constitute ‘‘extraordinary and
compelling reasons’’? If so, what
specific criteria or examples should the
Commission provide? Should the
Commission consider an altogether
different approach for describing ‘‘what
should be considered extraordinary and
compelling reasons for sentence
reduction’’?
4. The proposed amendment brackets
the possibility of adding a new category
of ‘‘extraordinary and compelling
reasons’’ to § 1B1.13 relating to
defendants who are victims of sexual
assault or physical abuse resulting in
serious bodily injury committed by a
correctional officer or other employee or
contractor of the Bureau of Prisons
while in custody. The Commission
seeks comment on whether this
provision should be expanded to
include defendants who have been
victims of sexual assault or physical
abuse resulting in serious bodily injury
committed by another inmate.
5. Section 1B1.10 (Reduction in Term
of Imprisonment as a Result of
Amended Guideline Range (Policy
Statement)) sets forth the applicable
policy statement for determining in
what circumstances and to what extent
a reduction in a term of imprisonment
as a result of an amended guideline
range may be granted. In Dillon v.
United States, 560 U.S. 817 (2010), the
Supreme Court held that proceedings
under 18 U.S.C. 3582(c)(2) are not
governed by United States v. Booker,
543 U.S. 220 (2005), and that § 1B1.10
remains binding on courts in such
proceedings.
The Commission seeks comment on
whether the proposed amendment—in
particular proposed subsections (b)(5)
and (6)—is in tension with the
Commission’s determinations regarding
retroactivity of guideline amendments
under § 1B1.10. If so, how should the
Commission resolve this tension?
Should the Commission clarify the
interaction between § 1B1.10 and
§ 1B1.13? If so, how?
2. First Step Act—Drug Offenses
Synopsis of Proposed Amendment:
This proposed amendment responds to
the First Step Act of 2018, Public Law
115–391 (Dec. 21, 2018) (‘‘First Step
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Act’’ or ‘‘Act’’), which contains
numerous provisions related to
sentencing, prison programming,
recidivism reduction efforts, and reentry
procedures. Although Commission
action is not necessary to implement
most of the First Step Act, revisions to
the Guidelines Manual may be
appropriate to implement the Act’s
changes to the eligibility criteria of the
‘‘safety valve’’ provision at 18 U.S.C.
3553(f), and the recidivist penalties for
drug offenders at 21 U.S.C. 841(b) and
960(b). The proposed amendment
contains two parts (Parts A and B). The
Commission is considering whether to
promulgate either or both of these parts,
as they are not mutually exclusive.
(A) Safety Valve
Section 3553(f) of title 18, United
States Code, allows a court to impose a
sentence without regard to any statutory
minimum penalty if it finds that a
defendant meets certain criteria. As
originally enacted, the safety valve
applied only to offenses under 21 U.S.C.
841, 844, 846, 960, and 963 and to
defendants who, among other things,
had not more than one criminal history
point, as determined under the
guidelines. When it first enacted the
safety valve, Congress directed the
Commission to promulgate or amend
guidelines and policy statements to
‘‘carry out the purposes of [section
3553(f)].’’ See Violent Crime Control
and Law Enforcement Act of 1994,
Public Law 103–322, 80001(b). The
Commission implemented the directive
by incorporating the statutory text of
section 3553(f) into the guidelines at
§ 5C1.2 (Limitation on Applicability of
Statutory Minimum Sentences in
Certain Cases). Two other guidelines
provisions, subsection (b)(18) of § 2D1.1
(Unlawful Manufacturing, Importing,
Exporting, or Trafficking (Including
Possession with Intent to Commit These
Offenses); Attempt or Conspiracy) and
subsection (b)(6) of § 2D1.11
(Unlawfully Distributing, Importing,
Exporting or Possessing a Listed
Chemical; Attempt or Conspiracy),
currently provide a 2-level reduction in
a defendant’s offense level if the
defendant meets the criteria in
paragraphs (1) through (5) of § 5C1.2(a).
Section 402 of the First Step Act
expanded the safety valve provision at
18 U.S.C. 3553(f) in two ways. First, the
Act extended the applicability of the
safety valve to maritime offenses under
46 U.S.C. 70503 and 70506. Second, the
Act amended section 3553(f)(1) to
broaden the eligibility criteria of the
safety valve to include defendants who
do not have: (1) ‘‘more than 4 criminal
history points, excluding any criminal
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history points resulting from a 1-point
offense, as determined under the
sentencing guidelines’’; (2) a ‘‘prior 3point offense, as determined under the
sentencing guidelines’’; and (3) a ‘‘prior
2-point violent offense, as determined
under the sentencing guidelines.’’ The
Act defines ‘‘violent offense’’ as a
‘‘crime of violence,’’ as defined in 18
U.S.C. 16, that is punishable by
imprisonment. In addition, the First
Step Act incorporated into section
3553(f) a provision instructing that
‘‘[i]nformation disclosed by a defendant
under this subsection may not be used
to enhance the sentence of the
defendant unless the information relates
to a violent offense.’’
Following the enactment of the First
Step Act, circuit courts have disagreed
about how the word ‘‘and’’ connecting
subsections (A) through (C) in section
3553(f)(1) operates. The Fifth, Sixth,
Seventh, and Eighth Circuits have held
that section 3553(f)(1) should be read to
exclude a defendant who meets any
single disqualifying condition listed in
subsections (A) through (C). See United
States v. Palomares, 52 F.4th 640, 642
(5th Cir. 2022) (‘‘To be eligible for safety
valve relief, a defendant must show that
she does not have more than 4 criminal
history points, does not have a 3-point
offense, and does not have a 2-point
violent offense.’’); United States v.
Haynes, 55 F.4th 1075 (6th Cir. 2022)
(same); United States v. Pace, 48 F.4th
741, 756 (7th Cir. 2022) (‘‘[A] defendant
who meets any one of subsections (A),
(B), or (C) does not qualify for safetyvalve relief.’’); United States v. Pulsifer,
39 F.4th 1018, 1022 (8th Cir. 2022) (‘‘A
court will find that § 3553(f)(1) is
satisfied only when the defendant (A)
does not have more than four criminal
history points, (B) does not have a prior
three-point offense, and (C) does not
have a prior two-point violent
offense.’’). Specifically, the Eighth
Circuit concluded that the word ‘‘and’’
is conjunctive in a ‘‘distributive’’ sense
rather than in a ‘‘joint’’ sense. Thus, the
phrase ‘‘does not have’’ is distributed
across all three subsections (i.e., should
be read as repeated before each of the
three conditions) such that a defendant
is ineligible for safety valve relief if the
defendant meets any one of the three
conditions. Pulsifer, 39 F.4th at 1022
(‘‘The distributive reading therefore
gives meaning to each subsection in
§ 3553(f)(1), and we conclude that it is
the better reading of the statute.’’); see
also Palomares, 52 F.4th at 642 (‘‘We
agree with the Eighth Circuit that
Congress’s use of an em-dash following
‘does not have’ is best interpreted to
‘distribute’ that phrase to each following
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subsection.’’); Haynes, 55 F.4th at 1080
(‘‘We agree with the Eighth Circuit that,
of the interpretations on offer here,
‘[o]nly the distributive interpretation
avoids surplusage.’ ’’).
The Ninth and Eleventh Circuits, in
contrast, have held that the ‘‘and’’
connecting subparagraphs (A), (B), and
(C) of section 3553(f)(1) is ‘‘conjunctive’’
and joins together the enumerated
characteristics in those provisions.
United States v. Lopez, 998 F.3d 431
(9th Cir. 2021); United States v. Garcon,
54 F.4th 1274 (11th Cir. 2022) (en banc).
Accordingly, a defendant ‘‘must have
(A) more than four criminal-history
points, (B) a prior three-point offense,
and (C) a prior two-point violent
offense, cumulatively,’’ to be
disqualified from safety valve relief
under section 3553(f). Lopez, 998 F.3d
at 433. Unlike the Fifth, Sixth, and
Eighth Circuits, the Ninth and Eleventh
Circuits interpret the word ‘‘and’’ to be
conjunctive in a ‘‘joint,’’ rather than
‘‘distributive,’’ sense.
Using fiscal year 2021 data,
Commission analysis estimated that of
17,520 drug trafficking offenders, 11,866
offenders meet the non-criminal history
requirements of the safety valve (18
U.S.C. 3553(f)(2)–(5)). Of those 11,866
offenders, 5,768 offenders have no more
than one criminal history point and
would be eligible under the unamended
pre-First Step Act criminal history
requirement. Under a disjunctive
interpretation of the expanded criminal
history provision, 1,987 offenders
would become eligible. The remaining
4,111 offenders would be ineligible. In
comparison, under the Ninth Circuit’s
conjunctive interpretation of the
expanded criminal history provision,
5,778 offenders would become eligible.
The remaining 320 offenders would be
ineligible.
Part A of the proposed amendment
would implement the provisions of the
First Step Act expanding the
applicability of the safety valve
provision by amending § 5C1.2 and its
corresponding commentary.
Specifically, it would revise § 5C1.2(a)
to reflect the broader class of defendants
who are eligible for safety valve relief
under the Act. Part A of the proposed
amendment would also bracket a
possible revision to the minimum
offense level that § 5C1.2(b) requires for
certain offenders. Revision of this
provision, which implements a directive
to the Commission in section 80001(b)
of the Violent Crime Control and Law
Enforcement Act of 1994, Public Law
103–222 (Sept. 13, 1994), may be
appropriate given the expanded class of
defendants who would qualify for safety
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valve relief under the proposed
revisions to § 5C1.2(a).
In addition, Part A of the proposed
amendment would make changes to the
Commentary to § 5C1.2. First, it would
revise Application Note 1 by deleting
the current language and adding the
statutory definition for the term ‘‘violent
offense.’’ Second, Part A of the proposed
amendment brackets the possibility of
adding a new application note stating
that ‘‘[i]n determining whether the
defendant meets the criteria in
subsection (a)(1), refer to § 4A1.1
(Criminal History Category) and § 4A1.2
(Definitions and Instructions for
Computing Criminal History), read
together, before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category).’’ Third, Part A of the
proposed amendment would also revise
Application Note 7, to implement the
new statutory provision stating that
information disclosed by a defendant
pursuant to 18 U.S.C. 3553(f) may not be
used to enhance the defendant’s
sentence unless the information relates
to a violent offense. Finally, it would
make additional technical changes to
the rest of the Commentary by
renumbering and inserting headings at
the beginning of certain notes.
Part A of the proposed amendment
would also make conforming changes to
§ 4A1.3 (Departures Based on
Inadequacy of Criminal History
Category (Policy Statement)), which
makes a specific reference to the
number of criminal history points
allowed by § 5C1.2(a)(1).
Finally, Part A of the proposed
amendment would also make changes to
§ 2D1.1 and § 2D1.11, as the 2-level
reductions in both guidelines are
tethered to the eligibility criteria of
paragraphs (1)–(5) of § 5C1.2(a). It
provides two options for amending
§ 2D1.1(b)(18) and § 2D1.11(b)(6).
Option 1 would not make any
substantive changes to § 2D1.1(b)(18)
and § 2D1.11(b)(6), allowing their 2level reductions to automatically apply
to any defendant who meets the revised
criteria of § 5C1.2. Because § 5C1.2(a)(1)
would closely track the language in 18
U.S.C. 3553(f)(1), as amended by the
First Step Act, the ‘‘and’’ used to set
forth the criminal history criteria in
§ 5C1.2 might be read by some courts as
disjunctive (e.g., the courts in the Fifth,
Sixth, Seventh, and Eighth Circuits) and
by other courts as conjunctive (e.g., the
courts in the Ninth and Eleventh
Circuits). Option 1 would not resolve
the circuit conflict for purposes of
§ 2D1.1(b)(18) and § 2D1.11(b)(6).
Option 2 would amend § 2D1.1(b)(18)
and § 2D1.11(b)(6) to provide that their
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2-level reductions apply to all
defendants who meet the criteria in
§ 5C1.2(a)(2)–(5). It would also
incorporate into those provisions the
same criminal history criteria from
revised § 5C1.2(a)(1) but set forth the
criteria disjunctively, consistent with
the approach of the Fifth, Sixth,
Seventh, and Eighth Circuits. As a
result, a defendant would not be eligible
for the 2-level reduction in
§ 2D1.1(b)(18) or § 2D1.11(b)(6) if the
defendant presents any of the
disqualifying conditions relating to
criminal history.
Both options also would make
changes to the Commentary to §§ 2D1.1
and 2D1.11 that correspond to the
applicable provisions of the revised
Commentary to § 5C1.2.
Part A of the proposed amendment
also includes issues for comment.
(B) Recidivist Penalties for Drug
Offenders
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.
Prior to the First Step Act, all of the
recidivist penalty provisions within
sections 841(b) and 960(b) provided for
an enhanced mandatory minimum
penalty if a defendant had one or more
convictions for a prior ‘‘felony drug
offense,’’ which is defined in 21 U.S.C.
802(44) as ‘‘an offense that is punishable
by imprisonment for more than one year
under any law of the United States or of
a State or foreign country that prohibits
or restricts conduct relating to narcotic
drugs, marihuana, anabolic steroids, or
depressant or stimulant substances.’’
Section 401 of the Act both narrowed
and expanded the type of prior offenses
that trigger enhanced mandatory
minimum penalties under 21 U.S.C.
841(b)(1)(A), 841(b)(1)(B), 960(b)(1), and
960(b)(2). The Act narrowed the
triggering prior offenses for these
statutory provisions by replacing the
term ‘‘felony drug offense’’ with
‘‘serious drug felony.’’ The term
‘‘serious drug felony’’ is defined in 21
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7187
U.S.C. 802(57) as ‘‘an offense described
in [18 U.S.C. 924(e)(2)] for which—(A)
the offender served a term of
imprisonment of more than 12 months;
and (B) the offender’s release from any
term of imprisonment was within 15
years of the commencement of the
instant offense.’’ The Act also expanded
the class of triggering offenses for the
same statutory provisions by adding
‘‘serious violent felony.’’ The term
‘‘serious violent felony’’ is defined in 21
U.S.C. 802(58) as ‘‘(A) an offense
described in [18 U.S.C. 3559(c)(2)] for
which the offender served a term of
imprisonment of more than 12 months;
and (B) any offense that would be a
felony violation of [18 U.S.C. 113], if the
offense were committed in the special
maritime and territorial jurisdiction of
the United States, for which the
offender served a term of imprisonment
of more than 12 months.’’ The First Step
Act did not amend 21 U.S.C.
841(b)(1)(C), 841(b)(1)(E), 960(b)(3), or
960(b)(5), which still provide for
enhanced mandatory minimum
penalties if a defendant was convicted
of a prior ‘‘felony drug offense.’’
Part B of the proposed amendment
would revise subsection (a) of § 2D1.1
(Unlawful Manufacturing, Importing,
Exporting, or Trafficking (Including
Possession with Intent to Commit These
Offenses); Attempt or Conspiracy) to
make the guideline’s base offense levels
consistent with the First Step Act’s
changes to the type of prior offenses that
trigger enhanced mandatory minimum
penalties. Specifically, the proposed
amendment would revise subsections
(a)(1) and (a)(3) to replace the term
‘‘similar offense’’ used in these
guideline provisions with the
appropriate terms set forth in the
relevant statutory provisions, as
amended by the First Step Act.
First, Part B of the proposed
amendment would amend § 2D1.1(a)(1)
and split it into two subparagraphs.
Subparagraph (A) would provide for a
base offense level of 43 for a defendant
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), where death or serious bodily
injury resulted from the use of the
substance and the defendant committed
the offense after one or more prior
convictions for a ‘‘serious drug felony or
serious violent felony.’’ Subparagraph
(B) would provide for a base offense
level of 43 for a defendant convicted
under 21 U.S.C. 841(b)(1)(C) or 21
U.S.C. 960(b)(3) where death or serious
bodily injury resulted from the use of
the substance and the defendant
committed the offense after one or more
prior convictions for a ‘‘felony drug
offense.’’
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Second, Part B of the proposed
amendment would amend § 2D1.1(a)(3),
which provides for a base offense level
of 30 for a defendant convicted under 21
U.S.C. 841(b)(1)(E) or 21 U.S.C.
960(b)(5) where death or serious bodily
injury resulted from the use of the
substance and the defendant committed
the offense after one or more prior
convictions for a ‘‘similar offense.’’
Specifically, it would replace the term
‘‘similar offense’’ with ‘‘felony drug
offense,’’ as provided in the relevant
statutory provisions.
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(A) Safety Valve
Proposed Amendment
Section 5C1.2(a) is amended—
by inserting after ‘‘§ 963,’’ the
following: ‘‘or 46 U.S.C. 70503 or
§ 70506,’’;
by striking ‘‘set forth below’’ and
inserting ‘‘as follows’’;
by striking paragraph (1) as follows:
‘‘(1) the defendant does not have more
than 1 criminal history point, as
determined under the sentencing
guidelines before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category);’’;
and by inserting the following new
paragraph (1):
‘‘(1) the defendant does not have—
(A) more than 4 criminal history
points, excluding any criminal history
points resulting from a 1-point offense,
as determined under the sentencing
guidelines;
(B) a prior 3-point offense, as
determined under the sentencing
guidelines; and
(C) a prior 2-point violent offense, as
determined under the sentencing
guidelines;’’.
[Section 5C1.2(b) is amended by
striking ‘‘the offense level applicable
from Chapters Two (Offense Conduct)
and Three (Adjustments) shall not be
less than 17’’ and inserting ‘‘the
applicable guideline range shall not be
less than 24 to 30 months of
imprisonment’’.]
The Commentary to § 5C1.2 captioned
‘‘Application Notes’’ is amended—
by striking Notes 1, 2, and 3 as
follows:
‘‘1. ‘More than 1 criminal history
point, as determined under the
sentencing guidelines,’ as used in
subsection (a)(1), means more than one
criminal history point as determined
under § 4A1.1 (Criminal History
Category) before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category).
2. ‘Dangerous weapon’ and ‘firearm,’
as used in subsection (a)(2), and ‘serious
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bodily injury,’ as used in subsection
(a)(3), are defined in the Commentary to
§ 1B1.1 (Application Instructions).
3. ‘Offense,’ as used in subsection
(a)(2)–(4), and ‘offense or offenses that
were part of the same course of conduct
or of a common scheme or plan,’ as used
in subsection (a)(5), mean the offense of
conviction and all relevant conduct.’’;
and inserting the following new Note
1 [and Note 2]:
‘‘1. Definitions.—
(A) The term ‘violent offense’ means
a ‘crime of violence,’ as defined in 18
U.S.C. 16, that is punishable by
imprisonment.
(B) ‘Dangerous weapon’ and ‘firearm,’
as used in subsection (a)(2), and ‘serious
bodily injury,’ as used in subsection
(a)(3), are defined in the Commentary to
§ 1B1.1 (Application Instructions).
(C) ‘Offense,’ as used in subsection
(a)(2)–(4), and ‘offense or offenses that
were part of the same course of conduct
or of a common scheme or plan,’ as used
in subsection (a)(5), mean the offense of
conviction and all relevant conduct.
[2. Application of subsection (a)(1).—
In determining whether the defendant
meets the criteria in subsection (a)(1),
refer to § 4A1.1 (Criminal History
Category) and § 4A1.2 (Definitions and
Instructions for Computing Criminal
History), read together, before
application of subsection (b) of § 4A1.3
(Departures Based on Inadequacy of
Criminal History Category).]’’;
by redesignating Note 4 as Note 3;
in Note 3 (as so redesignated) by
inserting at the beginning the following
new heading: ‘‘Application of
subsection (a)(2).—’’;
by striking Notes 5, 6, and 7 as
follows:
‘‘5. ‘Organizer, leader, manager, or
supervisor of others in the offense, as
determined under the sentencing
guidelines,’ as used in subsection (a)(4),
means a defendant who receives an
adjustment for an aggravating role under
§ 3B1.1 (Aggravating Role).
6. ‘Engaged in a continuing criminal
enterprise,’ as used in subsection (a)(4),
is defined in 21 U.S.C. 848(c). As a
practical matter, it should not be
necessary to apply this prong of
subsection (a)(4) because (i) this section
does not apply to a conviction under 21
U.S.C. 848, and (ii) any defendant who
‘engaged in a continuing criminal
enterprise’ but is convicted of an offense
to which this section applies will be an
‘organizer, leader, manager, or
supervisor of others in the offense.’
7. Information disclosed by the
defendant with respect to subsection
(a)(5) may be considered in determining
the applicable guideline range, except
where the use of such information is
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restricted under the provisions of
§ 1B1.8 (Use of Certain Information).
That is, subsection (a)(5) does not
provide an independent basis for
restricting the use of information
disclosed by the defendant.’’;
by inserting the following new Notes
4 and 5:
‘‘4. Application of Subsection (a)(4).—
(A) ‘Organizer, leader, manager, or
supervisor of others in the offense’.—
The first prong of subsection (a)(4)
requires that the defendant was not
subject to an adjustment for an
aggravating role under § 3B1.1
(Aggravating Role).
(B) ‘Engaged in a continuing criminal
enterprise’.—‘Engaged in a continuing
criminal enterprise,’ as used in
subsection (a)(4), is defined in 21 U.S.C.
848(c). As a practical matter, it should
not be necessary to apply this prong of
subsection (a)(4) because (i) this section
does not apply to a conviction under 21
U.S.C. 848, and (ii) any defendant who
‘engaged in a continuing criminal
enterprise’ but is convicted of an offense
to which this section applies will be an
‘organizer, leader, manager, or
supervisor of others in the offense.’
5. Use of Information Disclosed under
Subsection (a).—Information disclosed
by a defendant under subsection (a) may
not be used to enhance the sentence of
the defendant unless the information
relates to a violent offense, as defined in
Application Note 1(A).’’;
by redesignating Notes 8 and 9 as
Notes 6 and 7, respectively;
in Note 6 (as so redesignated) by
inserting at the beginning the following
new heading: ‘‘Government’s
Opportunity to Make
Recommendation.—’’;
and in Note 7 (as so redesignated) by
inserting at the beginning the following
new heading: ‘‘Exemption from
Otherwise Applicable Statutory
Minimum Sentences.—’’.
The Commentary to § 5C1.2 captioned
‘‘Background’’ is amended by inserting
after ‘‘Violent Crime Control and Law
Enforcement Act of 1994’’ the following:
‘‘and subsequently amended’’.
Section 4A1.3(b)(3)(B) is amended—
in the heading by striking ‘‘to
Category I’’;
by striking ‘‘whose criminal history
category is Category I after receipt of’’
and inserting ‘‘who receives’’;
by striking ‘‘criterion’’ and inserting
‘‘criminal history requirement’’;
and by striking ‘‘if, before receipt of
the downward departure, the defendant
had more than one criminal history
point under § 4A1.1 (Criminal History
Category)’’ and inserting ‘‘if the
defendant did not otherwise meet such
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requirement before receipt of the
downward departure’’.
[Option 1:
Section 2D1.1(b)(18) is amended by
striking ‘‘subdivisions’’ and inserting
‘‘paragraphs’’.
[The Commentary to § 2D1.1
captioned ‘‘Application Notes’’ is
amended in Note 21 by striking ‘‘a
minimum offense level of level 17’’ and
inserting ‘‘that the applicable guideline
range shall not be less than 24 to 30
months of imprisonment’’.]
Section 2D1.11(b)(6) is amended by
striking ‘‘subdivisions’’ and inserting
‘‘paragraphs’’.
[The Commentary to § 2D1.11
captioned ‘‘Application Notes’’ is
amended in Note 7 by striking ‘‘a
minimum offense level of level 17’’ and
inserting ‘‘an applicable guideline range
of not less than 24 to 30 months of
imprisonment’’.]]
[Option 2:
Section 2D1.1(b)(18) is amended by
striking the following:
‘‘If the defendant meets the criteria set
forth in subdivisions (1)–(5) of
subsection (a) of § 5C1.2 (Limitation on
Applicability of Statutory Minimum
Sentences in Certain Cases), decrease by
2 levels.’’,
and inserting the following:
‘‘If the defendant—
(A) meets the criteria set forth in
paragraphs (2)–(5) of subsection (a) of
§ 5C1.2 (Limitation on Applicability of
Statutory Minimum Sentences in
Certain Cases); and
(B) does not have any of the
following:
(i) more than 4 criminal history
points, excluding any criminal history
points resulting from a 1-point offense;
(ii) a prior 3-point offense; or
(iii) a prior 2-point violent offense;
as determined under § 4A1.1
(Criminal History Category) and § 4A1.2
(Definitions and Instructions for
Computing Criminal History), read
together, before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category);
decrease by 2 levels.’’.
The Commentary to § 2D1.1 captioned
‘‘Application Notes’’ is amended in
Note 21 by striking the following:
‘‘Applicability of Subsection (b)(18).—
The applicability of subsection (b)(18)
shall be determined without regard to
whether the defendant was convicted of
an offense that subjects the defendant to
a mandatory minimum term of
imprisonment. Section § 5C1.2(b),
which provides a minimum offense
level of level 17, is not pertinent to the
determination of whether subsection
(b)(18) applies.’’,
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and inserting the following:
‘‘Application of Subsection (b)(18).—
(A) General Applicability.—The
applicability of subsection (b)(18) shall
be determined without regard to
whether the defendant was convicted of
an offense that subjects the defendant to
a mandatory minimum term of
imprisonment. Section § 5C1.2(b),
which provides [a minimum offense
level of level 17][that the applicable
guideline range shall not be less than 24
to 30 months of imprisonment], is not
pertinent to the determination of
whether subsection (b)(18) applies.
(B) Definition of Violent Offense.—
The term ‘violent offense’ means a
‘crime of violence,’ as defined in 18
U.S.C. 16, that is punishable by
imprisonment.’’.
Section 2D1.11(b)(6) is amended by
striking the following:
‘‘If the defendant meets the criteria set
forth in subdivisions (1)–(5) of
subsection (a) of § 5C1.2 (Limitation on
Applicability of Statutory Minimum
Sentences in Certain Cases), decrease by
2 levels.’’,
and inserting the following:
‘‘If the defendant—
(A) meets the criteria set forth in
paragraphs (2)–(5) of subsection (a) of
§ 5C1.2 (Limitation on Applicability of
Statutory Minimum Sentences in
Certain Cases); and
(B) does not have any of the
following:
(i) more than 4 criminal history
points, excluding any criminal history
points resulting from a 1-point offense;
(ii) a prior 3-point offense; or
(iii) a prior 2-point violent offense;
as determined under § 4A1.1
(Criminal History Category) and § 4A1.2
(Definitions and Instructions for
Computing Criminal History), read
together, before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category);
decrease by 2 levels.’’.
The Commentary to § 2D1.11
captioned ‘‘Application Notes’’ is
amended in Note 7 by striking the
following:
‘‘Applicability of Subsection (b)(6).—
The applicability of subsection (b)(6)
shall be determined without regard to
the offense of conviction. If subsection
(b)(6) applies, § 5C1.2(b) does not apply.
See § 5C1.2(b)(2)(requiring a minimum
offense level of level 17 if the
‘statutorily required minimum sentence
is at least five years’).’’,
and inserting the following:
‘‘Application of Subsection (b)(6).—
(A) General Applicability.—The
applicability of subsection (b)(6) shall
be determined without regard to the
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7189
offense of conviction. If subsection
(b)(6) applies, § 5C1.2(b) does not apply.
See § 5C1.2(b)(2) (requiring [a minimum
offense level of level 17][an applicable
guideline range of not less than 24 to 30
months of imprisonment] if the
‘statutorily required minimum sentence
is at least five years’).
(B) Definition of Violent Offense.—
The term ‘violent offense’ means a
‘crime of violence,’ as defined in 18
U.S.C. 16, that is punishable by
imprisonment.’’.]
Issues for Comment
1. As described above, Part A of the
proposed amendment would make
changes to § 5C1.2 (Limitation on
Applicability of Statutory Minimum
Sentences in Certain Cases) and its
corresponding commentary to
implement the First Step Act of 2018,
Public Law 115–391 (Dec. 21, 2018).
The Commission seeks general comment
on whether the Commission should
make any different or additional
changes to implement the Act.
2. Section 3553(f)(1) of title 18, United
States Code, sets forth the criminal
history criteria for the safety valve in
subparagraphs (A) through (C). Each
subparagraph sets forth the specific
criminal history condition followed by
the phrase ‘‘as determined under the
sentencing guidelines.’’ Circuit courts
have reached different conclusions
about what constitutes a ‘‘1-point,’’ ‘‘2point,’’ or ‘‘3-point’’ offense, and also
seem to disagree on whether such
interpretation arises from the statute
itself or from proper guideline
operation. Compare, e.g., United States
v. Garcon, 54 F.4th 1274, 1280–84 (11th
Cir. 2022) (en banc) (concluding that
criminal history events are considered
differently for purposes of subsections
3553(f)(1)(B) and (C) than subsection
(A), and articulating that interpretation
as primarily stemming from the statute),
with United States v. Haynes, 55 F.4th
1075, 1080 (6th Cir. 2022) (‘‘[Section]
3553(f)(1) refers only to ‘prior 3-point’
and ‘prior 2-point violent’ offenses ‘as
determined under the sentencing
guidelines’—which means all the
Guidelines, including § 4A1.2(e).’’). The
Commission seeks comment on whether
it should provide guidance on what
constitutes a ‘‘1-point,’’ ‘‘2-point,’’ or
‘‘3-point’’ offense, ‘‘as determined under
the sentencing guidelines,’’ for purposes
of § 5C1.2.
3. Part A of the proposed amendment
provides two options for amending
subsection (b)(18) of § 2D1.1 (Unlawful
Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with
Intent to Commit These Offenses);
Attempt or Conspiracy) and subsection
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(b)(6) of § 2D1.11 (Unlawfully
Distributing, Importing, Exporting or
Possessing a Listed Chemical; Attempt
or Conspiracy) in light of the proposed
revisions to § 5C1.2(a), which reflect the
changes to 18 U.S.C. 3553(f) enacted by
the First Step Act.
Option 1 would leave the text of
§ 2D1.1(b)(18) and § 2D1.11(b)(6)
unchanged, so that their offense-level
reductions would apply to all
defendants who meet the criteria in
revised § 5C1.2(a)(1)–(5). As discussed
above, a circuit conflict has arisen as to
whether the ‘‘and’’ connecting the
subparagraphs that set forth the criminal
history criteria in 18 U.S.C. 3553(f)(1)
operates disjunctively or conjunctively.
Option 2 of the proposed amendment
would amend § 2D1.1(b)(18) and
§ 2D1.11(b)(6) to provide that their 2level reductions would apply to all
defendants who meet the criteria in
§ 5C1.2(a)(2)–(5). It would also
incorporate into those provisions the
same criminal history criteria from
revised § 5C1.2(a)(1) but set forth the
criteria disjunctively, so that the
reductions would be available only to
defendants who do not present any of
the listed disqualifying conditions.
The Commission seeks comment on
each of these options. Which option, if
any, is appropriate? In the alternative,
should the Commission incorporate into
§ 2D1.1(b)(18) and § 2D1.11(b)(6) the
same criminal history criteria from
revised § 5C1.2(a)(1) but set forth the
criteria conjunctively, so that defendants
must present all of the listed
disqualifying conditions to be ineligible
for their reductions? Should the
Commission consider an altogether
different approach? If so, what approach
should the Commission provide and
why?
(B) Recidivist Penalties for Drug
Offenders
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Proposed Amendment
Section 2D1.1(a)(1) is amended by
striking the following:
‘‘43, 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 and that the
defendant com-mitted the offense after
one or more prior convictions for a
similar offense; or’’,
and inserting the following:
‘‘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
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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’’.
Section 2D1.1(a)(3) is amended by
striking ‘‘similar offense’’ and inserting
‘‘felony drug offense’’.
The Commentary to § 2D1.1 caption
‘‘Application Notes’’ is amended—
by striking Note 2 as follows:
‘‘2. ‘Plant’.—For purposes of the
guidelines, a ‘plant’ is an organism
having leaves and a readily observable
root formation (e.g., a marihuana cutting
having roots, a rootball, or root hairs is
a marihuana plant).’’;
by redesignating Note 1 as Note 2;
and by inserting at the beginning the
following new Note 1:
‘‘1. Definitions.—
For purposes of the guidelines, a
‘plant’ is an organism having leaves and
a readily observable root formation (e.g.,
a marihuana cutting having roots, a
rootball, or root hairs is a marihuana
plant).
For purposes of subsection (a),
‘serious drug felony,’ ‘serious violent
felony,’ and ‘felony drug offense’ have
the meaning given those terms in 21
U.S.C. 802.’’.
3. Firearms Offenses
Synopsis of Proposed Amendment:
This proposed amendment is a result of
the Commission’s consideration of
possible amendments to § 2K2.1
(Unlawful Receipt, Possession, or
Transportation of Firearms or
Ammunition; Prohibited Transactions
Involving Firearms or Ammunition) to
(A) implement the Bipartisan Safer
Communities Act (Pub. L. 117–159); and
(B) make any other changes that may be
warranted to appropriately address
firearms offenses. See U.S. Sent’g
Comm’n, ‘‘Notice of Final Priorities,’’ 87
FR 67756 (Nov. 9, 2022). The proposed
amendment contains three parts (Parts
A through C). The Commission is
considering whether to promulgate any
or all these parts, as they are not
mutually exclusive.
Part A of the proposed amendment
would amend § 2K2.1 to respond to the
Bipartisan Safer Communities Act. Two
options are presented. Issues for
comment are also provided.
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Part B of the proposed amendment
addresses concerns expressed by some
commenters about firearms that are not
marked by a serial number (i.e., ‘‘ghost
guns’’). An issue for comment is also
provided.
Part C of the proposed amendment
provides issues for comment on possible
further revisions to § 2K2.1.
(A) Bipartisan Safer Communities Act
Synopsis of Proposed Amendment:
The Bipartisan Safer Communities Act
(the ‘‘Act’’), among other things, created
two new firearms offenses, amended
definitions, increased penalties for
certain firearms offenses, and contained
a directive to the Commission relating to
straw purchases and trafficking of
firearms offenses.
Specifically, the Act created two new
offenses at 18 U.S.C. 932 and 933.
Section 932 prohibits knowingly
purchasing, or conspiring to purchase,
any firearm on behalf of, or at the
request or demand of, another person
with knowledge or reasonable cause to
believe that such other person: (1) meets
at least one of the criteria set forth in 18
U.S.C. 922(d); (2) intends to use, carry,
possess, sell, or otherwise dispose of the
firearm in furtherance of a felony, a
Federal crime of terrorism, or a drug
trafficking crime; or (3) intends to sell
or otherwise dispose of the firearm to a
person who meets either of the previous
criteria. See 18 U.S.C. 932(b). Section
933 prohibits: (1) shipping, transporting,
transferring, causing to be transported,
or otherwise disposing of, any firearm to
another person with knowledge or
reasonable cause to believe that the use,
carrying, or possession of a firearm by
the recipient would constitute a felony;
(2) receiving from another person any
firearm with knowledge or reasonable
cause to believe that such receipt would
constitute a felony; or (3) attempt or
conspiracy to commit either of the acts
described before. See 18 U.S.C. 933(a).
Both new offenses carry a statutory
maximum term of imprisonment of 15
years. The statutory maximum term of
imprisonment for offenses under section
932 increases to 25 years if the offense
was committed with knowledge or
reasonable cause to believe that any
firearm involved will be used to commit
a felony, a Federal crime of terrorism, or
a drug trafficking crime. See 18 U.S.C.
932(c)(2).
In addition, the Act increased the
statutory maximum term of
imprisonment for the offenses under 18
U.S.C. 922(d), 922(g), 924(h), and 924(k)
from ten to 15 years. The Act also made
changes to the elements of some of these
offenses. First, the Act expanded the
scope of section 922(d) by adding two
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additional categories of persons to
whom it is unlawful to sell or otherwise
dispose of any firearm or ammunition:
(1) persons who intend to sell or
otherwise dispose of the firearm or
ammunition in furtherance of a felony,
a Federal crime of terrorism, or a drug
trafficking offense; and (2) persons who
intend to sell or otherwise dispose of
the firearm or ammunition to a person
to whom sale or disposition is
prohibited under the other categories in
section 922(d). See 18 U.S.C.
922(d)(10)–(11).
Second, the Act amended section
924(h). Prior to the Act, section 924(h)
prohibited knowingly transferring a
firearm with knowledge that such
firearm will be used to commit a crime
of violence or drug trafficking crime. As
amended by the Act, section 924(h)
prohibits knowingly receiving or
transferring a firearm or ammunition, or
attempting or conspiring to do so, with
knowledge or reasonable cause to
believe that such firearm or ammunition
will be used to commit a felony, a
Federal crime of terrorism, a drug
trafficking crime, or a crime under the
Arms Export Control Act (22 U.S.C.
2751 et seq.), the Export Control Reform
Act of 2018 (50 U.S.C. 4801 et seq.), the
International Emergency Economic
Powers Act (50 U.S.C. 1701 et seq.), or
the Foreign Narcotics Kingpin
Designation Act (21 U.S.C. 1901 et seq.).
See 18 U.S.C. 924(h).
Third, the Act also amended section
924(k). Prior to the Act, section 924(k)
prohibited smuggling or knowingly
bringing into the United States a
firearm, or attempting to do so, with
intent to engage in or to promote
conduct that: (1) is punishable under
the Controlled Substances Act (21
U.S.C. 801 et seq.), the Controlled
Substances Import and Export Act (21
U.S.C. 951 et seq.), or chapter 705 of
title 46, United States Code; (2) violates
any law of a State relating to any
controlled substance; or (3) constitutes a
crime of violence. Section 924(k), as
amended by the Act, prohibits
smuggling or knowingly bringing into or
out of the United States a firearm or
ammunition, or attempting or
conspiring to do so, with intent to
engage in or to promote conduct that: (1)
is punishable under the Controlled
Substances Import and Export Act (21
U.S.C. 951 et seq.), or chapter 705 of
title 46, United States Code; or (2)
constitutes a felony, a Federal crime of
terrorism, or a drug trafficking crime.
See 18 U.S.C. 924(k).
The Act also expanded the definition
of ‘‘misdemeanor crime of domestic
violence’’ at 18 U.S.C. 921(a)(33) to
include offenses against a person in ‘‘a
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current or recent former dating
relationship.’’ See 18 U.S.C.
921(a)(33)(A). In addition, the Act
added a new provision to section
921(a)(33) indicating that a person is not
disqualified from shipping,
transporting, possessing, receiving, or
purchasing a firearm under chapter 44
of title 18, United States Code, by reason
of a conviction for a misdemeanor crime
of domestic violence against an
individual in a dating relationship if
certain criteria are met. See 18 U.S.C.
921(a)(33)(C).
Finally, the Act includes a directive
requiring the Commission, pursuant to
its authority under 28 U.S.C. 994, to
review and amend its guidelines and
policy statements to ensure that persons
convicted of an offense under section
932 or 933 of title 18, United States
Code, and other offenses applicable to
the straw purchases and trafficking of
firearms are subject to increased
penalties in comparison to those
currently provided by the guidelines
and policy statements for such straw
purchasing and trafficking of firearms
offenses. In its review, the Commission
shall consider, in particular, an
appropriate amendment to reflect the
intent of Congress that straw purchasers
without significant criminal histories
receive sentences that are sufficient to
deter participation in such activities and
reflect the defendant’s role and
culpability, and any coercion, domestic
violence survivor history, or other
mitigating factors. The Commission
shall also review and amend its
guidelines and policy statements to
reflect the intent of Congress that a
person convicted of an offense under
section 932 or 933 of title 18, United
States Code, who is affiliated with a
gang, cartel, organized crime ring, or
other such enterprise should be subject
to higher penalties than an otherwise
unaffiliated individual.
Public Law 117–159, 12004(a)(5) (2022).
New Offenses and Increased Penalties
for Straw Purchasing and Firearms
Trafficking Offenses
Part A of the proposed amendment
implements part of the directive of the
Bipartisan Safer Communities Act by
addressing the new offenses at 18 U.S.C.
932 and 933 and increasing penalties for
other offenses applicable to straw
purchases and trafficking of firearms.
First, Part A of the proposed
amendment would amend Appendix A
(Statutory Index) to reference the new
offenses at 18 U.S.C. 932 and 933 to
§ 2K2.1 (Unlawful Receipt, Possession,
or Transportation of Firearms or
Ammunition; Prohibited Transactions
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7191
Involving Firearms or Ammunition).
Offenses involving firearms trafficking
and straw purchases are generally
referenced to this guideline.
Second, Part A of the proposed
amendment would amend § 2K2.1 to
address the new offenses and increase
penalties for offenses applicable to
straw purchases and trafficking of
firearms, as required by the directive.
Two options are presented.
Option 1 addresses the new offenses
at 18 U.S.C. 932 and 933 and increases
penalties for offenses applicable to
straw purchases and trafficking of
firearms. It would accomplish this by
adding references to the new offenses in
§ 2K2.1(a) and revising the firearms
trafficking enhancement at § 2K2.1(b)(5)
to apply to straw purchase and other
trafficking offenses.
Specifically, Option 1 would add
references to 18 U.S.C. 932 and 933 in
subsections (a)(4)(B)(ii)(II) and (a)(6)(B).
In addition, Option 1 would revise the
4-level enhancement for firearms
trafficking at § 2K2.1(b)(5) to make it a
tiered-enhancement applicable to
defendants who transferred or intended
to transfer firearms or ammunition to
certain individuals, which would
provide the requisite increase for a
defendant convicted of violating 18
U.S.C. 922(d), 932, or 933(a)(1), as well
as other offenses, including violations of
18 U.S.C. 922(a)(6) or 924(a)(1)(A)
committed with knowledge, intent, or
reason to believe that the offense would
result in the transfer of a firearm or
ammunition to a prohibited person. The
revised enhancement would also apply
to defendants convicted under 18 U.S.C.
933(a)(2) or (a)(3). Specifically, a [1][2]level enhancement would apply if the
defendant was convicted under 18
U.S.C. 933(a)(2) or (a)(3). A [1][2]-level
increase would apply if the defendant
(i) transported, transferred, sold, or
otherwise disposed of, or purchased or
received with intent to transport,
transfer, sell, or otherwise dispose of, a
firearm or any ammunition knowing or
having reason to believe that such
conduct would result in the receipt of
the firearm or ammunition by an
individual who (I) was a prohibited
person; or (II) intended to use or dispose
of the firearm or ammunition
unlawfully; or (ii) attempted or
conspired to commit the conduct
described in clause (i). A [5][6]-level
enhancement would apply if the
defendant (i) transported, transferred,
sold, or otherwise disposed of, or
purchased or received with intent to
transport, transfer, sell, or otherwise
dispose of, two or more firearms
knowing or having reason to believe that
such conduct would result in the receipt
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of the firearms by an individual who (I)
had a prior conviction for a crime of
violence, controlled substance offense,
or misdemeanor crime of domestic
violence; (II) was under a criminal
justice sentence; or (III) intended to use
or dispose of the firearms unlawfully; or
(ii) attempted or conspired to commit
the conduct described in clause (i).
In addition, Option 1 would amend
Application Note 13 to conform its
content with the revised version of
§ 2K2.1(b)(5). It would also include a
new provision in response to the
changes that the Act made to section
921(a)(33). Specifically, the new
provision states that new subsection
(b)(5)(C) shall not apply based upon the
receipt or intended receipt of the
firearms by an individual with a prior
conviction for a misdemeanor crime of
domestic violence against a person in a
dating relationship if, at the time of the
instant offense, such individual [had no
prior conviction for a crime of violence
or controlled substance offense and had
not more than one conviction of a
misdemeanor crime of domestic
violence against a person in a dating
relationship, but 5 years had elapsed
from the later of the judgment of
conviction or the completion of the
individual’s custodial or supervisory
sentence for such an offense and the
individual had not subsequently been
convicted of another such offense; a
misdemeanor under federal, state, tribal,
or local law which has, as an element,
the use or attempted use of physical
force, or the threatened use of a deadly
weapon; or any other offense covered 18
U.S.C. 922(g)][met the criteria set forth
in the proviso of 18 U.S.C.
921(a)(33)(C)]. In addition, Option 1
would amend the departure provision in
Application Note 13 to provide that 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 [or an unusually large amount
of ammunition], an upward departure
may be warranted.
Option 2 would restructure the base
offense level provisions at § 2K2.1(a) by
providing references to specific statutes
with statutory maximum terms of
imprisonment of 15 years or more.
Option 2 identifies the ‘‘other offenses
applicable’’ to trafficking and straw
purchasing as those for which Congress
increased penalties in the Act. As
mentioned, the Act increased the
maximum term of imprisonment from
ten to 15 years for four offenses: 18
U.S.C. 922(d) (transferring a firearm or
ammunition to a prohibited person);
922(g) (possession, receipt, or transfer of
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a firearm or ammunition by a prohibited
person); 924(h) (transferring a firearm or
ammunition to commit a felony); and
924(k) (smuggling a firearm or
ammunition to commit a felony). The
15-year statutory maximum for these
four offenses is the same as the new
section 932 (without aggravating
circumstances) and section 933 offenses.
Three of the offenses with the amended
statutory penalties (sections 922(g),
922(d), and 924(h)) share core elements
with the new straw purchase (section
932) and trafficking (section 933)
statutes: the transfer of a firearm to a
felon or knowing it would be used to
commit a felony; and the receipt of a
firearm by a felon or knowing it would
be used to commit a felony. The third
(section 924(k)) similarly concerns itself
with the intent to engage in or promote
a further felony (after smuggling a
firearm or ammunition into or out of the
United States). Because the penalties
and elements of these four offenses are
similar to those of the new offenses, and
they were modified by the same Act,
Option 2 applies the increase to
defendants convicted of those four
offenses in addition to defendants
convicted under 18 U.S.C. 932 and 933.
First, Option 2 would increase by
[1][2] levels the base offense levels at
subsections (a)(1) through (a)(3).
Second, Option 2 would add a new
provision at subsection (a)(4) that sets
forth a base offense level of [21][22] if
(A) the defendant committed any part of
the instant offense subsequent to
sustaining one felony conviction of
either a crime of violence or a controlled
substance offense; or (B) (i) the
defendant is convicted under 18 U.S.C.
922(d), 922(g), 924(h), 924(k), 932, or
933; and (ii) the offense involved a (I)
semiautomatic firearm that is capable of
accepting a large capacity magazine; or
(II) firearm that is described in 26 U.S.C.
5845(a). Third, Option 2 would delete
current subsection (a)(4)(A) and make
conforming changes to current
subsection (a)(4)(B). Fourth, Option 2
would add a new provision at
§ 2K2.1(a)(7) that would set forth a new
base offense level of [15][16] if the
defendant was convicted under 18
U.S.C. 922(d), 922(g), 924(h), 924(k),
932, or 933. Fifth, Option 2 would
delete current subsection (a)(6)(B).
Sixth, Option 2 would amend the
provision that follows § 2K2.1(b)(4)
containing a cumulative impact ‘‘cap,’’
to increase such limit from level 29 to
level [30][31]. Finally, Option 2 would
add a new [1][2]-level reduction at
§ 2K1.1(b)(9) applicable if (A) the base
offense level is determined under new
subsection (a)(7); (B) none of the
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enhancements in subsection (b) apply;
and (C) the offense of conviction
established only the possession or
receipt of firearms or ammunition.
Option 2 would also amend current
Application Note 13(B) in response to
the changes that the Act made to section
921(a)(33). The note currently provides
that ‘‘misdemeanor crime of violence’’
has the meaning given that term in 18
U.S.C. 921(a)(33)(A). Option 2 would
amend Application Note 13(B) to
expressly provide that an individual
shall not be considered an ‘‘individual
whose possession or receipt of the
firearm would be unlawful’’ [if, at the
time of the instant offense, the
individual was not otherwise covered
by such definition and has not more
than one conviction of a misdemeanor
crime of domestic violence against a
person in a dating relationship, but 5
years had elapsed from the later of the
judgment of conviction or the
completion of the individual’s custodial
or supervisory sentence for such an
offense and the individual had not
subsequently been convicted of: another
such offense; a misdemeanor under
federal, state, tribal, or local law which
has, as an element, the use or attempted
use of physical force, or the threatened
use of a deadly weapon; or any other
offense covered by the definition of
‘‘individual whose possession or receipt
of the firearm would be
unlawful’’][based upon a conviction of a
misdemeanor crime of domestic
violence against a person in a dating
relationship, if the individual met the
criteria set forth in the proviso of 18
U.S.C. 921(a)(33)(C) at the time of the
instant offense].
‘‘Straw Purchasers’’ With Mitigating
Factors
Part A of the proposed amendment
also addresses the part of the directive
that requires the Commission to
‘‘consider, in particular, an appropriate
amendment to reflect the intent of
Congress that straw purchasers without
significant criminal histories receive
sentences that are sufficient to deter
participation in such activities and
reflect the defendant’s role and
culpability, and any coercion, domestic
violence survivor history, or other
mitigating factors.’’ See Public Law 117–
159, § 12004(a)(5) (2022).
In response to the directive, Options
1 and 2 of Part A of the proposed
amendment would add a new [1][2]level reduction based on certain
mitigating factors.
Option 1 would set forth the new
[1][2]-level reduction at subsection
(b)(9). The reduction would be
applicable if the defendant (A) [receives
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an enhancement under subsection
(b)(5)][is convicted under (i) 18 U.S.C.
922(d), 932, or 933; or (ii) 18 U.S.C.
922(a)(6) or 924(a)(1)(A) and committed
the offense with knowledge, intent, or
reason to believe that the offense would
result in the transfer of a firearm or
ammunition to a prohibited person]; (B)
does not have more than 1 criminal
history point, as determined under
§ 4A1.1 (Criminal History Category) and
§ 4A1.2 (Definitions and Instructions for
Computing Criminal History), read
together, before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category); and (C) (i) was
motivated by an intimate or familial
relationship or by threats or fear to
commit the offense; [or][and] (ii)
received little or no compensation from
the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of
the enterprise][that the firearm would be
used or possessed in connection with
further criminal activity].
Option 2 would set forth the new
[1][2]-level reduction at subsection
(b)(10). The reduction would be
applicable if subsection (b)(9) does not
apply and the defendant (A) is
convicted under 18 U.S.C. 922(d),
924(h), 924(k), 932, or 933; (B) does not
have more than 1 criminal history point,
as determined under § 4A1.1 (Criminal
History Category) and § 4A1.2
(Definitions and Instructions for
Computing Criminal History), read
together, before application of
subsection (b) of § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category); and (C) (i) was
motivated by an intimate or familial
relationship or by threats or fear to
commit the offense; [or][and] (ii)
received little or no compensation from
the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of
the enterprise][that the firearm would be
used or possessed in connection with
further criminal activity].
In relation to this part of the directive,
both options in Part A of the proposed
amendment bracket the deletion of the
departure provision at Application Note
15 of § 2K2.1.
subject to higher penalties than an
otherwise unaffiliated individual.’’ See
Public Law 117–159, § 12004(a)(5)
(2022). Options 1 and 2 of Part A of the
proposed amendment would provide a
new [2][3][4]-level enhancement in
response to this part of the directive.
Option 1 would set forth the new
[2][3][4]-level enhancement at
subsection (b)(8). The enhancement
would be applicable if the defendant (A)
[receives an enhancement under
subsection (b)(5)][is convicted under (i)
18 U.S.C. 922(d), 932, or 933; or (ii) 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person]; (B) participated, at the time of
the offense, in a group, club,
organization, or association of five or
more persons that had as one of its
primary purposes the commission of
criminal offenses, with knowledge that
its members engage in or have engaged
in criminal activity; and (C) committed
the offense with the intent to promote
or further the felonious activities of, or
with the intent to maintain or increase
his or her position in, such group, club,
organization, or association.
Option 2 would set forth the new
[2][3][4]-level enhancement at
subsection (b)(8). The enhancement
would be applicable if the defendant (A)
is convicted under (i) 18 U.S.C. 922(d),
932, or 933; or (ii) 18 U.S.C. 922(a)(6) or
924(a)(1)(A) and committed the offense
with knowledge, intent, or reason to
believe that the offense would result in
the transfer of a firearm or ammunition
to a prohibited person; (B) participated,
at the time of the offense, in a group,
club, organization, or association of five
or more persons that had as one of its
primary purposes the commission of
criminal offenses, with knowledge that
its members engage in or have engaged
in criminal activity; and (C) committed
the offense with the intent to promote
or further the felonious activities of, or
with the intent to maintain or increase
his or her position in, such group, club,
organization, or association.
Enhancement for Defendants With
Criminal Affiliations
Finally, Part A of the proposed
amendment addresses the part of the
directive that requires the Commission
to ‘‘review and amend its guidelines and
policy statements to reflect the intent of
Congress that a person convicted of an
offense under section 932 or 933 of title
18, United States Code, who is affiliated
with a gang, cartel, organized crime
ring, or other such enterprise should be
Issues for Comment
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Part A of the proposed amendment
also provides issues for comment.
Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 18 U.S.C. 956 the
following new line references:
‘‘18 U.S.C. 932 2K2.1
18 U.S.C. 933 2K2.1’’.
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[Option 1 (Revised SOC Enhancement
for Straw Purchase and Trafficking
Offenses):
Section 2K2.1(a)(4)(B) is amended by
inserting after ‘‘18 U.S.C. 922(d)’’ the
following: ‘‘, § 932, or § 933’’.
Section 2K2.1(a)(6)(B) is amended by
inserting after ‘‘18 U.S.C. 922(d)’’ the
following: ‘‘, § 932, or § 933’’.
Section 2K2.1(b) is amended—
in paragraph (5) by striking ‘‘If the
defendant engaged in the trafficking of
firearms, increase by 4 levels.’’ and
inserting the following:
‘‘(Apply the Greatest) If the
defendant—
(A) was convicted under 18 U.S.C.
933(a)(2) or (a)(3), increase by [1][2]
levels;
(B) (i) transported, transferred, sold,
or otherwise disposed of, or purchased
or received with intent to transport,
transfer, sell, or otherwise dispose of, a
firearm or any ammunition knowing or
having reason to believe that such
conduct would result in the receipt of
the firearm or ammunition by an
individual who (I) was a prohibited
person; or (II) intended to use or dispose
of the firearm or ammunition
unlawfully; or (ii) attempted or
conspired to commit the conduct
described in clause (i), increase by [1][2]
levels; or
(C) (i) transported, transferred, sold,
or otherwise disposed of, or purchased
or received with intent to transport,
transfer, sell, or otherwise dispose of,
two or more firearms knowing or having
reason to believe that such conduct
would result in the receipt of the
firearms by an individual who (I) had a
prior conviction for a crime of violence,
controlled substance offense, or
misdemeanor crime of domestic
violence; (II) was under a criminal
justice sentence; or (III) intended to use
or dispose of the firearms unlawfully; or
(ii) attempted or conspired to commit
the conduct described in clause (i),
increase by [5][6] levels.’’;
and by inserting at the end the
following new paragraphs (8) and (9):
‘‘(8) If the defendant—
(A) [receives an enhancement under
subsection (b)(5)][is convicted under (i)
18 U.S.C. 922(d), 932, or 933; or (ii) 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person];
(B) participated, at the time of the
offense, in a group, club, organization,
or association of five or more persons
that had as one of its primary purposes
the commission of criminal offenses,
with knowledge that its members engage
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in or have engaged in criminal activity;
and
(C) committed the offense with the
intent to promote or further the
felonious activities of, or with the intent
to maintain or increase his or her
position in, such group, club,
organization, or association;
increase by [2][3][4] levels.
(9) If the defendant—
(A) [receives an enhancement under
subsection (b)(5)][is convicted under (i)
18 U.S.C. 922(d), 932, or 933; or (ii) 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person];
(B) does not have more than 1
criminal history point, as determined
under § 4A1.1 (Criminal History
Category) and § 4A1.2 (Definitions and
Instructions for Computing Criminal
History), read together, before
application of subsection (b) of § 4A1.3
(Departures Based on Inadequacy of
Criminal History Category); and
(C) (i) was motivated by an intimate
or familial relationship or by threats or
fear to commit the offense; [or][and] (ii)
received little or no compensation from
the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of
the enterprise][that the firearm would be
used or possessed in connection with
further criminal activity];
decrease by [1][2] levels.’’.
The Commentary to § 2K2.1 captioned
‘‘Statutory Provisions’’ is amended by
inserting after ‘‘(k)–(o),’’ the following:
‘‘932, 933,’’.
The Commentary to § 2K2.1 captioned
‘‘Application Notes’’ is amended—
in Note 3 by striking ‘‘subsections
(a)(4)(B) and (a)(6)’’ and inserting
‘‘subsections (a)(4)(B), (a)(6), (b)(5),
[(b)(8), and (b)(9)]’’;
in Note 10 by striking ‘‘subsection
(a)(1) and (a)(2)’’ and inserting
‘‘subsections (a)(1) and (a)(2)’’;
in Note 13—
by striking paragraph (A) as follows:
‘‘(A) In General.—Subsection (b)(5)
applies, regardless of whether anything
of value was exchanged, if the
defendant—
(i) transported, transferred, or
otherwise disposed of two or more
firearms to another individual, or
received two or more firearms with the
intent to transport, transfer, or otherwise
dispose of firearms to another
individual; and
(ii) knew or had reason to believe that
such conduct would result in the
transport, transfer, or disposal of a
firearm to an individual—
(I) whose possession or receipt of the
firearm would be unlawful; or
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(II) who intended to use or dispose of
the firearm unlawfully.’’;
by redesignating paragraph (B) as
paragraph (A);
in paragraph (A) (as so redesignated)
by striking the first paragraph as
follows:
‘‘ ‘Individual whose possession or
receipt of the firearm would be
unlawful’ means an individual who (i)
has a prior conviction for a crime of
violence, a controlled substance offense,
or a misdemeanor crime of domestic
violence; or (ii) at the time of the offense
was under a criminal justice sentence,
including probation, parole, supervised
release, imprisonment, work release, or
escape status. ‘Crime of violence’ and
‘controlled substance offense’ have the
meaning given those terms in § 4B1.2
(Definitions of Terms Used in Section
4B1.1). ‘Misdemeanor crime of domestic
violence’ has the meaning given that
term in 18 U.S.C. 921(a)(33)(A).’’,
and inserting the following:
‘‘ ‘Crime of violence’ and ‘controlled
substance offense’ have the meaning
given those terms in § 4B1.2 (Definitions
of Terms Used in Section 4B1.1).
‘Misdemeanor crime of domestic
violence’ has the meaning given that
term in 18 U.S.C. 921(a)(33)(A).
The term ‘criminal justice sentence’
includes probation, parole, supervised
release, imprisonment, work release, or
escape status.’’;
by inserting the following new
paragraph (B):
‘‘(B) Application of Subsection
(b)(5)(C).—Subsection (b)(5)(C) shall not
apply based upon the receipt or
intended receipt of the firearms by an
individual with a prior conviction for a
misdemeanor crime of domestic
violence against a person in a dating
relationship if, at the time of the instant
offense, such individual [had no prior
conviction for a crime of violence or
controlled substance offense and had
not more than one conviction of a
misdemeanor crime of domestic
violence against a person in a dating
relationship, but 5 years had elapsed
from the later of the judgment of
conviction or the completion of the
individual’s custodial or supervisory
sentence for such an offense and the
individual had not subsequently been
convicted of another such offense; a
misdemeanor under federal, state, tribal,
or local law which has, as an element,
the use or attempted use of physical
force, or the threatened use of a deadly
weapon; or any other offense covered in
18 U.S.C. 922(g)][met the criteria set
forth in the proviso of 18 U.S.C.
921(a)(33)(C)].’’;
and in paragraph (C) by striking ‘‘If
the defendant trafficked substantially
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more than 25 firearms, an upward
departure may be warranted’’ and
inserting ‘‘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 [or an unusually large amount
of ammunition], an upward departure
may be warranted’’[;]
[and by striking Note 15 as follows:
‘‘15. Certain Convictions Under 18
U.S.C. 922(a)(6), 922(d), and
924(a)(1)(A).—In a case in which the
defendant is convicted under 18 U.S.C.
922(a)(6), 922(d), or 924(a)(1)(A), a
downward departure may be warranted
if (A) none of the enhancements in
subsection (b) apply, (B) the defendant
was motivated by an intimate or familial
relationship or by threats or fear to
commit the offense and was otherwise
unlikely to commit such an offense, and
(C) the defendant received no monetary
compensation from the offense.’’].
[Option 2 (Increase Penalties for
Offenses with Statutory Maximum of 15
years or more):
Section 2K2.1(a) is amended—
in paragraph (1) by striking ‘‘26,’’ and
inserting ‘‘[26][27][28],’’;
in paragraph (2) by striking ‘‘24,’’ and
inserting ‘‘[24][25][26],’’;
in paragraph (3) by striking ‘‘22,’’ and
inserting ‘‘[22][23][24],’’;
by striking paragraph (4) as follows:
‘‘(4) 20, if—
(A) the defendant committed any part
of the instant offense subsequent to
sustaining one felony conviction of
either a crime of violence or a controlled
substance offense; or
(B) the (i) offense involved a (I)
semiautomatic firearm that is capable of
accepting a large capacity magazine; or
(II) firearm that is described in 26 U.S.C.
5845(a); and (ii) defendant (I) was a
prohibited person at the time the
defendant committed the instant
offense; (II) is convicted under 18 U.S.C.
922(d); or (III) is convicted under 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person;’’;
by redesignating paragraphs (5), (6),
(7), and (8) as paragraphs (6), (8), (9),
and (10), respectively;
by inserting the following new
paragraphs (4) and (5):
‘‘(4) [21][22], if—
(A) the defendant committed any part
of the instant offense subsequent to
sustaining one felony conviction of
either a crime of violence or a controlled
substance offense; or
(B) (i) the defendant is convicted
under 18 U.S.C. 922(d), 922(g), 924(h),
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924(k), 932, or 933; and (ii) the offense
involved a (I) semiautomatic firearm
that is capable of accepting a large
capacity magazine; or (II) firearm that is
described in 26 U.S.C. 5845(a);
(5) 20, if the (A) offense involved a (i)
semiautomatic firearm that is capable of
accepting a large capacity magazine; or
(ii) firearm that is described in 26 U.S.C.
5845(a); and (B) defendant (i) was a
prohibited person at the time the
defendant committed the instant
offense; or (ii) is convicted under 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person;’’;
by inserting the following new
paragraph (7):
‘‘(7) [15][16], if the defendant is
convicted under 18 U.S.C. 922(d),
922(g), 924(h), 924(k), 932, or 933;’’;
and in paragraph (8) (as so
redesignated) by striking ‘‘(B) is
convicted under 18 U.S.C. 922(d); or
(C)’’ and inserting ‘‘or (B)’’.
Section 2K2.1(b) is amended—
in paragraph (2) by striking ‘‘(a)(4), or
(a)(5)’’ and inserting ‘‘(a)(4), (a)(5), or
(a)(6)’’;
in the paragraph after paragraph (4) by
striking ‘‘level 29’’ and inserting ‘‘level
[29][30][31]’’;
and by adding at the end the
following new paragraphs (8), (9), and
(10):
‘‘(8) If the defendant—
(A) is convicted under (i) 18 U.S.C.
922(d), 932, or 933; or (ii) 18 U.S.C.
922(a)(6) or 924(a)(1)(A) and committed
the offense with knowledge, intent, or
reason to believe that the offense would
result in the transfer of a firearm or
ammunition to a prohibited person;
(B) participated, at the time of the
offense, in a group, club, organization,
or association of five or more persons
that had as one of its primary purposes
the commission of criminal offenses,
with knowledge that its members engage
in or have engaged in criminal activity;
and
(C) committed the offense with the
intent to promote or further the
felonious activities of, or with the intent
to maintain or increase his or her
position in, such group, club,
organization, or association;
increase by [2][3][4] levels.
(9) If (A) the base offense level is
determined under subsection (a)(7); (B)
none of the enhancements in subsection
(b) apply; and (C) the offense of
conviction established only the
possession or receipt of firearms or
ammunition, decrease by [1 level][2
levels].
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(10) If subsection (b)(9) does not apply
and the defendant—
(A) is convicted under 18 U.S.C.
922(d), 924(h), 924(k), 932, or 933;
(B) does not have more than 1
criminal history point, as determined
under § 4A1.1 (Criminal History
Category) and § 4A1.2 (Definitions and
Instructions for Computing Criminal
History), read together, before
application of subsection (b) of § 4A1.3
(Departures Based on Inadequacy of
Criminal History Category); and
(C) (i) was motivated by an intimate
or familial relationship or by threats or
fear to commit the offense; [or][and] (ii)
received little or no compensation from
the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of
the enterprise][that the firearm would be
used or possessed in connection with
further criminal activity];
decrease by [1][2] levels.’’.
The Commentary to § 2K2.1 captioned
‘‘Statutory Provisions’’ is amended by
inserting after ‘‘(k)–(o),’’ the following:
‘‘932, 933,’’.
The Commentary to § 2K2.1 captioned
‘‘Application Notes’’ is amended—
in Note 2 by striking ‘‘and (a)(4)’’ and
inserting ‘‘(a)(4), and (a)(5)’’;
in Note 3 by striking ‘‘(a)(4)(B) and
(a)(6)’’ and inserting ‘‘(a)(5), (a)(8), and
(b)(8)’’;
in Note 4 by striking ‘‘Subsection
(a)(7)’’ both places such term appears
and inserting ‘‘Subsection (a)(9)’’;
in Note 6 by striking ‘‘subsections
(a)(1)–(a)(5)’’ and inserting ‘‘subsections
(a)(1)–(a)(6)’’;
in Note 7 by striking ‘‘(a)(4)(B), or
(a)(5)’’ and inserting ‘‘(a)(4)(B), (a)(5), or
(a)(6)’’;
in Note 8(A)—
in the heading by striking ‘‘Subsection
(a)(7)’’ and inserting ‘‘Subsection (a)(9)’’;
and by striking ‘‘under subsection
(a)(7)’’ both places such phrase appears
and inserting ‘‘under subsection (a)(9)’’;
in Note 9 by striking ‘‘prohibited
person’’ both places such term appears
and inserting ‘‘person described in 18
U.S.C. 922(g) or 922(n)’’;
in Note 10 by striking ‘‘subsection
(a)(1), (a)(2), (a)(3), (a)(4)(A), (a)(4)(B), or
(a)(6)’’ and inserting ‘‘subsection (a)(1),
(a)(2), (a)(3), (a)(4), (a)(5), or (a)(8)’’;
in Note 13(B) by inserting after ‘‘18
U.S.C. 921(a)(33)(A).’’ the following:
‘‘However, an individual shall not be
considered an ‘individual whose
possession or receipt of the firearm
would be unlawful’ [if, at the time of the
instant offense, the individual was not
otherwise covered by such definition
and had not more than one conviction
of a misdemeanor crime of domestic
violence against a person in a dating
relationship, but 5 years had elapsed
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Fmt 4701
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7195
from the later of the judgment of
conviction or the completion of the
individual’s custodial or supervisory
sentence for such an offense and the
individual had not subsequently been
convicted of: another such offense; a
misdemeanor under federal, state, tribal,
or local law which has, as an element,
the use or attempted use of physical
force, or the threatened use of a deadly
weapon; or any other offense covered by
the definition of ‘individual whose
possession or receipt of the firearm
would be unlawful.’] [based upon a
conviction of a misdemeanor crime of
domestic violence against a person in a
dating relationship, if the individual
met the criteria set forth in the proviso
of 18 U.S.C. 921(a)(33)(C) at the time of
the instant offense.]’’[;]
[and by striking Note 15 as follows:
‘‘15. Certain Convictions Under 18
U.S.C. 922(a)(6), 922(d), and
924(a)(1)(A).—In a case in which the
defendant is convicted under 18 U.S.C.
922(a)(6), 922(d), or 924(a)(1)(A), a
downward departure may be warranted
if (A) none of the enhancements in
subsection (b) apply, (B) the defendant
was motivated by an intimate or familial
relationship or by threats or fear to
commit the offense and was otherwise
unlikely to commit such an offense, and
(C) the defendant received no monetary
compensation from the offense.’’].
Issues for Comment
1. The directive in the Bipartisan
Safer Communities Act requires the
Commission to ensure that defendants
convicted of the new offenses at 18
U.S.C. 932 and 933 and other offenses
applicable to the straw purchases and
trafficking of firearms are subject to
increased penalties in comparison to
those currently provided by the
guidelines for such straw purchasing
and trafficking of firearms offenses. The
two options presented in Part A of the
proposed amendment would amend
§ 2K2.1 (Unlawful Receipt, Possession,
or Transportation of Firearms or
Ammunition; Prohibited Transactions
Involving Firearms or Ammunition) to
increase penalties in response to the
Act. The Commission seeks comment on
whether either of the options presented
in Part A of the proposed amendment
would provide appropriate penalties for
cases involving straw purchases and
trafficking of firearms. Should the
Commission adopt either of these
options or neither? Are there particular
changes to the penalty levels in either
of these options that should be made?
In addition, the Commission seeks
comment on whether additional
changes should be made to § 2K2.1 in
response to the part of the directive that
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requires the Commission to increase
penalties for offenses involving straw
purchases and trafficking of firearms. If
so, what additional changes would be
appropriate?
2. As described above, the Bipartisan
Safer Communities Act also amended
the definition of ‘‘misdemeanor crime of
domestic violence’’ at 18 U.S.C.
921(a)(33) to include misdemeanor
offenses against a person in ‘‘a current
or recent former dating relationship.’’
The Act also added a new provision at
section 921(a)(33)(C) stating as follows:
A person shall not be considered to
have been convicted of a misdemeanor
crime of domestic violence against an
individual in a dating relationship for
purposes of this chapter if the
conviction has been expunged or set
aside, or is an offense for which the
person has been pardoned or has had
firearm rights restored unless the
expungement, pardon, or restoration of
rights expressly provides that the person
may not ship, transport, possess, or
receive firearms: Provided, That, in the
case of a person who has not more than
1 conviction of a misdemeanor crime of
domestic violence against an individual
in a dating relationship, and is not
otherwise prohibited under this chapter,
the person shall not be disqualified from
shipping, transport, possession, receipt,
or purchase of a firearm under this
chapter if 5 years have elapsed from the
later of the judgment of conviction or
the completion of the person’s custodial
or supervisory sentence, if any, and the
person has not subsequently been
convicted of another such offense, a
misdemeanor under Federal, State,
Tribal, or local law which has, as an
element, the use or attempted use of
physical force, or the threatened use of
a deadly weapon, or any other offense
that would disqualify the person under
[18 U.S.C. §] 922(g). The national
instant criminal background check
system established under section 103 of
the Brady Handgun Violence Prevention
Act (34 U.S.C. 40901) shall be updated
to reflect the status of the person.
Restoration under this subparagraph is
not available for a current or former
spouse, parent, or guardian of the
victim, a person with whom the victim
shares a child in common, a person who
is cohabiting with or has cohabited with
the victim as a spouse, parent, or
guardian, or a person similarly situated
to a spouse, parent, or guardian of the
victim.
In light of this new provision, a
person with a conviction for a
misdemeanor crime of domestic
violence against an individual in a
dating relationship is not disqualified
from shipping, transporting, possessing,
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receiving, or purchasing a firearm under
chapter 44 of title 18, United States
Code, if the criteria described above are
met. Are the changes to the Commentary
to § 2K2.1 set forth in Options 1 and 2
adequate to address this new provision?
If not, how should the Commission
address it?
3. In response to the directive in the
Bipartisan Safer Communities Act, Part
A of the proposed amendment includes
an Option 1 that would amend § 2K2.1
to, among other things, revise the
firearms trafficking enhancement at
§ 2K2.1(b)(5) to apply to straw
purchases and trafficking offenses. The
revised enhancement would result in
higher penalties for straw purchasers
and firearms traffickers. The
Commission seeks comment on whether
having higher penalties for straw
purchasers than prohibited persons
raises proportionality concerns the
Commission should address. If so, how
should the Commission address those
concerns?
4. Part A of the proposed amendment
includes an Option 2 that would revise
§ 2K2.1(a) in several ways. Among other
things, it would keep current
§ 2K2.1(a)(4)(B) with a base offense level
of 20 applicable if the (A) offense
involved a (i) semiautomatic firearm
that is capable of accepting a large
capacity magazine; or (ii) firearm that is
described in 26 U.S.C. 5845(a); and (B)
defendant (i) was a prohibited person at
the time the defendant committed the
instant offense; or (ii) is convicted under
18 U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person. In addition, Option 2 would
delete current § 2K2.1(a)(6)(B) but keep
the base offense level of 14 applicable
to any defendant who (A) was a
prohibited person at the time the
defendant committed the instant
offense; or (B) is convicted under 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person. The Commission seeks
comment on whether it should change
the current base offense levels of 14 and
20 applicable to the defendants
described above. If so, what offense
level would be appropriate to any such
defendant, and why?
5. Options 1 and 2 of Part A of the
proposed amendment would add to
§ 2K2.1 a new [1][2]-level reduction
based on certain mitigating factors.
Option 1 provides that the reduction
applies if the defendant [received an
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enhancement under the new subsection
(b)(5) proposed in Option 1][was
convicted under (i) 18 U.S.C. 922(d),
932, or 933; or (ii) 18 U.S.C. 922(a)(6) or
924(a)(1)(A) and committed the offense
with knowledge, intent, or reason to
believe that the offense would result in
the transfer of a firearm or ammunition
to a prohibited person] and meets other
certain criteria. Option 2 provides that
the reduction applies if subsection (b)(9)
does not apply and the defendant is
convicted under 18 U.S.C. 922(d),
924(h), 924(k), 932, or 933, and meets
the same other criteria provided in
Option 1. The Commission seeks
comment on whether this new
adjustment should apply more broadly.
Instead of providing a [1][2]-level
reduction, should the Commission
provide a departure provision
applicable to defendants who meet the
criteria?
The Commission also seeks comment
on whether the criteria provided in
Options 1 and 2 for this new reduction
are appropriate. Should any criterion be
deleted or changed? Should the
Commission provide additional or
different criteria?
The Commission further seeks
comment on the criminal history
requirement provided in Options 1 and
2. Is the proposed requirement
appropriate to respond to Congress’s
intent to address ‘‘straw purchasers
without significant criminal histories’’?
Should the Commission instead use a
different criminal history requirement
than the one proposed in Options 1 and
2?
6. Application Note 15 of § 2K2.1
contains a downward departure
provision for cases in which the
defendant is convicted under 18 U.S.C.
922(a)(6), 922(d), or 924(a)(1)(A) and
meets certain criteria, similar to some of
the criteria included in the new
proposed reduction provided in Option
1 at subsection (b)(9) and in Option 2 at
subsection (b)(10). Hence, both options
bracket the possibility of deleting the
current departure provision. If the
Commission were to promulgate any of
the options in Part A of the proposed
amendment, either as an adjustment or
a downward departure provision,
should the Commission delete the
current departure provision at
Application Note 15? If not, how should
the new reduction interact with the
current departure provision? Should the
current departure provision be modified
in any way?
7. In response to the directive
contained in the Bipartisan Safer
Communities Act, Options 1 and 2 of
Part A of the proposed amendment
would provide a new [2][3][4]-level
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enhancement in § 2K2.1 based on the
criminal affiliations of the defendant.
Option 1 provides that the new
enhancement would be applicable if the
defendant [received an enhancement
under the new subsection (b)(5)
proposed in Option 1][was convicted
under (i) 18 U.S.C. 922(d), 932, or 933;
or (ii) 18 U.S.C. 922(a)(6) or 924(a)(1)(A)
and committed the offense with
knowledge, intent, or reason to believe
that the offense would result in the
transfer of a firearm or ammunition to
a prohibited person] and meets other
criteria. Option 2 provides that the new
enhancement would be applicable if the
defendant is convicted under (i) 18
U.S.C. 922(d), 932, or 933; or (ii) 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and
committed the offense with knowledge,
intent, or reason to believe that the
offense would result in the transfer of a
firearm or ammunition to a prohibited
person; and meets the same other
criteria provided in Option 1. The
Commission seeks comment on whether
the new enhancement should apply
more broadly. Should the Commission
provide additional or different criteria
for purposes of applying this
enhancement? In addition, how should
this new enhancement interact with the
existing enhancements at § 2K2.1?
Should the new enhancement be
cumulative with other enhancements, or
should it interact with other
enhancements in some other way (e.g.,
by establishing a ‘‘cap’’ on its
cumulative impact with other
enhancements)? Should the
Commission instead provide an
altogether different approach to respond
to this part of the congressional
directive?
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(B) Firearms Not Marked With Serial
Number (‘‘Ghost Guns’’)
Synopsis of Proposed Amendment:
Subsection (b)(4) of § 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 or that has an altered or
obliterated serial number. Specifically,
subsection (b)(4)(A) provides for a 2level increase where a firearm is stolen,
while subsection (b)(4)(B) provides for a
4-level increase where a firearm has an
altered or obliterated serial number. The
Commentary to § 2K2.1 provides that
the enhancement applies 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 § 2K2.1, comment.
(n.8(B)).
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The enhancement at § 2K2.1 currently
does not apply to ‘‘ghost guns.’’ ‘‘Ghost
guns’’ is the term commonly used to
refer to firearms that are not marked by
a serial number by which they can be
identified and traced, and that are
typically made by an unlicensed
individual from purchased components
(such as standalone parts or weapon
parts kits) or homemade components.
Because of their lack of identifying
markings, it is difficult to trace ghost
guns and determine where and who
manufactured them, and to whom they
were sold or otherwise disposed. The
Commission has heard from
commenters that the very purpose of
‘‘ghost guns’’ is to avoid the tracking
and tracing systems associated with a
firearm’s serial number and that they
increasingly are associated with violent
crime. Commenters have also indicated
that § 2K2.1 does not adequately address
‘‘ghost guns,’’ as the enhancement at
§ 2K2.1(b)(4)(B) only covers firearms
that were marked with a serial number
when manufactured but where such
identifier was later altered or
obliterated.
Part B of the proposed amendment
would respond to these concerns by
revising § 2K2.1(b)(4)(B) to provide that
the 4-level enhancement applies if any
firearm had an altered or obliterated
serial number or was not otherwise
marked with a serial number [(other
than an antique firearm, as defined in 18
U.S.C. 921(a)(16))].
An issue for comment is provided.
Proposed Amendment
Section 2K2.1(b)(4)(B) is amended by
striking ‘‘had an altered or obliterated
serial number’’ and inserting ‘‘(i) had an
altered or obliterated serial number; or
(ii) was not otherwise marked with a
serial number [(other than an antique
firearm, as defined in 18 U.S.C.
921(a)(16))]’’.
The Commentary to § 2K2.1
captioned ‘‘Application Notes’’ is
amended—
in Note 8(A)—
in the first paragraph by striking
‘‘However, if the offense involved a
firearm with an altered or obliterated
serial number, apply subsection
(b)(4)(B)’’ and inserting ‘‘However, if the
offense involved a firearm with an
altered or obliterated serial number, or
that was not otherwise marked with a
serial number [(other than an antique
firearm, as defined in 18 U.S.C.
921(a)(16))], apply subsection (b)(4)(B)(i)
or (ii)’’;
and by striking the second paragraph
as follows:
‘‘Similarly, if the offense to which
§ 2K2.1 applies is 18 U.S.C. 922(k) or 26
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7197
U.S.C. 5861(g) or (h) (offenses involving
an altered or obliterated serial number)
and the base offense level is determined
under subsection (a)(7), do not apply the
enhancement in subsection (b)(4)(B).
This is because the base offense level
takes into account that the firearm had
an altered or obliterated serial number.
However, it the offense involved a
stolen firearm or stolen ammunition,
apply subsection (b)(4)(A).’’,
and inserting the following:
‘‘Similarly, if the offense to which
§ 2K2.1 applies is 18 U.S.C. 922(k) or 26
U.S.C. 5861(g) or (h) (offenses involving
an altered or obliterated serial number)
and the base offense level is determined
under subsection (a)(7), do not apply the
enhancement in subsection (b)(4)(B)(i).
This is because the base offense level
takes into account that the firearm had
an altered or obliterated serial number.
However, it the offense involved a
stolen firearm or stolen ammunition, or
a firearm that was not otherwise marked
with a serial number [(other than an
antique firearm, as defined in 18 U.S.C.
921(a)(16))], apply subsection (b)(4)(A)
or (B)(ii).’’;
and in Note 8(B) by striking
‘‘Subsection (b)(4) applies regardless of
whether the defendant knew or had
reason to believe that the firearm was
stolen or had an altered or obliterated
serial number’’ and inserting
‘‘Subsection (b)(4) applies regardless of
whether the defendant knew or had
reason to believe that the firearm was
stolen, had an altered or obliterated
serial number, or was not otherwise
marked with a serial number [(other
than an antique firearm, as defined in 18
U.S.C. 921(a)(16))]’’.
Issue for Comment
1. Part B of the proposed amendment
would expand the scope of subsection
(b)(4) of § 2K2.1 (Unlawful Receipt,
Possession, or Transportation of
Firearms or Ammunition; Prohibited
Transactions Involving Firearms or
Ammunition) to address firearms that
are not marked with a serial number
[(other than an antique firearm, as
defined in 18 U.S.C. 921(a)(16))], in
addition to firearms that were stolen or
had an altered or obliterated serial
number. The Commission seeks
comment on whether it should further
revise the enhancement at § 2K2.1(b)(4).
For example, should the Commission
insert into § 2K2.1(b)(4) a mental state
(mens rea) requirement that the
defendant knew, or had reason to
believe, that the firearm was stolen, had
an altered or obliterated serial number,
or was not otherwise marked with a
serial number (other than an antique
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firearm, as defined in 18 U.S.C.
921(a)(16))?
(C) Issues for Comment on Further
Revisions to § 2K2.1
1. Parts A of the proposed amendment
would amend § 2K2.1 (Unlawful
Receipt, Possession, or Transportation
of Firearms or Ammunition; Prohibited
Transactions Involving Firearms or
Ammunition) to respond to the
Bipartisan Safer Communities Act. Part
B of the proposed amendment would
amend § 2K2.1 to address concerns
expressed by some commenters about
firearms that are not marked by a serial
number (i.e., ‘‘ghost guns’’). The
Commission seeks comment on whether
it should further revise § 2K2.1 to
appropriately address firearms offenses.
2. Offenses under 18 U.S.C. 922(u) are
referenced to § 2K2.1. Section 922(u)
prohibits stealing or unlawfully taking
or carrying away from the person or the
premises of a person who is licensed to
engage in the business of importing,
manufacturing, or dealing in firearms,
any firearm in the licensee’s business
inventory that has been shipped or
transported in interstate or foreign
commerce. The Department of Justice
has expressed concerns that all offenses
under 18 U.S.C. 922(u), which covers
conduct of varying severity (including
simple theft, burglary, and robbery), are
treated the same in § 2K2.1. According
to the Department of Justice, burglaries
and robberies of federal firearms
licensees are particularly dangerous
crimes that often involve multiple
weapons. Currently, § 2K2.1 provides at
subsection (b)(4)(A) a 2-level
enhancement if any firearm was stolen.
Application Note 8(A) of § 2K2.1
provides that this 2-level enhancement
should not apply if the base offense
level is set at level 12 under
§ 2K2.1(a)(7) (e.g., a defendant convicted
under 18 U.S.C. 922(u)) because the
base offense level takes into account
that the firearm or ammunition was
stolen. The Commission seeks comment
on whether it should amend § 2K2.1 to
specifically address offenses where the
offense involved the burglary or robbery
of a federal firearms licensee. For
example, should the Commission add
an enhancement to § 2K2.1 that would
be applicable if the offense involved the
burglary or robbery of a federal firearms
licensee? If so, what level of
enhancement should the Commission
set forth for such conduct? How should
this enhancement interact with the
stolen firearms enhancement at
§ 2K2.1(b)(4)(A)? Should the
Commission provide that both
enhancements are to be applied
cumulatively or in the alternative?
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3. The base offense levels at § 2K2.1(a)
include as factors that form the basis for
their application certain recidivism
requirements, such as whether the
defendant committed the instant offense
subsequent to sustaining one or more
felony convictions of either a crime of
violence or controlled substance
offense. The Commission seeks
comment on whether it should add
other types of prior convictions as the
basis for applying base offense levels or
specific offense characteristics, and
what base offense level or offense level
increase should the Commission
provide for any such prior conviction.
For example, should the Commission
provide for increased penalties if the
defendant committed the instant offense
subsequent to sustaining a conviction or
multiple convictions for a misdemeanor
crime of domestic violence or an offense
that involved a firearm? If so, should the
Commission treat prior convictions for a
misdemeanor crime of domestic
violence or an offense that involved a
firearm the same as prior convictions for
a crime of violence or a controlled
substance offense and provide the same
level of enhancement? If not, what base
offense level or offense level increase
should the Commission set forth for
prior convictions for a misdemeanor
crime of domestic violence or an offense
that involved a firearm?
4. The general definition of ‘‘firearm’’
in § 2K2.1 at Application Note 1 is
drawn from 18 U.S.C. 921(a)(3).
However, § 2K2.1 applies a higher base
offense level to offenses involving
firearms described in 26 U.S.C. 5845(a).
Although section 5845(a) generally
defines a more limited class of firearms
than section 921(a)(3), there are a
limited number of devices—such as
those ‘‘designed and intended solely
and exclusively . . . for use in
converting a weapon into a
machinegun’’ which are ‘‘firearms’’
under section 5845(a) but not section
921(a)(3). Thus, such devices are
‘‘firearms’’ for purposes of the increased
base offenses levels in § 2K2.1(a)(1),
(a)(3), (a)(4)(B)(i)(II), and (a)(5), but not
for purposes of specific offense
characteristics referring to ‘‘firearms,’’
such as § 2K2.1(b)(1). The Commission
seeks comment on whether it should
amend the definition of ‘‘firearms’’ in
Application Note 1 of § 2K2.1 to include
devices which are ‘‘firearms’’ under
section 5845(a) but not section 921(a)(3).
5. The Commission seeks general
comment on whether it should amend
§ 2K2.1 to increase penalties for
defendants who transfer a firearm to a
minor. If so, how?
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4. Circuit Conflicts
Synopsis of Proposed Amendment:
This proposed amendment addresses
certain circuit conflicts involving
§ 3E1.1 (Acceptance of Responsibility)
and § 4B1.2 (Definitions of Terms Used
in Section 4B1.1). See U.S. Sent’g
Comm’n, ‘‘Notice of Final Priorities,’’ 87
FR 67756 (Nov. 9, 2022) (identifying
resolution of circuit conflicts as a
priority, including the circuit conflicts
concerning (A) whether the government
may withhold a motion pursuant to
§ 3E1.1(b) because a defendant moved to
suppress evidence; and (B) whether an
offense must involve a substance
controlled by the Controlled Substances
Act (21 U.S.C. 801 et seq.) to qualify as
a ‘‘controlled substance offense’’ under
§ 4B1.2(b)). The proposed amendment
contains two parts (Part A and Part B).
The Commission is considering whether
to promulgate either or both of these
parts, as they are not mutually
exclusive.
Part A of the proposed amendment
would amend § 3E1.1 and its
accompanying commentary to address
circuit conflicts regarding the
permissible bases for withholding a
reduction under § 3E1.1(b). It would set
forth a definition of the term ‘‘preparing
for trial’’ that provides more clarity on
what actions typically constitute
preparing for trial for the purposes of
§ 3E1.1(b). An issue for comment is also
provided.
Part B of the proposed amendment
would amend § 4B1.2 by adding a
definition of the term ‘‘controlled
substance’’ to address a circuit conflict
concerning whether the definition of
‘‘controlled substance offense’’ in
§ 4B1.2(b) only covers offenses
involving substances controlled by
federal law. Two options are presented.
An issue for comment is also included.
(A) Circuit Conflicts Concerning
§ 3E1.1(b)
Synopsis of Proposed Amendment:
Subsection (a) of § 3E1.1 (Acceptance of
Responsibility) provides for a 2-level
reduction for a defendant who clearly
demonstrates acceptance of
responsibility for the offense. See USSG
§ 3E1.1(a). Subsection (b) of § 3E1.1 sets
forth the circumstances under which a
defendant is eligible for an additional 1level reduction by providing:
If the defendant qualifies for a
decrease under subsection (a), the
offense level determined prior to the
operation of subsection (a) is level 16 or
greater, and upon motion of the
government stating that the defendant
has assisted authorities in the
investigation or prosecution of his own
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misconduct by timely notifying
authorities of his intention to enter a
plea of guilty, thereby permitting the
government to avoid preparing for trial
and permitting the government and the
court to allocate their resources
efficiently, decrease the offense level by
1 additional level. USSG § 3E1.1(b).
Section 401(g) of the Prosecutorial
Remedies and Other Tools to end the
Exploitation of Children Today Act of
2003 (‘‘PROTECT Act’’), among other
things, directly amended § 3E1.1(b) to
include the language requiring a
government motion and consideration
of government resources. See Public
Law 108–21, 401(g)(1), 117 Stat. 650
(2003). The PROTECT Act also added
the following sentence to Application
Note 6 of the Commentary to § 3E1.1:
‘‘Because the Government is in the best
position to determine whether the
defendant has assisted authorities in a
manner that avoids preparing for trial,
an adjustment under subsection (b) may
only be granted upon a formal motion
by the Government at the time of
sentencing.’’ Id. § 401(g)(2).
In 2013, the Commission promulgated
Amendment 775 to address two circuit
conflicts over the § 3E1.1(b) motion
requirement. See USSG App. C, amend.
775 (effective Nov. 1, 2013). Among
other things, the amendment added the
following sentence to Application Note
6: ‘‘The government should not
withhold such a motion based on
interests not identified in § 3E1.1, such
as whether the defendant agrees to
waive his or her right to appeal.’’ Id.
Two circuit conflicts have arisen
relating to § 3E1.1(b). The first conflict
concerns whether a § 3E1.1(b) reduction
may be withheld or denied because a
defendant moved to suppress evidence.
Justice Sotomayor, joined by Justice
Gorsuch, recently ‘‘emphasize[d] the
need for clarification from the
Commission’’ on this ‘‘important and
longstanding split.’’ Longoria v. United
States, 141 S. Ct. 978, 979 (2021)
(statement of Sotomayor, J., with whom
Gorsuch, J. joins, respecting the denial
of certiorari). The second conflict
concerns whether the government may
withhold a § 3E1.1(b) motion where the
defendant has raised sentencing
challenges.
These conflicts largely turn on how
much discretion the government has to
withhold a motion under § 3E1.1(b).
Some circuits use the analytical
framework from Wade v. United States,
504 U.S. 181, 185–86 (1992), applicable
to substantial assistance motions under
§ 5K1.1 (Substantial Assistance to
Authorities) (Policy Statement) and 18
U.S.C. 3553(e)—that the government’s
discretion is broad, but refusal to file a
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motion cannot be based on ‘‘an
unconstitutional motive’’ or a reason
‘‘not rationally related to any legitimate
Government end.’’ Other circuits specify
that withholding is permissible if based
on an interest identified in § 3E1.1.
Courts also have grappled with whether
the government’s discretion is limited to
situations involving trial preparation,
and whether suppression motions or
sentencing disputes are enough like trial
preparation to withhold a motion.
In relation to the first circuit conflict,
the Third, Fifth, and Sixth Circuits have
permitted the government to withhold a
§ 3E1.1(b) motion based on a
suppression motion. See, e.g., United
States v. Longoria, 958 F.3d 372, 376–
78 (5th Cir. 2020) (Amendment 775 did
not clearly overrule its caselaw
‘‘allowing the government to withhold
the third point when it must litigate a
suppression motion’’; suppression
hearing was largely the ‘‘substantive
equivalent of a full trial’’ (quoting
United States v. Gonzales, 19 F.3d 982,
984 (5th Cir. 1994))), cert. denied, 141
S. Ct. 978 (2021); United States v.
Collins, 683 F.3d 697, 707 (6th Cir.
2012) (suppression motion required the
government ‘‘to undertake trial-like
preparations’’; ‘‘Avoiding litigation on a
motion to suppress is rationally related
to the legitimate government interest in
the efficient allocation of its resources.
Accordingly . . . the government’s
decision to withhold the § 3E1.1(b)
motion was not arbitrary or
unconstitutionally motivated.’’); United
States v. Drennon, 516 F.3d 160, 161,
163 (3d Cir. 2008) (suppression hearing
involved ‘‘the large majority of the work
to prepare for trial’’; motion withheld
due to ‘‘concern for the efficient
allocation of the government’s litigating
resources,’’ not an unconstitutional
motive).
The First, Second, Ninth, Tenth, and
D.C. Circuits have held that a reduction
may not be denied based on a
suppression motion. See, e.g., United
States v. Vargas, 961 F.3d 566, 582–84
(2d Cir. 2020) (district court erred in
denying government’s § 3E1.1(b) motion
because of suppression hearing; any
‘‘experienced criminal lawyer knows
that preparing for a jury trial involves
more work than preparing for a
suppression hearing’’); United States v.
Price, 409 F.3d 436, 443–44 (D.C. Cir.
2005) (district court erred in denying
additional reduction based on
suppression motion; while government
had to prepare for a suppression
hearing, ‘‘it never had to prepare for
trial’’); United States v. Marquez, 337
F.3d 1203, 1212 (10th Cir. 2003)
(‘‘district court may not rely on the fact
that the defendant filed a motion to
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7199
suppress requiring a ‘lengthy
suppression hearing’ to justify a denial
of the third level reduction’’; even
where issues substantially overlap,
‘‘preparation for a motion to suppress
would not require the preparation of
voir dire questions, opening statements,
closing arguments, and proposed jury
instructions, to name just a few
examples’’); United States v. Marroquin,
136 F.3d 220, 225 (1st Cir. 1998)
(‘‘[g]uidelines do not force a defendant
to forgo the filing of routine pre-trial
motions as the price of receiving a onestep decrease’’); United States v.
Kimple, 27 F.3d 1409, 1415 (9th Cir.
1994) (district court erred in denying
the additional reduction where
‘‘resources were expended not in
conducting trial preparation, but in
considering pretrial motions [including
suppression motion] necessary to
protect [the defendant’s] rights’’).
With respect to the second circuit
conflict, the First, Third, Seventh, and
Eighth Circuits have held that the
government may withhold a § 3E1.1(b)
motion where the defendant has raised
sentencing challenges. See, e.g., United
States v. Adair, 38 F.4th 341, 361 (3d
Cir. 2022) (government properly
withheld motion where defendant
‘‘caused [the government] to have to
prepare for a two-day sentencing
hearing’’; government did not act with
an unconstitutional motive); United
States v. Jordan, 877 F.3d 391, 395 (8th
Cir. 2017) (defendant’s denial of
conduct relevant to sentencing did not
‘‘permit[ ] the government and the court
to allocate their resources efficiently’’
(citation omitted)); United States v.
Sainz-Preciado, 566 F.3d 708, 716 (7th
Cir. 2009) (government had ‘‘good
reason’’ to withhold motion where it
had to prepare ‘‘testimony and other
evidence to prove the full scope of
[defendant’s] criminal conduct at the
sentencing hearing’’); United States v.
Beatty, 538 F.3d 8, 16–17 (1st Cir. 2008)
(within the government’s broad
discretion to withhold motion where
government reasonably determined that
the defendant frivolously contested
issues related to sentencing). The
Second and Fifth Circuits have held that
the government may not withhold a
motion on this basis. See, e.g., United
States v. Castillo, 779 F.3d 318, 324–26
(5th Cir. 2015) (‘‘we disagree that the
government may withhold a § 3E1.1(b)
motion simply because it has had to use
its resources to litigate a sentencing
issue’’; however, dispute must be in
good faith); United States v. Lee, 653
F.3d 170, 174 (2d Cir. 2011) (‘‘As long
as the defendant disputes the accuracy
of a factual assertion in the PSR in good
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faith, the government abuses its
authority by refusing to move for a
third-point reduction because the
defendant has invoked his right to a
Fatico hearing.’’).
Part A of the proposed amendment
would amend § 3E1.1(b) to provide a
definition of the term ‘‘preparing for
trial.’’ It would also delete the following
sentence in Application Note 6 of the
Commentary to § 3E1.1: ‘‘The
government should not withhold such a
motion based on interests not identified
in § 3E1.1, such as whether the
defendant agrees to waive his or her
right to appeal.’’
An issue for comment is provided.
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Proposed Amendment
Section 3E1.1(b) is amended by
inserting after ‘‘1 additional level.’’ the
following:
‘‘For the purposes of this guideline,
the term ‘preparing for trial’ means
substantive preparations taken to
present the government’s case against
the defendant to a jury (or judge, in the
case of a bench trial) at trial. ‘Preparing
for trial’ is ordinarily indicated by
actions taken close to trial, such as
drafting in limine motions, proposed
voir dire questions and jury
instructions, and witness and exhibit
lists. Preparation for early pretrial
proceedings (such as litigation related to
a charging document, early discovery
motions, and early suppression
motions) ordinarily are not considered
‘preparing for trial’ under this
subsection. Post-conviction matters
(such as sentencing objections, appeal
waivers, and related issues) are not
considered ‘preparing for trial.’ ’’.
The Commentary to § 3E1.1 captioned
‘‘Application Notes’’ is amended in
Note 6 by striking ‘‘The government
should not withhold such a motion
based on interests not identified in
§ 3E1.1, such as whether the defendant
agrees to waive his or her right to
appeal.’’.
Issue for Comment
1. Part A of the proposed amendment
would amend § 3E1.1 (Acceptance of
Responsibility) to address the circuit
conflicts described in the synopsis
above. The proposed amendment would
amend subsection (b) of § 3E1.1 to
provide a definition for the term
‘‘preparing for trial.’’ The Commission
seeks comment on whether the
proposed definition of ‘‘preparing for
trial’’ is appropriate for purposes of
§ 3E1.1(b). If not, what definition should
the Commission provide?
In the alternative, should the
Commission address the circuit
conflicts in a manner other than the one
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provided in Part A of the proposed
amendment? For example, should the
Commission address the breadth of the
government’s discretion to withhold a
§ 3E1.1(b) motion, either by
incorporating the framework outlined in
Wade v. United States, 504 U.S. 181,
185–86 (1992) (i.e., an ‘‘unconstitutional
motive’’ or a reason ‘‘not rationally
related to any legitimate Government
end’’) (see, e.g., United States v. Adair,
38 F.4th 341, 361 (3d Cir. 2022)), or by
specifying a different standard?
(B) Circuit Conflicts Concerning
§ 4B1.2(b)
Synopsis of Proposed Amendment:
Subsection (b) of § 4B1.2 (Definitions of
Terms Used in Section 4B1.1) defines a
‘‘controlled substance offense’’ as ‘‘an
offense under federal or state law . . .
that prohibits the manufacture, import,
export, distribution, or dispensing of a
controlled substance (or a counterfeit
substance) or the possession of a
controlled substance (or a counterfeit
substance) with intent to manufacture,
import, export, distribute, or dispense.’’
USSG § 4B1.2(b). The definition in
§ 4B1.2(b) principally applies to the
career offender guideline at § 4B1.1
(Career Offender). However, several
other guidelines incorporate this
definition by reference, often providing
for higher base offense levels if the
defendant committed the instant offense
after sustaining a conviction for a
‘‘controlled substance offense.’’ See
USSG §§ 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), 4B1.4 (Armed Career
Criminal), 5K2.17 (Semiautomatic
Firearms Capable of Accepting Large
Capacity Magazine (Policy Statement)),
and 7B1.1 (Classification of Violations
(Policy Statement)).
The circuits are split regarding
whether the definition of a ‘‘controlled
substance offense’’ in § 4B1.2(b) only
covers offenses involving substances
controlled by the federal Controlled
Substances Act (‘‘CSA’’) (21 U.S.C. 801
et seq.), or whether the definition also
applies to offenses involving substances
controlled by applicable state law. This
circuit conflict prompted Justice
Sotomayor, joined by Justice Barrett, to
call for the Commission to ‘‘address this
division to ensure fair and uniform
application of the [g]uidelines.’’
Guerrant v. United States, 142 S. Ct.
640, 640–41 (2022) (statement of
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Sotomayor, J., with whom Barrett, J.
joins, respecting the denial of certiorari).
The Second and Ninth Circuits have
held that a ‘‘controlled substance
offense’’ only includes offenses
involving substances controlled by
federal law (the CSA), not offenses
involving substances that a state’s
schedule lists as a controlled substance,
but the CSA does not. See United States
v. Bautista, 989 F.3d 698, 705 (9th Cir.
2021) (conviction under Arizona statute
criminalizing hemp as well as marijuana
is not a ‘‘controlled substance offense’’
because hemp is not listed in the CSA);
United States v. Townsend, 897 F.3d 66,
74 (2d Cir. 2018) (conviction under New
York statute prohibiting the sale of
Human Chorionic Gonadotropin
(‘‘HCG’’) is not a ‘‘controlled substance
offense’’ because HCG is not controlled
under the CSA).
By contrast, the Fourth, Seventh,
Eighth, and Tenth Circuits have held
that a state conviction involving a
controlled substance that is not
identified in the CSA can qualify as a
‘‘controlled substance offense’’ under
the guidelines. See United States v.
Jones, 15 F.4th 1288, 1295 (10th Cir.
2021) (definition of ‘‘controlled
substance offense’’ includes ‘‘state-law
controlled substance offenses, involving
substances not found on the CSA’’), cert.
denied, 143 S. Ct. 268 (2022); United
States v. Henderson, 11 F.4th 713, 718
(8th Cir. 2021) (‘‘There is no
requirement that the particular
substance underlying the state offense is
also controlled under a distinct federal
law.’’), cert. denied, 142 S. Ct. 1696
(2022); United States v. Ward, 972 F.3d
364, 374 (4th Cir. 2020) (‘‘the
Commission has specified that we look
to either the federal or state law of
conviction to define whether an offense
will qualify [as a controlled substance
offense].’’), cert denied, 141 S. Ct. 2864
(2021); United States v. Ruth, 966 F.3d
642, 654 (7th Cir. 2020) (‘‘The careeroffender guideline defines the term
controlled substance offense broadly,
and the definition is most plainly read
to ‘include state-law offenses[.]’ ’’
(citation quotation omitted)), cert.
denied, 141 S. Ct. 1239 (2021).
Part B of the proposed amendment
would amend § 4B1.2(b) to include a
definition for ‘‘controlled substance’’ to
address the circuit conflict. Two options
are provided.
Option 1 would set forth a definition
of ‘‘controlled substance’’ that adopts
the approach of the Second and Ninth
Circuits. It would limit the definition of
the term to substances that are
specifically included in the CSA.
Option 2 would set forth a definition
of ‘‘controlled substance’’ that adopts
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the approach of the Fourth, Seventh,
Eighth, and Tenth Circuits. It would
provide that the term ‘‘controlled
substance’’ refers to substances either
included in the CSA or otherwise
controlled under applicable state law.
An issue for comment is also
provided.
Proposed Amendment
Section 4B1.2(b) is amended by
adding at the end the following new
paragraph:
[Option 1 (Controlled Substances
under Federal Law):
‘‘ ‘Controlled substance’ refers to a
drug or other substance, or immediate
precursor, included in schedule I, II, III,
IV, or V of the Controlled Substances
Act (21 U.S.C. 801 et seq.).’’.]
[Option 2 (Controlled Substances
under Federal or State Law):
‘‘ ‘Controlled substance’ refers to a
drug or other substance, or immediate
precursor, either included in schedule I,
II, III, IV, or V of the Controlled
Substances Act (21 U.S.C. 801 et seq.) or
otherwise controlled under applicable
state law.’’.]
Issue for Comment
1. Part B of the proposed amendment
would amend subsection (b) of § 4B1.2
(Definitions of Terms Used in Section
4B1.1) to set forth a definition of
‘‘controlled substance.’’ Two options are
provided for such definition.
The Commentary to § 2L1.2
(Unlawfully Entering or Remaining in
the United States) contains a definition
for the term ‘‘drug trafficking offense’’
that closely tracks the definition of
‘‘controlled substance offense’’ in
§ 4B1.2(b). See USSG § 2L1.2, comment.
(n.2). If the Commission were to amend
§ 4B1.2(b) to include a definition of
‘‘controlled substance,’’ should the
Commission also amend Application
Note 2 to § 2L1.2 to include the same
definition of ‘‘controlled substance’’ for
purposes of the ‘‘drug trafficking
offense’’ definition?
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5. Crime Legislation
Synopsis of Proposed Amendment:
This proposed amendment responds to
recently enacted legislation. See U.S.
Sent’g Comm’n, ‘‘Notice of Final
Priorities,’’ 87 FR 67756 (Nov. 9, 2022)
(identifying as a priority
‘‘[i]mplementation of any legislation
warranting Commission action’’).
The proposed amendment contains
eleven parts (Parts A through K). The
Commission is considering whether to
promulgate any or all these parts, as
they are not mutually exclusive.
Part A responds to the FDA
Reauthorization Act of 2017, Public Law
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115–52 (2017), by amending Appendix
A (Statutory Index) and the
Commentary to § 2N2.1 (Violations of
Statutes and Regulations Dealing with
Any Food, Drug, Biological Product,
Device, Cosmetic, Agricultural Product,
or Consumer Product). It also makes a
technical correction to the Commentary
to § 2N1.1 (Tampering or Attempting to
Tamper Involving Risk of Death or
Bodily Injury). An issue for comment is
also provided.
Part B responds to the Allow States
and Victims to Fight Online Sex
Trafficking Act of 2017, Public Law
115–164 (2018), by amending Appendix
A, § 2G1.1 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
an Individual Other than a Minor), and
§ 2G1.3 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Sex Trafficking of Children; Use
of Interstate Facilities to Transport
Information about a Minor). In addition,
Part B brackets the possibility of
amending the Commentary to §§ 4B1.5
(Repeat and Dangerous Sex Offender
Against Minors) and 5D1.2 (Term of
Supervised Release) to exclude offenses
under 18 U.S.C. 2421A from the
definitions of ‘‘covered sex offense’’ and
‘‘sex offense.’’ Issues for comment are
also provided.
Part C responds to the FAA
Reauthorization Act of 2018, Public Law
115–254 (2018), by amending Appendix
A and § 2A5.2 (Interference with Flight
Crew Member or Flight Attendant;
Interference with Dispatch, Navigation,
Operation, or Maintenance of Mass
Transportation Vehicle), as well as the
Commentary to §§ 2A2.4 (Obstructing or
Impeding Officers) and 2X5.2 (Class A
Misdemeanors (Not Covered by Another
Specific Offense Guideline)). An issue
for comment is also provided.
Part D responds to the SUPPORT for
Patients and Communities Act, Public
Law 115–271 (2018), by amending
Appendix A and the Commentary to
§§ 2B1.1 (Theft, Property Destruction,
and Fraud) and 2B4.1 (Bribery in
Procurement of Bank Loan and Other
Commercial Bribery). An issue for
comment is also provided.
Part E responds to the Amy, Vicky,
and Andy Child Pornography Victim
Assistance Act of 2018, Public Law 115–
299 (2018), by amending Appendix A
and the Commentary to § 2X5.2. An
issue for comment is also provided.
Part F responds to the Foundations
for Evidence-Based Policymaking Act of
2018, Public Law 115–435 (2019), by
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7201
amending Appendix A and the
Commentary to § 2H3.1 (Interception of
Communications; Eavesdropping;
Disclosure of Certain Private or
Protected Information). An issue for
comment is also provided.
Part G responds to the National
Defense Authorization Act for Fiscal
Year 2020, Public Law 116–92 (2019),
by amending Appendix A and the
Commentary to § 2X5.2. An issue for
comment is also provided.
Part H responds to the Representative
Payee Fraud Prevention Act of 2019,
Public Law 116–126 (2020), by
amending Appendix A and the
Commentary to § 2B1.1. An issue for
comment is also provided.
Part I responds to the Stop Student
Debt Relief Scams Act of 2019, Public
Law 116–251 (2020), by amending
Appendix A and the Commentary to
§ 2B1.1. An issue for comment is also
provided.
Part J responds to the Protecting
Lawful Streaming Act of 2020, part of
the Consolidation Appropriation Act,
2021, Public Law 116–260 (2020), by
amending Appendix A. Issues for
comment are also provided.
Part K responds to the William M.
(Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021,
Public Law 116–283 (2021), by
amending Appendix A and the
Commentary to § 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). An
issue for comment is also provided.
(A) FDA Reauthorization Act of 2017
Synopsis of Proposed Amendment:
Part A of the proposed amendment
responds to the FDA Reauthorization
Act of 2017, Public Law 115–52 (2017).
That act amended 21 U.S.C. 333
(Penalties [for certain violations of the
Federal Food, Drug, and Cosmetic Act])
to add a new criminal offense for the
manufacture or distribution of a
counterfeit drug. The new offense states
that
any person who violates [21 U.S.C.
331(i)(3)] by knowingly making, selling,
or dispensing, or holding for sale or
dispensing, a counterfeit drug shall be
imprisoned for not more than 10 years
or fined in accordance with title 18,
[United States Code,] or both.
21 U.S.C. 333(b)(8). Section 331(i)(3)
prohibits any action which causes a
drug to be a counterfeit drug, or the sale
or dispensing, or the holding for sale or
dispensing, of a counterfeit drug.
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Currently, subsections (b)(1) through
(b)(6) of 21 U.S.C. 333 are referenced in
Appendix A (Statutory Index) to § 2N2.1
(Violations of Statutes and Regulations
Dealing With Any Food, Drug,
Biological Product, Device, Cosmetic, or
Agricultural Product). Subsection (b)(7)
is referenced to § 2N1.1 (Tampering or
Attempting to Tamper Involving Risk of
Death or Bodily Injury). New subsection
(b)(8) is not referenced to any guideline.
Part A of the proposed amendment
would amend Appendix A to reference
21 U.S.C. 333(b)(8) to § 2N2.1. Part A
would also amend the Commentary to
§ 2N2.1 to reflect that subsection (b)(8),
as well as subsections (b)(1) through
(b)(6), of 21 U.S.C. 333 are all referenced
to § 2N2.1. Finally, Part A also makes a
technical change to the Commentary to
§ 2N1.1, adding 21 U.S.C. 333(b)(7) to
the list of statutory provisions
referenced to that guideline.
An issue for comment is also
provided.
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Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 21 U.S.C. 458 the
following new line reference:
‘‘21 U.S.C. 333(b)(8) 2N2.1’’.
The Commentary to § 2N2.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘333(a)(1), (a)(2), (b)’’ and
inserting ‘‘333(a)(1), (a)(2), (b)(1)–(6),
(b)(8)’’.
The Commentary to § 2N1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 1365(a), (e)’’ and
inserting ‘‘18 U.S.C. 1365(a), (e); 21
U.S.C. 333(b)(7). For additional
statutory provision(s), see Appendix A
(Statutory Index)’’.
Issue for Comment
1. In response to the FDA
Reauthorization Act of 2017, Public Law
115–52 (2017), Part A of the proposed
amendment would reference 21 U.S.C.
333(b)(8) to § 2N2.1 (Violations of
Statutes and Regulations Dealing With
Any Food, Drug, Biological Product,
Device, Cosmetic, Agricultural Product,
or Consumer Product). The Commission
seeks comment on whether any
additional changes to the guidelines are
required to account for section
333(b)(8)’s offense conduct. Specifically,
should the Commission amend § 2N2.1
to provide a higher or lower base offense
level if 21 U.S.C. 333(b)(8) is the offense
of conviction? If so, what should that
base offense level be and why? Should
the Commission add a specific offense
characteristic to § 2N2.1 in response to
section 333(b)(8)? If so, what should that
specific offense characteristic provide
and why?
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(B) Allow States and Victims To Fight
Online Sex Trafficking Act of 2017
Synopsis of Proposed Amendment:
Part B of the proposed amendment
responds to the Allow States and
Victims to Fight Online Sex Trafficking
Act of 2017, Public Law 115–164 (2018).
That act created two new criminal
offenses codified at 18 U.S.C. 2421A
(Promotion or facilitation of prostitution
and reckless disregard of sex
trafficking). The first new offense,
codified at 18 U.S.C. 2421A(a), provides
that
[w]hoever, using a facility or means of
interstate or foreign commerce or in or
affecting interstate or foreign commerce,
owns, manages, or operates an
interactive computer service . . . , or
conspires or attempts to do so, with the
intent to promote or facilitate the
prostitution of another person shall be
fined under this title, imprisoned for not
more than 10 years, or both.
The second new offense, codified at
18 U.S.C. 2421A(b), is an aggravated
form of the first. It provides an
enhanced statutory maximum penalty of
25 years for anyone who commits the
first offense and either ‘‘(1) promotes or
facilitates the prostitution of 5 or more
persons’’ or ‘‘(2) acts in reckless
disregard of the fact that such conduct
contributed to sex trafficking, in
violation of [18 U.S.C. ] 1591(a).’’
Section 1591(a) criminalizes sex
trafficking of a minor or sex trafficking
of anyone by force, threats of force,
fraud, or coercion.
Part B of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2421A to
§ 2G1.1 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
an Individual Other than a Minor) and
§ 2G1.3 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Sex Trafficking of Children; Use
of Interstate Facilities to Transport
Information about a Minor). Offenses
involving the promotion or facilitation
of commercial sex acts are generally
referenced to these guidelines.
If the offense did not involve a minor,
§ 2G1.1 would be the applicable
guideline. For a defendant convicted
under 18 U.S.C. 2421A, subsection (a)(2)
would apply, and the defendant’s base
offense level would be level 14. Part B
of the proposed amendment would
amend § 2G1.1(b)(1) so that the fourlevel increase in the defendant’s offense
level provided by that specific offense
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characteristic would also apply if
subsection (a)(2) applies and [the
offense of conviction is][the offense
involved conduct described in] 18
U.S.C. 2421A(b)(2). Section 2421A(b)(2)
is the version of the new aggravated
offense under which the defendant has
acted in reckless disregard of the fact
that their conduct contributed to sex
trafficking in violation of 18 U.S.C.
1591(a).
If the offense involved a minor,
§ 2G1.3 would be the applicable
guideline. For a defendant convicted
under 18 U.S.C. 2421A, subsection (a)(4)
would apply, and the defendant’s base
offense level would be level 24. Part B
of the proposed amendment would
amend § 2G1.3(b)(4) to renumber the
existing specific offense characteristic as
§ 2G1.3(b)(4)(A) and to add a new
§ 2G1.3(b)(4)(B), which provides for a
[4]-level increase in the defendant’s
offense level if (i) subsection (a)(4)
applies; and (ii) [the offense of
conviction is][the offense involved
conduct described in] 18 U.S.C.
2421A(b)(2). Only the greater of
§ 2G1.3(b)(4)(A) or § 2G1.3(b)(4)(B)
would apply.
Part B of the proposed amendment
also would amend the Commentary to
§ 2G1.3 to add a new application note
instructing that if 18 U.S.C. 2421A(a) or
§ 2421A(b)(1) is the offense of
conviction, the specific offense
characteristic at § 2G1.3(b)(3)(B) does
not apply. That special offense
characteristic provides for a two-level
increase in the defendant’s offense level
if the offense involved the use of a
computer or an interactive computer
service to entice, encourage, offer, or
solicit a person to engage in prohibited
sexual conduct with a minor.
Part B of the proposed amendment
would make conforming changes to
§§ 2G1.1 and 2G1.3 and their
accompanying commentary.
Finally, 18 U.S.C. 2421A is codified
in chapter 117 (Transportation for
Illegal Sexual Activity and Related
Crimes) of title 18 of the United States
Code, which contains statutes that
generally prohibit conduct intended to
promote or facilitate prostitution.
Various guidelines refer to chapter 117
overall, including § 4B1.5 (Repeat and
Dangerous Sex Offender Against
Minors) and § 5D1.2 (Term of
Supervised Release). Specifically,
§ 4B1.5 provides for increases in the
defendant’s offense level if the offense
of conviction is a ‘‘covered sex crime.’’
The Commentary to § 4B1.5 states that
a ‘‘covered sex crime’’ generally
includes offenses under chapter 117 but
excludes from coverage the offenses of
‘‘transmitting information about a minor
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or filing a factual statement about an
alien individual.’’ Section 5D1.2
includes a policy statement
recommending that the court impose the
statutory maximum term of supervised
release if the instant offense of
conviction is a ‘‘sex offense.’’ The
Commentary to § 5D1.2 defines ‘‘sex
offense’’ to mean, among other things,
an offense, perpetrated against a minor,
under chapter 117, ‘‘not including
transmitting information about a minor
or filing a factual statement about an
alien individual.’’ Part B of the
proposed amendment brackets the
possibility of amending the
Commentary to §§ 4B1.5 and 5D1.2 to
exclude offenses under 18 U.S.C. 2421A
from the definitions of ‘‘covered sex
offense’’ and ‘‘sex offense.’’
Issues for comment are also provided.
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Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 18 U.S.C. 2422 the
following new line reference:
‘‘18 U.S.C. 2421A 2G1.1, 2G1.3’’.
Section 2G1.1(b)(1)(B) is amended by
striking ‘‘the offense involved fraud or
coercion’’ and inserting ‘‘(i) the offense
involved fraud or coercion, or (ii) [the
offense of conviction is][the offense
involved conduct described in] 18
U.S.C. 2421(A)(b)(2)’’.
The Commentary to § 2G1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘2422(a) (only if the offense
involved a victim other than a minor)’’
and inserting ‘‘2421A (only if the
offense involved a victim other than a
minor), 2422(a) (only if the offense
involved a victim other than a minor).
For additional statutory provision(s), see
Appendix A (Statutory Index)’’.
Section 2G1.3(b) is amended in
paragraph (4) by striking ‘‘If (A) the
offense involved the commission of a
sex act or sexual contact; or (B)
subsection (a)(3) or (a)(4) applies and
the offense involved a commercial sex
act, increase by 2 levels.’’, and inserting
the following:
‘‘(Apply the greater):
(A) If (i) the offense involved the
commission of a sex act or sexual
contact; or (ii) subsection (a)(3) or (a)(4)
applies and the offense involved a
commercial sex act, increase by 2 levels.
(B) If (i) subsection (a)(4) applies; and
(ii) [the offense of conviction is][the
offense involved conduct described in]
18 U.S.C. 2421A(b)(2), increase by [4]
levels.’’.
The Commentary to § 2G1.3 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘2422 (only if the offense
involved a minor), 2423, 2425’’ and
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inserting ‘‘2421A (only if the offense
involved a minor), 2422 (only if the
offense involved a minor), 2423, 2425.
For additional statutory provision(s), see
Appendix A (Statutory Index)’’.
The Commentary to § 2G1.3 captioned
‘‘Application Notes’’ is amended in
Note 4 by striking the following:
‘‘Application of Subsection
(b)(3)(A).—Subsection (b)(3)(A) is
intended to apply only to the use of a
computer or an interactive computer
service to communicate directly with a
minor or with a person who exercises
custody, care, or supervisory control of
the minor. Accordingly, the
enhancement in subsection (b)(3)(A)
would not apply to the use of a
computer or an interactive computer
service to obtain airline tickets for the
minor from an airline’s internet site.’’,
and inserting the following:
‘‘Application of Subsection (b)(3).—
(A) Application of Subsection
(b)(3)(A).—Subsection (b)(3)(A) is
intended to apply only to the use of a
computer or an interactive computer
service to communicate directly with a
minor or with a person who exercises
custody, care, or supervisory control of
the minor. Accordingly, the
enhancement in subsection (b)(3)(A)
would not apply to the use of a
computer or an interactive computer
service to obtain airline tickets for the
minor from an airline’s internet site.
(B) Application of Subsection
(b)(3)(B).—If the offense of conviction is
18 U.S.C. 2421A(a) or § 2421A(b)(1), do
not apply subsection (b)(3)(B).’’.
[The Commentary to § 4B1.5
captioned ‘‘Application Notes’’ is
amended in Note 2 by striking ‘‘chapter
117 of such title, not including
transmitting information about a minor
or filing a factual statement about an
alien individual’’ and inserting ‘‘chapter
117 of such title, not including
transmitting information about a minor,
filing a factual statement about an alien
individual, or an offense under 18
U.S.C. 2421A’’.]
[The Commentary to § 5D1.2
captioned ‘‘Application Notes’’ is
amended in Note 1, in the paragraph
that begins ‘‘ ‘Sex offense’ means’’, by
striking ‘‘chapter 117 of such title, not
including transmitting information
about a minor or filing a factual
statement about an alien individual’’
and inserting ‘‘chapter 117 of such title,
not including transmitting information
about a minor, filing a factual statement
about an alien individual, or an offense
under 18 U.S.C. 2421A’’.]
Issues for Comment
1. In response to the Allow States and
Victims to Fight Online Sex Trafficking
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7203
Act of 2017, Public Law 115–164 (2018),
Part B of the proposed amendment
would reference 18 U.S.C. 2421A to
§ 2G1.1 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
an Individual Other than a Minor) and
§ 2G1.3 (Promoting a Commercial Sex
Act or Prohibited Sexual Conduct with
a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Sex Trafficking of Children; Use
of Interstate Facilities to Transport
Information about a Minor), and would
make various revisions to those
guidelines to account for the new
statute’s offense conduct. The
Commission seeks comment on whether
the proposed revisions are appropriate
and on whether the Commission should
make other changes to the guidelines to
account for section 2421A’s offense
conduct.
In particular, Part B of the proposed
amendment would rely on the specific
offense characteristics and special
instructions in §§ 2G1.1 and 2G1.3 to
produce the appropriate offense levels
for the aggravated offense at 18 U.S.C.
2421A(b). Should the Commission
account for the aggravated offense in a
different way, for example, by providing
a higher base offense level if a defendant
is convicted of that offense? If so,
should the Commission use one of the
base offense levels currently provided
for convictions under other offenses,
such as level 28, provided by § 2G1.3 for
a conviction under 18 U.S.C. 2422(b) or
2423(a), or level 34, provided by
§§ 2G1.1 and 2G1.3 for a conviction
under 18 U.S.C. 1591(b)(1)?
2. The new offenses codified at 18
U.S.C. 2421A are included in chapter
117 (Transportation for Illegal Sexual
Activity and Related Crimes) of title 18
of the United States Code, which
contains statutes that generally prohibit
conduct intended to promote or
facilitate prostitution. As indicated in
the synopsis, §§ 4B1.5 and 5D1.2
provide definitions for the terms
‘‘covered sex crime’’ and ‘‘sex offense,’’
respectively, that generally include
offenses in chapter 117 of title 18, with
notable exceptions. The chapter 117
offenses that the Commission excluded
from the definitions of ‘‘covered sex
crime’’ and ‘‘sex offense’’ do not
criminalize conduct involving the direct
sexual exploitation of a minor by the
defendant, but rather are primarily
concerned with the transmission or
filing of information about individuals.
Part B of the proposed amendment
brackets the possibility of amending the
Commentary to §§ 4B1.5 and 5D1.2 to
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exclude offenses under 18 U.S.C. 2421A
from the definitions of ‘‘covered sex
offense’’ and ‘‘sex offense.’’ Section
2421A offenses generally involve the
posting or sharing (i.e., transmission) of
information about an individual, which
may not necessarily involve the direct
exploitation of a minor victim by the
defendant. The Commission seeks
comment on whether excluding offenses
under 18 U.S.C. 2421A from the
definitions of ‘‘covered sex crime’’ and
‘‘sex offense’’ for purposes of §§ 4B1.5
and 5D1.2 is appropriate due to the
nature of such offenses. Should the
Commission, instead, include the
aggravated form of the offense under 18
U.S.C. 2421A(b) in the definitions of
‘‘covered sex crime’’ and ‘‘sex offense’’?
(C) FAA Reauthorization Act of 2018
Synopsis of Proposed Amendment:
Part C of the proposed amendment
responds to the FAA Reauthorization
Act of 2018, Public Law 115–254 (2018).
That act created two new criminal
offenses concerning the operation of
unmanned aircraft, commonly known as
‘‘drones,’’ and added a new provision to
an existing criminal statute that also
concerns drones.
The first new criminal offense,
codified at 18 U.S.C. 39B (Unsafe
operation of unmanned aircraft),
prohibits the unsafe operation of drones.
Specifically, section 39B(a)(1) prohibits
any person from operating an
unmanned aircraft and knowingly
interfering with the operation of an
aircraft carrying one or more persons in
a manner that poses an imminent safety
hazard to the aircraft’s occupants.
Section 39B(a)(2) prohibits any person
from operating an unmanned aircraft
and recklessly interfering with the
operation of an aircraft carrying one or
more persons in a manner that poses an
imminent safety hazard to the aircraft’s
occupants. Section 39B(b) prohibits any
person from knowingly operating an
unmanned aircraft near an airport
runway without authorization. A
violation of any of these prohibitions is
punishable by a fine, not more than one
year in prison, or both. A violation of
subsection (a)(2) that causes serious
bodily injury or death is punishable by
a fine, not more than 10 years of
imprisonment, or both. A violation of
subsection (a)(1) or subsection (b) that
causes serious bodily injury or death is
punishable by a fine, imprisonment for
any term of years or for life, or both.
The second new criminal offense,
codified at 18 U.S.C. 40A (Operation of
unauthorized unmanned aircraft over
wildfires), generally prohibits any
individual from operating an unmanned
aircraft and knowingly or recklessly
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interfering with a wildfire suppression
or with law enforcement or emergency
response efforts related to a wildfire
suppression. A violation of this offense
is punishable by a fine, imprisonment
for not more than two years, or both.
The act also adds a new subsection
(a)(5) to 18 U.S.C. 1752 (Restricted
building or grounds). The new
subsection prohibits anyone from
knowingly and willfully operating an
unmanned aircraft system with the
intent to knowingly and willfully direct
or otherwise cause the system to enter
or operate within or above a restricted
building or grounds. A violation of
section 1752 is punishable by a fine,
imprisonment for not more than one
year, or both. If the violator used or
carried a deadly or dangerous weapon
or firearm or if the offense results in
significant bodily injury, the maximum
term of imprisonment increases to ten
years.
Part C of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 39B to
§ 2A5.2 (Interference with Flight Crew
Member or Flight Attendant;
Interference with Dispatch, Navigation,
Operation, or Maintenance of Mass
Transportation Vehicle) and § 2X5.2
(Class A Misdemeanors (Not Covered by
Another Specific Offense Guideline)).
Accordingly, courts would use § 2A5.2
for felony violations of section 39B and
§ 2X5.2 for misdemeanor violations. Part
C would also make conforming changes
to § 2A5.2 and its commentary and to
the Commentary to § 2X5.2. Part C of the
proposed amendment would also
amend the title of § 2A5.2 to add
‘‘Unsafe Operation of Unmanned
Aircraft.’’
In addition, Part C of the proposed
amendment would amend Appendix A
to reference 18 U.S.C. 40A to § 2A2.4
(Obstructing or Impeding Officers). It
would also make conforming changes to
the Commentary to § 2A2.4.
Section 1752 is currently referenced
in Appendix A to § 2A2.4 and § 2B2.3
(Trespass). Accordingly, courts would
use those guidelines for violations of 18
U.S.C. 1752(a)(5). Part C of the proposed
amendment would make no changes to
the guidelines to account for that
provision.
An issue for comment is also
provided.
Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 18 U.S.C. 43 the following
new line references:
‘‘18 U.S.C. 39B 2A5.2, 2X5.2
18 U.S.C. 40A 2A2.4’’.
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Section 2A5.2 is amended in the
heading by striking ‘‘Vehicle’’ and
inserting ‘‘Vehicle; Unsafe Operation of
Unmanned Aircraft’’.
The Commentary to § 2A5.2 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 1992(a)(1)’’ and
inserting ‘‘18 U.S.C. 39B, 1992(a)(1)’’.
The Commentary to § 2X5.2 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 1365(f), 1801; 34
U.S.C. 12593; 49 U.S.C. 31310.’’ and
inserting ‘‘18 U.S.C. 39B, 1365(f), 1801;
34 U.S.C. 12593; 49 U.S.C. 31310. For
additional statutory provision(s), see
Appendix A (Statutory Index).’’.
The Commentary to § 2A2.4 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 111’’ and inserting
‘‘18 U.S.C. 40A, 111’’.
Issue for Comment
1. In response to the FAA
Reauthorization Act of 2018, Public Law
115–254 (2018), Part C of the proposed
amendment would reference 18 U.S.C.
39B to § 2A5.2 (Interference with Flight
Crew Member or Flight Attendant;
Interference with Dispatch, Navigation,
Operation, or Maintenance of Mass
Transportation Vehicle) and § 2X5.2
(Class A Misdemeanors (Not Covered by
Another Specific Offense Guideline)).
Part C of the proposed amendment
would also reference 18 U.S.C. 40A to
§ 2A2.4 (Obstructing or Impeding
Officers). The Commission seeks
comment on whether these proposed
references are appropriate and whether
any additional changes to the guidelines
are required to account for the new
criminal offenses created by the FAA
Reauthorization Act.
(D) SUPPORT for Patients and
Communities Act
Synopsis of Proposed Amendment:
Part D of the proposed amendment
responds to the Substance Use-Disorder
Prevention that Promotes Opioid
Recovery and Treatment for Patients
and Communities Act (‘‘the SUPPORT
for Patients and Communities Act’’),
Public Law 115–271 (2018).
This Act includes the Eliminating
Kickbacks in Recovery Act of 2018,
which added a new offense at 18 U.S.C.
220 (Illegal remunerations for referrals
to recovery homes, clinical treatment
facilities, and laboratories). Section
220(a) prohibits, with respect to services
covered by a ‘‘health care benefit
program,’’ knowing or willfully: (1)
soliciting or receiving any remuneration
(including kickbacks, bribes, or rebates),
in cash or in kind, for referring a patient
or patronage to a recovery home,
clinical treatment facility, or laboratory;
and (2) paying or offering any
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remuneration (including kickbacks,
bribes, or rebates), in cash or in kind, for
inducing a referral of a patient to or in
exchange for a patient using the services
of a recovery home, clinical treatment
facility, or laboratory. The new offense
has a statutory maximum term of
imprisonment of ten years.
A ‘‘health care benefit program,’’ for
purposes of section 220, includes public
and private plans and contracts affecting
commerce. See 18 U.S.C. 220(e)(3)
(referring to the definition of such term
at 18 U.S.C. 24(b)). Section 220 also sets
forth exemptions to the offense relating
to certain discounts, payments, and
waivers. See 18 U.S.C. 220(b).
Part D of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 220 to
§§ 2B1.1 (Theft, Property Destruction,
and Fraud) and 2B4.1 (Bribery in
Procurement of Bank Loan and Other
Commercial Bribery). The conduct
prohibited in 18 U.S.C. 220 is similar to
the conduct prohibited in 42 U.S.C.
1320a–7b(b) (Criminal penalties for acts
involving Federal health care programs).
Currently, section 1320a–7b offenses are
referenced in Appendix A to both
§§ 2B1.1 and 2B4.1.
Part D of the proposed amendment
would also amend the commentaries to
§§ 2B1.1 and 2B4.1 to reflect that 18
U.S.C. 220 is referenced to these
guidelines.
An issue for comment is also
provided.
Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 18 U.S.C. 224 the
following new line reference:
‘‘18 U.S.C. 220 2B1.1, 2B4.1’’.
The Commentary to § 2B1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 38’’ and inserting
‘‘18 U.S.C. 38, 220’’.
The Commentary to § 2B4.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 215’’ and inserting
‘‘18 U.S.C. 215, 220’’.
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Issue for Comment
1. In response to the SUPPORT for
Patients and Communities Act, Part D of
the proposed amendment would
reference 18 U.S.C. 220 to §§ 2B1.1
(Theft, Property Destruction, and Fraud)
and 2B4.1 (Bribery in Procurement of
Bank Loan and Other Commercial
Bribery). The Commission seeks
comment on whether these proposed
references are appropriate and whether
any additional changes to the guidelines
are required to account for section 220’s
offense conduct. Specifically, should
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the Commission amend § 2B1.1 or
§ 2B4.1 to provide a higher or lower
base offense level if 18 U.S.C. 220 is the
offense of conviction? If so, what should
that base offense level be and why?
Should the Commission add a specific
offense characteristic to any of these
guidelines in response to section 220? If
so, what should that specific offense
characteristic provide and why?
(E) Amy, Vicky, and Andy Child
Pornography Victim Assistance Act of
2018
Synopsis of Proposed Amendment:
Part E of the proposed amendment
responds to the Amy, Vicky, and Andy
Child Pornography Victim Assistance
Act of 2018, Public Law 115–299 (2018).
Among other things, the Act amended
18 U.S.C. 2259 (Mandatory restitution),
with respect to victims of child
pornography, by adding a new
subsection (d). This new subsection
permits any victim of child pornography
trafficking to receive ‘‘defined monetary
assistance’’ from the Child Pornography
Victims Reserve when a defendant is
convicted of trafficking in child
pornography. It also sets forth rules for
determining the amount of ‘‘defined
monetary assistance’’ a victim may
receive and certain limitations relating
to the effect of restitution and on
eligibility. In addition, new subsection
(d)(4)(A) states that that any attorney
representing a victim seeking ‘‘defined
monetary assistance’’ may not charge,
receive, or collect (nor may the court
approve) the payment of fees and costs
that in the aggregate exceeds 15 percent
of any payment made under new
subsection (d) in general. It also
provides that an attorney who violates
subsection (d)(4)(A) may be subject to a
statutory maximum term of
imprisonment of not more than one
year. See 18 U.S.C. 2259(d)(4)(B).
Part E of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2259(d)(4)
to § 2X5.2 (Class A Misdemeanors (Not
Covered by Another Specific Offense
Guideline)). It would also amend the
Commentary to § 2X5.2 to reflect that 18
U.S.C. 2259(d)(4) 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 18 U.S.C. 2260(a) the
following new line reference:
‘‘18 U.S.C. 2259(d)(4) 2X5.2’’.
The Commentary to § 2X5.2 captioned
‘‘Statutory Provisions’’ is amended by
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striking ‘‘18 U.S.C. 1365(f), 1801; 34
U.S.C. 12593; 49 U.S.C. 31310.’’ and
inserting ‘‘18 U.S.C. 1365(f), 1801,
2259(d)(4); 34 U.S.C. 12593; 49 U.S.C.
31310. For additional statutory
provision(s), see Appendix A (Statutory
Index).’’.
Issue for Comment
1. In response to the Amy, Vicky, and
Andy Child Pornography Victim
Assistance Act of 2018, Part E of the
proposed amendment would amend
Appendix A (Statutory Index) to
reference 18 U.S.C. 2259(d)(4) to § 2X5.2
(Class A Misdemeanors (Not Covered by
Another Specific Offense Guideline)).
The Commission seeks comment on
whether this proposed reference is
appropriate and whether any additional
changes to the guidelines are required to
account for the new offense conduct at
18 U.S.C. 2259(d)(4).
(F) Foundations for Evidence-Based
Policymaking Act of 2018
Synopsis of Proposed Amendment:
Part F of the proposed amendment
responds to the Foundations for
Evidence-Based Policymaking Act of
2018, Public Law 115–435 (2019).
This Act includes the Confidential
Information Protection and Statistical
Efficiency Act of 2018, which added a
new offense at 44 U.S.C. 3572
(Confidential information protection).
Section 3572 prohibits the unauthorized
disclosure of information collected by
an agency under a pledge of
confidentiality and for exclusively
statistical purposes, or the use of such
information for other than statistical
purposes. Any willful unauthorized
disclosure of such information by an
officer, employee, or agent of an agency
acquiring information for exclusively
statistical purposes is punishable by a
statutory maximum term of
imprisonment of five years. See 44
U.S.C. 3572(f).
Part F of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 44 U.S.C. 3572 to
§ 2H3.1 (Interception of
Communications; Eavesdropping;
Disclosure of Certain Private or
Protected Information). Similar
confidential information disclosure
offenses, such as 18 U.S.C. 1039 and 26
U.S.C. 7213(a), are referenced to this
guideline. Part F of the proposed
amendment would also amend the
Commentary to § 2H3.1 to reflect that 44
U.S.C. 3572 is referenced to the
guideline.
An issue for comment is also
provided.
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Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 45 U.S.C. 359(a) the
following new line reference:
‘‘44 U.S.C. 3572 2H3.1’’.
The Commentary to § 2H3.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘47 U.S.C. 605’’ and inserting
‘‘44 U.S.C. 3572; 47 U.S.C. 605’’.
Issue for Comment
1. In response to the Foundations for
Evidence-Based Policymaking Act of
2018, Part F of the proposed amendment
would reference 44 U.S.C. 3572 to
§ 2H3.1 (Interception of
Communications; Eavesdropping;
Disclosure of Certain Private or
Protected Information). The
Commission seeks comment on whether
this proposed reference is appropriate
and whether any additional changes to
the guidelines are required to account
for section 3572’s offense conduct.
Specifically, should the Commission
amend § 2H3.1 to provide a higher or
lower base offense level if 44 U.S.C.
3572 is the offense of conviction? If so,
what should that base offense level be
and why? Should the Commission add
a specific offense characteristic to
§ 2H3.1 in response to section 3572? If
so, what should that specific offense
characteristic provide and why?
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(G) National Defense Authorization Act
for Fiscal Year 2020
Synopsis of Proposed Amendment:
Part G of the proposed amendment
responds to the National Defense
Authorization Act for Fiscal Year 2020,
Public Law 116–92 (2019).
The Act added a new statute at 10
U.S.C. 2733a regarding medical
malpractice claims by members of the
uniformed services. The new statute
authorizes the Secretary of Defense to
allow, settle, and pay a claim against the
United States for personal injury or
death that occurred during the service of
a member of the uniformed services and
that was caused by the medical
malpractice of a health care provider of
the Department of Defense, if certain
requirements are met. Under section
2733a(c)(2), the Department of Defense
is not liable for the payment of attorney
fees for a claim under the new statute.
However, section 2733(g)(1) prohibits
any attorney from charging, demanding,
receiving, or collecting fees in excess of
20 percent of any claim paid pursuant
to the new statute. Any attorney who
charges, demands, receives, or collects a
fee in excess of 20 percent faces a
statutory maximum term of
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imprisonment of not more than one
year. See 10 U.S.C. 2733a(g)(2).
Part G of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 10 U.S.C. 2733a(g)(2)
to § 2X5.2 (Class A Misdemeanors (Not
Covered by Another Specific Offense
Guideline)). It would also amend the
Commentary to § 2X5.2 to reflect that 10
U.S.C. 2733a(g)(2) 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 12 U.S.C. 631 the
following new line reference:
‘‘10 U.S.C. 2733a(g)(2) 2X5.2’’.
The Commentary to § 2X5.2 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘18 U.S.C. 1365(f), 1801; 34
U.S.C. 12593; 49 U.S.C. 31310.’’ and
inserting ‘‘10 U.S.C. 2733a(g)(2); 18
U.S.C. 1365(f), 1801; 34 U.S.C. 12593;
49 U.S.C. 31310. For additional
statutory provision(s), see Appendix A
(Statutory Index).’’.
Issue for Comment
1. In response to the National Defense
Authorization Act for Fiscal Year 2020,
Part G of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 10 U.S.C. 2733a(g)(2)
to § 2X5.2 (Class A Misdemeanors (Not
Covered by Another Specific Offense
Guideline)). The Commission seeks
comment on whether this proposed
reference is appropriate and whether
any additional changes to the guidelines
are required to account for the new
offense conduct at 10 U.S.C. 2733a(g)(2).
(H) Representative Payee Fraud
Prevention Act of 2019
Synopsis of Proposed Amendment:
Part H of the proposed amendment
responds to the Representative Payee
Fraud Prevention Act of 2019, Public
Law 116–126 (2020).
The Act amended certain sections in
chapters 83 (Retirement) and 84
(Federal Employees’ Retirement System)
of title 5 (Government Organization and
Employees), United States, Code,
relating to the Civil Services Retirement
System (‘‘CSRS’’) and the Federal
Employees Retirement System
(‘‘FERS’’). Under both retirement
programs, annuities that are due to a
minor or an individual mentally
incompetent or under other legal
disability may be made to the guardian
or other fiduciary of such individual.
See 5 U.S.C. 8345(e), 8466(c).
The Act added two identical new
offenses at 5 U.S.C. 8345a and 8466a,
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regarding embezzlement or conversion
of payments due to a minor or an
individual mentally incompetent or
under other legal disability under CSRS
and FERS. Both offenses apply to a
‘‘representative payee.’’ The Act added
similar provisions to both chapters 83
and 84 of title 5 defining the term as ‘‘a
person (including an organization)
designated under [section 8345(e)(1) or
section 8466(c)(1)] to receive payments
on behalf of a minor or an individual
mentally incompetent or under other
legal disability.’’ 5 U.S.C. 8331(33),
8401(39).
The new offense at 5 U.S.C. 8345a
prohibits a representative payee from
embezzling or in any manner converting
all or any part of the amounts received
from payments under the CSRS
retirement program for a use other than
for the use and benefit of the minor or
individual on whose behalf the
payments were received. The new
offense at 5 U.S.C. 8466a prohibits a
representative payee from engaging in
the same conduct prohibited under
section 8345a for purposes of payments
received under the FERS retirement
program. Offenses under both sections
8345a and 8466a are punishable by a
statutory maximum term of
imprisonment of five years.
Part H of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 5 U.S.C. 8345a and
8466a to § 2B1.1 (Theft, Property
Destruction, and Fraud). Similar
financial fraud and embezzlement
offenses relating to social security,
veterans’ benefits, and welfare benefit
and pension plans (such as 18 U.S.C.
664, 38 U.S.C. 6102, and 42 U.S.C.
408(a)(5), 1011(a)(4) and 1383a(a)(4)) are
referenced to § 2B1.1. Part H of the
proposed amendment would also
amend the Commentary to § 2B1.1 to
reflect that 5 U.S.C. 8345a and 8466a are
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 7 U.S.C. 6 the following
new line references:
‘‘5 U.S.C. 8345a 2B1.1
5 U.S.C. 8466a 2B1.1’’.
The Commentary to § 2B1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘7 U.S.C. 6, 6b, 6c, 6h, 6o, 13,
23’’ and inserting ‘‘5 U.S.C. 8345a,
8466a; 7 U.S.C. 6, 6b, 6c, 6h, 6o, 13, 23’’.
Issue for Comment
1. In response to the Representative
Payee Fraud Prevention Act of 2019,
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Part H of the proposed amendment
would reference 5 U.S.C. 8345a and
8466a to § 2B1.1 (Theft, Property
Destruction, and Fraud). The
Commission seeks comment on whether
these proposed references are
appropriate and whether any additional
changes to the guidelines are required to
account for the offense conduct covered
by sections 8345a and 8466a.
Specifically, should the Commission
amend § 2B1.1 to provide a higher or
lower base offense level if 5 U.S.C.
8345a or § 8466a is the offense of
conviction? If so, what should that base
offense level be for each of these
sections and why? Should the
Commission add a specific offense
characteristic to § 2B1.1 in response to
5 U.S.C. 8345a or § 8466a? If so, what
should that specific offense
characteristic provide and why?
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(I) Stop Student Debt Relief Scams Act
of 2019
Synopsis of Proposed Amendment:
Part I of the proposed amendment
responds to the Stop Student Debt Relief
Scams Act of 2019, Public Law 116–251
(2020).
The Act created a new offense at 20
U.S.C. 1097(e). Current subsections (a)
through (d) of section 1097 provide
criminal penalties for crimes relating to
student assistance programs, including
embezzlement, theft, fraud, forgery, and
making unlawful payments to a lender
to acquire a loan. New subsection (e) of
section 1097 prohibits knowingly using
an access device (as defined in 18 U.S.C.
1029(e)(1)) issued to another person or
obtained by fraud or false statement to
access information technology systems
of the Department of Education for
purposes of obtaining commercial
advantage or private financial gain, or in
furtherance of any criminal or tortious
act. The statutory maximum term of
imprisonment for the offense is five
years.
Part I of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 20 U.S.C. 1097(e) to
§ 2B1.1 (Theft, Property Destruction,
and Fraud). Section 1097(a), (b), and (d)
offenses (theft, embezzlement, and
fraud) are currently referenced to
§ 2B1.1, while section 1097(c) offenses
(unlawful payments to acquire a loan)
are referenced to § 2B4.1 (Bribery in
Procurement of Bank Loan and Other
Commercial Bribery). Part I of the
proposed amendment would also
amend the Commentary to § 2B1.1 to
reflect that 20 U.S.C. 1097(a), (b), (d),
and (e) are referenced to the guideline.
An issue for comment is also
provided.
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Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 21 U.S.C. 101 the
following new line reference:
‘‘20 U.S.C. 1097(e) 2B1.1’’.
The Commentary to § 2B1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘19 U.S.C. 2401f’’ and inserting
‘‘19 U.S.C. 2401f; 20 U.S.C. 1097(a), (b),
(d), (e)’’.
Issue for Comment
1. In response to the Stop Student
Debt Relief Scams Act of 2019, Part I of
the proposed amendment would
reference 20 U.S.C. 1097(e) to § 2B1.1
(Theft, Property Destruction, and
Fraud). The Commission seeks comment
on whether the proposed reference is
appropriate and whether any additional
changes to the guidelines are required to
account for section 1097(e) offenses.
Specifically, should the Commission
amend § 2B1.1 to provide a higher or
lower base offense level if 20 U.S.C.
1097(e) is the offense of conviction? If
so, what should that base offense level
be and why? Should the Commission
add a specific offense characteristic to
§ 2B1.1 in response to 20 U.S.C.
1097(e)? If so, what should that specific
offense characteristic provide and why?
(J) Protecting Lawful Streaming Act of
2020
Synopsis of Proposed Amendment:
Part J responds to title II of Division Q
of the Consolidated Appropriations Act,
2021, referred to as the Protecting
Lawful Streaming Act of 2020, Public
Law 116–260 (2020).
The Act created a new commercial
streaming piracy offense at 18 U.S.C.
2319C (Illicit digital transmission
services). Section 2319C(b) makes it
unlawful to willfully, and for purposes
of commercial advantage or private
financial gain, offer or provide to the
public a digital transmission service that
(1) is primarily designed or provided for
the purpose of publicly performing
works protected under copyright law by
means of a digital transmission without
the authority of the copyright owner or
the law; (2) has no commercially
significant purpose or use other than to
publicly perform works protected under
copyright law by means of a digital
transmission without the authority of
the copyright owner or the law; or (3)
is intentionally marketed to promote its
use in publicly performing works
protected under copyright law by means
of a digital transmission without the
authority of the copyright owner or the
law. Section 2319C(a) provides
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definitions for some of the terms used
in the statute.
A violation of section 2319C has a
statutory maximum term of
imprisonment of three years. 18 U.S.C.
2319C(c)(1). However, the maximum
penalty increases to five years if (1) the
offense was committed in connection
with one or more works being prepared
for commercial public performance; and
(2) the offender knew or should have
known that the work was being
prepared for commercial public
performance. Id. § 2319C(c)(2). A tenyear maximum penalty applies if the
offense is a second or subsequent
offense under 18 U.S.C. 2319C or
§ 2319(a). Id. § 2319C(c)(3).
Part J of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2319C to
§ 2B5.3 (Criminal Infringement of
Copyright or Trademark). Similar
offenses, such as 17 U.S.C. 506
(prohibiting infringing a copyright of a
work being prepared for commercial
distribution) and 18 U.S.C. 2319A and
2319B (prohibiting the unauthorized
recording and trafficking of live musical
performances for commercial advantage
or private financial gain, and the
unauthorized recording of motion
pictures in movie theaters), are
referenced to § 2B5.3.
Issues for comment are also provided.
Proposed Amendment
Appendix A (Statutory Index) is
amended by inserting before the line
referenced to 18 U.S.C. 2320 the
following new line reference:
‘‘18 U.S.C. 2319C 2B5.3’’.
Issues for Comment
1. In response to the Protecting
Lawful Streaming Act of 2020, Part J of
the proposed amendment would
reference 18 U.S.C. 2319C to § 2B5.3
(Criminal Infringement of Copyright or
Trademark). The Commission seeks
comment on whether the proposed
reference is appropriate and whether
any additional changes to the guidelines
are required to account for section
2319C offenses. Specifically, should the
Commission amend § 2B5.3 to provide a
higher or lower base offense level if 18
U.S.C. 2319C is the offense of
conviction? If so, what should that base
offense level be and why? Should the
Commission add a specific offense
characteristic to § 2B5.3 in response to
18 U.S.C. 2319C? If so, what should that
specific offense characteristic provide
and why?
The new statute at 18 U.S.C. 2319C
provides enhanced penalties if (1) the
offense was committed in connection
with one or more works being prepared
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for commercial public performance, and
the offender knew or should have
known that the work was being
prepared for commercial public
performance; or (2) if the offense is a
second or subsequent offense under 18
U.S.C. 2319C or § 2319(a). Should the
Commission amend § 2B5.3 to address
these enhanced penalties? If so, how
should the Commission address them
and why?
2. Currently, § 2B5.3 includes a
specific offense characteristic at
subsection (b)(2) providing a 2-level
enhancement ‘‘[i]f the offense involved
the display, performance, publication,
reproduction, or distribution of a work
being prepared for commercial
distribution.’’ The new offense at 18
U.S.C. 2319C mainly addresses the
streaming (i.e., offering or providing ‘‘to
the public a digital transmission
service’’) of works ‘‘being prepared for
commercial public performance.’’ The
Commission seeks comment on whether
current § 2B5.3(b)(2) adequately
accounts for section 2319C’s offense
conduct. If not, what revisions to
§ 2B5.3(b)(2) would be appropriate to
account for this conduct? Should the
Commission instead revise § 2B5.3 in
general provide one or more specific
offense characteristics or departure
provisions to better account for this
conduct? If so, what should the
Commission provide?
(K) William M. (Mac) Thornberry
National Defense Authorization Act for
Fiscal Year 2021
Synopsis of Proposed Amendment:
Part K of the proposed amendment
responds to the William M. (Mac)
Thornberry National Defense
Authorization Act for Fiscal Year 2021,
Public Law 116–283 (2021). The Act
created several new offenses at 31
U.S.C. 5335 and 5336.
The Act included two regulatory
offenses in a new section 5335 of title
31, United States Code. Section 5335(b)
prohibits knowingly concealing,
falsifying, or misrepresenting (or
attempting to do so) from or to a
financial institution, a material fact
concerning the ownership or control of
assets involved in a monetary
transaction if (1) the person or entity
who owns or controls the assets is a
senior foreign political figure, or any
immediate family member or close
associate of a senior foreign political
figure; and (2) the aggregate value of the
assets involved in one or more monetary
transactions is not less than $1,000,000.
Section 5335(c) prohibits knowingly
concealing, falsifying, or
misrepresenting (or attempting to do so)
from or to a financial institution, a
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material fact concerning the source of
funds in a monetary transaction that (1)
involves an entity found to be a primary
money laundering concern under 31
U.S.C. 5318A or applicable regulations;
and (2) violates the prohibitions or
conditions prescribed under 31 U.S.C.
5318A(b)(5) or applicable regulations.
Both new offenses cover conspiracies to
commit the prohibited conduct and
have a statutory maximum term of
imprisonment of ten years. See 31
U.S.C. 5335(d).
The Act also added a new section
5336 to title 31, United States Code,
concerning reporting requirements of
beneficial ownership of certain entities.
Specifically, section 5336(b) requires
certain United States and foreign
corporations, limited liability
companies, and similar entities, to file
annual reports with the Department of
the Treasury’s Financial Crimes
Enforcement Network (‘‘FinCEN’’). The
annual reports must identify an entity’s
beneficial owners (i.e., those exercising
substantial control or who own or
control no less than 25% of the
ownership interests), including names,
dates of birth, street address, and unique
identification numbers (such as passport
numbers, driver’s license numbers, or
FinCEN identifiers). Section 5336(c)
provides certain conditions under
which FinCEN may disclose the
beneficial ownership information to
certain requesting agencies, including
federal agencies, state, local and tribal
law enforcement agencies, federal
agencies on behalf of law enforcement,
or a prosecutor or judge of a foreign
country.
Section 5336 includes three new
offenses relating to the provisions
described above. First, section
5336(h)(1) prohibits (1) willfully
providing, or attempting to provide,
false or fraudulent beneficial ownership
information, including a false or
fraudulent identifying photograph or
document, to FinCEN; or (2) willfully
failing to report complete or updated
beneficial ownership information to
FinCEN. The statutory maximum term
of imprisonment for this offense is two
years. Second, section 5336(c)(4)
prohibits any employee or officer of a
requesting agency from violating the
protocols established by the regulations
promulgated by the Secretary of the
Treasury under section 5336, including
unauthorized disclosure or use of the
beneficial ownership information
obtained from FinCEN. Third, section
5336(h)(2) prohibits the knowing
disclosure or knowing use, without
authorization, of beneficial ownership
information obtained through a report
submitted to FinCEN or a disclosure
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made by FinCEN. Both sections
5336(c)(4) and 5336(h)(2) offenses face a
statutory maximum term of
imprisonment of five years, with an
enhanced penalty of up to ten years if
the offense was committed while
violating another law or as part of a
pattern of any illegal activity involving
more than $100,000 in a 12-month
period.
Part K of the proposed amendment
would amend Appendix A (Statutory
Index) to reference 31 U.S.C. 5335 and
5336 to § 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).
Similar offenses, such as offenses under
31 U.S.C. 5313 and 5318(g)(2), are
referenced to § 2S1.3. Part K of the
proposed amendment would also
amend the Commentary to § 2S1.3 to
reflect that 31 U.S.C. 5335 and 5336 are
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 31 U.S.C. 5363 the
following new line references:
‘‘31 U.S.C. 5335 2S1.3
31 U.S.C. 5336 2S1.3’’.
The Commentary to § 2S1.3 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘5332’’ and inserting ‘‘5332,
5335, 5336’’.
Issue for Comment
1. In response to the William M. (Mac)
Thornberry National Defense
Authorization Act for Fiscal Year 2021,
Part K of the proposed amendment
would reference 31 U.S.C. 5335 and
5336 to § 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). The
Commission seeks comment on whether
these proposed references are
appropriate and whether any additional
changes to the guidelines are required to
account for sections 5335 and 5336
offenses. Specifically, should the
Commission amend § 2S1.3 to provide a
higher or lower base offense level if 31
U.S.C. 5335 or § 5336 is the offense of
conviction? If so, what should that base
offense level be for each of these
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sections and why? Should the
Commission add a specific offense
characteristic to § 2S1.3 in response to
31 U.S.C. 5335 and 5336? If so, what
should that specific offense
characteristic provide and why?
The new statute provides an
enhanced penalty for offenses under 31
U.S.C. 5336(c)(4) and 5336(h)(2)
offenses if the offense was committed
while violating another law or as part of
a pattern of any illegal activity involving
more than $100,000 in a 12-month
period. Should the Commission amend
§ 2S1.3 to address this enhanced
penalty? If so, how should the
Commission address it and why?
6. Career Offender
Synopsis of Proposed Amendment:
This proposed amendment is a result of
the Commission’s multiyear work on
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1), including possible
amendments to (A) provide an
alternative approach to the ‘‘categorical
approach’’ in determining whether an
offense is a ‘‘crime of violence’’ or a
‘‘controlled substance offense’’; and (B)
address various application issues,
including the meaning of ‘‘robbery’’ and
‘‘extortion,’’ and the treatment of
inchoate offenses and offenses involving
an offer to sell a controlled substance.
See U.S. Sent’g Comm’n, ‘‘Notice of
Final Priorities,’’ 87 FR 67756 (Nov. 9,
2022). The proposed amendment
contains four parts (Parts A through D).
The Commission is considering whether
to promulgate any or all of these parts,
as they are not mutually exclusive.
Part A of the proposed amendment
would amend § 4B1.2 to address
recurrent criticism of the categorical
approach and modified categorical
approach, which courts have applied in
the context of § 4B1.1 (Career Offender).
It eliminates the categorical approach
from the guidelines by defining ‘‘crime
of violence’’ and ‘‘controlled substance
offense’’ based upon a list of guidelines,
rather than offenses or elements of an
offense. Part A would also make
conforming changes to the guidelines
that use the terms ‘‘crime of violence’’
and ‘‘controlled substance offense’’ and
define these terms by making specific
reference to § 4B1.2. Issues for comment
are also provided.
Part B of the proposed amendment
would address the concern that certain
robbery offenses, such as Hobbs Act
robbery, no longer constitute a ‘‘crime of
violence’’ under § 4B1.2, as amended in
2016. It would amend § 4B1.2 to add a
definition of ‘‘robbery’’ that mirrors the
Hobbs Act robbery definition at 18
U.S.C. 1951(b)(1). Part B of the proposed
amendment also brackets a provision
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defining the phrase ‘‘actual or
threatened force,’’ for purposes of the
new ‘‘robbery’’ definition, as ‘‘force
sufficient to overcome a victim’s
resistance,’’ informed by the Supreme
Court’s holding in Stokeling v. United
States, 139 S. Ct. 544, 550 (2019).
Finally, Part B of the proposed
amendment would make conforming
changes to the definition of ‘‘crime of
violence’’ in the Commentary to § 2L1.2
(Unlawfully Entering or Remaining in
the United States), which includes
robbery as an enumerated offense.
Issues for comment are also provided.
Part C of the proposed amendment
would amend § 4B1.2 to address two
circuit conflicts regarding the
commentary provision stating that the
terms ‘‘crime of violence’’ and
‘‘controlled substance offense’’ include
the offenses of aiding and abetting,
conspiring to commit, and attempting to
commit a ‘‘crime of violence’’ and a
‘‘controlled substance offense.’’ Two
options are presented. Issues for
comment are also provided.
Part D of the proposed amendment
would amend the definition of
‘‘controlled substance offense’’ in
§ 4B1.2(b) to include offenses involving
an offer to sell a controlled substance
and offenses described in 46 U.S.C.
70503(a) and § 70506(b). An issue for
comment is also provided.
(A) Listed Guidelines Approach
Synopsis of Proposed Amendment:
Part A of the proposed amendment
addresses recurrent criticism of the
categorical approach and modified
categorical approach, which courts have
applied in the context of § 4B1.1 (Career
Offender). It eliminates the categorical
approach from the guidelines by
defining ‘‘crime of violence’’ and
‘‘controlled substance offense’’ based
upon a list of guidelines, rather than
offenses or elements of an offense.
The Categorical Approach as Developed
by Supreme Court Jurisprudence
A number of statutes and guidelines
provide enhanced penalties for
defendants convicted of offenses that
meet the definition of a particular
category of crimes. Courts typically
determine whether a conviction fits
within the definition of a particular
category of crimes through the
application of the ‘‘categorical
approach’’ and ‘‘modified categorical
approach,’’ as set forth by Supreme
Court jurisprudence. The categorical
approach requires courts to look only to
the statute of conviction, rather than the
particular facts underlying the
conviction, to determine whether the
offense meets the definition of a
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particular category of crimes. In
applying the modified categorical
approach, courts are allowed to look to
certain additional sources of
information, now commonly referred to
as the ‘‘Shepard documents,’’ to
determine the elements of the offense of
conviction. See Taylor v. United States,
495 U.S. 575 (1990) (holding that, under
the ‘‘categorical approach,’’ courts must
compare the elements of the offense as
described in the statute of conviction to
the elements of the applicable definition
of a particular category of crimes to
determine if such offense criminalizes
the same or a narrower range of conduct
than the definition captures in order to
serve as a predicate offense); Shepard v.
United States, 544 U.S. 13 (2005)
(holding that courts may use a
‘‘modified categorical approach’’ in
cases where the statute of conviction is
‘‘overbroad,’’ that is, the statute defines
both conduct that fits within the
applicable definition and conduct that
does not). However, the Supreme Court
later held that a court may only apply
the modified categorical approach if the
court first conducts a threshold inquiry
to determine whether a statute of
conviction is ‘‘divisible.’’ See Descamps
v. United States, 570 U.S. 254 (2013);
Mathis v. United States, 579 U.S. 500
(2016). Thus, under Descamps and
Mathis, if a statute of conviction is
‘‘indivisible’’ and criminalizes a broader
range of conduct than the applicable
definition, the entire statute is
categorically disqualified from serving
as a predicate offense, even if a
defendant was convicted under a part of
the statute that falls within the
definition.
Application of the Categorical Approach
in the Guidelines
Even though Supreme Court
jurisprudence on this subject pertains
only to statutory provisions (e.g., 18
U.S.C. 924(e)), courts have applied the
categorical approach and the modified
categorical approach to guideline
provisions. For example, courts have
used these approaches to determine if a
conviction is a ‘‘crime of violence’’ or a
‘‘controlled substance offense’’ for
purposes of applying the career offender
guideline at § 4B1.1. Additionally,
several other guidelines, such as § 2K2.1
(Unlawful Receipt, Possession, or
Transportation of Firearms or
Ammunition; Prohibited Transactions
Involving Firearms or Ammunition),
also rely upon the career offender
guideline’s definitions of ‘‘crime of
violence’’ and ‘‘controlled substance
offense.’’ Therefore, courts have also
used the categorical approach for
purposes of these guidelines.
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Commission data indicates that of the
53,779 offenders sentenced in fiscal year
2021, 1,246 offenders (2.3%) were
sentenced under the career offender
guideline. An additional 3,239 offenders
(6.0% of the offenders sentenced in
fiscal year 2021) sentenced under
§ 2K2.1 were assigned to a base offense
level that requires a prior conviction for
a ‘‘crime of violence’’ or ‘‘controlled
substance offense.’’
While representing a relatively small
portion of the federal caseload each
year, the categorical approach continues
to result in substantial litigation. Since
1990, the Supreme Court has issued
dozens of opinions that have shaped the
categorical approach and modified
categorical approach. The Commission
identified over 3,300 written opinions
over the past five years in which federal
courts have invoked, discussed, or
applied the categorical approach. More
than half of those opinions focused on
categorical approach issues raised in
applying guideline provisions while the
remainder dealt with statutory
provisions (e.g., 18 U.S.C. 924(c)).
General Criticism of the Categorical
Approach as Developed by Supreme
Court Jurisprudence
The Commission has received
significant comment over the years
regarding the complexity and
limitations of the categorical approach,
as developed by Supreme Court
jurisprudence. Specifically, courts and
stakeholders have criticized the
requirement of a threshold inquiry of
whether a statute of conviction is
divisible or indivisible as resulting in an
overly complex and time-consuming
analysis that often leads to
counterintuitive and arbitrary results.
For example, dissenting justices in
Descamps and Mathis expressed
concern that the ‘‘divisibility’’ inquiry is
confusing and ‘‘will cause serious
practical problems’’ (e.g., Descamps,
570 U.S. at 284 (Alito, J., dissenting);
Mathis, 579 U.S. at 523–33 (Breyer, J.,
joined by Ginsberg, J., dissenting)), and
noted that ‘‘lower court judges[,] who
must regularly grapple with the
modified categorical approach,
struggle[ ] to understand Descamps’’
(Mathis, 579 U.S. at 538 (Alito, J.,
dissenting)).
In the aftermath of Descamps and
Mathis, commenters have stressed that
the categorical approach has become
increasingly difficult to apply, while
simultaneously producing results less
reflective of the types of conduct § 4B1.1
was intended to capture. See, e.g.,
Public Comment on Proposed
Amendments (Feb. 2019), at https://
www.ussc.gov/policymaking/public-
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comment/public-comment-february-192019. Courts have further criticized the
categorical approach as a ‘‘legal fiction,’’
in which an offense that a defendant
commits violently is deemed to be a
non-violent offense because other
defendants at other times could have
been convicted of violating the same
statute without violence, often leading
to ‘‘odd’’ and ‘‘arbitrary’’ results. See,
e.g., United States v. Davis, 875 F.3d
592, 595 (11th Cir. 2017); United States
v. McCollum, 885 F.3d 300, 309–14 (4th
Cir. 2018) (Traxler, J., concurring); id.
(Wilkinson, J., dissenting).
determine whether an indivisible statute
criminalizes conduct that does not meet
the applicable definition; rather, the
court would be required to determine
only whether the Chapter Two guideline
that covers the type of conduct most
similar to the offense charged in the
count of which the defendant was
convicted is listed in § 4B1.2. The
proposed approach would also expand
the use of additional sources of
information by permitting courts to use
the Shepard documents when necessary
to make the career offender
determination.
Proposed Approach for § 4B1.2
Part A of the proposed amendment
eliminates the categorical approach
from the guidelines by defining ‘‘crime
of violence’’ and ‘‘controlled substance
offense’’ based upon a list of guidelines,
rather than offenses or elements of an
offense. The list of Chapter Two
guidelines included in the definition of
‘‘crime of violence’’ is informed by the
guidelines that the Commission has
identified as covering ‘‘violent instant
offenses’’ for purposes of the study of
recidivism of federal offenders. See
Courtney R. Semisch, Cassandra Syckes
& Landyn Rookard, U.S. Sent’g Comm’n,
Recidivism of Federal Violent Offenders
Released in 2010 (2022), https://
www.ussc.gov/research/researchreports/recidivism-federal-violentoffenders-released-2010. The Chapter
Two guidelines listed in the definition
of ‘‘controlled substance offense’’ are
the guidelines that cover the offenses
expressly referenced in the career
offender directive at 28 U.S.C. 994(h).
The focus of inquiry set forth in the
proposed approach is whether the
defendant was convicted of a federal
offense for which the ‘‘applicable
Chapter Two guideline’’ is listed in
§ 4B1.2 or a state offense for which the
‘‘most appropriate’’ offense guideline
would have been one of the Chapter
Two guidelines listed in § 4B1.2 had the
defendant been sentenced under the
guideline in federal court. The court
would make this determination based
on: (1) the elements, and any means of
committing such an element, that
formed the basis of the defendant’s
conviction, and (2) the offense conduct
cited in the count of conviction, or a fact
admitted or confirmed by the defendant,
that establishes any such elements or
means.
The proposed approach is intended to
remove the complexity inherent in
determining whether a statute of
conviction is ‘‘divisible’’ or
‘‘indivisible’’ based on a threshold
‘‘elements-means’’ inquiry. Thus, the
court would not be required to
Conforming Changes to Other
Guidelines
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Finally, Part A of the proposed
amendment would make conforming
changes to the guidelines that use the
terms ‘‘crime of violence’’ and
‘‘controlled substance offense’’ and
define these terms by making specific
reference to § 4B1.2. Accordingly, the
proposed amendment would amend the
Commentary to § 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), § 2S1.1 (Laundering of
Monetary Instruments; Engaging in
Monetary Transactions in Property
Derived from Unlawful Activity),
§ 4A1.2 (Definitions and Instructions for
Computing Criminal History), § 4B1.4
(Armed Career Criminal), and § 7B1.1
(Classification of Violations (Policy
Statement)).
Issues for comment are also provided.
Proposed Amendment
Section 4B1.2(a) is amended by
striking the following:
‘‘The term ‘crime of violence’ means
any offense under federal or state law,
punishable by imprisonment for a term
exceeding one year, that—
(1) has as an element the use,
attempted use, or threatened use of
physical force against the person of
another, or
(2) is murder, voluntary
manslaughter, kidnapping, aggravated
assault, a forcible sex offense, robbery,
arson, extortion, or the use or unlawful
possession of a firearm described in 26
U.S.C. 5845(a) or explosive material as
defined in 18 U.S.C. 841(c).’’,
and inserting the following:
‘‘Crime of Violence.—
(1) In General.—The term ‘crime of
violence’ means any of the following
offenses:
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(A) Any offense under federal law,
punishable by imprisonment for a term
exceeding one year—
(i) for which the applicable Chapter
Two guideline (as determined under the
provisions of § 1B1.2 (Applicable
Guidelines)); or
(ii) to which § 2X1.1 (Attempt,
Solicitation, or Conspiracy) or § 2X2.1
(Aiding and Abetting) applies and the
appropriate guideline for the offense the
defendant aided or abetted, or
conspired, solicited, or attempted to
commit;
is one of the guidelines listed in
paragraph (2).
(B) Any offense under state law (or
the offense of aiding or abetting, or
conspiring, soliciting, or attempting to
commit any such offense), punishable
by imprisonment for a term exceeding
one year, for which the most
appropriate guideline would have been
one of the Chapter Two guidelines listed
in paragraph (2) had the defendant been
sentenced under the guidelines in
federal court (as determined under
subsection (c)).
(2) Guidelines Listed.—For purposes
of the ‘crime of violence’ definition, use
the following Chapter Two guidelines:
• Homicide.—§§ 2A1.1 (First Degree
Murder), 2A1.2 (Second Degree
Murder), 2A1.3 (Voluntary
Manslaughter), 2A1.5 (Conspiracy or
Solicitation to Commit Murder);
• Assault.—§§ 2A2.1 (Attempted
Murder), 2A2.2 (Aggravated Assault),
2A2.4 (Obstructing or Impeding
Officers);
• Criminal Sexual Abuse.—§§ 2A3.1
(Sexual Abuse), 2A3.3 (Sexual Abuse of
a Ward), 2A3.4 (Abusive Sexual
Contact);
• Kidnapping, Abduction, and
Unlawful Restraint.—§ 2A4.1
(Kidnapping, Abduction, Unlawful
Restraint);
• Air Piracy and Offenses Against
Mass Transportation Systems.—
§§ 2A5.1 (Aircraft Piracy), 2A5.2
(Interference with Flight or Cabin Crew,
or Mass Transportation);
• Threatening or Harassing
Communications, Hoaxes, Stalking, and
Domestic Violence.—§§ 2A6.1
(Threatening or Harassing
Communications, Hoaxes, or False
Liens) (only if the offense involve a
threat to injure a person or property),
2A6.2 (Stalking or Domestic Violence);
• Robbery and Extortion.—§§ 2B3.1
(Robbery), 2B3.2 (Extortion by Force or
Threat of Injury or Serious Damage);
• Racketeering.—§§ 2E1.1 (Unlawful
Conduct Relating to Racketeering),
2E1.2 (Travel or Transportation Aiding
Racketeering), 2E1.3 (Violent Crimes
Aiding Racketeering), 2E1.4 (Using
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Certain Facilities to Commit MurderFor-Hire);
• Promoting a Commercial Sex Act or
Prohibited Sexual Conduct with
Minors.—§ 2G1.3 (Promoting
Commercial Sex Acts or Prohibited
Sexual Conduct with Minors; Using
Certain Facilities to Transport
Information about Minors);
• Sexual Exploitation of Minors.—
§§ 2G2.1 (Sexual Exploitation of Minors;
Production of Child Pornography),
2G2.3 (Selling or Buying Children for
Pornography Production), 2G2.6 (Child
Exploitation Enterprises);
• Peonage and Slavery.—§ 2H4.1
(Peonage, Slavery, Child Soldiers);
• Explosives and Arson.—§§ 2K1.3
(Unlawful Receipt, Possession, or
Transportation of Explosive Materials),
2K1.4 (Arson);
• Firearms.—§§ 2K2.1 (Unlawful
Receipt, Possession, or Transportation
of Firearms or Ammunition) (only if the
offense involved possession of a firearm
that is described in 26 U.S.C. 5845(a)),
2K2.4 (Using Certain Firearms,
Ammunition, or Explosives During or in
Relation to Certain Crimes);
• Material Support to Terrorists.—
§ 2M5.3 (Providing Material Support to
Certain Terrorists or for Terrorist
Purposes);
• Nuclear, Biological, and Chemical
Weapons and Materials.—§ 2M6.1
(Unlawful Activity Involving Nuclear,
Biological, or Chemical Weapons or
Materials, or Other Weapons of Mass
Destruction);
• Use of Minors in Crimes of
Violence.—§ 2X6.1 (Using Minors in
Crimes of Violence).
(3) Exclusion.—For purposes of this
guideline, a conviction under federal or
state law based upon a finding of
recklessness or negligence is not a
‘crime of violence.’ ’’.
Section 4B1.2(b) is amended by
striking the following:
‘‘The term ‘controlled substance
offense’ means an offense under federal
or state law, punishable by
imprisonment for a term exceeding one
year, that prohibits the manufacture,
import, export, distribution, or
dispensing of a controlled substance (or
a counterfeit substance) or the
possession of a controlled substance (or
a counterfeit substance) with intent to
manufacture, import, export, distribute,
or dispense.’’,
and inserting the following:
Controlled Substance Offense.—
(1) In General.—The term ‘controlled
substance offense’ means any of the
following offenses:
(A) Any offense under federal law,
punishable by imprisonment for a term
exceeding one year—
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(i) for which the applicable Chapter
Two guideline (as determined under the
provisions of § 1B1.2 (Applicable
Guidelines)); or
(ii) to which § 2X1.1 (Attempt,
Solicitation, or Conspiracy) or § 2X2.1
(Aiding and Abetting) applies and the
appropriate guideline for the offense the
defendant aided or abetted, or
conspired, solicited, or attempted to
commit;
is one of the guidelines listed in
paragraph (2).
(B) Any offense under state law (or
the offense of aiding or abetting, or
conspiring, soliciting, or attempting to
commit any such offense), punishable
by imprisonment for a term exceeding
one year, for which the most
appropriate guideline would have been
one of the Chapter Two guidelines listed
in paragraph (2) had the defendant been
sentenced under the guidelines in
federal court (as determined under
subsection (c)).
(C) Any offense described in chapter
705 of title 46, United States Code.
(2) Guidelines Listed.—For purposes
of the ‘controlled substance offense’
definition, use the following Chapter
Two guidelines:
• §§ 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking);
2D1.9 (Placing or Maintaining
Dangerous Devices on Federal Property
to Protect Unlawful Production of
Drugs); 2D1.11 (Unlawfully Distributing,
Importing, Exporting, or Possessing
Listed Chemicals)[;]
[• §§ 2D1.2 (Drug Offenses Occurring
Near Protected Locations or Involving
Certain Individuals); 2D1.6 (Use of
Communication Facility in Committing
Drug Offense), if the appropriate
guideline for the underlying offense is
also listed in this paragraph; 2D1.8
(Renting or Managing Drug
Establishments); 2D1.10 (Life
Endangerment While Manufacturing
Drugs); 2D1.12 (Unlawful Possession,
Manufacture, Distribution,
Transportation, Exportation, or
Importation of Prohibited Items)].
(3) Exclusion.—For purposes of this
guideline, a conviction under federal or
state law based upon a finding of
recklessness or negligence is not a
‘controlled substance offense.’ ’’.
Section 4B1.2 is amended—
by redesignating subsection (c) as
subsection (d);
by adding the following new
subsection (c):
‘‘(c) Determination of Whether a State
Offense Is a ‘Crime of Violence’ or a
‘Controlled Substance Offense’.—For
purposes of determining whether a state
offense is a ‘crime of violence’ or a
‘controlled substance offense’ under
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subsection (a)(1)(B) or (b)(1)(B), the
‘most appropriate guideline’ is the
Chapter Two guideline that covers the
type of conduct most similar to the
offense charged in the count of which
the defendant was convicted. The court
shall make this determination based on:
(1) the elements, and any means of
committing such an element, that
formed the basis of the defendant’s
conviction, and (2) the offense conduct
cited in the count of conviction, or a fact
admitted or confirmed by the defendant,
that establishes any such elements or
means.’’;
and in subsection (d) (as so
redesignated) by inserting at the
beginning the following new heading
‘‘Two Prior Felony Convictions.—’’.
The Commentary to § 4B1.2 captioned
‘‘Application Notes’’ is amended—
in Note 1 by striking the following:
‘‘Definitions.—For purposes of this
guideline—
‘Crime of violence’ and ‘controlled
substance offense, include the offenses
of aiding and abetting, conspiring, and
attempting to commit such offenses.
‘Forcible sex offense’ includes where
consent to the conduct is not given or
is not legally valid, such as where
consent to the conduct is involuntary,
incompetent, or coerced. The offenses of
sexual abuse of a minor and statutory
rape are included only if the sexual
abuse of a minor or statutory rape was
(A) an offense described in 18 U.S.C.
2241(c) or (B) an offense under state law
that would have been an offense under
section 2241(c) if the offense had
occurred within the special maritime
and territorial jurisdiction of the United
States.
‘Extortion’ is obtaining something of
value from another by the wrongful use
of (A) force, (B) fear of physical injury,
or (C) threat of physical injury.
Unlawfully possessing a listed
chemical with intent to manufacture a
controlled substance (21 U.S.C.
841(c)(1)) is a ‘controlled substance
offense.’
Unlawfully possessing a prohibited
flask or equipment with intent to
manufacture a controlled substance (21
U.S.C. 843(a)(6)) is a ‘controlled
substance offense.’
Maintaining any place for the purpose
of facilitating a drug offense (21 U.S.C.
856) is a ‘controlled substance offense’
if the offense of conviction established
that the underlying offense (the offense
facilitated) was a ‘controlled substance
offense.’
Using a communications facility in
committing, causing, or facilitating a
drug offense (21 U.S.C. 843(b)) is a
‘controlled substance offense’ if the
offense of conviction established that
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the underlying offense (the offense
committed, caused, or facilitated) was a
‘controlled substance offense.’
A violation of 18 U.S.C. 924(c) or
§ 929(a) is a ‘crime of violence’ or a
‘controlled substance offense’ if the
offense of conviction established that
the underlying offense was a ‘crime of
violence’ or a ‘controlled substance
offense’. (Note that in the case of a prior
18 U.S.C. 924(c) or § 929(a) conviction,
if the defendant also was convicted of
the underlying offense, the sentences for
the two prior convictions will be treated
as a single sentence under § 4A1.2
(Definitions and Instructions for
Computing Criminal History).)
‘Prior felony conviction’ means a
prior adult federal or state conviction
for an offense punishable by death or
imprisonment for a term exceeding one
year, regardless of whether such offense
is specifically designated as a felony
and regardless of the actual sentence
imposed. A conviction for an offense
committed at age eighteen or older is an
adult conviction. 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).’’,
and inserting the following:
‘‘ ‘Prior Felony Conviction’ Defined.—
‘Prior felony conviction,’ for purposes of
this guideline, means a prior adult
federal or state conviction for an offense
punishable by death or imprisonment
for a term exceeding one year, regardless
of whether such offense is specifically
designated as a felony and regardless of
the actual sentence imposed. A
conviction for an offense committed at
age eighteen or older is an adult
conviction. 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).’’;
in Note 2 by striking the following:
‘‘Offense of Conviction as Focus of
Inquiry.—Section 4B1.1 (Career
Offender) expressly provides that the
instant and prior offenses must be
crimes of violence or controlled
substance offenses of which the
defendant was convicted. Therefore, in
determining whether an offense is a
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crime of violence or controlled
substance for the purposes of § 4B1.1
(Career Offender), the offense of
conviction (i.e., the conduct of which
the defendant was convicted) is the
focus of inquiry.’’,
and inserting the following:
‘‘Determination of Whether a State
Offense Is a ‘Crime of Violence’ or a
‘Controlled Substance Offense.’—In
determining whether a state offense is a
‘crime of violence’ or a ‘controlled
substance offense’ under subsection
(a)(1)(B) or (b)(1)(B), the court may only
consider the statute of conviction and
the following sources of information:
(A) The judgment of conviction.
(B) The charging document.
(C) The jury instructions.
(D) The judge’s formal rulings of law
or findings of fact.
(E) The plea agreement or transcript of
colloquy between judge and defendant
in which the factual basis of the guilty
plea was confirmed by the defendant.
(F) Any explicit factual finding by the
trial judge to which the defendant
assented.
(G) Any comparable judicial record of
the sources described in paragraphs (A)
through (F).
The fact that the statute of conviction
describes conduct that is broader than,
or encompasses types of conduct in
addition to, the type of conduct covered
by any of the Chapter Two guidelines
listed in subsection (a)(2) or (b)(2) is not
determinative.’’;
in Note 3 by striking ‘‘The provisions
of § 4A1.2 (Definitions and Instructions
for Computing Criminal History) are
applicable to the counting of
convictions under § 4B1.1.’’ and
inserting the following:
‘‘The provisions of § 4A1.2
(Definitions and Instructions for
Computing Criminal History) are
applicable to the counting of
convictions under § 4B1.1. Note that in
the case of a prior 18 U.S.C. 924(c) or
§ 929(a) conviction, if the defendant also
was convicted of the underlying offense,
the sentences for the two prior
convictions will be treated as a single
sentence under § 4A1.2(a)(2).’’;
and by striking Note 4 as follows:
‘‘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
§ 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.’’.
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The Commentary to § 4B1.2 is
amended by adding at the end the
following:
‘‘Background: Section 4B1.2 defines
the terms ‘crime of violence,’ ‘controlled
substance offense,’ and ‘two prior felony
convictions’ for purposes of § 4B1.1
(Career Offender). Prior to [2023], to
determine if an offense met the
definition of ‘crime of violence’ or
‘controlled substance offense’ in
§ 4B1.2, courts typically used the
categorical approach and the modified
categorical approach, as set forth in
Supreme Court jurisprudence. See, e.g.,
Taylor v. United States, 495 U.S. 575
(1990); Shepard v. United States, 544
U.S. 13 (2005); Descamps v. United
States, 570 U.S. 254 (2013); Mathis v.
United States, 579 U.S. 500 (2016).
These Supreme Court cases, however,
involved statutory provisions (e.g., 18
U.S.C. 924(e)) rather than guideline
provisions.
In [2023], the Commission amended
§ 4B1.2 to set forth an approach for
determining whether an offense is a
‘crime of violence’ or a ‘controlled
substance offense’ that does not require
the application of the categorical
approach and modified categorical
approach established by Supreme Court
jurisprudence. See USSG App. C,
Amendment [ ] (effective [Date]). The
definitions of ‘crime of violence’ and
‘controlled substance offense,’ rather
than describing offenses or elements of
an offense, are based upon a list of
guidelines. The focus of inquiry is
whether the defendant was convicted of
a federal offense for which the
applicable Chapter Two guideline is one
of the listed guidelines, or a state
offense for which the ‘most appropriate’
Chapter Two guideline would have been
one of the listed guidelines had the
defendant been sentenced in federal
court under the guidelines. The
approach set forth by this guideline
requires the court to consider not only
the statute of conviction, but also the
offense conduct cited in the count of
conviction, or a fact admitted or
confirmed by the defendant, that
establishes any of the elements, and any
means of committing such an element,
that formed the basis of the defendant’s
conviction. The court is also permitted
to use certain additional sources of
information, as appropriate, while
conducting this inquiry.’’.
The Commentary to § 2K1.3 captioned
‘‘Application Notes’’ is amended in
Note 2—
in the paragraph that begins ’’
‘Controlled substance offense’ has the
meaning’’ by striking ‘‘has the meaning
given that term in § 4B1.2(b) and
Application Note 1 of the Commentary
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to § 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’ and inserting ‘‘means a
‘controlled substance offense’ as defined
and determined in accordance with
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’;
and in the paragraph that begins ’’
‘Crime of violence’ has the meaning’’ by
striking ‘‘has the meaning given that
term in § 4B1.2(a) and Application Note
1 of the Commentary to § 4B1.2’’ and
inserting ‘‘means a ‘crime of violence’ as
defined and determined in accordance
with § 4B1.2 (Definitions of Terms Used
in Section 4B1.1)’’.
The Commentary to § 2K2.1 captioned
‘‘Application Notes’’ is amended—
in Note 1—
in the paragraph that begins ’’
‘Controlled substance offense’ has the
meaning’’ by striking ‘‘has the meaning
given that term in § 4B1.2(b) and
Application Note 1 of the Commentary
to § 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’ and inserting ‘‘means a
‘controlled substance offense’ as defined
and determined in accordance with
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’;
and in the paragraph that begins ’’
‘Crime of violence’ has the meaning’’ by
striking ‘‘has the meaning given that
term in § 4B1.2(a) and Application Note
1 of the Commentary to § 4B1.2’’ and
inserting ‘‘means a ‘crime of violence’ as
defined and determined in accordance
with § 4B1.2 (Definitions of Terms Used
in Section 4B1.1)’’;
and in Note 13(B) by striking ‘‘have
the meaning given those terms in
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’ and inserting ‘‘mean a
‘crime of violence’ and a ‘controlled
substance offense’ as defined and
determined in accordance with § 4B1.2
(Definitions of Terms Used in Section
4B1.1)’’.
The Commentary to § 2S1.1 captioned
‘‘Application Notes’’ is amended in
Note 1, in the paragraph that begins ’’
‘Crime of violence’ has the meaning’’ by
striking ‘‘has the meaning given that
term in subsection (a)(1) of § 4B1.2
(Definitions of Terms Used in Section
4B1.1)’’ and inserting ‘‘means a ‘crime
of violence’ as defined and determined
in accordance with § 4B1.2 (Definitions
of Terms Used in Section 4B1.1)’’.
The Commentary to § 4A1.1 captioned
‘‘Application Notes’’ is amended in
Note 5 by striking ‘‘has the meaning
given that term in § 4B1.2(a)’’ and
inserting ‘‘means a ‘crime of violence’ as
defined and determined in accordance
with § 4B1.2 (Definitions of Terms Used
in Section 4B1.1)’’.
Section 4A1.2(p) is amended by
striking ‘‘the definition of ‘crime of
violence’ is that set forth in § 4B1.2(a)’’
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and inserting ’’ ‘crime of violence’
means a ‘crime of violence’ as defined
and determined in accordance with
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’.
Section 4B1.4 is amended—
in subsection (b)(3)(A) by striking ‘‘in
connection with either a crime of
violence, as defined in § 4B1.2(a), or a
controlled substance offense, as defined
in § 4B1.2(b)’’ and inserting ‘‘in
connection with either a crime of
violence or a controlled substance
offense, as defined and determined in
accordance with § 4B1.2 (Definitions of
Terms Used in Section 4B1.1)’’;
and in subsection (c)(2) by striking
‘‘in connection with either a crime of
violence, as defined in § 4B1.2(a), or a
controlled substance offense, as defined
in § 4B1.2(b)’’ and inserting ‘‘in
connection with either a crime of
violence or a controlled substance
offense, as defined and determined in
accordance with § 4B1.2 (Definitions of
Terms Used in Section 4B1.1)’’.
The Commentary to § 5K2.17
captioned ‘‘Application Note’’ is
amended in Note 1 by striking ‘‘are
defined in § 4B1.2 (Definitions of Terms
Used in Section 4B1.1)’’ and inserting
‘‘mean a ‘crime of violence’ and a
‘controlled substance offense’ as defined
and determined in accordance with
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’.
The Commentary to § 7B1.1 captioned
‘‘Application Notes’’ is amended—
in Note 2 by striking ‘‘is defined in
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1). See § 4B1.2(a) and
Application Note 1 of the Commentary
to § 4B1.2’’ and inserting ‘‘means a
‘crime of violence’ as defined and
determined in accordance with § 4B1.2
(Definitions of Terms Used in Section
4B1.1)’’;
and in Note 3 by striking ‘‘is defined
in § 4B1.2 (Definitions of Terms Used in
Section 4B1.1). See § 4B1.2(b) and
Application Note 1 of the Commentary
to § 4B1.2’’ and inserting ‘‘means a
‘controlled substance offense’ as defined
and determined in accordance with
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1)’’.
Issues for Comment
1. Part A of the proposed amendment
would allow courts to look to the
documents expressly approved in
Taylor v. United States, 495 U.S. 575
(1990), and Shepard v. United States,
544 U.S. 13 (2005), in determining
whether a conviction is a ‘‘crime of
violence’’ or a ‘‘controlled substance
offense.’’
The Commission seeks comment on
whether additional or different guidance
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should be provided. For example,
should the Commission provide a
specific set of factors to assess the
reliability of a source of information,
such as whether the document came out
of the adversarial process, was accepted
by both parties, or was made by an
impartial third party? Should the
Commission list specific sources or
types of sources that courts may
consider, in addition to the sources
expressly approved in Taylor and
Shepard (i.e., the Shepard documents)?
Are there any documents or types of
information that should be expressly
excluded?
2. The Commentary to § 2L1.2
(Unlawfully Entering or Remaining in
the United States) contains definitions
for the terms ‘‘crime of violence’’ and
‘‘drug trafficking offense’’ that closely
track the definitions of ‘‘crime of
violence’’ and ‘‘controlled substance
offense,’’ respectively, in § 4B1.2(b). See
USSG § 2L1.2, comment. (n.2).
If the Commission were to promulgate
Part A of the proposed amendment,
should the Commission also amend the
Commentary to § 2L1.2 to mirror the
proposed approach for § 4B1.2?
(B) Meaning of ‘‘Robbery’’
Synopsis of Proposed Amendment: In
2016, the Commission amended § 4B1.2
(Definitions of Terms Used in Section
4B1.1) to, among other things, delete the
‘‘residual clause’’ and revise the
‘‘enumerated offenses clause’’ by
moving enumerated offenses that were
previously listed in the commentary to
the guideline itself. See USSG, App. C,
Amendment 798 (effective Aug. 1,
2016). The ‘‘enumerated offenses
clause’’ identifies specific offenses that
qualify as crimes of violence. Although
the guideline relies on existing case law
for purposes of defining most
enumerated offenses, the amendment
added to the Commentary to § 4B1.2
definitions for two of the enumerated
offenses: ‘‘forcible sex offense’’ and
‘‘extortion.’’
‘‘Extortion’’ is defined as ‘‘obtaining
something of value from another by the
wrongful use of (A) force, (B) fear of
physical injury, or (C) threat of physical
injury.’’ USSG § 4B1.2, comment. (n.1).
Under case law existing at the time of
the amendment, courts generally
defined extortion as ‘‘obtaining
something of value from another with
his consent induced by the wrongful use
of force, fear, or threats,’’ based on the
Supreme Court’s holding in United
States v. Nardello, 393 U.S. 286, 290
(1969) (defining ‘‘extortion’’ for
purposes of 18 U.S.C. 1952). However,
consistent with the Commission’s goal
of focusing the career offender and
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related enhancements on the most
dangerous offenders, the amendment
narrowed the generic definition of
extortion by limiting it to offenses
having an element of force or an
element of fear or threats ‘‘of physical
injury,’’ as opposed to non-violent
threats such as injury to reputation.
The Department of Justice has
expressed concern that courts have held
that certain robbery offenses, such as
Hobbs Act robbery, no longer constitute
a ‘‘crime of violence’’ under the
guideline, as amended in 2016, because
the statute of conviction does not fit
either the generic definition of
‘‘robbery’’ or the new guideline
definition of ‘‘extortion.’’ See, e.g.,
Annual Letter from the Department of
Justice to the Commission (Aug. 10,
2018), at https://www.ussc.gov/sites/
default/files/pdf/amendment-process/
public-comment/20180810/DOJ.pdf.
The Hobbs Act defines the term
‘‘robbery’’ as ‘‘the unlawful taking or
obtaining of personal property from the
person or in the presence of another,
against his will, by means of actual or
threatened force, or violence, or fear of
injury, immediate or future, to his
person or property . . . . ’’ 18 U.S.C.
1951(b)(1) (emphasis added). Following
the 2016 amendment, every circuit court
addressing the issue has concluded that
Hobbs Act robbery does not fall within
§ 4B1.2’s narrow definition of ‘‘crime of
violence.’’ See United States v.
Chappelle, 41 F.4th 102 (2d Cir. 2022);
United States v. Scott, 14 F.4th 190 (3d
Cir. 2021); United States v. Prigan, 8
F.4th 1115 (9th Cir. 2021); United States
v. Green, 996 F.3d 176 (4th Cir. 2021);
Bridges v. United States, 991 F.3d 793
(7th Cir. 2021); United States v. Eason,
953 F.3d 1184 (11th Cir. 2020); United
States v. Camp, 903 F.3d 594 (6th Cir.
2018); United States v. Edling, 895 F.3d
1153 (9th Cir. 2018); United States v.
O’Connor, 874 F.3d 1147 (10th Cir.
2017). At least two circuits—the Ninth
and Tenth Circuits—have found
ambiguity as to whether the guideline
definition of extortion includes injury to
property, and (under the rule of lenity)
both circuits have interpreted the new
definition as excluding prior
convictions where the statute
encompasses injury to property
offenses, such as Hobbs Act robbery.
See, e.g., United States v. O’Connor, 874
F.3d 1147 (10th Cir. 2017) (Hobbs Act
robbery); United States v. Edling, 895
F.3d 1153 (9th Cir. 2018) (Nevada
robbery).
Part B of the proposed amendment
would amend § 4B1.2 to address this
issue. First, it would move the
definitions of enumerated offenses (i.e.,
‘‘forcible sex offense’’ and ‘‘extortion’’)
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and ‘‘prior felony conviction’’ from the
Commentary to § 4B1.2 to a new
subsection (d) in the guideline itself.
Second, Part B of the proposed
amendment would add to new
subsection (d) a definition of ‘‘robbery’’
that mirrors the ‘‘robbery’’ definition at
18 U.S.C. 1951(b)(1). Specifically, it
would provide that ‘‘robbery’’ is ‘‘the
unlawful taking or obtaining of personal
property from the person or in the
presence of another, against his will, by
means of actual or threatened force, or
violence, or fear of injury, immediate or
future, to his person or property, or
property in his custody or possession, or
the person or property of a relative or
member of his family or of anyone in his
company at the time of the taking or
obtaining.’’ Finally, Part B of the
proposed amendment brackets the
possibility of defining the phrase
‘‘actual or threatened use of force,’’ for
purposes of the ‘‘robbery’’ definition, as
‘‘force that is sufficient to overcome a
victim’s resistance.’’ This definition is
informed by the Supreme Court’s
holding in Stokeling v. United States,
139 S. Ct. 544 (2019).
In addition, Part B of the proposed
amendment sets forth conforming
changes to the definition of ‘‘crime of
violence’’ in the Commentary to § 2L1.2
(Unlawfully Entering or Remaining in
the United States), which includes
robbery as an enumerated offense.
Issues for comment are also provided.
Proposed Amendment
Section 4B1.2(a) is amended by
inserting at the beginning the following
new heading ‘‘Crime of Violence.—’’.
Section 4B1.2(b) is amended by
inserting at the beginning the following
new heading ‘‘Controlled Substance
Offense.—’’.
Section 4B1.2(c) is amended by
inserting at the beginning the following
new heading ‘‘Two Prior Felony
Convictions.—’’.
Section 4B1.2 is amended by adding
at the end the following new subsection
(d):
‘‘(d) Additional Definitions.—
(1) Forcible Sex Offense.—‘Forcible
sex offense’ includes where consent to
the conduct is not given or is not legally
valid, such as where consent to the
conduct is involuntary, incompetent, or
coerced. The offenses of sexual abuse of
a minor and statutory rape are included
only if the sexual abuse of a minor or
statutory rape was (A) an offense
described in 18 U.S.C. 2241(c) or (B) an
offense under state law that would have
been an offense under section 2241(c) if
the offense had occurred within the
special maritime and territorial
jurisdiction of the United States.
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(2) Extortion.—‘Extortion’ is obtaining
something of value from another by the
wrongful use of (A) force, (B) fear of
physical injury, or (C) threat of physical
injury.
(3) Robbery.—‘Robbery’ is the
unlawful taking or obtaining of personal
property from the person or in the
presence of another, against his will, by
means of actual or threatened force, or
violence, or fear of injury, immediate or
future, to his person or property, or
property in his custody or possession, or
the person or property of a relative or
member of his family or of anyone in his
company at the time of the taking or
obtaining. [The phrase ‘actual or
threatened force’ refers to force that is
sufficient to overcome a victim’s
resistance.]
(4) Prior Felony Conviction.— ‘Prior
felony conviction’ means a prior adult
federal or state conviction for an offense
punishable by death or imprisonment
for a term exceeding one year, regardless
of whether such offense is specifically
designated as a felony and regardless of
the actual sentence imposed. A
conviction for an offense committed at
age eighteen or older is an adult
conviction. 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).’’.
The Commentary to § 4B1.2 captioned
‘‘Application Notes’’ is amended in
Note 1—
in the heading by striking
‘‘Definitions.—’’ and inserting ‘‘Further
Considerations Regarding ‘Crimes of
Violence’ and ‘Controlled Substance
Offenses’.—’’;
by striking the following two
paragraphs:
‘‘ ‘Forcible sex offense’ includes
where consent to the conduct is not
given or is not legally valid, such as
where consent to the conduct is
involuntary, incompetent, or coerced.
The offenses of sexual abuse of a minor
and statutory rape are included only if
the sexual abuse of a minor or statutory
rape was (A) an offense described in 18
U.S.C. 2241(c) or (B) an offense under
state law that would have been an
offense under section 2241(c) if the
offense had occurred within the special
maritime and territorial jurisdiction of
the United States.
‘Extortion’ is obtaining something of
value from another by the wrongful use
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of (A) force, (B) fear of physical injury,
or (C) threat of physical injury.’’;
and by striking the last paragraph as
follows:
‘‘ ‘Prior felony conviction’ means a
prior adult federal or state conviction
for an offense punishable by death or
imprisonment for a term exceeding one
year, regardless of whether such offense
is specifically designated as a felony
and regardless of the actual sentence
imposed. A conviction for an offense
committed at age eighteen or older is an
adult conviction. 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).’’.
The Commentary to § 2L1.2 captioned
‘‘Application Notes’’ is amended in
Note 2, in the paragraph that begins
‘‘ ‘Crime of violence’ means’’ by
inserting after ‘‘territorial jurisdiction of
the United States.’’ the following:
‘‘ ‘Robbery’ is the unlawful taking or
obtaining of personal property from the
person or in the presence of another,
against his will, by means of actual or
threatened force, or violence, or fear of
injury, immediate or future, to his
person or property, or property in his
custody or possession, or the person or
property of a relative or member of his
family or of anyone in his company at
the time of the taking or obtaining. [The
phrase ‘actual or threatened force’ refers
to force that is sufficient to overcome a
victim’s resistance.]’’.
Issues for Comment
1. Part B of the proposed amendment
would provide a definition of ‘‘robbery’’
for purposes of § 4B1.2 (Definitions of
Terms Used in Section 4B1.1) and
§ 2L1.2 (Unlawfully Entering or
Remaining in the United States) that
mirrors the Hobbs Act definition of
‘‘robbery’’ at 18 U.S.C. 1951(b)(1). The
Commission seeks comment on whether
the proposed definition of ‘‘robbery’’ is
appropriate. Are there robbery offenses
that are covered by the proposed
definition but should not be? Are there
robbery offenses that are not covered by
the proposed definition but should be?
2. Part B of the proposed amendment
brackets the possibility of defining the
phrase ‘‘actual or threatened force,’’ for
purposes of the proposed ‘‘robbery’’
definition, as ‘‘force that is sufficient to
overcome a victim’s resistance,’’ which
is consistent with the Supreme Court’s
holding in Stokeling v. United States,
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7215
139 S. Ct. 544, 550 (2019). The
Commission seeks comment regarding
whether the definition of ‘‘actual or
threatened force’’ is necessary after the
Stokeling decision. If so, is the proposed
definition of the phrase appropriate?
Are there robbery offenses that would be
covered by defining ‘‘actual or
threatened force’’ in such a way but
should not be? Are there robbery
offenses that would not be covered but
should be?
(C) Inchoate Offenses
Synopsis of Proposed Amendment:
The career offender guideline includes
convictions for inchoate offenses and
offenses arising from accomplice
liability, such as aiding and abetting,
conspiring to commit, and attempting to
commit a ‘‘crime of violence’’ and a
‘‘controlled substance offense.’’ See
USSG § 4B1.2, comment. (n.1). In the
original 1987 Guidelines Manual, these
offenses were included only in the
definition of ‘‘controlled substance
offense.’’ See USSG § 4B1.2, comment.
(n.2) (effective Nov. 1, 1987). In 1989,
the Commission amended the guideline
to provide that both definitions—‘‘crime
of violence’’ and ‘‘controlled substance
offense’’—include the offenses of aiding
and abetting, conspiracy, and attempt to
commit such crimes. See USSG App. C,
Amendment 268 (effective Nov. 1,
1989). Two circuit conflicts have now
arisen relating to the definitions of
‘‘crime of violence’’ and ‘‘controlled
substance offense’’ in § 4B1.2
(Definitions of Terms Used in Section
4B1.1) and their inclusion of inchoate
offenses.
The first circuit conflict concerns
whether the definition of controlled
substance offense in § 4B1.2(b) includes
the inchoate offenses listed in
Application Note 1 to § 4B1.2. Although
courts had previously held that
§ 4B1.2’s definitions include inchoate
offenses based on the Commentary to
§ 4B1.2 and the Supreme Court’s
decision in Stinson v. United States, 508
U.S. 36 (1993), four circuits have now
held that § 4B1.2(b)’s definition of a
‘‘controlled substance offense’’ does not
include inchoate offenses because such
offenses are not expressly included in
the guideline text, while five have
continued with their long-standing
holding that such offenses are included.
The Third, Fourth, Sixth, and D.C.
Circuits have held that inchoate offenses
are not included in the definition of a
‘‘controlled substance offense’’ because
the commentary is inconsistent with the
text of the guideline and, thus, does not
control. These courts have concluded
that that the Commission exceeded its
authority under Stinson when it
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attempted to incorporate inchoate
offenses to § 4B1.2(b)’s definition
through the commentary, because the
commentary can only interpret or
explain the guideline, it cannot expand
its scope by adding qualifying offenses.
See United States v. Winstead, 890 F.3d
1082, 1090–92 (D.C. Cir. 2018) (Where
the guideline ‘‘present[ed] a very
detailed ‘definition’ of controlled
substance offense that clearly excludes
inchoate offenses,’’ the Commentary’s
inclusion of such offenses had ‘‘no
grounding in the guidelines
themselves.’’); United States v. Havis,
927 F.3d 382, 386 (6th Cir. 2019) (en
banc) (‘‘To make attempt crimes a part
of § 4B1.2(b), the Commission did not
interpret a term in the guideline itself—
no term in § 4B1.2(b) would bear that
construction. Rather, the Commission
used Application Note 1 to add an
offense not listed in the guideline.’’);
United States v. Nasir, 982 F.3d 144,
156–60 (3d Cir. 2020) (en banc), vacated
and remanded on other grounds, 142 S.
Ct. 56, 211 L.Ed.2d 1 (2021), aff’d on
remand, 17 F.4th 459, 467–72 (3d Cir.
2021) (en banc); United States v.
Campbell, 22 F.4th 438, 444–47 (4th Cir.
2022).
The First, Second, Seventh, Eighth,
Ninth, and Eleventh Circuits continue to
hold that inchoate offenses like attempt
and conspiracy qualify as controlled
substance offenses, reasoning that the
commentary is consistent with the text
of § 4B1.2(b) because it does not include
any offense that is explicitly excluded
by the text of the guideline. See United
States v. Smith, 989 F.3d 575, 583–85
(7th Cir. 2021) (citing United States v.
Adams, 934 F.3d 720, 727–29 (7th Cir.
2019) (‘‘conclud[ing] that § 4B1.2’s
Application Note 1 is authoritative and
that ‘controlled substance offense’
includes inchoate offenses’’ (citation
omitted)), cert. denied, 142 S.Ct. 488
(2021); accord United States v. Lewis,
963 F.3d 16, 21–23 (1st Cir. 2020);
United States v. Richardson, 958 F.3d
151, 154–55 (2d Cir. 2020) (citing
United States v. Tabb, 949 F.3d 81, 87–
89 (2d Cir. 2020)); United States v.
Garcia, 946 F.3d 413, 417 (8th Cir.
2019); United States v. Crum, 934 F.3d
963, 966 (9th Cir. 2019); United States
v. Lange, 862 F.3d 1290, 1295 (11th Cir.
2017). See also United States v. Goodin,
835 F. App’x 771, 782 n.1 (5th Cir.
2021) (unpublished) (noting that circuit
precedent provides that Application
Note 1 in the career offender guideline
is binding).
The second circuit conflict concerns
whether certain conspiracy offenses
qualify as crimes of violence or
controlled substance offenses. Some
courts have employed a two-step
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analysis in determining whether a prior
conviction for conspiracy to commit a
crime of violence or controlled
substance offense is itself a crime of
violence or controlled substance
offense, by first comparing the
substantive offense to its generic
definition and then separately
comparing the inchoate offense to its
generic definition. See, e.g., United
States v. McCollum, 885 F.3d 300, 303
(4th Cir. 2018) (Employing a two-step
categorical approach and concluding
that conspiracy to commit murder in aid
of racketeering is not categorically a
crime of violence because generic
conspiracy requires an overt act while
the conspiracy at issue does not). In
doing so, these courts have held that
because the generic definition of
conspiracy requires proof of an overt
act, certain conspiracy offenses that do
not contain an ‘‘overt act’’ element are
categorically excluded as crimes of
violence or controlled substance
offenses, even though the substantive
crime is a crime of violence or a
controlled substance offense. See, e.g.,
United States v. Norman, 935 F.3d 232,
237–39 (4th Cir. 2019) (finding that
prior federal convictions for conspiracy
to distribute and possess with intent to
distribute crack cocaine under 21 U.S.C.
846 do not qualify as controlled
substance offenses, even though there is
no dispute that the underlying drug
trafficking crimes qualify as controlled
substance offenses); United States v.
Martinez-Cruz, 836 F.3d 1305, 1314
(10th Cir. 2016) (holding that there is
‘‘no evidence [of the intent of the
Sentencing Commission] regarding
whether a conspiracy conviction
requires an overt act—except for the
plain language of the guideline, which
uses a generic, undefined term, ripe for
the categorical approach.’’)
In contrast, the First and Second
Circuits have declined to follow this
reasoning, holding instead that ‘‘[t]he
text and structure of Application Note 1
demonstrate that it was intended to
include Section 846 narcotics
conspiracy. Application Note 1 clarifies
that ‘controlled substance offenses’
include ‘the offense[ ] of . . . conspiring
. . . to commit such offenses,’ language
that on its face encompasses federal
narcotics conspiracy.’’ United States v.
Tabb, 949 F.3d 81, 88 (2d Cir. 2020),
cert. denied, 141 S. Ct. 2793 (2021) (‘‘To
us, it is patently evident that
Application Note 1 was intended to and
does encompass Section 846 narcotics
conspiracy.’’); see also United States v.
Lewis, 963 F.3d 16, 26–27 (1st Cir.
2020).
Part C of the proposed amendment
would address these circuit conflicts by
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amending § 4B1.2 and its commentary.
First, it would move the inchoate
offenses provision from the
Commentary to § 4B1.2 to the guideline
itself as a new subsection (c). Second,
Part C of the proposed amendment
would revise the provision to provide
that the terms ‘‘crime of violence’’ and
‘‘controlled substance offense’’ include
aiding and abetting, attempting to
commit, or conspiring to commit any
such offense, or any other inchoate
offense or offense arising from
accomplice liability involving a ‘‘crime
of violence’’ or a ‘‘controlled substance
offense.’’
Third, Part C of the proposed
amendment addresses the circuit
conflict regarding whether certain
conspiracy offenses qualify as crimes of
violence or controlled substance
offenses. Two options are provided.
Option 1 would address the
conspiracy issue in a comprehensive
manner that would be applicable to all
other inchoate offenses and offenses
arising from accomplice liability. It
would eliminate the need for the twostep analysis discussed above by adding
the following to new subsection (c): ‘‘To
determine whether any offense
described above qualifies as a ‘crime of
violence’ or ‘controlled substance
offense,’ the court shall only determine
whether the underlying substantive
offense is a ‘crime of violence’ or a
‘controlled substance offense,’ and shall
not consider the elements of the
inchoate offense or offense arising from
accomplice liability.’’
Option 2 would take a narrower
approach, addressing only conspiracy
offenses without addressing whether a
court must perform the two-step
analysis described above with regard to
other inchoate offenses. Option 2 would
instead add a provision to new
subsection (c) that brackets two
alternatives addressing conspiracy to
commit a ‘‘crime of violence’’ or a
‘‘controlled substance offense.’’ The first
bracketed alternative provides that an
offense of conspiring to commit a
‘‘crime of violence’’ or a ‘‘controlled
substance offense’’ qualifies as a ‘‘crime
of violence’’ or a ‘‘controlled substance
offense,’’ regardless of whether an overt
act must be proved as an element of the
conspiracy offense. The second
bracketed alternative provides that an
offense of conspiring to commit a
‘‘crime of violence’’ or a ‘‘controlled
substance offense’’ qualifies as a ‘‘crime
of violence’’ or a ‘‘controlled substance
offense,’’ only if an overt act must be
proved as an element of the conspiracy
offense.
Issues for comment are also provided.
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Proposed Amendment
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Section 4B1.2 is amended by
redesignating subsection (c) as
subsection (d), and by adding the
following new subsection (c):
[Option 1 (includes changes to the
commentary):
(c) The terms ‘crime of violence’ and
‘controlled substance offense’ include
the offenses of aiding and abetting,
attempting to commit, or conspiring to
commit any such offense, or any other
inchoate offense or offense arising from
accomplice liability involving a ‘crime
of violence’ or a ‘controlled substance
offense.’ To determine whether any
offense described above qualifies as a
‘crime of violence’ or ‘controlled
substance offense,’ the court shall only
determine whether the underlying
substantive offense is a ‘crime of
violence’ or a ‘controlled substance
offense,’ and shall not consider the
elements of the inchoate offense or
offense arising from accomplice
liability.’’.]
[Option 2 (includes changes to the
commentary):
(c) The terms ‘crime of violence’ and
‘controlled substance offense’ include
the offenses of aiding and abetting,
attempting to commit, or conspiring to
commit any such offense, or any other
inchoate offense or offense arising from
accomplice liability involving a ‘crime
of violence’ or a ‘controlled substance
offense.’ [An offense of conspiring to
commit a ‘crime of violence’ or a
‘controlled substance offense’ qualifies
as a ‘crime of violence’ or a ‘controlled
substance offense,’ regardless of
whether an overt act must be proved as
an element of the conspiracy
offense][However, an offense of
conspiring to commit a ‘crime of
violence’ or a ‘controlled substance
offense’ qualifies as a ‘crime of violence’
or a ‘controlled substance offense,’ only
if an overt act must be proved as an
element of the conspiracy offense].’’.]
[Options 1 and 2 (continued):
The Commentary to § 4B1.2 captioned
‘‘Application Notes’’ is amended in
Note 1 by striking the following
paragraph:
‘‘ ‘Crime of violence’ and ‘controlled
substance offense’ include the offenses
of aiding and abetting, conspiring, and
attempting to commit such offenses.’’.]
Issues for Comment
1. In determining whether an inchoate
offense is a ‘‘crime of violence’’ or a
‘‘controlled substance offense,’’ some
courts have employed a two-step
analysis. First, courts compare the
substantive offense to its generic
definition to determine whether it is a
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‘‘crime of violence’’ or a ‘‘controlled
substance offense.’’ Then, these courts
make a second and separate analysis
comparing the inchoate offense
involving that substantive offense to the
generic definition of the specific
inchoate offense. Option 1 of Part C of
the proposed amendment would amend
§ 4B1.2 (Definitions of Terms Used in
Section 4B1.1) to clarify that the
offenses of aiding and abetting,
attempting to commit, [soliciting to
commit,] or conspiring to commit a
‘‘crime of violence’’ or a ‘‘controlled
substance offense,’’ or any other
inchoate offense or offense arising from
accomplice liability involving a ‘‘crime
of violence’’ or a ‘‘controlled substance
offense’’ are a ‘‘crime of violence’’ or a
‘‘controlled substance offense’’ if the
substantive offense is a ‘‘crime of
violence’’ or a ‘‘controlled substance
offense.’’
The Commission seeks comment on
whether the guidelines should be
amended to make this clarification by
eliminating the two-step analysis some
courts use in determining whether an
inchoate offense is a ‘‘crime of violence’’
or a ‘‘controlled substance offense.’’
Should the guidelines adopt a different
approach?
2. The Commission also seeks
comment more broadly on how the
guidelines definitions of ‘‘crime of
violence’’ and ‘‘controlled substance
offense’’ should address aiding and
abetting, attempting to commit,
soliciting to commit, or conspiring to
commit a ‘‘crime of violence’’ or a
‘‘controlled substance offense,’’ or any
other inchoate offense or offense arising
from accomplice liability involving a
‘‘crime of violence’’ or a ‘‘controlled
substance offense.’’ Specifically, should
the Commission promulgate any of the
options provided above? Should the
Commission provide additional
requirements or guidance to address
these types of offenses? What additional
requirements or guidance, if any, should
the Commission provide? Should the
Commission differentiate between
‘‘crimes of violence’’ and ‘‘controlled
substance offenses’’? For example,
should the guidelines require proof of
an overt act for purposes of a conspiracy
to commit a controlled substance
offense, but not include such a
requirement for conspiracy to commit a
crime of violence?
Alternatively, should the Commission
exclude inchoate offenses and offenses
arising from accomplice liability
altogether as predicate offenses for
purposes of the ‘‘crime of violence’’ and
‘‘controlled substance offenses’’
definitions?
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7217
(D) Definition of ‘‘Controlled Substance
Offense’’
Synopsis of Proposed Amendment:
Subsection (b) of § 4B1.2 (Definitions of
Terms Used in Section 4B1.1) defines a
‘‘controlled substance offense’’ as an
offense that prohibits ‘‘the manufacture,
import, export, distribution, or
dispensing of a controlled substance (or
counterfeit substance) or the possession
of a controlled substance (or a
counterfeit substance) with intent to
manufacture, import, export, distribute,
or dispense.’’ USSG § 4B1.2(b).
The Department of Justice has raised
a concern that courts have held that
state drug statutes that include an
offense involving an ‘‘offer to sell’’ a
controlled substance do not qualify as a
‘‘controlled substance offense’’ under
§ 4B1.2(b) because such statutes
encompass conduct that is broader than
§ 4B1.2(b)’s definition of a ‘‘controlled
substance offense.’’ See, e.g., Annual
Letter from the Department of Justice to
the Commission (Aug. 10, 2018), at
https://www.ussc.gov/sites/default/files/
pdf/amendment-process/publiccomment/20180810/DOJ.pdf. The
Commission previously addressed a
similar issue regarding the definition of
a ‘‘drug trafficking offense’’ in the illegal
reentry guideline at § 2L1.2 (Unlawfully
Entering or Remaining in the United
States). In 2008, the Commission
amended the Commentary to § 2L1.2 to
clarify that an offer to sell a controlled
substance is a ‘‘drug trafficking offense’’
for purposes of that guideline, by adding
‘‘offer to sell’’ to the conduct listed in
the definition of ‘‘drug trafficking
offense.’’ See USSG App. C,
Amendment 722 (effective Nov. 1,
2008). In 2016, the Commission
comprehensively revised § 2L1.2.
Among the changes made, the
Commission amended the definition of
‘‘crime of violence’’ in the Commentary
to § 2L1.2 to conform it to the definition
in § 4B1.2, but the Commission did not
make changes to the ‘‘drug trafficking
offense’’ definition in the Commentary
to § 2L1.2.
In addition, a separate issue has
arisen as a result of statutory changes to
chapter 705 of title 46 (‘‘Maritime Drug
Law Enforcement Act’’). The career
offender directive at 28 U.S.C. 994(h)
directed the Commission to assure that
‘‘the guidelines specify a term of
imprisonment at or near the maximum
term authorized’’ for offenders who are
18 years or older and have been
convicted of a felony that is, and also
have previously been convicted of two
or more felonies that are, a ‘‘crime of
violence’’ or ‘‘an offense described in
section 401 of the Controlled Substances
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Act (21 U.S.C. 841), sections 1002(a),
1005, and 1009 of the Controlled
Substances Import and Export Act (21
U.S.C. 952(a), 955, and 959), and
chapter 705 of title 46.’’ 28 U.S.C. 994(h)
(emphasis added). Until 2016, the only
substantive criminal offense included in
‘‘chapter 705 of title 46’’ was codified in
section 70503(a) and read as follows:
An individual may not knowingly or
intentionally manufacture or distribute,
or possess with intent to manufacture or
distribute, a controlled substance on
board—
(1) a vessel of the United States or a
vessel subject to the jurisdiction of the
United States; or
(2) any vessel if the individual is a
citizen of the United States or a resident
alien of the United States.
46 U.S.C. 70503(a) (2012). Section
70506(b) provided that a person
attempting or conspiring to violate
section 70503 was subject to the same
penalties as provided for violating
section 70503.
In 2016, Congress enacted the Coast
Guard Authorization Act of 2015, Public
Law 114–120 (2016), amending, among
other things, Chapter 705 of Title 46.
Specifically, Congress revised section
70503(a) as follows:
While on board a covered vessel, an
individual may not knowingly or
intentionally—
(1) manufacture or distribute, or
possess with intent to manufacture or
distribute, a controlled substance;
(2) destroy (including jettisoning any
item or scuttling, burning, or hastily
cleaning a vessel), or attempt or
conspire to destroy, property that is
subject to forfeiture under section 511(a)
of the Comprehensive Drug Abuse
Prevention and Control Act of 1970 (21
U.S.C. 881(a)); or
(3) conceal, or attempt or conspire to
conceal, more than $100,000 in
currency or other monetary instruments
on the person of such individual or in
any conveyance, article of luggage,
merchandise, or other container, or
compartment of or aboard the covered
vessel if that vessel is outfitted for
smuggling.
46 U.S.C. 70503(a). Section 70506(b)
remained unchanged. The Act added
two new offenses to section 70503(a), in
subparagraphs (2) and (3). Following
this statutory change, these two new
offenses may not be covered by the
current definition of ‘‘controlled
substance offense’’ in § 4B1.2.
Part D of the proposed amendment
would amend the definition of
‘‘controlled substance offense’’ in
§ 4B1.2(b) to address these issues. First,
it would amend the definition to
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include offenses involving an offer to
sell a controlled substance, which
would align it with the current
definition of ‘‘drug trafficking offense’’
in the Commentary to § 2L1.2. Second,
it would revise the ‘‘controlled
substance offense’’ definition to also
include ‘‘an offense described in 46
U.S.C. 70503(a) or 70506(b).’’
An issue for comment is also
provided.
Proposed Amendment
Section 4B1.2(b) is amended by
striking the following:
‘‘The term ‘controlled substance
offense’ means an offense under federal
or state law, punishable by
imprisonment for a term exceeding one
year, that prohibits the manufacture,
import, export, distribution, or
dispensing of a controlled substance (or
a counterfeit substance) or the
possession of a controlled substance (or
a counterfeit substance) with intent to
manufacture, import, export, distribute,
or dispense.’’,
and inserting the following:
‘‘The term ‘controlled substance
offense’ means an offense under federal
or state law, punishable by
imprisonment for a term exceeding one
year, that—
(1) prohibits the manufacture, import,
export, distribution, or dispensing of, or
offer to sell a controlled substance (or a
counterfeit substance) or the possession
of a controlled substance (or a
counterfeit substance) with intent to
manufacture, import, export, distribute,
or dispense; or
(2) is an offense described in 46
U.S.C. 70503(a) or 70506(b).’’.
Issue for Comment
1. Part D of the proposed amendment
would amend the definition of
‘‘controlled substance offense’’ in
subsection (b) of § 4B1.2 (Definitions of
Terms Used in Section 4B1.1) to include
offenses involving an offer to sell a
controlled substance. The Commission
seeks comment on the extent to which
such offenses should be included as
‘‘controlled substance offenses’’ for
purposes of the career offender
guideline. Are there other drug offenses
that are not included under this
definition, but should be?
If the Commission were to amend the
definition of ‘‘controlled substance
offense’’ in § 4B1.2(b) to include other
drug offenses, in addition to offenses
involving an offer to sell a controlled
substance, should the Commission
revise the definition of ‘‘controlled
substance offense’’ at § 2L1.2
(Unlawfully Entering or Remaining in
the United States) to conform it to the
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revised definition set forth in
§ 4B1.2(b)?
7. Criminal History
Synopsis of Proposed Amendment:
The proposed amendment contains
three parts (Parts A through C). The
Commission is considering whether to
promulgate any or all of these parts, as
they are not mutually exclusive. Parts A
through C of the proposed amendment
all address the Commission’s priority on
criminal history. See U.S. Sent’g
Comm’n, ‘‘Notice of Final Priorities,’’ 87
FR 67756 (Nov. 9, 2022) (‘‘In light of
Commission studies, consideration of
possible amendments to the Guidelines
Manual relating to criminal history to
address (A) the impact of ‘status’ points
under subsection (d) of section 4A1.1
(Criminal History Category); (B) the
treatment of defendants with zero
criminal history points; and (C) the
impact of simple possession of
marihuana offenses.’’). Part B of the
proposed amendment also addresses the
Commission’s priority on 28 U.S.C.
994(j). Id. (‘‘Consideration of possible
amendments to the Guidelines Manual
addressing 28 U.S.C. 994(j).’’).
A defendant’s criminal history score
is calculated pursuant to Chapter Four,
Part A (Criminal History). To calculate
a criminal history score, courts are
instructed to assign one, two, or three
points to qualifying prior sentences
under subsections (a) through (c) of
§ 4A1.1 (Criminal History Category).
One point is also added under
§ 4A1.1(e) for any prior sentence
resulting from a crime of violence that
was not otherwise already assigned
points. Finally, two criminal history
points are added under § 4A1.1(d) if the
defendant committed the instant offense
‘‘while under any criminal justice
sentence, including probation, parole,
supervised release, imprisonment, work
release, or escape status.’’ USSG
§ 4A1.1(e). A ‘‘criminal justice
sentence’’ refers to a ‘‘sentence
countable under § 4A1.2 (Definitions
and Instructions for Computing
Criminal History) having a custodial or
supervisory component, although active
supervision is not required.’’ USSG
§ 4A1.1, comment. (n.4).
(A) Status Points Under § 4A1.1
‘‘Status points’’ are relatively common
in cases with at least one criminal
history point, having been applied in
37.5 percent of cases with criminal
history points over the last five fiscal
years. Of the offenders who received
‘‘status points’’, 61.5 percent had a
higher CHC as a result of the status
points. Like other provisions in Chapter
Four, ‘‘status points’’ are included in the
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calculation of a defendant’s criminal
history as a reflection of several
statutory purposes of sentencing. As
described in the Introductory
Commentary to Chapter Four,
accounting for a defendant’s criminal
history in the guidelines, including
status points, addresses the need for the
sentence ‘‘(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; [and]
(C) to protect the public from further
crimes of the defendant.’’ 18 U.S.C.
3553(a)(2)(A)–(C). A series of recent
Commission publications has focused
on just one of these purposes of
sentencing—specific deterrence—
through detailed analyses regarding the
recidivism rates of federal offenders.
See, e.g., U.S. Sent’g Comm’n,
Recidivism of Offenders Released in
2010 (2021), available at https://
www.ussc.gov/research/researchreports/recidivism-federal-offendersreleased-2010. These reports again
concluded that a defendant’s criminal
history calculation under the guidelines
is strongly associated with the
likelihood of future recidivism by the
defendant. In a related publication, the
Commission also found, however, that
status points add little to the overall
predictive value associated with the
criminal history score. U.S. Sent’g
Comm’n, Revisiting Status Points
(2022), available at https://
www.ussc.gov/research/researchreports/revisiting-status-points.
Part A of the proposed amendment
addresses the impact of ‘‘status points’’
under the guidelines. Three options are
provided.
Option 1 would add a downward
departure provision in Application Note
4 of the Commentary to § 4A1.1 for
cases in which ‘‘status points’’ are
applied.
Option 2 would reduce the impact of
‘‘status points’’ overall, by decreasing
the criminal history points added under
§ 4A1.1(d) from two points to one point.
It would also add a departure provision
in Application Note 4 of the
Commentary to § 4A1.1 that could result
in either an upward departure or a
downward departure, depending on the
circumstances.
Option 3 would eliminate the ‘‘status
points’’ provided in § 4A1.1(d). It would
also make conforming changes to
§ 2P1.1 (Escape, Instigating or Assisting
Escape) and § 4A1.2 to reflect the
removal of ‘‘status points’’ from the
Guidelines Manual. In addition, Option
3 would amend the Commentary to
§ 4A1.3 (Departures Based on
Inadequacy of Criminal History
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Category (Policy Statement)) to provide
an example of an instance in which an
upward departure from the defendant’s
criminal history may be warranted.
Issues for comment are also provided.
(B) Zero Point Offenders
The Sentencing Table in Chapter Five,
Part A of the Guidelines Manual
comprises two components: offense
level and criminal history category.
Criminal history forms the horizontal
axis of the table and is divided into six
categories, from I (lowest) to VI
(highest). Chapter Four, Part A of the
Guidelines Manual provides
instructions on how to calculate a
defendant’s criminal history category by
assigning points for certain prior
convictions. Criminal History Category I
includes offenders with zero criminal
history points and those with one
criminal history point. Accordingly, the
following types of offenders are
classified under the same category: (1)
offenders with no prior convictions; (2)
offenders who have prior convictions
that are not counted because they were
not within the time limits set forth in
subsection (d) and (e) of § 4A1.2
(Definitions and Instructions for
Computing Criminal History); (3)
offenders who have prior convictions
that are not used in computing the
criminal history category for reasons
other than their ‘‘staleness’’ (e.g.,
sentences resulting from foreign or tribal
court convictions, minor misdemeanor
convictions, or infractions); and (4)
offenders with a prior conviction that
received only one criminal history
point. In fiscal year 2021, there were
approximately 17,500 offenders who
received zero criminal history points, of
whom approximately 13,200 had no
prior convictions.
Chapter Five also address what types
of sentences a court may impose (e.g.,
probation or imprisonment), according
to the location of the defendant’s
applicable sentencing range in one of
the four Zones (A–D) of the Sentencing
Table. Specifically, § 5C1.1 (Imposition
of a Term of Imprisonment) provides
that defendants in Zones A and B may
receive, in the court’s discretion, a
probationary sentence or a sentence of
incarceration; defendants in Zone C may
receive a ‘‘split’’ sentence of
incarceration followed by community
confinement or a sentence of
incarceration only at the court’s
discretion; and defendants in Zone D
may only receive a sentence of
imprisonment absent a downward
departure or variance from that zone.
The Commentary to § 5C1.1 contains an
application note that provides that ‘‘[i]f
the defendant is a nonviolent first
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7219
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.’’ USSG
§ 5C1.1, comment. (n.4).
Recidivism data analyzed by the
Commission suggest that offenders with
zero criminal history points (‘‘zeropoint’’ offenders) have considerably
lower recidivism rates than other
offenders, including lower recidivism
rates than the offenders in Criminal
History Category I with one criminal
history point. See U.S. Sent’g Comm’n,
Recidivism of Federal Offenders
Released in 2010 (2021), available at
https://www.ussc.gov/research/
research-reports/recidivism-federaloffenders-released-2010. Among other
findings, the report concluded that
‘‘zero-point’’ offenders were less likely
to be rearrested than ‘‘one point’’
offenders (26.8% compared to 42.3%),
the largest variation of any comparison
of offenders within the same Criminal
History Category. In addition, 28 U.S.C.
994(j) directs that alternatives to
incarceration are generally appropriate
for first offenders not convicted of a
violent or otherwise serious offense.
Part B of the proposed amendment
sets forth a new Chapter Four guideline,
at § 4C1.1 (Adjustment for Certain ZeroPoint Offenders). New § 4C1.1 would
provide a decrease of [1 level][2 levels]
from the offense level determined under
Chapters Two and Three for zero-point
offenders who meet certain criteria. It
provides two options for establishing
the criteria.
Option 1 would make the adjustment
applicable to zero-point offenders with
no prior convictions. It would provide
a [1][2]-level decrease if the defendant
meets all of the following criteria: (1)
the defendant did not receive any
criminal history points from Chapter
Four, Part A, and had no prior
convictions or other comparable judicial
dispositions of any kind; (2) the
defendant did not use violence or
credible threats of violence or possess a
firearm or other dangerous weapon (or
induce another participant to do so) in
connection with the offense; (3) the
offense did not result in death or serious
bodily injury; (4) the defendant’s acts or
omissions did not result in substantial
financial hardship to [one or more
victims][five or more victims][25 or
more victims]; (5) the defendant was not
an organizer, leader, manager, or
supervisor of others in the offense, as
determined under § 3B1.1 (Aggravating
Role), and was not engaged in a
continuing criminal enterprise, as
defined in 21 U.S.C. 848; and (6) [the
defendant is not determined to be a
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repeat and dangerous sex offender
against minors under § 4B1.5 (Repeat
and Dangerous Sex Offender Against
Minors)][the instant offense of
conviction is not a covered sex crime].
Under Option 1, approximately 10,500
offenders sentenced in fiscal year 2021
would have been eligible under § 4C1.1
depending on the exclusionary criteria.
Option 2 would make the adjustment
applicable to all offenders who had no
countable convictions (i.e., offenders
who received zero criminal history
points based upon the criminal history
rules in Chapter Four). It would provide
a [1 level][2 levels] decrease if the
defendant meets all of the following
criteria: (1) the defendant did not
receive any criminal history points from
Chapter Four, Part A; (2) the defendant
did not use violence or credible threats
of violence or possess a firearm or other
dangerous weapon (or induce another
participant to do so) in connection with
the offense; (3) the offense did not result
in death or serious bodily injury; (4) the
defendant’s acts or omissions did not
result in substantial financial hardship
to [one or more victims][five or more
victims][25 or more victims]; (5) the
defendant was not an organizer, leader,
manager, or supervisor of others in the
offense, as determined under § 3B1.1
(Aggravating Role), and was not engaged
in a continuing criminal enterprise, as
defined in 21 U.S.C. 848; and (6) [the
defendant is not determined to be a
repeat and dangerous sex offender
against minors under § 4B1.5 (Repeat
and Dangerous Sex Offender Against
Minors)][the instant offense of
conviction is not a covered sex crime].
Option 2 also provides for an upward
departure that would be applicable if
the adjustment under new § 4C1.1
substantially underrepresents the
seriousness of the defendant’s criminal
history. Under Option 2, approximately
13,500 offenders sentenced in fiscal year
2021 would have been eligible under
§ 4C1.1 depending on the exclusionary
criteria.
Both options include a subsection (c)
that provides definitions and additional
considerations for purposes of applying
the guideline.
Part B of the proposed amendment
would also amend the Commentary to
§ 5C1.1 (Imposition of a Term of
Imprisonment) as part of the
Commission’s implementation of 28
U.S.C. 994(j). Section 994(j) directed the
Commission to ensure that the
guidelines 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
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offense. Part B of the proposed
amendment would address the
alternatives to incarceration available to
‘‘zero-point’’ offenders by revising the
application note in § 5C1.1 that
addresses ‘‘nonviolent first offenders’’ to
focus on ‘‘zero-point’’ offenders. Two
new provisions would be added. New
Application Note 4(A) would provide
that if the defendant received an
adjustment under new § 4C1.1 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. New Application Note 4(B)
would provide that if the defendant
received an adjustment under new
§ 4C1.1, the defendant’s applicable
guideline range is in Zone C or D of the
Sentencing Table, and the defendant’s
instant offense of conviction is not an
otherwise serious offense, a departure to
a sentence other than a sentence of
imprisonment [may be appropriate][is
generally appropriate]. Of the
approximately 10,500 offenders who
received zero criminal history points
and had no prior convictions in fiscal
year 2021 who would be eligible under
§ 4C1.1 under Option 1, about onequarter were in Zones A and B, about
ten percent were in Zone C, and over 60
percent were in Zone D. Of the
approximately 13,500 offenders who
received zero criminal history points in
fiscal year 2021 who would be eligible
under § 4C1.1 under Option 2, about 30
percent were in Zones A and B, ten
percent were in Zone C, and about 60
percent were in Zone D.
In addition, Part B of the proposed
amendment would amend subsection
(b)(2)(A) of § 4A1.3 (Departures Based
on Inadequacy of Criminal History
Category (Policy Statement)) to provide
that a departure below the lower limit
of the applicable guideline range for
Criminal History Category I is
prohibited, ‘‘unless otherwise
specified.’’ Part B of the proposed
amendment would also amend Chapter
One, Part A, Subpart 1(4)(d) (Probation
and Split Sentences) to provide an
explanatory note addressing
amendments to the Guidelines Manual
related to the implementation of 28
U.S.C. 994(j), first offenders, and ‘‘zeropoint’’ offenders.
Finally, Part B of the proposed
amendment provides issues for
comment.
(C) Impact of Simple Possession of
Marihuana Offenses
While marihuana remains a Schedule
I controlled substance under the federal
Controlled Substances Act (CSA),
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subjecting offenders to up to one year in
prison (and up to two or three years in
prison for repeat offenders), many states
and territories have reduced or
eliminated the penalties for possessing
small quantities of marihuana for
personal use. Twenty-one states and
territories have removed legal
prohibitions, including criminal and
civil penalties, for the possession of
small quantities for recreational use. An
additional 14 states and territories have
lowered the punishment for possession
of small quantities for recreational use
from criminal penalties (such as
imprisonment) to solely civil penalties
(such as a fine). At the end of fiscal year
2021, possession of marihuana
remained illegal for all purposes only in
12 states and territories.
The Commission recently published a
report on the impact of simple
possession of marihuana offenses on
sentencing. See U.S. Sent’g Comm’n,
Weighing the Impact of Simple
Possession of Marijuana: Trends and
Sentencing in the Federal System
(2023), available at https://
www.ussc.gov/research/researchreports/weighing-impact-simplepossession-marijuana.
The key findings from the report
include—
• In fiscal year 2021, 4,405 federal
offenders (8.0%) received criminal
history points under the federal
sentencing guidelines for prior
marihuana possession sentences. Most
(79.3%) of the prior sentences were for
less than 60 days in prison, including
non-custodial sentences. Furthermore,
ten percent (10.2%) of these 4,405
offenders had no other criminal history
points.
• The criminal history points for
prior marihuana possession sentences
resulted in a higher Criminal History
Category for 40 percent (40.1%) of the
4,405 offenders (1,765).
Part C of the proposed amendment
would amend the Commentary to
§ 4A1.3 (Departures Based on
Inadequacy of Criminal History
Category (Policy Statement)) to include
sentences resulting from possession of
marihuana offenses as an example of
when a downward departure from the
defendant’s criminal history may be
warranted. Specifically, Part C of the
proposed amendment would provide
that a downward departure may be
warranted if 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.
Issues for comment are provided.
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(A) Status Points Under § 4A1.1
Proposed Amendment
[Option 1 (Departure Provision for
Status Points):
The Commentary to § 4A1.1
captioned ‘‘Application Notes’’ is
amended in Note 4 by adding at the end
the following new paragraph:
‘‘There may be cases in which adding
points under § 4A1.1(d) results in a
Criminal History Category that
substantially overrepresents the
seriousness of the defendant’s criminal
history. In such a case, a downward
departure may be warranted in
accordance with § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category).’’.]
[Option 2 (Reducing Status Points):
Section 4A1.1(d) is amended by
striking ‘‘2 points’’ and inserting ‘‘1
point’’.
The Commentary to § 4A1.1 captioned
‘‘Application Notes’’ is amended in
Note 4 by striking ‘‘Two points are
added’’ and inserting ‘‘One point is
added’’, and by adding at the end the
following new paragraph:
‘‘There may be cases in which adding
a point under § 4A1.1(d) results in a
Criminal History Category that
substantially overrepresents or
underrepresents the seriousness of the
defendant’s criminal history. In such a
case, a departure may be warranted in
accordance with § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category).’’.
The Commentary to § 4A1.1 captioned
‘‘Background’’ is amended by striking
‘‘Section 4A1.1(d) adds two points’’ and
inserting ‘‘Section 4A1.1(d) adds one
point’’.]
[Option 3 (Eliminating Status Points):
Section 4A.1.1 is amended—
by striking subsection (d) as follows:
‘‘(d) Add 2 points if the defendant
committed the instant offense while
under any criminal justice sentence,
including probation, parole, supervised
release, imprisonment, work release, or
escape status.’’;
and by redesignating subsection (e) as
subsection (d).
The Commentary to § 4A1.1
captioned ‘‘Application Notes’’ is
amended—
by striking Note 4 as follows:
‘‘4. § 4A1.1(d). Two points are added
if the defendant committed any part of
the instant offense (i.e., any relevant
conduct) while under any criminal
justice sentence, including probation,
parole, supervised release,
imprisonment, work release, or escape
status. Failure to report for service of a
sentence of imprisonment is to be
treated as an escape from such sentence.
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See § 4A1.2(n). For the purposes of this
subsection, a ‘‘criminal justice
sentence’’ means a sentence countable
under § 4A1.2 (Definitions and
Instructions for Computing Criminal
History) having a custodial or
supervisory component, although active
supervision is not required for this
subsection to apply. For example, a term
of unsupervised probation would be
included; but a sentence to pay a fine,
by itself, would not be included. A
defendant who commits the instant
offense while a violation warrant from
a prior sentence is outstanding (e.g., a
probation, parole, or supervised release
violation warrant) shall be deemed to be
under a criminal justice sentence for the
purposes of this provision if that
sentence is otherwise countable, even if
that sentence would have expired
absent such warrant. See § 4A1.2(m).’’;
by redesignating Note 5 as Note 4;
and in Note 4 (as so redesignated) by
striking ‘‘§ 4A1.1(e)’’ each place such
term appears and inserting
‘‘§ 4A.1.1(d)’’, and by striking
‘‘§ 4A1.2(p)’’ and inserting ‘‘§ 4A1.2(n)’’.
The Commentary to § 4A1.1 captioned
‘‘Background’’ is amended by striking
the last paragraph as follows:
‘‘Section 4A1.1(d) adds two points if
the defendant was under a criminal
justice sentence during any part of the
instant offense.’’.
The Commentary to § 2P1.1 captioned
‘‘Application Notes’’ is amended in
Note 5 by striking ‘‘and § 4A1.1(d)
(custody status)’’.
Section 4A1.2 is amended—
in subsection (a)(2) by striking
‘‘§ 4A1.1(e)’’ and inserting ‘‘§ 4A1.1(d)’’;
in subsection (l) by striking
‘‘§ 4A1.1(a), (b), (c), (d), and (e)’’ and
inserting ‘‘§ 4A1.1(a), (b), (c), and (d)’’;
by striking subsections (m) and (n) as
follows:
‘‘(m) Effect of a Violation Warrant
For the purposes of § 4A1.1(d), a
defendant who commits the instant
offense while a violation warrant from
a prior sentence is outstanding (e.g., a
probation, parole, or supervised release
violation warrant) shall be deemed to be
under a criminal justice sentence if that
sentence is otherwise countable, even if
that sentence would have expired
absent such warrant.
(n) Failure to Report for Service of
Sentence of Imprisonment
For the purposes of § 4A1.1(d), failure
to report for service of a sentence of
imprisonment shall be treated as an
escape from such sentence.’’;
by redesignation subsections (o) and
(p) as subsections (m) and (n),
respectively;
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7221
and in subsection (n) (as so
redesignated) by striking ‘‘§ 4A1.1(e)’’
and inserting ‘‘§ 4A1.1(d)’’.
The Commentary to § 4A1.3 captioned
‘‘Application Notes’’ is amended in
Note 2(A) by adding at the end the
following new subparagraph:
‘‘(v) The defendant committed the
instant offense (i.e., any relevant
conduct to the instant offense under
§ 1B1.3 (Relevant Conduct)) while under
any criminal justice sentence having a
custodial or supervisory component
(including probation, parole, supervised
release, imprisonment, work release, or
escape status).’’.
Issues for Comment
1. Option 3 of Part A of the proposed
amendment would eliminate the ‘‘status
points’’ provided in subsection (d) of
§ 4A1.1 (Criminal History Category).
Instead of eliminating ‘‘status points’’
altogether, should the Commission
eliminate ‘‘status points’’ related to
certain categories of prior offenses, but
not others? For example, should ‘‘status
points’’ continue to apply if the
defendant was under a criminal justice
sentence resulting from a violent prior
offense? Should ‘‘status points’’
continue to apply if the defendant was
recently placed under a criminal justice
sentence involving a custodial or
supervisory component?
2. Option 3 of Part A of the proposed
amendment would amend the
Commentary to § 4A1.3 (Departures
Based on Inadequacy of Criminal
History Category (Policy Statement)) to
provide an example of an instance in
which an upward departure from the
defendant’s criminal history may be
warranted. Instead of a departure
provision, should the Commission
account in some other way for the
‘‘custody status’’ of the defendant
during the commission of the instant
offense? If so, how should the
Commission account for such ‘‘status’’?
(B) Zero Point Offenders
Proposed Amendment
Chapter Four is amended by inserting
at the end the following new Part C:
‘‘PART C—ADJUSTMENT FOR
CERTAIN ZERO-POINT OFFENDERS
§ 4C1.1. Adjustment for Certain ZeroPoint Offenders
[Option 1 (Zero-Point Offenders with
No Prior Convictions):
(a) Adjustment.—If the defendant
meets all of the following criteria:
(1) the defendant did not receive any
criminal history points from Chapter
Four, Part A, and had no prior
convictions or other comparable judicial
dispositions of any kind;
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(2) the defendant did not use violence
or credible threats of violence or possess
a firearm or other dangerous weapon (or
induce another participant to do so) in
connection with the offense;
(3) the offense did not result in death
or serious bodily injury;
(4) the defendant’s acts or omissions
did not result in substantial financial
hardship to [one or more victims][five or
more victims][25 or more victims];
(5) the defendant was not an
organizer, leader, manager, or
supervisor of others in the offense, as
determined under § 3B1.1 (Aggravating
Role), and was not engaged in a
continuing criminal enterprise, as
defined in 21 U.S.C. 848; and
(6) [the defendant is not determined
to be a repeat and dangerous sex
offender against minors under § 4B1.5
(Repeat and Dangerous Sex Offender
Against Minors)][the instant offense of
conviction is not a covered sex crime];
decrease the offense level determined
under Chapters Two and Three by [1
level][2 levels].
(b) Definitions And Additional
Considerations.—
(1) The phrase ‘comparable judicial
dispositions of any kind’ includes
diversionary or deferred dispositions
resulting from a finding or admission of
guilt or a plea of nolo contendere and
juvenile adjudications.
(2) ‘Dangerous weapon,’ ‘firearm,’
‘offense,’ and ‘serious bodily injury’
have the meaning given those terms in
the Commentary to § 1B1.1 (Application
Instructions).
(3) Consistent with § 1B1.3 (Relevant
Conduct), the term ‘defendant’ limits
the accountability of the defendant to
the defendant’s own conduct and
conduct that the defendant aided or
abetted, counseled, commanded,
induced, procured, or willfully caused.
(4) In determining whether the
defendant’s acts or omissions resulted
in ‘substantial financial hardship’ to a
victim, the court shall consider, among
other things, the non-exhaustive list of
factors provided in Application Note
4(F) of the Commentary to § 2B1.1
(Theft, Property Destruction, and
Fraud).
[(5) ‘‘Covered sex crime’’ 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 trafficking in,
receipt of, or possession of, child
pornography, or 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
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described in subdivisions (A)(i) through
(iv) of this definition.]’’.]
[Option 2 (Zero-Point Offenders with
No Countable Convictions):
(a) Adjustment.—If the defendant
meets all of the following criteria:
(1) the defendant did not receive any
criminal history points from Chapter
Four, Part A;
(2) the defendant did not use violence
or credible threats of violence or possess
a firearm or other dangerous weapon (or
induce another participant to do so) in
connection with the offense;
(3) the offense did not result in death
or serious bodily injury;
(4) the defendant’s acts or omissions
did not result in substantial financial
hardship to [one or more victims][five or
more victims][25 or more victims];
(5) the defendant was not an
organizer, leader, manager, or
supervisor of others in the offense, as
determined under § 3B1.1 (Aggravating
Role), and was not engaged in a
continuing criminal enterprise, as
defined in 21 U.S.C. 848; and
(6) [the defendant is not determined
to be a repeat and dangerous sex
offender against minors under § 4B1.5
(Repeat and Dangerous Sex Offender
Against Minors)][the instant offense of
conviction is not a covered sex crime];
decrease the offense level determined
under Chapters Two and Three by [1
level][2 levels].
(b) Definitions And Additional
Considerations.—
(1) ‘Dangerous weapon,’ ‘firearm,’
‘offense,’ and ‘serious bodily injury’
have the meaning given those terms in
the Commentary to § 1B1.1 (Application
Instructions).
(2) Consistent with § 1B1.3 (Relevant
Conduct), the term ‘defendant’ limits
the accountability of the defendant to
the defendant’s own conduct and
conduct that the defendant aided or
abetted, counseled, commanded,
induced, procured, or willfully caused.
(3) In determining whether the
defendant’s acts or omissions resulted
in ‘substantial financial hardship’ to a
victim, the court shall consider, among
other things, the non-exhaustive list of
factors provided in Application Note
4(F) of the Commentary to § 2B1.1
(Theft, Property Destruction, and
Fraud).
[(4) ‘Covered sex crime’ 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 trafficking in,
receipt of, or possession of, child
pornography, or a recordkeeping
offense; (iii) chapter 117 of title 18, not
including transmitting information
about a minor or filing a factual
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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 subdivisions (A)(i) through
(iv) of this definition.]
Commentary
Application Notes:
1. 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 § 5C1.1 captioned
‘‘Application Notes’’ is amended—
by inserting at the beginning of Note
1 the following new heading:
‘‘Application of Subsection (a).—’’;
by inserting at the beginning of Note
2 the following new heading:
‘‘Application of Subsection (b).—’’;
by inserting at the beginning of Note
3 the following new heading:
‘‘Application of Subsection (c).—’’;
in Note 4 by striking the following:
‘‘If the 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, in
accordance with subsection (b) or (c)(3).
See 28 U.S.C. 994(j). For purposes of
this application note, a ‘nonviolent first
offender’ is a defendant who has no
prior convictions or other comparable
judicial dispositions of any kind and
who did not use violence or credible
threats of violence or possess a firearm
or other dangerous weapon in
connection with the offense of
conviction. The phrase ‘‘comparable
judicial dispositions of any kind’’
includes diversionary or deferred
dispositions resulting from a finding or
admission of guilt or a plea of nolo
contendere and juvenile
adjudications.’’,
and inserting 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
§ 4C1.1 (Adjustment for Certain ZeroPoint 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) Zero-Point Offenders in Zones C
and D of the Sentencing Table.—If the
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defendant received an adjustment under
§ 4C1.1 (Adjustment for Certain ZeroPoint Offenders), the defendant’s
applicable guideline range is in Zone C
or D of the Sentencing Table, and the
defendant’s instant offense of conviction
is not an otherwise serious offense, a
departure to a sentence other than a
sentence of imprisonment [may be
appropriate][is generally appropriate].
See 28 U.S.C. 994(j).’’;
by inserting at the beginning of Note
5 the following new heading:
‘‘Application of Subsection (d).—’’;
by inserting at the beginning of Note
6 the following new heading:
‘‘Application of Subsection (e).—’’;
by inserting at the beginning of Note
7 the following new heading:
‘‘Departures Based on Specific
Treatment Purpose.—’’;
by inserting at the beginning of Note
8 the following new heading: ‘‘Use of
Substitutes for Imprisonment.—’’;
by inserting at the beginning of Note
9 the following new heading:
‘‘Residential Treatment Program.—’’;
and by inserting at the beginning of
Note 10 the following new heading:
‘‘Application of Subsection (f).—’’.
Section 4A1.3(b)(2)(A) is amended by
striking ‘‘A departure’’ and inserting
‘‘Unless otherwise specified, a
departure’’.
The Commentary to § 4A1.3 captioned
‘‘Application Notes’’ is amended in
Note 3 by striking ‘‘due to the fact that
the lower limit of the guideline range for
Criminal History Category I is set for a
first offender with the lowest risk of
recidivism’’ and inserting ‘‘unless
otherwise specified’’.
Chapter One, Part A is amended in
Subpart 1(4)(d) (Probation and Split
Sentences)—
by adding an asterisk after
‘‘community confinement or home
detention.’’;
by adding a second asterisk after
‘‘through departures.*’’;
and by striking the following:
‘‘*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.)’’,
and inserting the following:
‘‘*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 § 5C1.1
(Imposition of a Term of Imprisonment),
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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 § 4C1.1
(Adjustment for Certain Zero-Point
Offenders), providing a decrease of [1
level][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 § 5C1.1 to address the
alternatives to incarceration available to
‘zero-point’ offenders by revising the
application note in § 5C1.1 that
addressed ‘nonviolent first offenders’ to
focus on ‘zero-point’ offenders. (See
USSG App. C, amendment [ll].)
** 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.)’’.
Issues for Comment
1. Part B of the proposed amendment
would set forth a new Chapter Four
guideline, at § 4C1.1 (Adjustment for
Certain Zero-Point Offenders), that
provides a decrease of [1 level][2 levels]
from the offense level determined under
Chapters Two and Three if the
defendant meets certain criteria. It
provides two options: one option for
zero-point offenders with no prior
convictions and another option for zeropoint offenders with no countable
convictions. The Commission seeks
comment on which option is preferable,
or whether there is an alternative
approach that the Commission should
consider. For example, if the
Commission decides to exclude
offenders with prior convictions, should
the Commission consider a third option
that nevertheless makes the new
adjustment available to offenders with
prior convictions that were not counted
under a specific provision of § 4A1.2
(Definitions and Instructions for
Computing Criminal History)? If so,
what type of prior convictions that did
not receive criminal history points
should not be excluded? For example,
should the Commission allow the new
adjustment to apply to offenders with
prior convictions for misdemeanors and
petty offenses that were not counted
under § 4A1.2(c)? Should the
Commission instead exclude offenders
with certain prior convictions that were
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not otherwise counted under § 4A1.2?
For example, should the Commission
exclude offenders with prior
convictions for sex offenses or violent
offenses that were not counted for
criminal history purposes?
If the Commission were to promulgate
an option of § 4C1.1 that excludes
offenders with prior convictions not
countable under Chapter Four, Part A
(Criminal History), are there any
practical issues or challenges that such
an approach would present due to the
availability of records documenting
such convictions? If so, what are these
practical issues or challenges?
2. Part B of the proposed amendment
provides that the [1 level][2 levels]
decrease under the new guideline
applies if the defendant meets all of the
criteria set forth in the two options.
Should the Commission incorporate
additional or different exclusionary
criteria into either of the options set
forth in Part B of the proposed
amendment? Should the Commission
change or remove any of the
exclusionary criteria set forth in either
of the options thereby making the
adjustment available to a broader group
of defendants?
3. If the Commission were to
promulgate one of the proposed options,
what conforming changes, if any, should
the Commission make to other
provisions of the Guidelines Manual?
4. Part B of the proposed amendment
would also amend the Commentary to
§ 5C1.1 (Imposition of a Term of
Imprisonment) to address the
alternatives to incarceration available to
‘‘zero-point’’ offenders. The
Commission seeks comment on whether
it should provide additional guidance
about how to apply this new departure
provision. If so, what additional
guidance should the Commission
provide? For example, should the
Commission provide guidance on how
courts should determine whether the
instant offense of conviction is ‘‘not an
otherwise serious offense’’?
(C) Impact of Simple Possession of
Marihuana Offenses
Proposed Amendment
The Commentary to § 4A1.3 captioned
‘‘Application Notes’’ is amended in
Note 3 by striking the following:
‘‘Downward Departures.—A
downward departure from the
defendant’s criminal history category
may be warranted if, for example, 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. A departure
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below the lower limit of the applicable
guideline range for Criminal History
Category I is prohibited under
subsection (b)(2)(A), due to the fact that
the lower limit of the guideline range for
Criminal History Category I is set for a
first offender with the lowest risk of
recidivism.’’,
and inserting the following:
‘‘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), due to the fact that
the lower limit of the guideline range for
Criminal History Category I is set for a
first offender with the lowest risk of
recidivism.’’.
Issues for Comment
1. Part C of the proposed amendment
provides for a possible downward
departure if 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. The
Commission seeks comment on whether
it should provide additional guidance
for purposes of determining whether a
downward departure is warranted in
such cases. If so, what additional
guidance should the Commission
provide?
2. The Commission also seeks
comment on whether there is an
alternative approach it should consider
for addressing sentences for possession
of marihuana. For example, instead of a
departure, should the Commission
exclude such sentences from the
criminal history score calculation if the
offense is no longer subject to criminal
penalties in the jurisdiction in which
the defendant was convicted at the time
of sentencing for the instant offense?
Alternatively, should the Commission
exclude all sentences for possession of
marihuana offenses from the criminal
history score calculation, regardless of
whether such offenses are punishable by
a term of imprisonment or subject to
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criminal penalties in the jurisdiction in
which the defendant was convicted at
the time of sentencing for the instant
offense?
8. 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,’’ 87 FR 67756 (Nov. 9, 2022).
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 § 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
§ 1B1.3 (Relevant Conduct (Factors that
Determine the Guideline Range)), in
conjunction with § 1B1.4 (Information
to be Used in Imposing Sentence) and
§ 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); the criminal history
calculations in Chapter Four, Part A
(Criminal History); and departures and
adjustments in Chapter Five
(Determining the Sentence).
Specifically, § 1B1.3(a)(1) provides
that relevant conduct comprises ‘‘all
acts and omissions . . . 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
includes, in subsection (a)(1)(A), ‘‘all
acts and omissions committed, aided,
abetted, counseled, commanded,
induced, procured, or willfully caused
by the defendant,’’ and, in subsection
(a)(1)(B), 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.’’ See USSG § 1B1.3(a)(1).
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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 § 1B1.3(a)(2)–
(a)(4). The background commentary to
§ 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, § 6A1.3 provides for
resolution of any reasonably disputed
factors important to the sentencing
determination. Consistent with 18
U.S.C. 3661, § 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 § 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 unrestricted
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 2021, nearly all
offenders (56,324; 98.3%) were
convicted through a guilty plea. The
remaining 963 offenders (1.7% of all
offenders) were convicted and
sentenced after a trial, and of those
offenders, 157 offenders (0.3% of all
offenders) were acquitted of at least one
offense.
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The proposed amendment would
amend § 1B1.3 to add a new subsection
(c) providing that acquitted conduct
shall not be considered relevant conduct
for purposes of determining the
guideline range unless the conduct was
admitted by the defendant during a
guilty plea colloquy or was found by the
trier of fact beyond a reasonable doubt
to establish, in whole or in part, the
instant offense of conviction. The new
provision would define ‘‘acquitted
conduct’’ as conduct underlying a
charge of which the defendant has been
acquitted by the trier of fact or upon a
motion of acquittal pursuant to Rule 29
of the Federal Rules of Criminal
Procedure or an analogous motion
under the applicable law of a state,
local, or tribal jurisdiction.
The proposed amendment would also
amend the Commentary to § 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.
Two issues for comment are also
provided.
Proposed Amendment
Section 1B1.3 is amended by adding
at the end the following new subsection
(c):
‘‘(c) Acquitted Conduct.—
(1) Limitation.—Acquitted conduct
shall not be considered relevant conduct
for purposes of determining the
guideline range unless such conduct—
(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.
(2) Definition of Acquitted Conduct.—
For purposes of this guideline,
‘acquitted conduct’ means conduct (i.e.,
any acts or omission) underlying a
charge of which the defendant has been
acquitted by the trier of fact or upon a
motion of acquittal pursuant to Rule 29
of the Federal Rules of Criminal
Procedure or an analogous motion
under the applicable law of a state,
local, or tribal jurisdiction.’’.
The Commentary to § 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
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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, generally
shall not be considered relevant conduct
for purposes of determining the
guideline range. See subsection (c) of
§ 1B1.3 (Relevant Conduct). Acquitted
conduct may be considered in
determining the sentence to impose
within the guideline range, or whether
a departure from the guidelines is
warranted. See § 1B1.4 (Information to
be Used in Imposing a Sentence
(Selecting a Point Within the Guideline
Range or Departing from the
Guidelines)).’’.
Issues for Comment
1. The proposed amendment is
intended to generally prohibit the use of
acquitted conduct for purposes of
determining the guideline range, except
when such conduct was admitted by the
defendant during a guilty plea colloquy
or was found by the trier of fact beyond
a reasonable doubt to establish the
instant offense of conviction. However,
conduct underlying an acquitted charge
may overlap with conduct found by the
trier of fact beyond a reasonable doubt
to establish the instant offense of
conviction. Does this proposed
amendment allow a court to consider
such ‘‘overlapping’’ conduct for
purposes of determining the guideline
range? Should the Commission provide
additional guidance to address this
conduct?
2. The Commission seeks comment on
whether the limitation on the use of
acquitted conduct is too broad or too
narrow. If so, how? For example, should
the Commission account for acquittals
for reasons such as jurisdiction, venue,
or statute of limitations, that are
otherwise unrelated to the substantive
evidence?
9. Sexual Abuse Offenses
Synopsis of Proposed Amendment:
The proposed amendment contains two
parts (Part A and Part B). The
Commission is considering whether to
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promulgate either or both of these parts,
as they are not mutually exclusive. Part
A of the proposed amendment responds
to recently enacted legislation. See U.S.
Sent’g Comm’n, ‘‘Notice of Final
Priorities,’’ 87 FR 67756 (Nov. 9, 2022)
(identifying as a priority
‘‘[i]mplementation of any legislation
warranting Commission action’’). Part B
of the proposed amendment is a result
of the Commission’s ‘‘[c]onsideration of
possible amendments to the Guidelines
Manual to address sexual abuse or
contact offenses against a victim in the
custody, care, or supervision of, and
committed by law enforcement or
correctional personnel.’’ Id.
(A) Violence Against Women Act
Reauthorization Act of 2022
Part A of the proposed amendment
responds to title XII of the Violence
Against Women Act Reauthorization
Act of 2022 (‘‘the Act’’). The Act is part
of the Consolidated Appropriations Act,
2022, Public Law 117–103 (2022). It
created two new offenses concerning
sexual misconduct while committing
civil rights offenses and sexual abuse of
an individual in federal custody.
First, the Act created a new offense at
18 U.S.C. 250 (Penalties for civil rights
offenses involving sexual misconduct).
New section 250(a) prohibits any person
from engaging in, or causing another to
engage in, sexual misconduct while
committing a civil rights offense under
chapter 13 (Civil Rights) of part I
(Crimes) of title 18, United States Code,
or an offense under section 901 of the
Fair Housing Act (42 U.S.C. 3631). The
statute does not define ‘‘sexual
misconduct,’’ but new section 250(b)
delineates different maximum statutory
terms of imprisonment for different
degrees of sexual misconduct, ranging
from two years to any term of years or
life. The maximum penalties are: (1) any
term of years or life if the offense
involved aggravated sexual abuse, as
defined in 18 U.S.C. 2241, or sexual
abuse, as defined in 18 U.S.C. 2242, or
any attempts to commit such conduct;
(2) any term of years or life if the offense
involved abusive sexual contact of a
child who has not attained the age of 16,
of the type prohibited by 18 U.S.C.
2244(a)(5); (3) 40 years if the offense
involved a sexual act, as defined in 18
U.S.C. 2246, without the other person’s
permission and the sexual act does not
amount to sexual abuse or aggravated
sexual abuse; (4) 10 years if the offense
involved abusive sexual contact of the
type prohibited by 18 U.S.C. 2244(a)(1)
or (b) (excluding abusive sexual contact
through the clothing), with an enhanced
maximum penalty of 30 years if such
abusive sexual contact involved a child
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under the age of 12; (5) 3 years if the
offense involved abusive sexual contact
of the type prohibited by 18 U.S.C.
2244(a)(2), with an enhanced maximum
penalty of 20 years if such abusive
sexual contact involved a child under
the age of 12; (6) 2 years if the offense
involved abusive sexual contact through
the clothing of the type prohibited by 18
U.S.C. 2244(a)(3), (a)(4), or (b), with an
enhanced maximum penalty of 10 years
if such abusive sexual conduct through
the clothing involved a child under the
age of 12.
Second, the Act amended 18 U.S.C.
2243 and created a new offense at
subsection (c). The new section 2243(c)
prohibits an individual, while acting in
their capacity as a federal law
enforcement officer, from knowingly
engaging in a sexual act with an
individual who is under arrest, under
supervision, in detention, or in federal
custody. The statutory maximum term
of imprisonment for the offense is 15
years, which is the same maximum
penalty for offenses under sections
2243(a) (prohibiting knowingly engaging
in a sexual act with a minor who had
attained the age of twelve but not the
age of sixteen and is at least four years
younger than the person so engaging)
and 2243(b) (prohibiting knowingly
engaging in a sexual act with a ward in
official detention (including in a federal
prison or any prison, institution, or
facility where people are held in
custody by the direction of, or pursuant
to a contract or agreement with, any
federal department or agency) and
under the custodial, supervisory, or
disciplinary authority of the person so
engaging).
The Act also included a provision
defining ‘‘federal law enforcement
officer’’ at 18 U.S.C. 2246(7) as having
the meaning given the term in 18 U.S.C.
115 (i.e., ‘‘any officer, agent, or
employee of the United States
authorized by law or by a Government
agency to engage in or supervise the
prevention, detection, investigation, or
prosecution of any violation of Federal
criminal law.’’). In addition, the Act
amended 18 U.S.C. 2244 (Abusive
sexual contact) to add a new penalty
provision at subsection (a)(6) stating any
person that knowingly engages in or
causes sexual contact with or by another
person, if doing so would violate new
section 2243(c), would face a maximum
statutory term of imprisonment of two
years.
Part A of the proposed amendment
would amend Appendix A (Statutory
Index) to reference offenses under 18
U.S.C. 250 to § 2H1.1 (Offenses
Involving Individual Rights), and
offenses under 18 U.S.C. 2243(c) to
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§ 2A3.3 (Criminal Sexual Abuse of a
Ward or Attempt to Commit Such Acts).
Part A of the proposed amendment
would also amend the Commentary to
§§ 2A3.3 and 2H1.1 to reflect that these
statutes are referenced to these
guidelines. In addition, it would amend
the title of § 2A3.3 to add ‘‘Criminal
Sexual Abuse of an Individual in
Federal Custody.’’
Issues for comment are also provided.
(B) Sexual Abuse Offenses Committed
by Law Enforcement and Correctional
Personnel
Part B of the proposed amendment
addresses concerns regarding the
increasing number of cases involving
sexual abuse committed by law
enforcement or correctional personnel
against victims in their custody, care, or
supervision. In its annual letter to the
Commission, the Department of Justice
urged the Commission to consider
amending the Guidelines Manual to
better account for such sexual abuse
offenses, including offenses under 18
U.S.C. 2243(b) and the offense conduct
covered by the new statute at 18 U.S.C.
2243(c) (discussed in Part A of the
proposed amendment). According to the
Department of Justice, the provisions of
the guideline applicable to such
offenses, § 2A3.3 (Criminal Sexual
Abuse of a Ward or Attempt to Commit
Such Acts), do not sufficiently account
for the severity of the conduct in such
offenses, nor provide adequate penalties
in accordance with the statutory
maximum terms of imprisonment
provided for these offenses.
Part B of the proposed amendment
would amend § 2A3.3 in several ways to
address these concerns. First, it would
increase the base offense level of the
guideline from 14 to [22]. Second, Part
B of the proposed amendment would
address the presence of aggravating
factors in sexual abuse offenses, such as
causing serious bodily injury and the
use or threat of force, in the same way
§ 2A3.2 (Criminal Sexual Abuse of a
Minor Under the Age of Sixteen Years
(Statutory Rape) or Attempt to Commit
Such Acts) currently does, by providing
a cross reference to § 2A3.1 (Criminal
Sexual Abuse; Attempt to Commit
Criminal Sexual Abuse) for cases where
the offense involved criminal sexual
abuse or attempt to commit criminal
sexual abuse (as defined in 18 U.S.C.
2241 or § 2242).
Issues for comment are also provided.
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(A) Violence Against Women Act
Reauthorization Act of 2022
Proposed Amendment
Appendix A (Statutory Index) is
amended—
by inserting before the line referenced
to 18 U.S.C. 281 the following new line
reference:
‘‘18 U.S.C. 250 2H1.1’’;
and by inserting before the line
referenced to 18 U.S.C. 2244 the
following new line reference:
‘‘18 U.S.C. 2243(c) 2A3.3’’.
Section 2A3.3 is amended in the
heading by inserting after ‘‘Acts’’ the
following: ‘‘; Criminal Sexual Abuse of
an Individual in Federal Custody’’.
The Commentary to § 2A3.3 captioned
‘‘Statutory Provision’’ is amended by
inserting after ‘‘§ 2243(b)’’ the following:
‘‘, 2243(c)’’.
The Commentary to § 2H1.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘246, 247, 248, 249’’ and
inserting ‘‘246–250’’.
Issues for Comment
1. In response to the Violence Against
Women Act Reauthorization Act of
2022, Part A of the proposed
amendment would reference 18 U.S.C.
250 to § 2H1.1 (Offenses Involving
Individual Rights). The Commission
seeks comment on whether the
proposed reference is appropriate and
whether any additional changes to the
guidelines are required to account for
section 250’s offense conduct.
Specifically, should the Commission
amend § 2H1.1 to provide a higher or
lower base offense level if 18 U.S.C. 250
is the offense of conviction? If so, what
should that base offense level be and
why? Should the Commission add
specific offense characteristics to
§ 2H1.1 in response to section 250? If so,
what should any such specific offense
characteristic provide and why?
The new statute at 18 U.S.C. 250
provides different maximum statutory
terms of imprisonment, ranging from
two years to any term of years or life,
depending on the sexual misconduct
involved in the offense. Should the
Commission amend § 2H1.1 to address
this range of penalties? If so, how
should the Commission address these
different penalties and why?
2. In response to the Violence Against
Women Act Reauthorization Act of
2022, Part A of the proposed
amendment would reference 18 U.S.C.
2243(c) to § 2A3.3 (Criminal Sexual
Abuse of a Ward or Attempt to Commit
Such Acts). The Commission seeks
comment on whether the proposed
reference is appropriate and whether
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any additional changes to the guidelines
are required to account for section
2243(c)’s offense conduct. Specifically,
should the Commission amend § 2A3.3
to provide a higher or lower base offense
level if 18 U.S.C. 2243(c) is the offense
of conviction? If so, what should that
base offense level be and why? Should
the Commission add a specific offense
characteristic to § 2A3.3 in response to
section 2243(c)? If so, what should that
specific offense characteristic provide
and why?
(B) Sexual Abuse Offenses Committed
by Law Enforcement and Correctional
Personnel
Proposed Amendment
Section 2A3.3 is amended—
in subsection (a) by striking ‘‘14’’ and
inserting ‘‘[22]’’;
and by inserting at the end the
following new subsection (c):
‘‘(c) Cross Reference
(1) If the offense involved criminal
sexual abuse or attempt to commit
criminal sexual abuse (as defined in 18
U.S.C. 2241 or § 2242), apply § 2A3.1
(Criminal Sexual Abuse; Attempt to
Commit Criminal Sexual Abuse). If the
victim had not attained the age of 12
years, § 2A3.1 shall apply, regardless of
the ‘consent’ of the victim.’’.
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Issues for Comment
1. Part B of the proposed amendment
would amend § 2A3.3 (Criminal Sexual
Abuse of a Ward or Attempt to Commit
Such Acts) to increase the base offense
level of the guideline from 14 to [22].
The proposed base offense level of [22]
for § 2A3.3 would result in
proportionate penalties with offenses
sentenced under § 2A3.2 (Criminal
Sexual Abuse of a Minor Under the Age
of Sixteen Years (Statutory Rape) or
Attempt to Commit Such Acts), where,
like § 2A3.3, the victim is incapable of
granting consent. Specifically, § 2A3.2
provides a base offense level of 18 and
a 4-level increase at § 2A3.2(b)(1) that
applies in cases where the victim was in
the custody, care, or supervisory control
of the defendant. The Commission seeks
comment on whether the proposed base
offense level for § 2A3.3 is appropriate
and, if not, what should the base offense
level be and why. Are there distinctions
between sexual offenses against minors
and sexual offenses against wards that
may warrant different base offense
levels? If so, what are those distinctions
and how should they be accounted for
in § 2A3.3?
2. Part B of the proposed amendment
would also amend § 2A3.3 to provide a
cross reference to § 2A3.1 (Criminal
Sexual Abuse; Attempt to Commit
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Criminal Sexual Abuse) for cases where
the offense involved criminal sexual
abuse or attempt to commit criminal
sexual abuse (as defined in 18 U.S.C.
2241 or § 2242). This cross reference is
the same as the one currently provided
for in § 2A3.2 (Criminal Sexual Abuse of
a Minor Under the Age of Sixteen Years
(Statutory Rape) or Attempt to Commit
Such Acts). The Commission seeks
comment on whether adding a cross
reference to § 2A3.1 in § 2A3.3 is
appropriate to address the presence of
aggravating factors in the offenses
referenced to this guideline, such as
causing serious bodily injury and the
use or threat of force. If not, how should
the Commission take into account such
aggravating factors? For example,
should the Commission add specific
offense characteristics to address these
aggravating factors?
10. Alternative–to–Incarceration
Programs
In November 2022, the Commission
identified as one of its policy priorities
a ‘‘[m]ultiyear study of court-sponsored
diversion and alternatives-toincarceration programs (e.g., Pretrial
Opportunity Program, Conviction And
Sentence Alternatives (CASA) Program,
Special Options Services (SOS)
Program), including consideration of
possible amendments to the Guidelines
Manual that might be appropriate.’’ U.S.
Sent’g Comm’n, ‘‘Notice of Final
Priorities,’’ 87 FR 67756 (Nov. 9, 2022).
As part of its work on this priority, the
Commission is publishing these issues
for comment on alternative-toincarceration programs to inform the
Commission’s consideration of this
policy priority.
Issues for Comment
1. The Commission invites general
comment on how it should approach
any study related to this policy priority.
What should be the scope, duration, and
sources of information of such a study,
and what specific questions should be
addressed?
The Commission further seeks
comment on any relevant developments
in recent legal or social science
literature on court-sponsored diversion
and alternatives-to-incarceration
programs.
2. The Commission invites general
comment on whether the Guidelines
Manual should be amended to address
court-sponsored diversion and
alternatives-to-incarceration programs.
The Commission also seeks comment on
whether it should consider amending
the guidelines for such purposes during
this amendment cycle, or whether it
should first undertake further study of
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court-sponsored diversion and
alternatives-to-incarceration programs.
In either case, how should the
Commission amend the Guidelines
Manual to address court-sponsored
diversion and alternatives-toincarceration programs?
For example, should the Commission
add to Chapter Five, Part K, Subpart 2
(Other Grounds for Departure) a new
policy statement permitting a
downward departure if the defendant
successfully completed the necessary
requirements of an alternative-toincarceration court program? If so, what
type of programs should be addressed
by such departure provision? Should
the Commission provide criteria for
purposes of applying a departure
provision related to alternative-toincarceration court programs? If so,
what criteria should the Commission
use? For example, should such a
downward departure only apply to
defendants who successfully completed
the necessary requirements of an
alternative-to-incarceration court
program? In the alternative, should the
Commission allow the departure to
apply also to defendants who
productively participated in any such
program without fulfilling all
requirements because they were
administratively discharged from the
program due to reasons beyond the
defendant’s control (e.g., health reasons,
scheduling issues)?
11. Fake Pills
Synopsis of Proposed Amendment:
This proposed amendment is a result of
the Commission’s consideration of
miscellaneous guidelines application
issues. See U.S. Sent’g Comm’n, ‘‘Notice
of Final Priorities,’’ 87 FR 67756 (Nov.
9, 2022) (identifying as a priority
‘‘[c]onsideration of other miscellaneous
issues, including possible amendments
to (A) section 2D1.1 (Unlawful
Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with
Intent to Commit These Offenses);
Attempt or Conspiracy) to address
offenses involving misrepresentation or
marketing of a controlled substance as
another substance . . . .’’).
The proposed amendment responds to
concerns expressed by the Drug
Enforcement Administration (DEA)
about the proliferation of ‘‘fake pills’’
(i.e., illicitly manufactured pills
represented or marketed as legitimate
pharmaceutical pills) containing
fentanyl or fentanyl analogue.
According to the DEA, these fake pills
resemble legitimately manufactured
pharmaceutical pills (such as
OxyContin, Xanax, and Adderall) but
can result in sudden death or poisoning
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due to the unknown presence and
quantities of dangerous substances, such
as fentanyl and fentanyl analogues.
The DEA reported that it seized over
50.6 million fentanyl-laced, fake
prescription pills in calendar year 2022.
See Drug Enforcement Administration,
Press Release: Drug Enforcement
Administration Announces the Seizure
of Over 379 million Deadly Doses of
Fentanyl in 2022 (Dec. 20, 2022),
https://www.dea.gov/press-releases/
2022/12/20/drug-enforcementadministration-announces-seizure-over379-million-deadly. DEA laboratory
testing indicates that the number of fake
pills laced with fentanyl have sharply
increased in recent years and that six
out of ten fentanyl-laced faked pills
have been found to contain a potentially
fatal dose of fentanyl. See Drug
Enforcement Administration, Public
Safety Alert: DEA Laboratory Testing
Reveals that 6 out of 10 Fentanyl-Laced
Fake Prescription Pills Now Contain a
Potentially Lethal Dose of Fentanyl
(2022), https://www.dea.gov/alert/dealaboratory-testing-reveals-6-out-10fentanyl-laced-fake-prescription-pillsnow-contain.
According to the Centers for Disease
Control and Prevention (CDC), overdose
deaths from synthetic opioids
containing fentanyl, including pills
purporting to be legitimate
pharmaceuticals, have sharply increased
in recent years. See Christine L. Mattson
et al., Trends and Geographic Patterns
in Drug and Synthetic Opioid Overdose
Deaths—United States, 2013–2019, 70
Morb Mortal Wkly Rep 6 (Feb. 12,
2021), https://www.cdc.gov/mmwr/
volumes/70/wr/mm7006a4.htm.
In order to address this issue, the DEA
recommended that the Commission
review the 4-level enhancement for
knowingly distributing or marketing as
another substance a mixture or
substance containing fentanyl or
fentanyl analogue as a different
substance at subsection (b)(13) of
§ 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking).
Specifically, the DEA suggested that the
Commission consider changing the
mens rea requirement to expand the
application of the enhancement to
offenders who may not have known
fentanyl or fentanyl analogue was in the
substance but distributed or marketed a
substance without regard to whether
such dangerous substances could have
been present.
The proposed amendment would
amend § 2D1.1(b)(13) to add a new
subparagraph with an alternative 2-level
enhancement for cases where the
defendant represented or marketed as a
legitimately manufactured drug another
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mixture or substance containing
fentanyl (N-phenyl-N-[1-(2phenylethyl)-4-piperidinyl]
propanamide) or a fentanyl analogue,
with reason to believe that such mixture
or substance was not the legitimately
manufactured drug. The new provision
would refer to 21 U.S.C. 321(g)(1) for
purposes of defining the term ‘‘drug.’’
An issue for comment is provided.
Proposed Amendment
Section 2D1.1(b)(13) is amended—
by inserting after ‘‘defendant’’ the
following: ‘‘(A)’’;
and by inserting after ‘‘4 levels’’ the
following: ‘‘; or (B) represented or
marketed as a legitimately manufactured
drug another mixture or substance
containing fentanyl (N-phenyl-N-[1-(2phenylethyl)-4-piperidinyl]
propanamide) or a fentanyl analogue,
with reason to believe that such mixture
or substance was not the legitimately
manufactured drug, increase by [2]
levels. For purposes of subsection
(b)(13)(B), the term ‘drug’ has the
meaning given that term in 21 U.S.C.
321(g)(1)’’.
Issue for Comment
1. The proposed amendment would
amend subsection (b)(13) of § 2D1.1
(Unlawful Manufacturing, Importing,
Exporting, or Trafficking (Including
Possession with Intent to Commit These
Offenses); Attempt or Conspiracy) to
add an alternative 2-level enhancement
applicable if the defendant represented
or marketed as a legitimately
manufactured drug another mixture or
substance containing fentanyl (Nphenyl-N-[1-(2-phenylethyl)-4piperidinyl] propanamide) or a fentanyl
analogue, with reason to believe that
such mixture or substance was not the
legitimately manufactured drug. The
Commission seeks comment on whether
the proposed alternative enhancement
at § 2D1.1(b)(13)(B) is appropriate to
address the concerns raised by the Drug
Enforcement Administration. If not, is
there an alternative approach that the
Commission should consider? Should
the Commission expand the scope of
§ 2D1.1(b)(13)(B) to include other
synthetic opioids? If so, what other
synthetic opioids should be included?
The Commission also seeks comment
on whether the mens rea requirement
proposed for § 2D1.1(b)(13)(B) is
appropriate. Should the Commission
provide a different mens rea
requirement for the new provision? If
so, what mens rea requirement should
the Commission provide? Should the
Commission instead make
§ 2D1.1(b)(13)(B) an offense-based
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enhancement as opposed to exclusively
defendant-based?
12. Miscellaneous
Synopsis of Proposed Amendment:
This proposed amendment is a result of
the Commission’s consideration of
miscellaneous guidelines application
issues. See U.S. Sent’g Comm’n, ‘‘Notice
of Final Priorities,’’ 87 FR 67756 (Nov.
9, 2022) (identifying as a priority
‘‘[c]onsideration of other miscellaneous
issues, including possible amendments
to . . . (B) section 3D1.2 (Grouping of
Closely Related Counts) to address the
interaction between section 2G1.3
(Promoting a Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Transportation of Minors to
Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a
Minor; Sex Trafficking of Children; Use
of Interstate Facilities to Transport
Information about a Minor) and section
3D1.2(d); and (C) section 5F1.7 (Shock
Incarceration Program (Policy
Statement)) to reflect that the Bureau of
Prisons no longer operates a shock
incarceration program.’’). The proposed
amendment contains two parts (Part A
and Part B). The Commission is
considering whether to promulgate
either or both of these parts, as they are
not mutually exclusive.
Part A responds to a guideline
application issue concerning the
interaction of § 2G1.3 and § 3D1.2
(Grouping of Closely Related Counts).
Although subsection (d) of § 3D1.2
specifies that offenses covered by
§ 2G1.1 are not grouped under the
subsection, it does not specify whether
or not offenses covered by § 2G1.3 are so
grouped. Part A would amend
§ 3D1.2(d) to provide that offenses
covered by § 2G1.3, like offenses
covered by § 2G1.1, are not grouped
under subsection (d).
Part B revises the guidelines to
address the fact that the Bureau of
Prisons (‘‘BOP’’) no longer operates a
shock incarceration program as
described in § 5F1.7 (Shock
Incarceration Program (Policy
Statement)). Part B would amend the
Commentary to § 5F1.7 to reflect the fact
that BOP no longer operates the
program.
(A) Grouping of Offenses Covered by
§ 2G1.3
Synopsis of Proposed Amendment:
Part A of the proposed amendment
revises § 3D1.2 (Grouping of Closely
Related Counts) to provide that offenses
covered by § 2G1.3 (Promoting a
Commercial Sex Act or Prohibited
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Sexual Conduct with a Minor;
Transportation of Minors to Engage in a
Commercial Sex Act or Prohibited
Sexual Conduct; Travel to Engage in
Commercial Sex Act or Prohibited
Sexual Conduct with a Minor; Sex
Trafficking of Children; Use of Interstate
Facilities to Transport Information
about a Minor) are not grouped under
§ 3D1.2(d).
Section 3D1.2 addresses the grouping
of closely related counts for purposes of
determining the offense level when a
defendant has been convicted on
multiple counts. Subsection (d) states
that counts are grouped together
‘‘[w]hen the offense level is determined
largely on the basis of the total amount
of harm or loss, the quantity of a
substance involved, or some other
measure of aggregate harm, or if the
offense behavior is ongoing or
continuous in nature and the offense
guideline is written to cover such
behavior.’’ Subsection (d) also contains
lists of (1) guidelines for which the
offenses covered by the guideline are to
be grouped under the subsection and (2)
guidelines for which the covered
offenses are specifically excluded from
grouping under the subsection.
Section 2G1.1 (Promoting a
Commercial Sex Act or Prohibited
Sexual Conduct with an Individual
Other than a Minor) is included in the
list of guidelines for which the covered
offenses are excluded from grouping
under § 3D1.2(d). Section 2G1.3 is,
however, not included on that list, even
though several offenses that are
referenced to § 2G1.3 when the offense
involves a minor are referenced to
§ 2G1.1 when the offense involves an
individual other than a minor. In
addition, several offenses that were
referenced to § 2G1.1 before § 2G1.3 was
promulgated are now referenced to
§ 2G1.3. See USSG App. C, Amendment
664 (effective Nov. 1, 2004).
Furthermore, Application Note 6 of the
Commentary to § 2G1.3 states that
multiple counts under § 2G1.3 are not to
be grouped.
Section 2G1.3 is also not included on
the list of guidelines for which the
covered offenses are to be grouped
under § 3D1.2(d). Because § 2G1.3 is
included on neither list, § 3D.1(d)
provides that ‘‘grouping under [the]
subsection may or may not be
appropriate and a ‘‘case-by-case
determination must be made based
upon the facts of the case and the
applicable guideline (including specific
offense characteristics and other
adjustments) used to determine the
offense level.’’
Part A of the proposed amendment
would amend § 3D1.2(d) to add § 2G1.3
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to the list of guidelines for which the
covered offenses are specifically
excluded from grouping.
Proposed Amendment
Section 3D1.2(d) is amended by
striking ‘‘§§ 2G1.1, 2G2.1’’ and inserting
‘‘§§ 2G1.1, 2G1.3, 2G2.1’’.
(B) Policy Statement on Shock
Incarceration Programs
Synopsis of Proposed Amendment:
Part B of the proposed amendment
revises the guidelines to address the fact
that the Bureau of Prisons (‘‘BOP’’) no
longer operates a shock incarceration
program as described in § 5F1.7 (Shock
Incarceration Program (Policy
Statement)) and the corresponding
commentary.
Section 4046 of title 18, United States
Code, authorizes BOP to place any
person who has been sentenced to a
term of imprisonment of more than 12
but not more than 30 months in a shock
incarceration program if the person
consents to that placement. Sections
3582(a) and 3621(b)(4) of title 18
authorize a court, in imposing sentence,
to make a recommendation regarding
the type of prison facility that would be
appropriate for the defendant. In making
such a recommendation, the court
‘‘shall consider any pertinent policy
statements issued by the Sentencing
Commission.’’ 18 U.S.C. 3582(a).
Section 5F1.7 provides that, pursuant
to sections 3582(a) and 3621(b)(4), a
sentencing court may recommend that a
defendant who meets the criteria set
forth in section 4046 participate in a
shock incarceration program. The
Commentary to § 5F1.7 describes the
authority for BOP to operate a shock
incarceration program and the
procedures that the BOP established in
1990 regarding operation of such a
program.
In 2008, BOP terminated its shock
incarceration program and removed the
rules governing its operation. Part B of
the proposed amendment would amend
the Commentary to § 5F1.7 to reflect
those developments. It would also
correct two typographical errors in the
commentary.
Proposed Amendment
The Commentary to § 5F1.7 captioned
‘‘Background’’ is amended—
by striking ‘‘six months’’ and inserting
‘‘6 months’’;
by striking ‘‘as the Bureau deems
appropriate. 18 U.S.C. 4046.’ ’’ and
inserting ‘‘as the Bureau deems
appropriate.’ 18 U.S.C. 4046.’’;
and by striking the final paragraph as
follows:
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‘‘The Bureau of Prisons has issued an
operations memorandum (174–90
(5390), November 20, 1990) that
outlines eligibility criteria and
procedures for the implementation of
this program (which the Bureau of
Prisons has titled ‘intensive
confinement program’). Under these
procedures, the Bureau will not place a
defendant in an intensive confinement
program unless the sentencing court has
approved, either at the time of
sentencing or upon consultation after
the Bureau has determined that the
defendant is otherwise eligible. In
return for the successful completion of
the ‘intensive confinement’ portion of
the program, the defendant is eligible to
serve the remainder of his term of
imprisonment in a graduated release
program comprised of community
corrections center and home
confinement phases.’’,
and inserting the following:
‘‘In 1990, the Bureau of Prisons issued
an operations memorandum (174–90
(5390), November 20, 1990) that
outlined eligibility criteria and
procedures for the implementation of a
shock incarceration program (which the
Bureau of Prisons titled the ‘intensive
confinement program’). In 2008,
however, the Bureau of Prisons
terminated the program and removed
the rules governing its operation. See 73
FR 39863 (July 11, 2008).’’.
13. Technical
Synopsis of Proposed Amendment:
This proposed amendment would make
technical and other non-substantive
changes to the Guidelines Manual.
Part A of the proposed amendment
would make technical changes to
provide updated references to certain
sections in the United States Code that
were redesignated in legislation. The
Frank LoBiondo Coast Guard
Authorization Act of 2018, Public Law
115–282 (Dec. 4, 2018) (hereinafter ‘‘the
Act’’), among other things, established a
new chapter 700 (Ports and Waterway
Safety) in subtitle VII (Security and
Drug Enforcement) of title 46 (Shipping)
of the United States Code. Section 401
of the Act repealed the Ports and
Waterways Safety Act of 1972,
previously codified in 33 U.S.C. 1221–
1232b, and restated its provisions with
some revisions in the new chapter 700
of title 46, specifically at 46 U.S.C.
70001–70036. Appendix A (Statutory
Index) includes references to Chapter
Two guidelines for both former 33
U.S.C. 1227(b) and 1232(b). Specifically,
former section 1227(b) is referenced to
§§ 2J1.1 (Contempt) and 2J1.5 (Failure to
Appear by Defendant), while former
section 1232(b) is referenced to § 2A2.4
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(Obstructing or Impeding Officers). Part
A of the proposed amendment would
amend Appendix A to delete the
references to 33 U.S.C. 1227(b) and
1232(b) and replace them with updated
references to 46 U.S.C. 70035(b) and
70036(b). The Act did not make
substantive revisions to either of these
provisions.
Part B of the proposed amendment
would make technical changes to reflect
the editorial reclassification of certain
sections in the United States Code.
Effective December 1, 2015, the Office of
Law Revision Counsel eliminated the
Appendix to title 50 of the United States
Code and transferred the non-obsolete
provisions to new chapters 49 to 57 of
title 50 and to other titles of the United
States Code. To reflect the new section
numbers of the reclassified provisions,
Part B of the proposed amendment
would make changes to § 2M4.1 (Failure
to Register and Evasion of Military
Service), § 2M5.1 (Evasion of Export
Controls; Financial Transactions with
Countries Supporting International
Terrorism), and Appendix A. Similarly,
effective September 1, 2016, the Office
of Law Revision Counsel also
transferred certain provisions from
Chapter 14 of title 25 to four new
chapters in title 25 in order to improve
the organization of the title. To reflect
these changes, Part B of the proposed
amendment would make further
changes to Appendix A.
Part C of the proposed amendment
would make certain technical changes
to the Commentary to § 2D1.1 (Unlawful
Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with
Intent to Commit These Offenses);
Attempt or Conspiracy). First, Part C of
the proposed amendment would amend
the Drug Conversion Tables at
Application Note 8(D) and the Typical
Weight Per Unit Table at Application
Note 9 to reorganize the controlled
substances contained therein in
alphabetical order to make the tables
more user-friendly. It would also make
minor changes to the controlled
substance references to promote
consistency in the use of capitalization,
commas, parentheticals, and slash
symbols throughout the Drug
Conversion Tables. For example, the
proposed amendment would change the
reference to ‘‘Phencyclidine (actual)/
PCP (actual)’’ to ‘‘Phencyclidine (PCP)
(actual).’’ Second, Part C of the
proposed amendment would make
clerical changes throughout the
Commentary to correct some
typographical errors. Finally, Part C of
the proposed amendment would amend
the Background Commentary to add a
specific reference to Amendment 808,
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which replaced the term ‘‘marihuana
equivalency’’ with the new term
‘‘converted drug weight’’ and changed
the title of the ‘‘Drug Equivalency
Tables’’ to ‘‘Drug Conversion Tables.’’
See USSG App. C, amend. 808 (effective
Nov. 1, 2018).
Part D of the proposed amendment
would make technical changes to the
Commentary to §§ 2A4.2 (Demanding or
Receiving Ransom Money), 2A6.1
(Threatening or Harassing
Communications; Hoaxes; False Liens),
and 2B3.2 (Extortion by Force or Threat
of Injury or Serious Damage), and to
Appendix A, to provide references to
the specific applicable provisions of 18
U.S.C. 876.
Part E of the proposed amendment
would make technical changes to the
commentary of several guidelines in
Chapter Eight (Sentencing of
Organizations). First, the proposed
amendment would replace the term
‘‘prior criminal adjudication,’’ as found
and defined in Application Note 3(G) of
§ 8A1.2 (Application Instructions—
Organizations), with ‘‘criminal
adjudication’’ to better reflect how that
term is used throughout Chapter Eight.
In addition, the proposed amendment
would make conforming changes to the
Commentary to § 8C2.5 (Culpability
Score) to account for the new term. Part
E of the proposed amendment would
also make changes to the Commentary
to § 8C3.2 (Payment of the Fine—
Organizations). Section 207 of the
Mandatory Victims Restitution Act of
1996, Public Law 104–132 (Apr. 24,
1996), amended 18 U.S.C. 3572(d) to
eliminate the requirement that if the
court permits something other than the
immediate payment of a fine or other
monetary payment, the period for
payment shall not exceed five years.
Part E of the proposed amendment
would revise Application Note 1 of
§ 8C3.2 to reflect the current language of
18 U.S.C. 3572(d) by providing that if
the court permits other than immediate
payment of a fine or other monetary
payment, the period provided for
payment shall be the shortest time in
which full payment can reasonably be
made.
Part F of the proposed amendment
would make clerical changes to correct
typographical errors in: § 1B1.1
(Application Instructions); § 1B1.3
(Relevant Conduct (Factors that
Determine the Guideline Range));
§ 1B1.4 (Information to be Used in
Imposing Sentence (Selecting a Point
Within the Guideline Range or
Departing from the Guidelines));
§ 1B1.10 (Reduction in Term of
Imprisonment as a Result of Amended
Guideline Range (Policy Statement));
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§ 2D2.3 (Operating or Directing the
Operation of a Common Carrier Under
the Influence of Alcohol or Drugs);
§ 2G2.1 (Sexually Exploiting a Minor by
Production of Sexually Explicit Visual
or Printed Material; Custodian
Permitting Minor to Engage in Sexually
Explicit Conduct; Advertisement for
Minors to Engage in Production);
§ 2H3.1 (Interception of
Communications; Eavesdropping;
Disclosure of Certain Private or
Protected Information); § 2K2.1
(Unlawful Receipt, Possession, or
Transportation of Firearms or
Ammunition; Prohibited Transactions
Involving Firearms or Ammunition);
§ 2M1.1 (Treason); § 2T1.1 (Tax Evasion;
Willful Failure to File Return, Supply
Information, or Pay Tax; Fraudulent or
False Returns, Statements, or Other
Documents); the Introductory
Commentary to Chapter Two, Part T,
Subpart 2 (Alcohol and Tobacco Taxes);
the Introductory Commentary to
Chapter Two, Part T, Subpart 3
(Customs Taxes); the Introductory
Commentary to Chapter Three, Part A
(Victim-Related Adjustments); § 3A1.1
(Hate Crime Motivation or Vulnerable
Victim); the Introductory Commentary
to Chapter Three, Part B (Role in the
Offense); § 3C1.1 (Obstructing or
Impeding the Administration of Justice);
the Introductory Commentary to
Chapter Three, Part D (Multiple Counts);
§ 3D1.1 (Procedure for Determining
Offense Level on Multiple Counts);
§ 3D1.2 (Groups of Closely Related
Counts); § 3D1.3 (Offense Level
Applicable to Each Group of Closely
Related Counts); § 3D1.4 (Determining
the Combined Offense Level); § 4A1.3
(Departures Based on Inadequacy of
Criminal History Category (Policy
Statement)); § 4B1.1 (Career Offender);
§ 5C1.1 (Imposition of a Term of
Imprisonment); § 5E1.1 (Restitution);
§ 5E1.3 (Special Assessments); § 5E1.4
(Forfeiture); the Introductory
Commentary to Chapter Five, Part H
(Specific Offender Characteristics); the
Introductory Commentary to Chapter
Six, Part A (Sentencing Procedures);
Chapter Seven, Part A (Introduction to
Chapter Seven); § 8B1.1 (Restitution—
Organizations); § 8B2.1 (Effective
Compliance and Ethics Program);
§ 8C3.3 (Reduction of Fine Based on
Inability to Pay); and § 8E1.1 (Special
Assessments—Organizations).
Part G of the proposed amendments
would also make clerical changes to the
Commentary to §§ 1B1.11 (Use of
Guidelines Manual in Effect on Date of
Sentencing (Policy Statement)) and
5G1.3 (Imposition of a Sentence on a
Defendant Subject to an Undischarged
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Term of Imprisonment or Anticipated
State Term of Imprisonment), to update
the citation of Supreme Court cases. In
addition, Part G of the proposed
amendment would amend (1) the
Commentary to § 2K2.4 (Use of Firearm,
Armor-Piercing Ammunition, or
Explosive During or in Relation to
Certain Crimes) to add a missing
reference to 18 U.S.C. 844(o); (2) the
Commentary to § 2M6.1 (Unlawful
Activity Involving Nuclear Material,
Weapons, or Facilities, Biological
Agents, Toxins, or Delivery Systems,
Chemical Weapons, or Other Weapons
Of Mass Destruction; Attempt or
Conspiracy), to delete the definitions of
two terms that are not currently used in
the guideline; (3) the Commentary to
§§ 2M5.3 (Providing Material Support or
Resources to Designated Foreign
Terrorist Organizations or Specially
Designated Global Terrorists, or For a
Terrorist Purpose) and 2T1.1 (Tax
Evasion; Willful Failure to File Return,
Supply Information, or Pay Tax;
Fraudulent or False Returns,
Statements, or Other Documents), to
correct references to the Code of Federal
Regulations; and (4) the Commentary to
§ 3A1.2 (Official Victim), to add missing
content in Application Note 3.
Proposed Amendment
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(A) Frank LoBiondo Coast Guard
Authorization Act of 2018
Appendix A (Statutory Index) is
amended—
by striking the following line
references:
‘‘33 U.S.C. 1227(b) 2J1.1, 2J1.5
33 U.S.C. 1232(b)(2) 2A2.4’’;
and by inserting before the line
referenced to 46 U.S.C. App.
§ 1707a(f)(2) the following new line
references:
‘‘46 U.S.C. 70035(b) 2J1.1, 2J1.5
46 U.S.C. 70036(b) 2A2.4’’.
(B) Reclassification of Sections of
United States Code
The Commentary to § 2M4.1
captioned ‘‘Statutory Provisions’’ is
amended by striking ‘‘50 U.S.C. App.
§ 462’’ and inserting ‘‘50 U.S.C. § 3811’’.
The Commentary to § 2M5.1
captioned ‘‘Statutory Provisions’’ is
amended by striking ‘‘50 U.S.C. App.
§§ 2401–2420’’ and inserting ‘‘50 U.S.C.
§§ 4601–4623. For additional statutory
provision(s), see Appendix A (Statutory
Index)’’.
The Commentary to § 2M5.1
captioned ‘‘Application Notes’’ is
amended—
in Note 3 by striking ‘‘50 U.S.C. App.
§ 2410’’ and inserting ‘‘50 U.S.C.
§ 4610’’;
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and in Note 4 by striking ‘‘50 U.S.C.
App. 2405’’ and inserting ‘‘50 U.S.C.
§ 4605’’.
Appendix A (Statutory Index) is
amended—
in the line referenced to 25 U.S.C.
§§ 450d by striking ‘‘§ 450d’’ and
inserting ‘‘§ 5306’’;
by striking the following line
references:
‘‘50 U.S.C. App. § 462 2M4.1
50 U.S.C. App. § 527(e) 2X5.2
50 U.S.C. App. § 2410 2M5.1’’;
and inserting before the line
referenced to 52 U.S.C. §§ 10307(c) the
following new line references:
‘‘50 U.S.C. § 3811 2M4.1
50 U.S.C. § 3937(e) 2X5.2
50 U.S.C. § 4610 2M5.1’’.
(C) Technical Changes to Commentary
to § 2D1.1
The Commentary to § 2D1.1 captioned
‘‘Application Notes’’ is amended—
in Note 8(A) by striking ‘‘the statute
(21 U.S.C. § 841(b)(1)), as the primary
basis’’ and inserting ‘‘the statute (21
U.S.C. § 841(b)(1)) as the primary basis’’,
and by striking ‘‘fentanyl, LSD and
marihuana’’ and inserting ‘‘fentanyl,
LSD, and marihuana’’;
in Note 8(D)—
under the heading relating to
Schedule I or II Opiates, by striking the
following:
‘‘1 gm of Heroin = 1 kg
1 gm of Dextromoramide = 670 gm
1 gm of Dipipanone = 250 gm
1 gm of 1-Methyl-4-phenyl-4propionoxypiperidine/MPPP = 700
gm
1 gm of 1-(2-Phenylethyl)-4-phenyl-4acetyloxypiperidine/PEPAP = 700 gm
1 gm of Alphaprodine = 100 gm
1 gm of Fentanyl (N-phenyl-N-[1-(2phenylethyl)-4-piperidinyl]
Propanamide) = 2.5 kg
1 gm of a Fentanyl Analogue = 10 kg
1 gm of Hydromorphone/
Dihydromorphinone = 2.5 kg
1 gm of Levorphanol = 2.5 kg
1 gm of Meperidine/Pethidine = 50 gm
1 gm of Methadone = 500 gm
1 gm of 6-Monoacetylmorphine = 1 kg
1 gm of Morphine = 500 gm
1 gm of Oxycodone (actual) = 6700 gm
1 gm of Oxymorphone = 5 kg
1 gm of Racemorphan = 800 gm
1 gm of Codeine = 80 gm
1 gm of Dextropropoxyphene/
Propoxyphene-Bulk = 50 gm
1 gm of Ethylmorphine = 165 gm
1 gm of Hydrocodone (actual) = 6700 gm
1 gm of Mixed Alkaloids of Opium/
Papaveretum = 250 gm
1 gm of Opium = 50 gm
1 gm of Levo-alpha-acetylmethadol
(LAAM) = 3 kg’’,
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7231
and inserting the following:
‘‘1 gm of 1-(2-Phenylethyl)-4-phenyl-4acetyloxypiperidine (PEPAP) = 700
gm
1 gm of 1-Methyl-4-phenyl-4propionoxypiperidine (MPPP) = 700
gm
1 gm of 6-Monoacetylmorphine = 1 kg
1 gm of Alphaprodine = 100 gm
1 gm of Codeine = 80 gm
1 gm of Dextromoramide = 670 gm
1 gm of Dextropropoxyphene/
Propoxyphene-Bulk = 50 gm
1 gm of Dipipanone = 250 gm
1 gm of Ethylmorphine = 165 gm
1 gm of Fentanyl (N-phenyl-N-[1-(2phenylethyl)-4-piperidinyl]
Propanamide) = 2.5 kg
1 gm of a Fentanyl Analogue = 10 kg
1 gm of Heroin = 1 kg
1 gm of Hydrocodone (actual) = 6,700
gm
1 gm of Hydromorphone/
Dihydromorphinone = 2.5 kg
1 gm of Levo-alpha-acetylmethadol
(LAAM) = 3 kg
1 gm of Levorphanol = 2.5 kg
1 gm of Meperidine/Pethidine = 50 gm
1 gm of Methadone = 500 gm
1 gm of Mixed Alkaloids of Opium/
Papaveretum = 250 gm
1 gm of Morphine = 500 gm
1 gm of Opium = 50 gm
1 gm of Oxycodone (actual) = 6,700 gm
1 gm of Oxymorphone = 5 kg
1 gm of Racemorphan = 800 gm’’;
under the heading relating to Cocaine
and Other Schedule I and II Stimulants
(and their immediate precursors), by
striking the following:
‘‘1 gm of Cocaine = 200 gm
1 gm of N-Ethylamphetamine = 80 gm
1 gm of Fenethylline = 40 gm
1 gm of Amphetamine = 2 kg
1 gm of Amphetamine (Actual) = 20 kg
1 gm of Methamphetamine = 2 kg
1 gm of Methamphetamine (Actual) = 20
kg
1 gm of ‘‘Ice’’ = 20 kg
1 gm of Khat = .01 gm
1 gm of 4-Methylaminorex (‘Euphoria’)
= 100 gm
1 gm of Methylphenidate (Ritalin) = 100
gm
1 gm of Phenmetrazine = 80 gm
1 gm Phenylacetone/P2P (when
possessed for the purpose of
manufacturing methamphetamine) =
416 gm
1 gm Phenylacetone/P2P (in any other
case) = 75 gm
1 gm Cocaine Base (‘Crack’) = 3,571 gm
1 gm of Aminorex = 100 gm
1 gm of N-N-Dimethylamphetamine =
40 gm
1 gm of N-Benzylpiperazine = 100 gm’’,
and inserting the following:
‘‘1 gm of 4-Methylaminorex (‘Euphoria’)
= 100 gm
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Federal Register / Vol. 88, No. 22 / Thursday, February 2, 2023 / Notices
1 gm of Aminorex = 100 gm
1 gm of Amphetamine = 2 kg
1 gm of Amphetamine (actual) = 20 kg
1 gm of Cocaine = 200 gm
1 gm of Cocaine Base (‘Crack’) = 3,571
gm
1 gm of Fenethylline = 40 gm
1 gm of ‘Ice’ = 20 kg
1 gm of Khat = .01 gm
1 gm of Methamphetamine = 2 kg
1 gm of Methamphetamine (actual) = 20
kg
1 gm of Methylphenidate (Ritalin) = 100
gm
1 gm of N-Benzylpiperazine = 100 gm
1 gm of N-Ethylamphetamine = 80 gm
1 gm of N-N-Dimethylamphetamine =
40 gm
1 gm of Phenmetrazine = 80 gm
1 gm of Phenylacetone (P2P) (when
possessed for the purpose of
manufacturing methamphetamine) =
416 gm
1 gm of Phenylacetone (P2P) (in any
other case) = 75 gm’’;
under the heading relating to
Synthetic Cathinones (except Schedule
III, IV, and V Substances), by striking ‘‘a
synthetic cathinone’’ and inserting ‘‘a
Synthetic Cathinone’’;
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 Bufotenine = 70 gm
1 gm of D-Lysergic Acid Diethylamide/
Lysergide/LSD = 100 kg
1 gm of Diethyltryptamine/DET = 80 gm
1 gm of Dimethyltryptamine/DM = 100
gm
1 gm of Mescaline = 10 gm
1 gm of Mushrooms containing Psilocin
and/or Psilocybin (Dry) = 1 gm
1 gm of Mushrooms containing Psilocin
and/or Psilocybin (Wet) = 0.1 gm
1 gm of Peyote (Dry) = 0.5 gm
1 gm of Peyote (Wet) = 0.05 gm
1 gm of Phencyclidine/PCP = 1 kg
1 gm of Phencyclidine (actual)/PCP
(actual) = 10 kg
1 gm of Psilocin = 500 gm
1 gm of Psilocybin = 500 gm
1 gm of Pyrrolidine Analog of
Phencyclidine/PHP = 1 kg
1 gm of Thiophene Analog of
Phencyclidine/TCP = 1 kg
1 gm of 4-Bromo-2,5Dimethoxyamphetamine/DOB = 2.5
kg
1 gm of 2,5-Dimethoxy-4methylamphetamine/DOM = 1.67 kg
1 gm of 3,4Methylenedioxyamphetamine/MDA =
500 gm
1 gm of 3,4Methylenedioxymethamphetamine/
MDMA = 500 gm
1 gm of 3,4-Methylenedioxy-Nethylamphetamine/MDEA = 500 gm
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1 gm of Paramethoxymethamphetamine/
PMA = 500 gm
1 gm of 1Piperidinocyclohexanecarbonitrile/
PCC = 680 gm
1 gm of N-ethyl-1phenylcyclohexylamine (PCE) = 1
kg’’,
and inserting the following:
‘‘1 gm of 1Piperidinocyclohexanecarbonitrile
(PCC) = 680 gm
1 gm of 4-Bromo-2,5Dimethoxyamphetamine (DOB) = 2.5
kg
1 gm of 2,5-Dimethoxy-4methylamphetamine (DOM) = 1.67 kg
1 gm of 3,4Methylenedioxyamphetamine (MDA)
= 500 gm
1 gm of 3,4Methylenedioxymethamphetamine
(MDMA) = 500 gm
1 gm of 3,4-Methylenedioxy-Nethylamphetamine (MDEA) = 500 gm
1 gm of Bufotenine = 70 gm
1 gm of D-Lysergic Acid Diethylamide/
Lysergide (LSD) = 100 kg
1 gm of Diethyltryptamine (DET) = 80
gm
1 gm of Dimethyltryptamine (DM) = 100
gm
1 gm of Mescaline = 10 gm
1 gm of Mushrooms containing Psilocin
and/or Psilocybin (dry) = 1 gm
1 gm of Mushrooms containing Psilocin
and/or Psilocybin (wet) = 0.1 gm
1 gm of N-ethyl-1phenylcyclohexylamine (PCE) = 1 kg
1 gm of Paramethoxymethamphetamine
(PMA) = 500 gm
1 gm of Peyote (dry) = 0.5 gm
1 gm of Peyote (wet) = 0.05 gm
1 gm of Phencyclidine (PCP) = 1 kg
1 gm of Phencyclidine (PCP) (actual) =
10 kg
1 gm of Psilocin = 500 gm
1 gm of Psilocybin = 500 gm
1 gm of Pyrrolidine Analog of
Phencyclidine (PHP) = 1 kg
1 gm of Thiophene Analog of
Phencyclidine (TCP) = 1 kg’’;
under the heading relating to
Schedule I Marihuana, by striking the
following:
‘‘1 gm of Marihuana/Cannabis,
granulated, powdered, etc. = 1 gm
1 gm of Hashish Oil = 50 gm
1 gm of Cannabis Resin or Hashish = 5
gm
1 gm of Tetrahydrocannabinol, Organic
= 167 gm
1 gm of Tetrahydrocannabinol,
Synthetic = 167 gm’’,
and inserting the following:
‘‘1 gm of Cannabis Resin or Hashish =
5 gm
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1 gm of Hashish Oil = 50 gm
1 gm of Marihuana/Cannabis
(granulated, powdered, etc.) = 1 gm
1 gm of Tetrahydrocannabinol (organic)
= 167 gm
1 gm of Tetrahydrocannabinol
(synthetic) = 167 gm’’;
under the heading relating to
Synthetic Cannabinoids (except
Schedule III, IV, and V Substances), by
striking ‘‘a synthetic cannabinoid’’ and
inserting ‘‘a Synthetic Cannabinoid’’,
and by striking ‘‘ ‘Synthetic
cannabinoid,’ for purposes of this
guideline’’ and inserting ‘‘ ‘Synthetic
Cannabinoid,’ for purposes of this
guideline’’;
under the heading relating to
Schedule I or II Depressants (except
gamma-hydroxybutyric acid), by
striking ‘‘except gamma-hydroxybutyric
acid’’ both places such term appears and
inserting ‘‘except Gammahydroxybutyric Acid’’;
under the heading relating to Gammahydroxybutyric Acid, by striking ‘‘of
gamma-hydroxybutyric acid’’ and
inserting ‘‘of Gamma-hydroxybutyric
Acid’’;
under the heading relating to
Schedule III Substances (except
ketamine), by striking ‘‘except
ketamine’’ in the heading and inserting
‘‘except Ketamine’’;
under the heading relating to
Ketamine, by striking ‘‘of ketamine’’ and
inserting ‘‘of Ketamine’’;
under the heading relating to
Schedule IV (except flunitrazepam), by
striking ‘‘except flunitrazepam’’ in the
heading and inserting ‘‘except
Flunitrazepam’’;
under the heading relating to List I
Chemicals (relating to the manufacture
of amphetamine or methamphetamine),
by striking ‘‘of amphetamine or
methamphetamine’’ in the heading and
inserting ‘‘of Amphetamine or
Methamphetamine’’;
under the heading relating to Date
Rape Drugs (except flunitrazepam, GHB,
or ketamine), by striking ‘‘except
flunitrazepam, GHB, or ketamine’’ in the
heading and inserting ‘‘except
Flunitrazepam, GHB, or Ketamine’’, by
striking ‘‘of 1,4-butanediol’’ and
inserting ‘‘of 1,4-Butanediol’’, and by
striking ‘‘of gamma butyrolactone’’ and
inserting ‘‘of Gamma Butyrolactone’’;
in Note 9, under the heading relating
to Hallucinogens, by striking the
following:
‘‘MDA 250 mg
MDMA 250 mg
Mescaline 500 mg
PCP* 5 mg
Peyote (dry) 12 gm
Peyote (wet) 120 gm
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Psilocin* 10 mg
Psilocybe mushrooms (dry) 5 gm
Psilocybe mushrooms (wet) 50 gm
Psilocybin* 10 mg
2,5-Dimethoxy-4-methylamphetamine
(STP, DOM)* 3 mg’’,
and inserting the following:
‘‘2,5-Dimethoxy-4-methylamphetamine
(STP, DOM)* 3 mg
MDA 250 mg
MDMA 250 mg
Mescaline 500 mg
PCP* 5 mg
Peyote (dry) 12 gm
Peyote (wet) 120 gm
Psilocin* 10 mg
Psilocybe mushrooms (dry) 5 gm
Psilocybe mushrooms (wet) 50 gm
Psilocybin* 10 mg’’;
and in Note 21, by striking ‘‘Section
§ 5C1.2(b)’’ and inserting ‘‘Section
5C1.2(b)’’.
The Commentary to § 2D1.1 captioned
‘‘Background’’ is amended by striking
‘‘Public Law 103–237’’ and inserting
‘‘Public Law 104–237’’, and by inserting
after ‘‘to change the title of the Drug
Equivalency Tables to the ‘Drug
Conversion Tables.’ ’’ the following:
‘‘See USSG App. C, Amendment 808
(effective November 1, 2018).’’.
(D) References to 18 U.S.C. 876
The Commentary to § 2A4.2 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘§§ 876,’’ and inserting
‘‘§§ 876(a),’’.
The Commentary to § 2A6.1 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘876,’’ and inserting ‘‘876(c),’’.
The Commentary to § 2B3.2 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘§§ 875(b), 876,’’ and inserting
‘‘§§ 875(b), (d), 876(b), (d),’’.
Appendix A (Statutory Index) is
amended—
by striking the following line
reference:
‘‘18 U.S.C. 876 2A4.2,2A6.1, 2B3.2,
2B3.3’’
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and by inserting before the line
referenced to 18 U.S.C. 877 the
following new line references:
‘‘18 U.S.C. 876(a) 2A4.2, 2B3.2
18 U.S.C. 876(b) 2B3.2
18 U.S.C. 876(c) 2A6.1
18 U.S.C. 876(d) 2B3.2, 2B3.3’’.
(E) Technical Changes to Commentary
in Chapter Eight
The Commentary to § 8A1.2 captioned
‘‘Application Notes’’ is amended in
Note 3(G) by striking ’’ ‘Prior criminal
adjudication’ ’’ and inserting ’’ ‘Criminal
Adjudication’ ’’.
The Commentary to § 8C2.5 captioned
‘‘Application Notes’’ is amended in
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Note 1 by striking ’’ ‘prior criminal
adjudication’ ’’ and inserting ’’ ‘criminal
adjudication’ ’’.
The Commentary to § 8C3.2 captioned
‘‘Application Note’’ is amended in Note
1 by striking ‘‘the period provided for
payment shall in no event exceed five
years’’ and inserting ‘‘the period
provided for payment shall be the
shortest time in which full payment can
reasonably be made’’.
(F) Clerical Changes to Correct
Typographical Errors
The Commentary to § 1B1.1 captioned
‘‘Application Notes’’ is amended in
Note 1(E) by striking ‘‘(e.g. a defendant’’
and inserting ‘‘(e.g., a defendant’’.
The Commentary to § 1B1.3 captioned
‘‘Background’’ is amended by striking
‘‘the guidelines in those Chapters’’ and
inserting ‘‘the guidelines in those
chapters’’.
The Commentary to § 1B1.4 captioned
‘‘Background’’ is amended by striking
‘‘in imposing sentence within that
range’’ and inserting ‘‘in imposing a
sentence within that range’’.
The Commentary to § 1B1.10
captioned ‘‘Background’’ is amended by
striking ‘‘Title 18’’ and inserting ‘‘title
18’’.
The Commentary to § 2D2.3 captioned
‘‘Background’’ is amended by striking
‘‘Section 6482’’ and inserting ‘‘section
6482’’.
Section 2G2.1(b)(6)(A) is amended by
striking ‘‘engage sexually explicit
conduct’’ and inserting ‘‘engage in
sexually explicit conduct’’.
The Commentary to § 2H3.1 captioned
‘‘Application Notes’’ is amended in
Note 5(B) by striking ‘‘(e.g. physical
harm’’ and inserting ‘‘(e.g., physical
harm’’.
The Commentary to § 2K2.1 captioned
‘‘Application Notes’’ is amended in
Note 8(A) by striking ‘‘However, it the
offense involved a stolen firearm’’ and
inserting ‘‘However, if the offense
involved a stolen firearm’’.
The Commentary to § 2M1.1
captioned ‘‘Application Notes’’ is
amended by striking ‘‘this Part’’ and
inserting ‘‘this part’’.
The Commentary to § 2T1.1 captioned
‘‘Application Notes’’ is amended in
Note 7 by striking ‘‘Subchapter C
corporation’’ and inserting ‘‘subchapter
C corporation’’.
The Commentary to § 2T1.1 captioned
‘‘Background’’ is amended by striking
‘‘the treasury’’ and inserting ‘‘the
Treasury’’.
Chapter Two, Part T, Subpart 2 is
amended in the introductory
commentary by striking ‘‘Parts I–IV of
Subchapter J of Chapter 51 of Subtitle E
of Title 26’’ and inserting ‘‘parts I–IV of
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subchapter J of chapter 51 of subtitle E
of title 26, United States Code’’.
Chapter Two, Part T, Subpart 3 is
amended in the introductory
commentary by striking ‘‘Subpart’’ both
places such term appears and inserting
‘‘subpart’’.
Chapter Three, Part A is amended in
the introductory commentary by striking
‘‘Part’’ and inserting ‘‘part’’.
The Commentary to § 3A1.1 captioned
‘‘Background’’ is amended by striking
‘‘Section 280003’’ and inserting ‘‘section
280003’’.
Chapter Three, Part B is amended in
the introductory commentary by striking
‘‘Part’’ and inserting ‘‘part’’.
The Commentary to § 3C1.1 captioned
‘‘Application Notes’’ is amended in
Note 4(I) by striking ‘‘Title 18’’ and
inserting ‘‘title 18’’.
Chapter Three, Part D is amended in
the introductory commentary by striking
‘‘Part’’ each place such term appears
and inserting ‘‘part’’.
The Commentary to § 3D1.1 captioned
‘‘Application Notes’’ is amended in
Note 2 by striking ‘‘Part’’ both places
such term appears and inserting ‘‘part’’.
The Commentary to § 3D1.1 captioned
‘‘Background’’ is amended by striking
‘‘Chapter 3’’ and inserting ‘‘Chapter
Three’’, and by striking ‘‘Chapter Four’’
and inserting ‘‘Chapter Four’’.
The Commentary to § 3D1.2 captioned
‘‘Background’’ is amended by striking
‘‘Part’’ both places such term appears
and inserting ‘‘part’’.
The Commentary to § 3D1.3 captioned
‘‘Background’’ is amended by striking
‘‘Part’’ and inserting ‘‘part’’.
The Commentary to § 3D1.4 captioned
‘‘Background’’ is amended by striking
‘‘Part’’ and inserting ‘‘part’’.
The Commentary to § 4A1.3 captioned
‘‘Application Notes’’ is amended in
Note 2(C)(v) by striking ‘‘this Chapter’’
and inserting ‘‘this chapter’’.
The Commentary to § 4B1.1 captioned
‘‘Background’’ is amended by striking
‘‘Title 28’’ and inserting ‘‘title 28’’.
The Commentary to § 5C1.1 captioned
‘‘Application Notes’’ is amended in
Note 1 by striking ‘‘this Chapter’’ and
inserting ‘‘this chapter’’.
The Commentary to § 5E1.1 captioned
‘‘Application Notes’’ is amended in
Note 1 by striking ‘‘Chapter’’ both places
such term appears and inserting
‘‘chapter’’; by striking ‘‘Title 18’’ both
places such term appears and inserting
‘‘title 18’’; and by striking ‘‘Subchapter
C’’ and inserting ‘‘subchapter C’’.
The Commentary to § 5E1.1 captioned
‘‘Background’’ is amended by striking
‘‘Title 18’’ and inserting ‘‘title 18’’.
The Commentary to § 5E1.3 captioned
‘‘Background’’ is amended by striking
‘‘Title 18’’ and inserting ‘‘title 18’’, and
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by striking ‘‘The Victims’’ and inserting
‘‘the Victims’’.
The Commentary to § 5E1.4 captioned
‘‘Background’’ is amended by striking
‘‘Titles’’ and inserting ‘‘titles’’.
Chapter Five, Part H is amended in
the introductory commentary by striking
‘‘Part’’ each place such term appears
and inserting ‘‘part’’.
Chapter Six, Part A is amended in the
introductory commentary by striking
‘‘Part’’ and inserting ‘‘part’’.
Chapter Seven, Part A, Subpart 3(b)
(Choice between Theories) is amended
by striking ‘‘Title 21’’ and inserting
‘‘title 21’’.
The Commentary to § 8B1.1 captioned
‘‘Background’’ is amended by striking
‘‘Title 18’’ and inserting ‘‘title 18’’.
The Commentary to § 8B2.1 captioned
‘‘Application Notes’’ is amended in
Note 1, in the paragraph that begins ’’
‘Governing authority’ means’’ by
striking ‘‘means the (A) the Board’’ and
inserting ‘‘means (A) the Board’’.
Section 8C3.3(a) is amended by
striking ‘‘its ability’’ and inserting ‘‘the
ability of the organization’’.
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The Commentary to § 8E1.1 captioned
‘‘Background’’ is amended by striking
‘‘Title 18’’ and inserting ‘‘title 18’’.
(G) Additional Clerical Changes to
Guideline Commentary
The Commentary to § 1B1.11
captioned ‘‘Background’’ is amended by
striking ‘‘133 S. Ct. 2072, 2078’’ and
inserting ‘‘569 U.S. 530, 533’’.
The Commentary to § 2K2.4 captioned
‘‘Statutory Provisions’’ is amended by
striking ‘‘§§ 844(h)’’ and inserting
‘‘§§ 844(h), (o)’’.
The Commentary to § 2M5.3
captioned ‘‘Application Notes’’ is
amended in Note 1, in the paragraph
that begins ’’ ‘Specially designated
global terrorist’ has’’ by striking
‘‘§ 594.513’’ and inserting ‘‘§ 594.310’’.
The Commentary to § 2M6.1
captioned ‘‘Application Notes’’ is
amended in Note 1—
by striking the following paragraph:
‘‘ ‘Restricted person’ has the meaning
given that term in 18 U.S.C.
175b(d)(2).’’,
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and by striking the following
paragraph:
‘‘ ‘Vector’ has the meaning given that
term in 18 U.S.C. 178(4).’’.
The Commentary to § 2T1.1 captioned
‘‘Application Notes’’ is amended in
Note 6, in the paragraph that begins ’’
‘Gross income’ has’’ by striking ‘‘§ 1.61’’
and inserting ‘‘§ 1.61–1’’.
The Commentary to § 3A1.2 captioned
‘‘Application Notes’’ is amended in
Note 3 by striking ‘‘the victim was a
government officer or employee, or a
member of the immediate family
thereof’’ and inserting ‘‘the victim was
a government officer or employee, a
former government officer or employee,
or a member of the immediate family
thereof’’.
The Commentary to § 5G1.3 captioned
‘‘Background’’ is amended by striking
‘‘132 S. Ct. 1463, 1468’’ and inserting
‘‘566 U.S. 231, 236’’, and by striking
‘‘132 S. Ct. at 1468’’ and inserting ‘‘566
U.S. at 236’’.
[FR Doc. 2023–01346 Filed 2–1–23; 8:45 am]
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Agencies
[Federal Register Volume 88, Number 22 (Thursday, February 2, 2023)]
[Notices]
[Pages 7180-7234]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-01346]
[[Page 7179]]
Vol. 88
Thursday,
No. 22
February 2, 2023
Part III
United States Sentencing Commission
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Sentencing Guidelines for United States Courts; Notice
Federal Register / Vol. 88, No. 22 / Thursday, February 2, 2023 /
Notices
[[Page 7180]]
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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 March 14, 2023. 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 200002-8002, 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. 1B1.13 (Reduction in Term of
Imprisonment Under 18 U.S.C. 3582(c)(1)(A) (Policy Statement)) to
implement the First Step Act of 2018 (Pub. L. 115-391) and revise the
list of circumstances that should be considered extraordinary and
compelling reasons for sentence reductions under 18 U.S.C.
3582(c)(1)(A), and related issues for comment;
(2) A two-part proposed amendment to implement the First Step Act
of 2018 (Pub. L. 115-391) including (A) (i) amendments to Sec. 5C1.2
(Limitation on Applicability of Statutory Minimum Sentences in Certain
Cases) to reflect the broader class of defendants who are eligible for
safety valve relief under the First Step Act and to provide additional
conforming changes; (ii) amendments to Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category (Policy Statement)) to make
conforming changes; (iii) two options for amending Sec. Sec. 2D1.1
(Unlawful Manufacturing, Importing, Exporting, or Trafficking
(Including Possession with Intent to Commit These Offenses); Attempt or
Conspiracy) and 2D1.11 (Unlawfully Distributing, Importing, Exporting
or Possessing a Listed Chemical; Attempt or Conspiracy) in light of the
proposed revisions to Sec. 5C1.2; and (iv) related issues for comment;
and (B) amendments to Sec. 2D1.1 to make the guideline's base offense
levels consistent with the First Step Act's changes to the type of
prior offenses that trigger enhanced mandatory minimum penalties;
(3) A multi-part proposed amendment to Sec. 2K2.1 (Unlawful
Receipt, Possession, or Transportation of Firearms or Ammunition;
Prohibited Transactions Involving Firearms or Ammunition) to implement
the Bipartisan Safer Communities Act (Pub. L. 117-159) and make other
changes that may be warranted to appropriately address firearms
offenses, including (A) amendments to Appendix A (Statutory Index) and
two options for amending Sec. 2K2.1 to address (i) the new offenses
established by the Bipartisan Safer Communities Act and to increase
penalties for offenses involving straw purchases and firearms
trafficking as required by the directive contained in the Act; (ii) the
part of the directive in the Bipartisan Safer Communities Act that
requires the Commission to ``consider, in particular, an appropriate
amendment to reflect the intent of Congress that straw purchasers
without significant criminal histories receive sentences that are
sufficient to deter participation in such activities and reflect the
defendant's role and culpability, and any coercion, domestic violence
survivor history, or other mitigating factors''; (iii) the part of the
directive in the Bipartisan Safer Communities Act that requires the
Commission to ``review and amend its guidelines and policy statements
to reflect the intent of Congress that a person convicted of an offense
under
[[Page 7181]]
section 932 or 933 of title 18, United States Code, who is affiliated
with a gang, cartel, organized crime ring, or other such enterprise
should be subject to higher penalties than an otherwise unaffiliated
individual''; and (iv) related issues for comment; (B) amendments to
Sec. 2K2.1 in response to concerns expressed by some commenters that
the guideline does not adequately address firearms that are not marked
by a serial number (i.e., ``ghost guns''), and a related issue for
comment; and (C) a series of issues for comment on possible further
revisions to Sec. 2K2.1 that may be warranted to appropriately address
firearms offenses;
(4) A two-part proposed amendment addressing certain circuit
conflicts involving Sec. 3E1.1 (Acceptance of Responsibility) and
Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1), including (A)
amendments to Sec. 3E1.1 to address circuit conflicts regarding the
permissible bases for withholding a reduction under Sec. 3E1.1(b), and
a related issue for comment; and (B) two options for amending Sec.
4B1.2 to address a circuit conflict concerning whether the definition
of ``controlled substance offense'' in Sec. 4B1.2(b) only covers
offenses involving substances controlled by federal law, and a related
issue for comment;
(5) A multi-part proposed amendment in response to recently enacted
legislation, including (A) amendments to Appendix A (Statutory Index)
and the Commentary to Sec. 2N2.1 (Violations of Statutes and
Regulations Dealing with Any Food, Drug, Biological Product, Device,
Cosmetic, Agricultural Product, or Consumer Product) in response to the
FDA Reauthorization Act of 2017 (Pub. L. 115-52), and to the Commentary
to Sec. 2N1.1 (Tampering or Attempting to Tamper Involving Risk of
Death or Bodily Injury) to make a technical correction, and a related
issue for comment; (B) amendments to Appendix A, Sec. 2G1.1 (Promoting
a Commercial Sex Act or Prohibited Sexual Conduct with an Individual
Other than a Minor), and Sec. 2G1.3 (Promoting a Commercial Sex Act or
Prohibited Sexual Conduct with a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or Prohibited Sexual Conduct with a Minor;
Sex Trafficking of Children; Use of Interstate Facilities to Transport
Information about a Minor), as well as bracketing the possibility of
amending the Commentary to Sec. Sec. 4B1.5 (Repeat and Dangerous Sex
Offender Against Minors) and 5D1.2 (Term of Supervised Release), in
response to the Allow States and Victims to Fight Online Sex
Trafficking Act of 2017 (Pub. L. 115-164), and related issues for
comment; (C) amendments to Appendix A and Sec. 2A5.2 (Interference
with Flight Crew Member or Flight Attendant; Interference with
Dispatch, Navigation, Operation, or Maintenance of Mass Transportation
Vehicle), as well as the Commentary to Sec. Sec. 2A2.4 (Obstructing or
Impeding Officers) and 2X5.2 (Class A Misdemeanors (Not Covered by
Another Specific Offense Guideline)), in response to the FAA
Reauthorization Act of 2018 (Pub. L. 115-254), and a related issue for
comment; (D) amendments to Appendix A and the Commentary to Sec. Sec.
2B1.1 (Theft, Property Destruction, and Fraud) and 2B4.1 (Bribery in
Procurement of Bank Loan and Other Commercial Bribery) in response to
the SUPPORT for Patients and Communities Act (Pub. L. 115-271), and a
related issue for comment; (E) amendments to Appendix A and the
Commentary to Sec. 2X5.2 in response to the Amy, Vicky, and Andy Child
Pornography Victim Assistance Act of 2018 (Pub. L. 115-299), and a
related issue for comment; (F) amendments to Appendix A and the
Commentary to Sec. 2H3.1 (Interception of Communications;
Eavesdropping; Disclosure of Certain Private or Protected Information)
in response to the Foundations for Evidence-Based Policymaking Act of
2018 (Pub. L. 115-435), and a related issue for comment; (G) amendments
to Appendix A and the Commentary to Sec. 2X5.2 in response to the
National Defense Authorization Act for Fiscal Year 2020 (Pub. L. 116-
92), and a related issue for comment; (H) amendments to Appendix A and
the Commentary to Sec. 2B1.1 in response to the Representative Payee
Fraud Prevention Act of 2019 (Pub. L. 116-126), and a related issue for
comment; (I) amendments to Appendix A and the Commentary to Sec. 2B1.1
in response to the Stop Student Debt Relief Scams Act of 2019 (Pub. L.
116-251), and a related issue for comment; (J) amendments to Appendix A
in response to the Protecting Lawful Streaming Act of 2020, part of the
Consolidation Appropriation Act, 2021 (Pub. L. 116-260), and related
issues for comment; and (K) amendments to Appendix A and the Commentary
to 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) in response to the William M. (Mac) Thornberry National
Defense Authorization Act for Fiscal Year 2021 (Pub. L. 116-283), and a
related issue for comment;
(6) A multi-part proposed amendment relating to Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1), including (A) (i)
amendments Sec. 4B1.2 to eliminate the categorical approach from the
guidelines by defining ``crime of violence'' and ``controlled substance
offense'' based upon a list of guidelines, rather than offenses or
elements of an offense; (ii) conforming changes to the guidelines that
use the terms ``crime of violence'' and ``controlled substance
offense'' and define these terms by making specific reference to Sec.
4B1.2; and (iii) related issues for comment; (B) amendments to Sec.
4B1.2 and the Commentary to Sec. 2L1.2 (Unlawfully Entering or
Remaining in the United States) to address the concern that certain
robbery offenses, such as Hobbs Act robbery, no longer constitute a
``crime of violence'' under Sec. 4B1.2, as amended in 2016, because
these offenses do not meet either the generic definition of ``robbery''
or the new guidelines definition of ``extortion,'' and related issues
for comment; (C) two options for amending Sec. 4B1.2 to address two
circuit conflicts regarding the commentary provision stating that the
terms ``crime of violence'' and ``controlled substance offense''
include the offenses of aiding and abetting, conspiring to commit, and
attempting to commit a ``crime of violence'' and a ``controlled
substance offense,'' and related issues for comment; and (D) revisions
to the definition of ``controlled substance offense'' in Sec. 4B1.2(b)
to include offenses involving an offer to sell a controlled substance
and offenses described in 46 U.S.C. 70503(a) and 70506(b), and a
related issue for comment;
(7) A multi-part proposed amendment relating to criminal history,
including (A) three options for amending the Guidelines Manual to
address the impact of ``status points'' under subsection (d) of section
4A1.1 (Criminal History Category), and related issues for comment; (B)
(i) two options for establishing a new Chapter Four guideline, at Sec.
4C1.1 (Adjustment for Certain Zero-Point Offenders), that would provide
an offense level decrease for offenders with zero criminal history
points who meet certain criteria; (ii) amendments to the Commentary to
Sec. 5C1.1 (Imposition of a Term of Imprisonment) to address the
alternatives to incarceration available to offenders with zero criminal
history points who receive an adjustment under the proposed Sec.
4C1.1, and conforming changes to Sec. 4A1.3 (Departures Based on
[[Page 7182]]
Inadequacy of Criminal History Category (Policy Statement)) and Chapter
One, Part A, Subpart 1(4)(d) (Probation and Split Sentences); and (iii)
related issues for comment; (C) amendments to the Commentary to Sec.
4A1.3 (Departures Based on Inadequacy of Criminal History Category
(Policy Statement)) to include sentences resulting from possession of
marihuana offenses as an example of when a downward departure from the
defendant's criminal history may be warranted, and related issues for
comment;
(8) A proposed amendment to Sec. 1B1.3 (Relevant Conduct (Factors
that Determine the Guideline Range)) and Sec. 6A1.3 (Resolution of
Disputed Factors (Policy Statement)) to generally limit the use of
acquitted conduct for purposes of determining the guideline range,
except when such conduct was admitted by the defendant during a guilty
plea colloquy or was found by the trier of fact beyond a reasonable
doubt to establish, in whole or in part, the instant offense of
conviction, and related issues for comment;
(9) A two-part proposed amendment to certain guidelines applicable
to sexual abuse offenses, including (A) amendments to Appendix A
(Statutory Index), Sec. 2A3.3 (Criminal Sexual Abuse of a Ward or
Attempt to Commit Such Acts), and the Commentary to Sec. 2H1.1
(Offenses Involving Individual Rights) in response to the Violence
Against Women Act Reauthorization Act of 2022, which was part of the
Consolidated Appropriations Act, 2022 (Pub. L. 117-103), and related
issues for comment; and (B) amendments to Sec. 2A3.3 to address
concerns regarding the increasing number of cases involving sexual
abuse committed by law enforcement or correctional personnel against
victims in their custody, care, or supervision, and related issues for
comment;
(10) Issues for comment regarding a potential study of federal
alternative-to-incarceration court programs and possible amendments to
the Guidelines Manual to address such programs;
(11) A proposed amendment to Sec. 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking (Including Possession with Intent
to Commit These Offenses); Attempt or Conspiracy) to address offenses
involving ``fake pills'' (i.e., illicitly manufactured pills
represented or marketed as legitimate pharmaceutical pills) containing
fentanyl or fentanyl analogue, and a related issue for comment;
(12) A two-part proposed amendment addressing miscellaneous
guideline issues, including (A) amendments to Sec. 3D1.2 (Grouping of
Closely Related Counts) to address the interaction between Sec. 2G1.3
(Promoting a Commercial Sex Act or Prohibited Sexual Conduct with a
Minor; Transportation of Minors to Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a Minor; Sex Trafficking of Children;
Use of Interstate Facilities to Transport Information about a Minor)
and Sec. 3D1.2(d); and (B) amendments to the Commentary to Sec. 5F1.7
(Shock Incarceration Program (Policy Statement)) to reflect the fact
that the Bureau of Prisons no longer operates a shock incarceration
program; and
(13) A multi-part proposed amendment to make technical and other
non-substantive changes to the Guidelines Manual, including (A)
technical changes to provide updated references to certain sections in
the United States Code that were redesignated in legislation; (B)
technical changes to reflect the editorial reclassification of certain
sections in the United States Code; (C) technical changes throughout
the Commentary to Sec. 2D1.1 (Unlawful Manufacturing, Importing,
Exporting, or Trafficking (Including Possession with Intent to Commit
These Offenses); Attempt or Conspiracy) to, among other things,
reorganize in alphabetical order the controlled substances contained in
the tables therein to make them more user-friendly; (D) technical
changes to the commentary of several guidelines to provide references
to the specific applicable provisions of 18 U.S.C. 876; (E) technical
changes to the commentary of several guidelines in Chapter Eight
(Sentencing of Organizations); and (F) clerical changes to correct
typographical errors in several guidelines, policy statements, and
commentary.
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.
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. First Step Act--Reduction in Term of Imprisonment Under 18 U.S.C.
3582(c)(1)(A)
Synopsis of Proposed Amendment: This proposed amendment responds to
the First Step Act of 2018, Public Law 115-391 (Dec. 21, 2018) (``First
Step Act'' or ``Act''), which contains numerous provisions related to
sentencing, prison programming, recidivism reduction efforts, and
reentry procedures. Specifically, the sentencing reform provisions of
the Act (1) amended the sentencing modification procedures set forth in
18 U.S.C. 3582(c)(1)(A) to allow a defendant to file a motion seeking a
reduction in the defendant's term of imprisonment under certain
circumstances; (2) reduced certain enhanced penalties imposed pursuant
to 21 U.S.C. 851 for some repeat offenders and changed the prior
offenses that qualify for such enhanced penalties; (3) broadened the
eligibility criteria of the ``safety valve'' provision at 18 U.S.C.
3553(f); (4) limited the ``stacking'' of certain mandatory minimum
penalties imposed under 18 U.S.C. 924(c) for multiple offenses that
involve using, carrying, possessing, brandishing, or discharging a
firearm in furtherance of a crime of violence or drug trafficking
offense; and (5) allowed for retroactive application of the Fair
Sentencing Act of 2010. Revisions to the Guidelines Manual may be
appropriate to implement the Act's changes to 18 U.S.C. 3582(c)(1)(A).
The Sentencing Reform Act of 1984 (``SRA'') established a system of
determinate sentencing, prohibiting a court from modifying a term of
imprisonment once it had been imposed
[[Page 7183]]
except in certain instances specified in section 3582(c) of title 18,
United States Code. One of those instances is set forth in 18 U.S.C.
3582(c)(1)(A), which authorizes a court to reduce the term of
imprisonment of a defendant, after considering the factors in 18 U.S.C.
3553(a) to the extent they are applicable, if ``extraordinary and
compelling reasons'' warrant such a reduction or the defendant is at
least 70 years of age and meets certain other criteria. Such a
reduction must be consistent with applicable policy statements issued
by the Sentencing Commission. See 18 U.S.C. 3582(c)(1).
Prior to the First Step Act, a court was authorized to grant a
reduction in a defendant's term of imprisonment under section
3582(c)(1)(A) only ``upon motion of the Director of the Bureau of
Prisons.'' Section 603(b) of the First Step Act amended 18 U.S.C.
3582(c)(1)(A) to allow a defendant to file a motion seeking a sentence
reduction after the defendant has fully exhausted all administrative
rights to appeal a failure of the Bureau of Prisons (``BOP'') to bring
a motion on the defendant's behalf or the lapse of 30 days from the
receipt of such a request by the warden of the defendant's facility,
whichever is earlier.
Section 3582(c)(1)(A) does not define the phrase ``extraordinary
and compelling reasons.'' Instead, the SRA directs that ``[t]he
Commission, in promulgating general policy statements regarding the
sentencing modification provisions in section 3582(c)(1)(A) of title
18, shall describe what should be considered extraordinary and
compelling reasons for sentence reduction, including the criteria to be
applied and a list of specific examples.'' 28 U.S.C. 994(t). Section
994(t) also directs that ``[r]ehabilitation of the defendant alone
shall not be considered an extraordinary and compelling reason.'' Id.
The SRA provides the Commission with the authority to set the policy
regarding what reasons should qualify as ``extraordinary and compelling
reasons'' for a sentence reduction under section 3582(c)(1)(A) and the
courts with the authority to find that the ``extraordinary and
compelling reasons warrant such a reduction . . . and that such
reduction is consistent with applicable policy statements issued by the
Sentencing Commission.'' See 28 U.S.C. 994(a)(2)(C), 994(t), & 995(b);
18 U.S.C. 3582(c)(1)(A).
The Commission implemented the section 994(t) directive by
promulgating the policy statement at Sec. 1B1.13 (Reduction in Term of
Imprisonment Under 18 U.S.C. 3582(c)(1)(A) (Policy Statement)). See
U.S. Sent'g Comm'n, Guidelines Manual, Sec. 1B1.13 (Nov. 2021).
Currently, Sec. 1B1.13 provides only for motions filed by the Director
of the BOP and does not account for motions filed by a defendant under
the amended statute. The policy statement describes the circumstances
that constitute ``extraordinary and compelling reasons'' in the
Commentary to Sec. 1B1.13. Application Note 1(A) through (C) provides
for three categories of extraordinary and compelling reasons, i.e.,
``Medical Condition of the Defendant,'' ``Age of the Defendant,'' and
``Family Circumstances.'' See USSG Sec. 1B1.13, comment. (n.1(A)-(C)).
Application Note 1(D) provides that the Director of the BOP may
determine whether there exists in a defendant's case ``other reasons''
that are extraordinary and compelling ``other than, or in combination
with,'' the reasons described in Application Note 1(A) through (C).
USSG Sec. 1B1.13, comment. (n.1(D)).
The proposed amendment would implement the First Step Act's
relevant provisions by amending Sec. 1B1.13 and its accompanying
commentary. Specifically, the proposed amendment would revise the
policy statement to reflect that 18 U.S.C. 3582(c)(1)(A), as amended by
the First Step Act, authorizes a defendant to a file a motion seeking a
sentence reduction.
The proposed amendment would also revise the list of
``extraordinary and compelling reasons'' in Sec. 1B1.13 in several
ways.
First, the proposed amendment would move the list of extraordinary
and compelling reasons from the Commentary to the guideline itself as a
new subsection (b). The new subsection (b) would set forth the same
three categories of extraordinary and compelling reasons currently
found in Application Note 1(A) through (C) (with the revisions
described below), add two new categories, and revise the ``Other
Reasons'' category currently found in Application Note 1(D). New
subsection (b) would also provide that extraordinary and compelling
reasons exist under any of the circumstances, or a combination thereof,
described in such categories.
Second, the proposed amendment would add two new subcategories to
the ``Medical Condition of the Defendant'' category at new subsection
(b)(1). The first new subcategory is for a defendant suffering from a
medical condition that requires long-term or specialized medical care,
without which the defendant is at risk of serious deterioration in
health or death, that is not being provided in a timely or adequate
manner. The other new subcategory is for a defendant who presents the
following circumstances: (1) the defendant is housed at a correctional
facility affected or at risk of being affected by an ongoing outbreak
of infectious disease or an ongoing public health emergency declared by
the appropriate governmental authority; (2) the defendant is at
increased risk of suffering severe medical complications or death as a
result of exposure to the ongoing outbreak of infectious disease or
ongoing public health emergency; and (3) such risk cannot be mitigated
in a timely or adequate manner.
Third, the proposed amendment would modify the ``Family
Circumstances'' category at new subsection (b)(3) in three ways. First,
the proposed amendment would revise the current subcategory relating to
the death or incapacitation of the caregiver of a defendant's minor
child by making it also applicable to a defendant's child who is 18
years of age or older and incapable of self-care because of a mental or
physical disability or a medical condition. Second, the proposed
amendment would add a new subcategory to the ``Family Circumstances''
category for cases where a defendant's parent is incapacitated and the
defendant would be the only available caregiver for the parent. Third,
the proposed amendment brackets the possibility of adding a more
general subcategory applicable if the defendant presents circumstances
similar to those listed in the other subcategories of ``Family
Circumstances'' involving any other immediate family member or an
individual whose relationship with the defendant is similar in kind to
that of an immediate family member.
Fourth, the proposed amendment brackets the possibility of adding
two new categories: (1) Victim of Assault (``The defendant was a victim
of sexual assault or physical abuse resulting in serious bodily injury
committed by a correctional officer or other employee or contractor of
the Bureau of Prisons while in custody.''); and (2) Changes in Law
(``The defendant is serving a sentence that is inequitable in light of
changes in the law.'').
Fifth, the proposed amendment would revise the provision currently
found in Application Note 1(D) of Sec. 1B1.13. Three options are
provided. All three options would redesignate this category as ``Other
Circumstances'' and expand the scope of the category to apply to all
motions filed under 18 U.S.C. 3582(c)(1)(A), regardless of whether such
motion is filed by the Director of the BOP or the defendant. Option 1
would provide that this
[[Page 7184]]
category of extraordinary and compelling reasons applies in cases where
a defendant presents any other circumstance or a combination of
circumstances similar in nature and consequence to any of the
circumstances described in paragraphs (1) through [(3)][(4)][(5)] of
Sec. 1B1.13. Option 2 would provide that that this category applies
if, as a result of changes in the defendant's circumstances [or
intervening events that occurred after the defendant's sentence was
imposed], it would be inequitable to continue the defendant's
imprisonment or require the defendant to serve the full length of the
sentence. Option 3 would track the language in current Application Note
1(D) of Sec. 1B1.13 and apply if the defendant presents an
extraordinary and compelling reason other than, or in combination with,
the circumstances described in paragraphs (1) through [(3)][(4)][(5)].
Finally, the proposed amendment would move current Application Note
3 (stating that, pursuant to 28 U.S.C. 994(t), rehabilitation of a
defendant is not, by itself, an extraordinary and compelling reason for
purposes of Sec. 1B1.13) into the guideline as a new subsection (c).
In addition, as conforming changes, the proposed amendment would delete
application notes 2 (concerning the foreseeability of extraordinary and
compelling reasons), 4 (concerning a motion by the Director of the
Bureau of Prisons), and 5 (concerning application of subdivision 3),
and make a minor technical change to the Background commentary.
Issues for comment are also provided.
Proposed Amendment
Section 1B1.13 is amended--
by inserting at the beginning the following new heading: ``(a) In
General.--'';
by striking ``Bureau of Prisons under'' and inserting ``Bureau of
Prisons or the defendant pursuant to'';
and inserting at the end the following:
``(b) Extraordinary and Compelling Reasons.--Extraordinary and
compelling reasons exist under any of the following circumstances or a
combination thereof:
(1) Medical Circumstances of the Defendant.--
(A) The defendant is suffering from a terminal illness (i.e., a
serious and advanced illness with an end of life trajectory). A
specific prognosis of life expectancy (i.e., a probability of death
within a specific time period) is not required. Examples include
metastatic solid-tumor cancer, amyotrophic lateral sclerosis (ALS),
end-stage organ disease, and advanced dementia.
(B) The defendant is--
(i) suffering from a serious physical or medical condition,
(ii) suffering from a serious functional or cognitive impairment,
or
(iii) experiencing deteriorating physical or mental health because
of the aging process,
that substantially diminishes the ability of the defendant to provide
self-care within the environment of a correctional facility and from
which he or she is not expected to recover.
(C) The defendant is suffering from a medical condition that
requires long-term or specialized medical care, without which the
defendant is at risk of serious deterioration in health or death, that
is not being provided in a timely or adequate manner.
(D) The defendant presents the following circumstances--
(i) the defendant is housed at a correctional facility affected or
at risk of being affected by (I) an ongoing outbreak of infectious
disease, or (II) an ongoing public health emergency declared by the
appropriate federal, state, or local authority;
(ii) the defendant is at increased risk of suffering severe medical
complications or death as a result of exposure to the ongoing outbreak
of infectious disease or the ongoing public health emergency described
in clause (i); and
(iii) such risk cannot be mitigated in a timely or adequate manner.
(2) Age of the Defendant.--The defendant (A) is at least 65 years
old; (B) is experiencing a serious deterioration in physical or mental
health because of the aging process; and (C) has served at least 10
years or 75 percent of his or her term of imprisonment, whichever is
less.
(3) Family Circumstances of the Defendant.--
(A) The death or incapacitation of the caregiver of the defendant's
minor child or the defendant's child who is 18 years of age or older
and incapable of self-care because of a mental or physical disability
or a medical condition.
(B) The incapacitation of the defendant's spouse or registered
partner when the defendant would be the only available caregiver for
the spouse or registered partner.
(C) The incapacitation of the defendant's parent when the defendant
would be the only available caregiver for the parent.
[(D) The defendant presents circumstances similar to those listed
in paragraphs (3)(A) through (3)(C) involving any other immediate
family member or an individual whose relationship with the defendant is
similar in kind to that of an immediate family member.]
[(4) Victim of Assault.--The defendant was a victim of sexual
assault or physical abuse resulting in serious bodily injury committed
by a correctional officer or other employee or contractor of the Bureau
of Prisons while in custody.]
[(5) Changes in Law.--The defendant is serving a sentence that is
inequitable in light of changes in the law.]
[Option 1:
(6) Other Circumstances.--The defendant presents any other
circumstance or a combination of circumstances similar in nature and
consequence to any of the circumstances described in paragraphs (1)
through [(3)][(4)][(5)].]
[Option 2:
(6) Other Circumstances.--As a result of changes in the defendant's
circumstances [or intervening events that occurred after the
defendant's sentence was imposed], it would be inequitable to continue
the defendant's imprisonment or require the defendant to serve the full
length of the sentence.]
[Option 3:
(6) Other Circumstances.--The defendant presents an extraordinary
and compelling reason other than, or in combination with, the
circumstances described in paragraphs (1) through [(3)][(4)][(5)].]
(c) Rehabilitation of the Defendant.--Pursuant to 28 U.S.C. 994(t),
rehabilitation of the defendant is not, by itself, an extraordinary and
compelling reason for purposes of this policy statement.''.
The Commentary to Sec. 1B1.13 captioned ``Application Notes'' is
amended by striking it as follows:
``Application Notes:
1. Extraordinary and Compelling Reasons.--Provided the defendant
meets the requirements of subdivision (2), extraordinary and compelling
reasons exist under any of the circumstances set forth below:
(A) Medical Condition of the Defendant.--
(i) The defendant is suffering from a terminal illness (i.e., a
serious and advanced illness with an end of life trajectory). A
specific prognosis of life expectancy (i.e., a probability of death
within a specific time period) is not required. Examples include
metastatic solid-tumor cancer, amyotrophic lateral sclerosis (ALS),
end-stage organ disease, and advanced dementia.
(ii) The defendant is--
(I) suffering from a serious physical or medical condition,
(II) suffering from a serious functional or cognitive impairment,
or
[[Page 7185]]
(III) experiencing deteriorating physical or mental health because
of the aging process,
that substantially diminishes the ability of the defendant to provide
self-care within the environment of a correctional facility and from
which he or she is not expected to recover.
(B) Age of the Defendant.--The defendant (i) is at least 65 years
old; (ii) is experiencing a serious deterioration in physical or mental
health because of the aging process; and (iii) has served at least 10
years or 75 percent of his or her term of imprisonment, whichever is
less.
(C) Family Circumstances.--
(i) The death or incapacitation of the caregiver of the defendant's
minor child or minor children.
(ii) The incapacitation of the defendant's spouse or registered
partner when the defendant would be the only available caregiver for
the spouse or registered partner.
(D) Other Reasons.--As determined by the Director of the Bureau of
Prisons, there exists in the defendant's case an extraordinary and
compelling reason other than, or in combination with, the reasons
described in subdivisions (A) through (C).
2. Foreseeability of Extraordinary and Compelling Reasons.--For
purposes of this policy statement, an extraordinary and compelling
reason need not have been unforeseen at the time of sentencing in order
to warrant a reduction in the term of imprisonment. Therefore, the fact
that an extraordinary and compelling reason reasonably could have been
known or anticipated by the sentencing court does not preclude
consideration for a reduction under this policy statement.
3. Rehabilitation of the Defendant.--Pursuant to 28 U.S.C. 994(t),
rehabilitation of the defendant is not, by itself, an extraordinary and
compelling reason for purposes of this policy statement.
4. Motion by the Director of the Bureau of Prisons.--A reduction
under this policy statement may be granted only upon motion by the
Director of the Bureau of Prisons pursuant to 18 U.S.C. 3582(c)(1)(A).
The Commission encourages the Director of the Bureau of Prisons to file
such a motion if the defendant meets any of the circumstances set forth
in Application Note 1. The court is in a unique position to determine
whether the circumstances warrant a reduction (and, if so, the amount
of reduction), after considering the factors set forth in 18 U.S.C.
3553(a) and the criteria set forth in this policy statement, such as
the defendant's medical condition, the defendant's family
circumstances, and whether the defendant is a danger to the safety of
any other person or to the community.
This policy statement shall not be construed to confer upon the
defendant any right not otherwise recognized in law.
5. Application of Subdivision (3).--Any reduction made pursuant to
a motion by the Director of the Bureau of Prisons for the reasons set
forth in subdivisions (1) and (2) is consistent with this policy
statement.''.
The Commentary to Sec. 1B1.13 captioned ``Background'' is amended
by striking ``the Commission is authorized'' and inserting ``the
Commission is required''.
Issues for Comment
1. The proposed amendment would revise the list of ``extraordinary
and compelling reasons'' in Sec. 1B1.13 (Reduction in Term of
Imprisonment Under 18 U.S.C. 3582(c)(1)(A) (Policy Statement)) in
several ways. The Commission invites comment on whether the proposed
amendment--in particular proposed subsections (b)(5) and (6)--exceeds
the Commission's authority under 28 U.S.C. 994(a) and (t), or any other
provision of federal law.
2. The proposed amendment would make changes to Sec. 1B1.13
(Reduction in Term of Imprisonment Under 18 U.S.C. 3582(c)(1)(A)
(Policy Statement)) and its corresponding commentary to implement the
First Step Act of 2018, Public Law 115-391 (Dec. 21, 2018). The
Commission seeks general comment on the proposed changes and whether
the Commission should make any different or additional changes to
implement the Act.
3. The proposed amendment would revise the categories of
circumstances in which ``extraordinary and compelling reasons'' exist
under the Commission's policy statement at Sec. 1B1.13. The Commission
adopted the policy statement at Sec. 1B1.13 to implement the directive
in 28 U.S.C. 994(t). As noted above, the directive requires the
Commission to ``describe what should be considered extraordinary and
compelling reasons for sentence reduction, including the criteria to be
applied and a list of specific examples.'' The Commission also has the
authority to promulgate general policy statements regarding the
application of the guidelines or other aspects of sentencing that in
the view of the Commission would further the purposes of sentencing (18
U.S.C. 3553(a)(2)), including the appropriate use of the sentence
modification provisions set forth in 18 U.S.C. 3582(c). See 28 U.S.C.
994(a)(2)(C).
The Commission seeks comment on whether the proposed categories of
circumstances are appropriate and provide clear guidance to the courts
and the Bureau of Prisons. Should the Commission further define and
expand the categories? Should the Commission provide additional or
different criteria or examples of circumstances that constitute
``extraordinary and compelling reasons''? If so, what specific criteria
or examples should the Commission provide? Should the Commission
consider an altogether different approach for describing ``what should
be considered extraordinary and compelling reasons for sentence
reduction''?
4. The proposed amendment brackets the possibility of adding a new
category of ``extraordinary and compelling reasons'' to Sec. 1B1.13
relating to defendants who are victims of sexual assault or physical
abuse resulting in serious bodily injury committed by a correctional
officer or other employee or contractor of the Bureau of Prisons while
in custody. The Commission seeks comment on whether this provision
should be expanded to include defendants who have been victims of
sexual assault or physical abuse resulting in serious bodily injury
committed by another inmate.
5. Section 1B1.10 (Reduction in Term of Imprisonment as a Result of
Amended Guideline Range (Policy Statement)) sets forth the applicable
policy statement for determining in what circumstances and to what
extent a reduction in a term of imprisonment as a result of an amended
guideline range may be granted. In Dillon v. United States, 560 U.S.
817 (2010), the Supreme Court held that proceedings under 18 U.S.C.
3582(c)(2) are not governed by United States v. Booker, 543 U.S. 220
(2005), and that Sec. 1B1.10 remains binding on courts in such
proceedings.
The Commission seeks comment on whether the proposed amendment--in
particular proposed subsections (b)(5) and (6)--is in tension with the
Commission's determinations regarding retroactivity of guideline
amendments under Sec. 1B1.10. If so, how should the Commission resolve
this tension? Should the Commission clarify the interaction between
Sec. 1B1.10 and Sec. 1B1.13? If so, how?
2. First Step Act--Drug Offenses
Synopsis of Proposed Amendment: This proposed amendment responds to
the First Step Act of 2018, Public Law 115-391 (Dec. 21, 2018) (``First
Step
[[Page 7186]]
Act'' or ``Act''), which contains numerous provisions related to
sentencing, prison programming, recidivism reduction efforts, and
reentry procedures. Although Commission action is not necessary to
implement most of the First Step Act, revisions to the Guidelines
Manual may be appropriate to implement the Act's changes to the
eligibility criteria of the ``safety valve'' provision at 18 U.S.C.
3553(f), and the recidivist penalties for drug offenders at 21 U.S.C.
841(b) and 960(b). The proposed amendment contains two parts (Parts A
and B). The Commission is considering whether to promulgate either or
both of these parts, as they are not mutually exclusive.
(A) Safety Valve
Section 3553(f) of title 18, United States Code, allows a court to
impose a sentence without regard to any statutory minimum penalty if it
finds that a defendant meets certain criteria. As originally enacted,
the safety valve applied only to offenses under 21 U.S.C. 841, 844,
846, 960, and 963 and to defendants who, among other things, had not
more than one criminal history point, as determined under the
guidelines. When it first enacted the safety valve, Congress directed
the Commission to promulgate or amend guidelines and policy statements
to ``carry out the purposes of [section 3553(f)].'' See Violent Crime
Control and Law Enforcement Act of 1994, Public Law 103-322, 80001(b).
The Commission implemented the directive by incorporating the statutory
text of section 3553(f) into the guidelines at Sec. 5C1.2 (Limitation
on Applicability of Statutory Minimum Sentences in Certain Cases). Two
other guidelines provisions, subsection (b)(18) of Sec. 2D1.1
(Unlawful Manufacturing, Importing, Exporting, or Trafficking
(Including Possession with Intent to Commit These Offenses); Attempt or
Conspiracy) and subsection (b)(6) of Sec. 2D1.11 (Unlawfully
Distributing, Importing, Exporting or Possessing a Listed Chemical;
Attempt or Conspiracy), currently provide a 2-level reduction in a
defendant's offense level if the defendant meets the criteria in
paragraphs (1) through (5) of Sec. 5C1.2(a).
Section 402 of the First Step Act expanded the safety valve
provision at 18 U.S.C. 3553(f) in two ways. First, the Act extended the
applicability of the safety valve to maritime offenses under 46 U.S.C.
70503 and 70506. Second, the Act amended section 3553(f)(1) to broaden
the eligibility criteria of the safety valve to include defendants who
do not have: (1) ``more than 4 criminal history points, excluding any
criminal history points resulting from a 1-point offense, as determined
under the sentencing guidelines''; (2) a ``prior 3-point offense, as
determined under the sentencing guidelines''; and (3) a ``prior 2-point
violent offense, as determined under the sentencing guidelines.'' The
Act defines ``violent offense'' as a ``crime of violence,'' as defined
in 18 U.S.C. 16, that is punishable by imprisonment. In addition, the
First Step Act incorporated into section 3553(f) a provision
instructing that ``[i]nformation disclosed by a defendant under this
subsection may not be used to enhance the sentence of the defendant
unless the information relates to a violent offense.''
Following the enactment of the First Step Act, circuit courts have
disagreed about how the word ``and'' connecting subsections (A) through
(C) in section 3553(f)(1) operates. The Fifth, Sixth, Seventh, and
Eighth Circuits have held that section 3553(f)(1) should be read to
exclude a defendant who meets any single disqualifying condition listed
in subsections (A) through (C). See United States v. Palomares, 52
F.4th 640, 642 (5th Cir. 2022) (``To be eligible for safety valve
relief, a defendant must show that she does not have more than 4
criminal history points, does not have a 3-point offense, and does not
have a 2-point violent offense.''); United States v. Haynes, 55 F.4th
1075 (6th Cir. 2022) (same); United States v. Pace, 48 F.4th 741, 756
(7th Cir. 2022) (``[A] defendant who meets any one of subsections (A),
(B), or (C) does not qualify for safety-valve relief.''); United States
v. Pulsifer, 39 F.4th 1018, 1022 (8th Cir. 2022) (``A court will find
that Sec. 3553(f)(1) is satisfied only when the defendant (A) does not
have more than four criminal history points, (B) does not have a prior
three-point offense, and (C) does not have a prior two-point violent
offense.''). Specifically, the Eighth Circuit concluded that the word
``and'' is conjunctive in a ``distributive'' sense rather than in a
``joint'' sense. Thus, the phrase ``does not have'' is distributed
across all three subsections (i.e., should be read as repeated before
each of the three conditions) such that a defendant is ineligible for
safety valve relief if the defendant meets any one of the three
conditions. Pulsifer, 39 F.4th at 1022 (``The distributive reading
therefore gives meaning to each subsection in Sec. 3553(f)(1), and we
conclude that it is the better reading of the statute.''); see also
Palomares, 52 F.4th at 642 (``We agree with the Eighth Circuit that
Congress's use of an em-dash following `does not have' is best
interpreted to `distribute' that phrase to each following
subsection.''); Haynes, 55 F.4th at 1080 (``We agree with the Eighth
Circuit that, of the interpretations on offer here, `[o]nly the
distributive interpretation avoids surplusage.' '').
The Ninth and Eleventh Circuits, in contrast, have held that the
``and'' connecting subparagraphs (A), (B), and (C) of section
3553(f)(1) is ``conjunctive'' and joins together the enumerated
characteristics in those provisions. United States v. Lopez, 998 F.3d
431 (9th Cir. 2021); United States v. Garcon, 54 F.4th 1274 (11th Cir.
2022) (en banc). Accordingly, a defendant ``must have (A) more than
four criminal-history points, (B) a prior three-point offense, and (C)
a prior two-point violent offense, cumulatively,'' to be disqualified
from safety valve relief under section 3553(f). Lopez, 998 F.3d at 433.
Unlike the Fifth, Sixth, and Eighth Circuits, the Ninth and Eleventh
Circuits interpret the word ``and'' to be conjunctive in a ``joint,''
rather than ``distributive,'' sense.
Using fiscal year 2021 data, Commission analysis estimated that of
17,520 drug trafficking offenders, 11,866 offenders meet the non-
criminal history requirements of the safety valve (18 U.S.C.
3553(f)(2)-(5)). Of those 11,866 offenders, 5,768 offenders have no
more than one criminal history point and would be eligible under the
unamended pre-First Step Act criminal history requirement. Under a
disjunctive interpretation of the expanded criminal history provision,
1,987 offenders would become eligible. The remaining 4,111 offenders
would be ineligible. In comparison, under the Ninth Circuit's
conjunctive interpretation of the expanded criminal history provision,
5,778 offenders would become eligible. The remaining 320 offenders
would be ineligible.
Part A of the proposed amendment would implement the provisions of
the First Step Act expanding the applicability of the safety valve
provision by amending Sec. 5C1.2 and its corresponding commentary.
Specifically, it would revise Sec. 5C1.2(a) to reflect the broader
class of defendants who are eligible for safety valve relief under the
Act. Part A of the proposed amendment would also bracket a possible
revision to the minimum offense level that Sec. 5C1.2(b) requires for
certain offenders. Revision of this provision, which implements a
directive to the Commission in section 80001(b) of the Violent Crime
Control and Law Enforcement Act of 1994, Public Law 103-222 (Sept. 13,
1994), may be appropriate given the expanded class of defendants who
would qualify for safety
[[Page 7187]]
valve relief under the proposed revisions to Sec. 5C1.2(a).
In addition, Part A of the proposed amendment would make changes to
the Commentary to Sec. 5C1.2. First, it would revise Application Note
1 by deleting the current language and adding the statutory definition
for the term ``violent offense.'' Second, Part A of the proposed
amendment brackets the possibility of adding a new application note
stating that ``[i]n determining whether the defendant meets the
criteria in subsection (a)(1), refer to Sec. 4A1.1 (Criminal History
Category) and Sec. 4A1.2 (Definitions and Instructions for Computing
Criminal History), read together, before application of subsection (b)
of Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category).'' Third, Part A of the proposed amendment would also revise
Application Note 7, to implement the new statutory provision stating
that information disclosed by a defendant pursuant to 18 U.S.C. 3553(f)
may not be used to enhance the defendant's sentence unless the
information relates to a violent offense. Finally, it would make
additional technical changes to the rest of the Commentary by
renumbering and inserting headings at the beginning of certain notes.
Part A of the proposed amendment would also make conforming changes
to Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category (Policy Statement)), which makes a specific reference to the
number of criminal history points allowed by Sec. 5C1.2(a)(1).
Finally, Part A of the proposed amendment would also make changes
to Sec. 2D1.1 and Sec. 2D1.11, as the 2-level reductions in both
guidelines are tethered to the eligibility criteria of paragraphs (1)-
(5) of Sec. 5C1.2(a). It provides two options for amending Sec.
2D1.1(b)(18) and Sec. 2D1.11(b)(6).
Option 1 would not make any substantive changes to Sec.
2D1.1(b)(18) and Sec. 2D1.11(b)(6), allowing their 2-level reductions
to automatically apply to any defendant who meets the revised criteria
of Sec. 5C1.2. Because Sec. 5C1.2(a)(1) would closely track the
language in 18 U.S.C. 3553(f)(1), as amended by the First Step Act, the
``and'' used to set forth the criminal history criteria in Sec. 5C1.2
might be read by some courts as disjunctive (e.g., the courts in the
Fifth, Sixth, Seventh, and Eighth Circuits) and by other courts as
conjunctive (e.g., the courts in the Ninth and Eleventh Circuits).
Option 1 would not resolve the circuit conflict for purposes of Sec.
2D1.1(b)(18) and Sec. 2D1.11(b)(6).
Option 2 would amend Sec. 2D1.1(b)(18) and Sec. 2D1.11(b)(6) to
provide that their 2-level reductions apply to all defendants who meet
the criteria in Sec. 5C1.2(a)(2)-(5). It would also incorporate into
those provisions the same criminal history criteria from revised Sec.
5C1.2(a)(1) but set forth the criteria disjunctively, consistent with
the approach of the Fifth, Sixth, Seventh, and Eighth Circuits. As a
result, a defendant would not be eligible for the 2-level reduction in
Sec. 2D1.1(b)(18) or Sec. 2D1.11(b)(6) if the defendant presents any
of the disqualifying conditions relating to criminal history.
Both options also would make changes to the Commentary to
Sec. Sec. 2D1.1 and 2D1.11 that correspond to the applicable
provisions of the revised Commentary to Sec. 5C1.2.
Part A of the proposed amendment also includes issues for comment.
(B) Recidivist Penalties for Drug Offenders
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.
Prior to the First Step Act, all of the recidivist penalty
provisions within sections 841(b) and 960(b) provided for an enhanced
mandatory minimum penalty if a defendant had one or more convictions
for a prior ``felony drug offense,'' which is defined in 21 U.S.C.
802(44) as ``an offense that is punishable by imprisonment for more
than one year under any law of the United States or of a State or
foreign country that prohibits or restricts conduct relating to
narcotic drugs, marihuana, anabolic steroids, or depressant or
stimulant substances.'' Section 401 of the Act both narrowed and
expanded the type of prior offenses that trigger enhanced mandatory
minimum penalties under 21 U.S.C. 841(b)(1)(A), 841(b)(1)(B),
960(b)(1), and 960(b)(2). The Act narrowed the triggering prior
offenses for these statutory provisions by replacing the term ``felony
drug offense'' with ``serious drug felony.'' The term ``serious drug
felony'' is defined in 21 U.S.C. 802(57) as ``an offense described in
[18 U.S.C. 924(e)(2)] for which--(A) the offender served a term of
imprisonment of more than 12 months; and (B) the offender's release
from any term of imprisonment was within 15 years of the commencement
of the instant offense.'' The Act also expanded the class of triggering
offenses for the same statutory provisions by adding ``serious violent
felony.'' The term ``serious violent felony'' is defined in 21 U.S.C.
802(58) as ``(A) an offense described in [18 U.S.C. 3559(c)(2)] for
which the offender served a term of imprisonment of more than 12
months; and (B) any offense that would be a felony violation of [18
U.S.C. 113], if the offense were committed in the special maritime and
territorial jurisdiction of the United States, for which the offender
served a term of imprisonment of more than 12 months.'' The First Step
Act did not amend 21 U.S.C. 841(b)(1)(C), 841(b)(1)(E), 960(b)(3), or
960(b)(5), which still provide for enhanced mandatory minimum penalties
if a defendant was convicted of a prior ``felony drug offense.''
Part B of the proposed amendment would revise subsection (a) of
Sec. 2D1.1 (Unlawful Manufacturing, Importing, Exporting, or
Trafficking (Including Possession with Intent to Commit These
Offenses); Attempt or Conspiracy) to make the guideline's base offense
levels consistent with the First Step Act's changes to the type of
prior offenses that trigger enhanced mandatory minimum penalties.
Specifically, the proposed amendment would revise subsections (a)(1)
and (a)(3) to replace the term ``similar offense'' used in these
guideline provisions with the appropriate terms set forth in the
relevant statutory provisions, as amended by the First Step Act.
First, Part B of the proposed amendment would amend Sec.
2D1.1(a)(1) and split it into two subparagraphs. Subparagraph (A) would
provide for a base offense level of 43 for a defendant 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),
where death or serious bodily injury resulted from the use of the
substance and the defendant committed the offense after one or more
prior convictions for a ``serious drug felony or serious violent
felony.'' Subparagraph (B) would provide for a base offense level of 43
for a defendant convicted under 21 U.S.C. 841(b)(1)(C) or 21 U.S.C.
960(b)(3) where death or serious bodily injury resulted from the use of
the substance and the defendant committed the offense after one or more
prior convictions for a ``felony drug offense.''
[[Page 7188]]
Second, Part B of the proposed amendment would amend Sec.
2D1.1(a)(3), which provides for a base offense level of 30 for a
defendant convicted under 21 U.S.C. 841(b)(1)(E) or 21 U.S.C. 960(b)(5)
where death or serious bodily injury resulted from the use of the
substance and the defendant committed the offense after one or more
prior convictions for a ``similar offense.'' Specifically, it would
replace the term ``similar offense'' with ``felony drug offense,'' as
provided in the relevant statutory provisions.
(A) Safety Valve
Proposed Amendment
Section 5C1.2(a) is amended--
by inserting after ``Sec. 963,'' the following: ``or 46 U.S.C.
70503 or Sec. 70506,'';
by striking ``set forth below'' and inserting ``as follows'';
by striking paragraph (1) as follows:
``(1) the defendant does not have more than 1 criminal history
point, as determined under the sentencing guidelines before application
of subsection (b) of Sec. 4A1.3 (Departures Based on Inadequacy of
Criminal History Category);'';
and by inserting the following new paragraph (1):
``(1) the defendant does not have--
(A) more than 4 criminal history points, excluding any criminal
history points resulting from a 1-point offense, as determined under
the sentencing guidelines;
(B) a prior 3-point offense, as determined under the sentencing
guidelines; and
(C) a prior 2-point violent offense, as determined under the
sentencing guidelines;''.
[Section 5C1.2(b) is amended by striking ``the offense level
applicable from Chapters Two (Offense Conduct) and Three (Adjustments)
shall not be less than 17'' and inserting ``the applicable guideline
range shall not be less than 24 to 30 months of imprisonment''.]
The Commentary to Sec. 5C1.2 captioned ``Application Notes'' is
amended--
by striking Notes 1, 2, and 3 as follows:
``1. `More than 1 criminal history point, as determined under the
sentencing guidelines,' as used in subsection (a)(1), means more than
one criminal history point as determined under Sec. 4A1.1 (Criminal
History Category) before application of subsection (b) of Sec. 4A1.3
(Departures Based on Inadequacy of Criminal History Category).
2. `Dangerous weapon' and `firearm,' as used in subsection (a)(2),
and `serious bodily injury,' as used in subsection (a)(3), are defined
in the Commentary to Sec. 1B1.1 (Application Instructions).
3. `Offense,' as used in subsection (a)(2)-(4), and `offense or
offenses that were part of the same course of conduct or of a common
scheme or plan,' as used in subsection (a)(5), mean the offense of
conviction and all relevant conduct.'';
and inserting the following new Note 1 [and Note 2]:
``1. Definitions.--
(A) The term `violent offense' means a `crime of violence,' as
defined in 18 U.S.C. 16, that is punishable by imprisonment.
(B) `Dangerous weapon' and `firearm,' as used in subsection (a)(2),
and `serious bodily injury,' as used in subsection (a)(3), are defined
in the Commentary to Sec. 1B1.1 (Application Instructions).
(C) `Offense,' as used in subsection (a)(2)-(4), and `offense or
offenses that were part of the same course of conduct or of a common
scheme or plan,' as used in subsection (a)(5), mean the offense of
conviction and all relevant conduct.
[2. Application of subsection (a)(1).--In determining whether the
defendant meets the criteria in subsection (a)(1), refer to Sec. 4A1.1
(Criminal History Category) and Sec. 4A1.2 (Definitions and
Instructions for Computing Criminal History), read together, before
application of subsection (b) of Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category).]'';
by redesignating Note 4 as Note 3;
in Note 3 (as so redesignated) by inserting at the beginning the
following new heading: ``Application of subsection (a)(2).--'';
by striking Notes 5, 6, and 7 as follows:
``5. `Organizer, leader, manager, or supervisor of others in the
offense, as determined under the sentencing guidelines,' as used in
subsection (a)(4), means a defendant who receives an adjustment for an
aggravating role under Sec. 3B1.1 (Aggravating Role).
6. `Engaged in a continuing criminal enterprise,' as used in
subsection (a)(4), is defined in 21 U.S.C. 848(c). As a practical
matter, it should not be necessary to apply this prong of subsection
(a)(4) because (i) this section does not apply to a conviction under 21
U.S.C. 848, and (ii) any defendant who `engaged in a continuing
criminal enterprise' but is convicted of an offense to which this
section applies will be an `organizer, leader, manager, or supervisor
of others in the offense.'
7. Information disclosed by the defendant with respect to
subsection (a)(5) may be considered in determining the applicable
guideline range, except where the use of such information is restricted
under the provisions of Sec. 1B1.8 (Use of Certain Information). That
is, subsection (a)(5) does not provide an independent basis for
restricting the use of information disclosed by the defendant.'';
by inserting the following new Notes 4 and 5:
``4. Application of Subsection (a)(4).--
(A) `Organizer, leader, manager, or supervisor of others in the
offense'.--The first prong of subsection (a)(4) requires that the
defendant was not subject to an adjustment for an aggravating role
under Sec. 3B1.1 (Aggravating Role).
(B) `Engaged in a continuing criminal enterprise'.--`Engaged in a
continuing criminal enterprise,' as used in subsection (a)(4), is
defined in 21 U.S.C. 848(c). As a practical matter, it should not be
necessary to apply this prong of subsection (a)(4) because (i) this
section does not apply to a conviction under 21 U.S.C. 848, and (ii)
any defendant who `engaged in a continuing criminal enterprise' but is
convicted of an offense to which this section applies will be an
`organizer, leader, manager, or supervisor of others in the offense.'
5. Use of Information Disclosed under Subsection (a).--Information
disclosed by a defendant under subsection (a) may not be used to
enhance the sentence of the defendant unless the information relates to
a violent offense, as defined in Application Note 1(A).'';
by redesignating Notes 8 and 9 as Notes 6 and 7, respectively;
in Note 6 (as so redesignated) by inserting at the beginning the
following new heading: ``Government's Opportunity to Make
Recommendation.--'';
and in Note 7 (as so redesignated) by inserting at the beginning
the following new heading: ``Exemption from Otherwise Applicable
Statutory Minimum Sentences.--''.
The Commentary to Sec. 5C1.2 captioned ``Background'' is amended
by inserting after ``Violent Crime Control and Law Enforcement Act of
1994'' the following: ``and subsequently amended''.
Section 4A1.3(b)(3)(B) is amended--
in the heading by striking ``to Category I'';
by striking ``whose criminal history category is Category I after
receipt of'' and inserting ``who receives'';
by striking ``criterion'' and inserting ``criminal history
requirement'';
and by striking ``if, before receipt of the downward departure, the
defendant had more than one criminal history point under Sec. 4A1.1
(Criminal History Category)'' and inserting ``if the defendant did not
otherwise meet such
[[Page 7189]]
requirement before receipt of the downward departure''.
[Option 1:
Section 2D1.1(b)(18) is amended by striking ``subdivisions'' and
inserting ``paragraphs''.
[The Commentary to Sec. 2D1.1 captioned ``Application Notes'' is
amended in Note 21 by striking ``a minimum offense level of level 17''
and inserting ``that the applicable guideline range shall not be less
than 24 to 30 months of imprisonment''.]
Section 2D1.11(b)(6) is amended by striking ``subdivisions'' and
inserting ``paragraphs''.
[The Commentary to Sec. 2D1.11 captioned ``Application Notes'' is
amended in Note 7 by striking ``a minimum offense level of level 17''
and inserting ``an applicable guideline range of not less than 24 to 30
months of imprisonment''.]]
[Option 2:
Section 2D1.1(b)(18) is amended by striking the following:
``If the defendant meets the criteria set forth in subdivisions
(1)-(5) of subsection (a) of Sec. 5C1.2 (Limitation on Applicability
of Statutory Minimum Sentences in Certain Cases), decrease by 2
levels.'',
and inserting the following:
``If the defendant--
(A) meets the criteria set forth in paragraphs (2)-(5) of
subsection (a) of Sec. 5C1.2 (Limitation on Applicability of Statutory
Minimum Sentences in Certain Cases); and
(B) does not have any of the following:
(i) more than 4 criminal history points, excluding any criminal
history points resulting from a 1-point offense;
(ii) a prior 3-point offense; or
(iii) a prior 2-point violent offense;
as determined under Sec. 4A1.1 (Criminal History Category) and
Sec. 4A1.2 (Definitions and Instructions for Computing Criminal
History), read together, before application of subsection (b) of Sec.
4A1.3 (Departures Based on Inadequacy of Criminal History Category);
decrease by 2 levels.''.
The Commentary to Sec. 2D1.1 captioned ``Application Notes'' is
amended in Note 21 by striking the following:
``Applicability of Subsection (b)(18).--The applicability of
subsection (b)(18) shall be determined without regard to whether the
defendant was convicted of an offense that subjects the defendant to a
mandatory minimum term of imprisonment. Section Sec. 5C1.2(b), which
provides a minimum offense level of level 17, is not pertinent to the
determination of whether subsection (b)(18) applies.'',
and inserting the following:
``Application of Subsection (b)(18).--
(A) General Applicability.--The applicability of subsection (b)(18)
shall be determined without regard to whether the defendant was
convicted of an offense that subjects the defendant to a mandatory
minimum term of imprisonment. Section Sec. 5C1.2(b), which provides [a
minimum offense level of level 17][that the applicable guideline range
shall not be less than 24 to 30 months of imprisonment], is not
pertinent to the determination of whether subsection (b)(18) applies.
(B) Definition of Violent Offense.--The term `violent offense'
means a `crime of violence,' as defined in 18 U.S.C. 16, that is
punishable by imprisonment.''.
Section 2D1.11(b)(6) is amended by striking the following:
``If the defendant meets the criteria set forth in subdivisions
(1)-(5) of subsection (a) of Sec. 5C1.2 (Limitation on Applicability
of Statutory Minimum Sentences in Certain Cases), decrease by 2
levels.'',
and inserting the following:
``If the defendant--
(A) meets the criteria set forth in paragraphs (2)-(5) of
subsection (a) of Sec. 5C1.2 (Limitation on Applicability of Statutory
Minimum Sentences in Certain Cases); and
(B) does not have any of the following:
(i) more than 4 criminal history points, excluding any criminal
history points resulting from a 1-point offense;
(ii) a prior 3-point offense; or
(iii) a prior 2-point violent offense;
as determined under Sec. 4A1.1 (Criminal History Category) and
Sec. 4A1.2 (Definitions and Instructions for Computing Criminal
History), read together, before application of subsection (b) of Sec.
4A1.3 (Departures Based on Inadequacy of Criminal History Category);
decrease by 2 levels.''.
The Commentary to Sec. 2D1.11 captioned ``Application Notes'' is
amended in Note 7 by striking the following:
``Applicability of Subsection (b)(6).--The applicability of
subsection (b)(6) shall be determined without regard to the offense of
conviction. If subsection (b)(6) applies, Sec. 5C1.2(b) does not
apply. See Sec. 5C1.2(b)(2)(requiring a minimum offense level of level
17 if the `statutorily required minimum sentence is at least five
years').'',
and inserting the following:
``Application of Subsection (b)(6).--
(A) General Applicability.--The applicability of subsection (b)(6)
shall be determined without regard to the offense of conviction. If
subsection (b)(6) applies, Sec. 5C1.2(b) does not apply. See Sec.
5C1.2(b)(2) (requiring [a minimum offense level of level 17][an
applicable guideline range of not less than 24 to 30 months of
imprisonment] if the `statutorily required minimum sentence is at least
five years').
(B) Definition of Violent Offense.--The term `violent offense'
means a `crime of violence,' as defined in 18 U.S.C. 16, that is
punishable by imprisonment.''.]
Issues for Comment
1. As described above, Part A of the proposed amendment would make
changes to Sec. 5C1.2 (Limitation on Applicability of Statutory
Minimum Sentences in Certain Cases) and its corresponding commentary to
implement the First Step Act of 2018, Public Law 115-391 (Dec. 21,
2018). The Commission seeks general comment on whether the Commission
should make any different or additional changes to implement the Act.
2. Section 3553(f)(1) of title 18, United States Code, sets forth
the criminal history criteria for the safety valve in subparagraphs (A)
through (C). Each subparagraph sets forth the specific criminal history
condition followed by the phrase ``as determined under the sentencing
guidelines.'' Circuit courts have reached different conclusions about
what constitutes a ``1-point,'' ``2-point,'' or ``3-point'' offense,
and also seem to disagree on whether such interpretation arises from
the statute itself or from proper guideline operation. Compare, e.g.,
United States v. Garcon, 54 F.4th 1274, 1280-84 (11th Cir. 2022) (en
banc) (concluding that criminal history events are considered
differently for purposes of subsections 3553(f)(1)(B) and (C) than
subsection (A), and articulating that interpretation as primarily
stemming from the statute), with United States v. Haynes, 55 F.4th
1075, 1080 (6th Cir. 2022) (``[Section] 3553(f)(1) refers only to
`prior 3-point' and `prior 2-point violent' offenses `as determined
under the sentencing guidelines'--which means all the Guidelines,
including Sec. 4A1.2(e).''). The Commission seeks comment on whether
it should provide guidance on what constitutes a ``1-point,'' ``2-
point,'' or ``3-point'' offense, ``as determined under the sentencing
guidelines,'' for purposes of Sec. 5C1.2.
3. Part A of the proposed amendment provides two options for
amending subsection (b)(18) of Sec. 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking (Including Possession with Intent
to Commit These Offenses); Attempt or Conspiracy) and subsection
[[Page 7190]]
(b)(6) of Sec. 2D1.11 (Unlawfully Distributing, Importing, Exporting
or Possessing a Listed Chemical; Attempt or Conspiracy) in light of the
proposed revisions to Sec. 5C1.2(a), which reflect the changes to 18
U.S.C. 3553(f) enacted by the First Step Act.
Option 1 would leave the text of Sec. 2D1.1(b)(18) and Sec.
2D1.11(b)(6) unchanged, so that their offense-level reductions would
apply to all defendants who meet the criteria in revised Sec.
5C1.2(a)(1)-(5). As discussed above, a circuit conflict has arisen as
to whether the ``and'' connecting the subparagraphs that set forth the
criminal history criteria in 18 U.S.C. 3553(f)(1) operates
disjunctively or conjunctively.
Option 2 of the proposed amendment would amend Sec. 2D1.1(b)(18)
and Sec. 2D1.11(b)(6) to provide that their 2-level reductions would
apply to all defendants who meet the criteria in Sec. 5C1.2(a)(2)-(5).
It would also incorporate into those provisions the same criminal
history criteria from revised Sec. 5C1.2(a)(1) but set forth the
criteria disjunctively, so that the reductions would be available only
to defendants who do not present any of the listed disqualifying
conditions.
The Commission seeks comment on each of these options. Which
option, if any, is appropriate? In the alternative, should the
Commission incorporate into Sec. 2D1.1(b)(18) and Sec. 2D1.11(b)(6)
the same criminal history criteria from revised Sec. 5C1.2(a)(1) but
set forth the criteria conjunctively, so that defendants must present
all of the listed disqualifying conditions to be ineligible for their
reductions? Should the Commission consider an altogether different
approach? If so, what approach should the Commission provide and why?
(B) Recidivist Penalties for Drug Offenders
Proposed Amendment
Section 2D1.1(a)(1) is amended by striking the following:
``43, 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 and that the defendant
com-mitted the offense after one or more prior convictions for a
similar offense; or'',
and inserting the following:
``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''.
Section 2D1.1(a)(3) is amended by striking ``similar offense'' and
inserting ``felony drug offense''.
The Commentary to Sec. 2D1.1 caption ``Application Notes'' is
amended--
by striking Note 2 as follows:
``2. `Plant'.--For purposes of the guidelines, a `plant' is an
organism having leaves and a readily observable root formation (e.g., a
marihuana cutting having roots, a rootball, or root hairs is a
marihuana plant).'';
by redesignating Note 1 as Note 2;
and by inserting at the beginning the following new Note 1:
``1. Definitions.--
For purposes of the guidelines, a `plant' is an organism having
leaves and a readily observable root formation (e.g., a marihuana
cutting having roots, a rootball, or root hairs is a marihuana plant).
For purposes of subsection (a), `serious drug felony,' `serious
violent felony,' and `felony drug offense' have the meaning given those
terms in 21 U.S.C. 802.''.
3. Firearms Offenses
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's consideration of possible amendments to Sec. 2K2.1
(Unlawful Receipt, Possession, or Transportation of Firearms or
Ammunition; Prohibited Transactions Involving Firearms or Ammunition)
to (A) implement the Bipartisan Safer Communities Act (Pub. L. 117-
159); and (B) make any other changes that may be warranted to
appropriately address firearms offenses. See U.S. Sent'g Comm'n,
``Notice of Final Priorities,'' 87 FR 67756 (Nov. 9, 2022). The
proposed amendment contains three parts (Parts A through C). The
Commission is considering whether to promulgate any or all these parts,
as they are not mutually exclusive.
Part A of the proposed amendment would amend Sec. 2K2.1 to respond
to the Bipartisan Safer Communities Act. Two options are presented.
Issues for comment are also provided.
Part B of the proposed amendment addresses concerns expressed by
some commenters about firearms that are not marked by a serial number
(i.e., ``ghost guns''). An issue for comment is also provided.
Part C of the proposed amendment provides issues for comment on
possible further revisions to Sec. 2K2.1.
(A) Bipartisan Safer Communities Act
Synopsis of Proposed Amendment: The Bipartisan Safer Communities
Act (the ``Act''), among other things, created two new firearms
offenses, amended definitions, increased penalties for certain firearms
offenses, and contained a directive to the Commission relating to straw
purchases and trafficking of firearms offenses.
Specifically, the Act created two new offenses at 18 U.S.C. 932 and
933. Section 932 prohibits knowingly purchasing, or conspiring to
purchase, any firearm on behalf of, or at the request or demand of,
another person with knowledge or reasonable cause to believe that such
other person: (1) meets at least one of the criteria set forth in 18
U.S.C. 922(d); (2) intends to use, carry, possess, sell, or otherwise
dispose of the firearm in furtherance of a felony, a Federal crime of
terrorism, or a drug trafficking crime; or (3) intends to sell or
otherwise dispose of the firearm to a person who meets either of the
previous criteria. See 18 U.S.C. 932(b). Section 933 prohibits: (1)
shipping, transporting, transferring, causing to be transported, or
otherwise disposing of, any firearm to another person with knowledge or
reasonable cause to believe that the use, carrying, or possession of a
firearm by the recipient would constitute a felony; (2) receiving from
another person any firearm with knowledge or reasonable cause to
believe that such receipt would constitute a felony; or (3) attempt or
conspiracy to commit either of the acts described before. See 18 U.S.C.
933(a).
Both new offenses carry a statutory maximum term of imprisonment of
15 years. The statutory maximum term of imprisonment for offenses under
section 932 increases to 25 years if the offense was committed with
knowledge or reasonable cause to believe that any firearm involved will
be used to commit a felony, a Federal crime of terrorism, or a drug
trafficking crime. See 18 U.S.C. 932(c)(2).
In addition, the Act increased the statutory maximum term of
imprisonment for the offenses under 18 U.S.C. 922(d), 922(g), 924(h),
and 924(k) from ten to 15 years. The Act also made changes to the
elements of some of these offenses. First, the Act expanded the scope
of section 922(d) by adding two
[[Page 7191]]
additional categories of persons to whom it is unlawful to sell or
otherwise dispose of any firearm or ammunition: (1) persons who intend
to sell or otherwise dispose of the firearm or ammunition in
furtherance of a felony, a Federal crime of terrorism, or a drug
trafficking offense; and (2) persons who intend to sell or otherwise
dispose of the firearm or ammunition to a person to whom sale or
disposition is prohibited under the other categories in section 922(d).
See 18 U.S.C. 922(d)(10)-(11).
Second, the Act amended section 924(h). Prior to the Act, section
924(h) prohibited knowingly transferring a firearm with knowledge that
such firearm will be used to commit a crime of violence or drug
trafficking crime. As amended by the Act, section 924(h) prohibits
knowingly receiving or transferring a firearm or ammunition, or
attempting or conspiring to do so, with knowledge or reasonable cause
to believe that such firearm or ammunition will be used to commit a
felony, a Federal crime of terrorism, a drug trafficking crime, or a
crime under the Arms Export Control Act (22 U.S.C. 2751 et seq.), the
Export Control Reform Act of 2018 (50 U.S.C. 4801 et seq.), the
International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.),
or the Foreign Narcotics Kingpin Designation Act (21 U.S.C. 1901 et
seq.). See 18 U.S.C. 924(h).
Third, the Act also amended section 924(k). Prior to the Act,
section 924(k) prohibited smuggling or knowingly bringing into the
United States a firearm, or attempting to do so, with intent to engage
in or to promote conduct that: (1) is punishable under the Controlled
Substances Act (21 U.S.C. 801 et seq.), the Controlled Substances
Import and Export Act (21 U.S.C. 951 et seq.), or chapter 705 of title
46, United States Code; (2) violates any law of a State relating to any
controlled substance; or (3) constitutes a crime of violence. Section
924(k), as amended by the Act, prohibits smuggling or knowingly
bringing into or out of the United States a firearm or ammunition, or
attempting or conspiring to do so, with intent to engage in or to
promote conduct that: (1) is punishable under the Controlled Substances
Import and Export Act (21 U.S.C. 951 et seq.), or chapter 705 of title
46, United States Code; or (2) constitutes a felony, a Federal crime of
terrorism, or a drug trafficking crime. See 18 U.S.C. 924(k).
The Act also expanded the definition of ``misdemeanor crime of
domestic violence'' at 18 U.S.C. 921(a)(33) to include offenses against
a person in ``a current or recent former dating relationship.'' See 18
U.S.C. 921(a)(33)(A). In addition, the Act added a new provision to
section 921(a)(33) indicating that a person is not disqualified from
shipping, transporting, possessing, receiving, or purchasing a firearm
under chapter 44 of title 18, United States Code, by reason of a
conviction for a misdemeanor crime of domestic violence against an
individual in a dating relationship if certain criteria are met. See 18
U.S.C. 921(a)(33)(C).
Finally, the Act includes a directive requiring the Commission,
pursuant to its authority under 28 U.S.C. 994, to review and amend its
guidelines and policy statements to ensure that persons convicted of an
offense under section 932 or 933 of title 18, United States Code, and
other offenses applicable to the straw purchases and trafficking of
firearms are subject to increased penalties in comparison to those
currently provided by the guidelines and policy statements for such
straw purchasing and trafficking of firearms offenses. In its review,
the Commission shall consider, in particular, an appropriate amendment
to reflect the intent of Congress that straw purchasers without
significant criminal histories receive sentences that are sufficient to
deter participation in such activities and reflect the defendant's role
and culpability, and any coercion, domestic violence survivor history,
or other mitigating factors. The Commission shall also review and amend
its guidelines and policy statements to reflect the intent of Congress
that a person convicted of an offense under section 932 or 933 of title
18, United States Code, who is affiliated with a gang, cartel,
organized crime ring, or other such enterprise should be subject to
higher penalties than an otherwise unaffiliated individual.
Public Law 117-159, 12004(a)(5) (2022).
New Offenses and Increased Penalties for Straw Purchasing and Firearms
Trafficking Offenses
Part A of the proposed amendment implements part of the directive
of the Bipartisan Safer Communities Act by addressing the new offenses
at 18 U.S.C. 932 and 933 and increasing penalties for other offenses
applicable to straw purchases and trafficking of firearms. First, Part
A of the proposed amendment would amend Appendix A (Statutory Index) to
reference the new offenses at 18 U.S.C. 932 and 933 to Sec. 2K2.1
(Unlawful Receipt, Possession, or Transportation of Firearms or
Ammunition; Prohibited Transactions Involving Firearms or Ammunition).
Offenses involving firearms trafficking and straw purchases are
generally referenced to this guideline.
Second, Part A of the proposed amendment would amend Sec. 2K2.1 to
address the new offenses and increase penalties for offenses applicable
to straw purchases and trafficking of firearms, as required by the
directive. Two options are presented.
Option 1 addresses the new offenses at 18 U.S.C. 932 and 933 and
increases penalties for offenses applicable to straw purchases and
trafficking of firearms. It would accomplish this by adding references
to the new offenses in Sec. 2K2.1(a) and revising the firearms
trafficking enhancement at Sec. 2K2.1(b)(5) to apply to straw purchase
and other trafficking offenses.
Specifically, Option 1 would add references to 18 U.S.C. 932 and
933 in subsections (a)(4)(B)(ii)(II) and (a)(6)(B). In addition, Option
1 would revise the 4-level enhancement for firearms trafficking at
Sec. 2K2.1(b)(5) to make it a tiered-enhancement applicable to
defendants who transferred or intended to transfer firearms or
ammunition to certain individuals, which would provide the requisite
increase for a defendant convicted of violating 18 U.S.C. 922(d), 932,
or 933(a)(1), as well as other offenses, including violations of 18
U.S.C. 922(a)(6) or 924(a)(1)(A) committed with knowledge, intent, or
reason to believe that the offense would result in the transfer of a
firearm or ammunition to a prohibited person. The revised enhancement
would also apply to defendants convicted under 18 U.S.C. 933(a)(2) or
(a)(3). Specifically, a [1][2]-level enhancement would apply if the
defendant was convicted under 18 U.S.C. 933(a)(2) or (a)(3). A [1][2]-
level increase would apply if the defendant (i) transported,
transferred, sold, or otherwise disposed of, or purchased or received
with intent to transport, transfer, sell, or otherwise dispose of, a
firearm or any ammunition knowing or having reason to believe that such
conduct would result in the receipt of the firearm or ammunition by an
individual who (I) was a prohibited person; or (II) intended to use or
dispose of the firearm or ammunition unlawfully; or (ii) attempted or
conspired to commit the conduct described in clause (i). A [5][6]-level
enhancement would apply if the defendant (i) transported, transferred,
sold, or otherwise disposed of, or purchased or received with intent to
transport, transfer, sell, or otherwise dispose of, two or more
firearms knowing or having reason to believe that such conduct would
result in the receipt
[[Page 7192]]
of the firearms by an individual who (I) had a prior conviction for a
crime of violence, controlled substance offense, or misdemeanor crime
of domestic violence; (II) was under a criminal justice sentence; or
(III) intended to use or dispose of the firearms unlawfully; or (ii)
attempted or conspired to commit the conduct described in clause (i).
In addition, Option 1 would amend Application Note 13 to conform
its content with the revised version of Sec. 2K2.1(b)(5). It would
also include a new provision in response to the changes that the Act
made to section 921(a)(33). Specifically, the new provision states that
new subsection (b)(5)(C) shall not apply based upon the receipt or
intended receipt of the firearms by an individual with a prior
conviction for a misdemeanor crime of domestic violence against a
person in a dating relationship if, at the time of the instant offense,
such individual [had no prior conviction for a crime of violence or
controlled substance offense and had not more than one conviction of a
misdemeanor crime of domestic violence against a person in a dating
relationship, but 5 years had elapsed from the later of the judgment of
conviction or the completion of the individual's custodial or
supervisory sentence for such an offense and the individual had not
subsequently been convicted of another such offense; a misdemeanor
under federal, state, tribal, or local law which has, as an element,
the use or attempted use of physical force, or the threatened use of a
deadly weapon; or any other offense covered 18 U.S.C. 922(g)][met the
criteria set forth in the proviso of 18 U.S.C. 921(a)(33)(C)]. In
addition, Option 1 would amend the departure provision in Application
Note 13 to provide that 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 [or an unusually large amount of ammunition], an
upward departure may be warranted.
Option 2 would restructure the base offense level provisions at
Sec. 2K2.1(a) by providing references to specific statutes with
statutory maximum terms of imprisonment of 15 years or more. Option 2
identifies the ``other offenses applicable'' to trafficking and straw
purchasing as those for which Congress increased penalties in the Act.
As mentioned, the Act increased the maximum term of imprisonment from
ten to 15 years for four offenses: 18 U.S.C. 922(d) (transferring a
firearm or ammunition to a prohibited person); 922(g) (possession,
receipt, or transfer of a firearm or ammunition by a prohibited
person); 924(h) (transferring a firearm or ammunition to commit a
felony); and 924(k) (smuggling a firearm or ammunition to commit a
felony). The 15-year statutory maximum for these four offenses is the
same as the new section 932 (without aggravating circumstances) and
section 933 offenses. Three of the offenses with the amended statutory
penalties (sections 922(g), 922(d), and 924(h)) share core elements
with the new straw purchase (section 932) and trafficking (section 933)
statutes: the transfer of a firearm to a felon or knowing it would be
used to commit a felony; and the receipt of a firearm by a felon or
knowing it would be used to commit a felony. The third (section 924(k))
similarly concerns itself with the intent to engage in or promote a
further felony (after smuggling a firearm or ammunition into or out of
the United States). Because the penalties and elements of these four
offenses are similar to those of the new offenses, and they were
modified by the same Act, Option 2 applies the increase to defendants
convicted of those four offenses in addition to defendants convicted
under 18 U.S.C. 932 and 933.
First, Option 2 would increase by [1][2] levels the base offense
levels at subsections (a)(1) through (a)(3). Second, Option 2 would add
a new provision at subsection (a)(4) that sets forth a base offense
level of [21][22] if (A) the defendant committed any part of the
instant offense subsequent to sustaining one felony conviction of
either a crime of violence or a controlled substance offense; or (B)
(i) the defendant is convicted under 18 U.S.C. 922(d), 922(g), 924(h),
924(k), 932, or 933; and (ii) the offense involved a (I) semiautomatic
firearm that is capable of accepting a large capacity magazine; or (II)
firearm that is described in 26 U.S.C. 5845(a). Third, Option 2 would
delete current subsection (a)(4)(A) and make conforming changes to
current subsection (a)(4)(B). Fourth, Option 2 would add a new
provision at Sec. 2K2.1(a)(7) that would set forth a new base offense
level of [15][16] if the defendant was convicted under 18 U.S.C.
922(d), 922(g), 924(h), 924(k), 932, or 933. Fifth, Option 2 would
delete current subsection (a)(6)(B). Sixth, Option 2 would amend the
provision that follows Sec. 2K2.1(b)(4) containing a cumulative impact
``cap,'' to increase such limit from level 29 to level [30][31].
Finally, Option 2 would add a new [1][2]-level reduction at Sec.
2K1.1(b)(9) applicable if (A) the base offense level is determined
under new subsection (a)(7); (B) none of the enhancements in subsection
(b) apply; and (C) the offense of conviction established only the
possession or receipt of firearms or ammunition.
Option 2 would also amend current Application Note 13(B) in
response to the changes that the Act made to section 921(a)(33). The
note currently provides that ``misdemeanor crime of violence'' has the
meaning given that term in 18 U.S.C. 921(a)(33)(A). Option 2 would
amend Application Note 13(B) to expressly provide that an individual
shall not be considered an ``individual whose possession or receipt of
the firearm would be unlawful'' [if, at the time of the instant
offense, the individual was not otherwise covered by such definition
and has not more than one conviction of a misdemeanor crime of domestic
violence against a person in a dating relationship, but 5 years had
elapsed from the later of the judgment of conviction or the completion
of the individual's custodial or supervisory sentence for such an
offense and the individual had not subsequently been convicted of:
another such offense; a misdemeanor under federal, state, tribal, or
local law which has, as an element, the use or attempted use of
physical force, or the threatened use of a deadly weapon; or any other
offense covered by the definition of ``individual whose possession or
receipt of the firearm would be unlawful''][based upon a conviction of
a misdemeanor crime of domestic violence against a person in a dating
relationship, if the individual met the criteria set forth in the
proviso of 18 U.S.C. 921(a)(33)(C) at the time of the instant offense].
``Straw Purchasers'' With Mitigating Factors
Part A of the proposed amendment also addresses the part of the
directive that requires the Commission to ``consider, in particular, an
appropriate amendment to reflect the intent of Congress that straw
purchasers without significant criminal histories receive sentences
that are sufficient to deter participation in such activities and
reflect the defendant's role and culpability, and any coercion,
domestic violence survivor history, or other mitigating factors.'' See
Public Law 117-159, Sec. 12004(a)(5) (2022).
In response to the directive, Options 1 and 2 of Part A of the
proposed amendment would add a new [1][2]-level reduction based on
certain mitigating factors.
Option 1 would set forth the new [1][2]-level reduction at
subsection (b)(9). The reduction would be applicable if the defendant
(A) [receives
[[Page 7193]]
an enhancement under subsection (b)(5)][is convicted under (i) 18
U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C. 922(a)(6) or 924(a)(1)(A)
and committed the offense with knowledge, intent, or reason to believe
that the offense would result in the transfer of a firearm or
ammunition to a prohibited person]; (B) does not have more than 1
criminal history point, as determined under Sec. 4A1.1 (Criminal
History Category) and Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History), read together, before application of
subsection (b) of Sec. 4A1.3 (Departures Based on Inadequacy of
Criminal History Category); and (C) (i) was motivated by an intimate or
familial relationship or by threats or fear to commit the offense;
[or][and] (ii) received little or no compensation from the offense;
[or][and] (iii) had minimal knowledge [of the scope and structure of
the enterprise][that the firearm would be used or possessed in
connection with further criminal activity].
Option 2 would set forth the new [1][2]-level reduction at
subsection (b)(10). The reduction would be applicable if subsection
(b)(9) does not apply and the defendant (A) is convicted under 18
U.S.C. 922(d), 924(h), 924(k), 932, or 933; (B) does not have more than
1 criminal history point, as determined under Sec. 4A1.1 (Criminal
History Category) and Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History), read together, before application of
subsection (b) of Sec. 4A1.3 (Departures Based on Inadequacy of
Criminal History Category); and (C) (i) was motivated by an intimate or
familial relationship or by threats or fear to commit the offense;
[or][and] (ii) received little or no compensation from the offense;
[or][and] (iii) had minimal knowledge [of the scope and structure of
the enterprise][that the firearm would be used or possessed in
connection with further criminal activity].
In relation to this part of the directive, both options in Part A
of the proposed amendment bracket the deletion of the departure
provision at Application Note 15 of Sec. 2K2.1.
Enhancement for Defendants With Criminal Affiliations
Finally, Part A of the proposed amendment addresses the part of the
directive that requires the Commission to ``review and amend its
guidelines and policy statements to reflect the intent of Congress that
a person convicted of an offense under section 932 or 933 of title 18,
United States Code, who is affiliated with a gang, cartel, organized
crime ring, or other such enterprise should be subject to higher
penalties than an otherwise unaffiliated individual.'' See Public Law
117-159, Sec. 12004(a)(5) (2022). Options 1 and 2 of Part A of the
proposed amendment would provide a new [2][3][4]-level enhancement in
response to this part of the directive.
Option 1 would set forth the new [2][3][4]-level enhancement at
subsection (b)(8). The enhancement would be applicable if the defendant
(A) [receives an enhancement under subsection (b)(5)][is convicted
under (i) 18 U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C. 922(a)(6) or
924(a)(1)(A) and committed the offense with knowledge, intent, or
reason to believe that the offense would result in the transfer of a
firearm or ammunition to a prohibited person]; (B) participated, at the
time of the offense, in a group, club, organization, or association of
five or more persons that had as one of its primary purposes the
commission of criminal offenses, with knowledge that its members engage
in or have engaged in criminal activity; and (C) committed the offense
with the intent to promote or further the felonious activities of, or
with the intent to maintain or increase his or her position in, such
group, club, organization, or association.
Option 2 would set forth the new [2][3][4]-level enhancement at
subsection (b)(8). The enhancement would be applicable if the defendant
(A) is convicted under (i) 18 U.S.C. 922(d), 932, or 933; or (ii) 18
U.S.C. 922(a)(6) or 924(a)(1)(A) and committed the offense with
knowledge, intent, or reason to believe that the offense would result
in the transfer of a firearm or ammunition to a prohibited person; (B)
participated, at the time of the offense, in a group, club,
organization, or association of five or more persons that had as one of
its primary purposes the commission of criminal offenses, with
knowledge that its members engage in or have engaged in criminal
activity; and (C) committed the offense with the intent to promote or
further the felonious activities of, or with the intent to maintain or
increase his or her position in, such group, club, organization, or
association.
Issues for Comment
Part A of the proposed amendment also provides issues for comment.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 18 U.S.C. 956 the following new line references:
``18 U.S.C. 932 2K2.1
18 U.S.C. 933 2K2.1''.
[Option 1 (Revised SOC Enhancement for Straw Purchase and
Trafficking Offenses):
Section 2K2.1(a)(4)(B) is amended by inserting after ``18 U.S.C.
922(d)'' the following: ``, Sec. 932, or Sec. 933''.
Section 2K2.1(a)(6)(B) is amended by inserting after ``18 U.S.C.
922(d)'' the following: ``, Sec. 932, or Sec. 933''.
Section 2K2.1(b) is amended--
in paragraph (5) by striking ``If the defendant engaged in the
trafficking of firearms, increase by 4 levels.'' and inserting the
following:
``(Apply the Greatest) If the defendant--
(A) was convicted under 18 U.S.C. 933(a)(2) or (a)(3), increase by
[1][2] levels;
(B) (i) transported, transferred, sold, or otherwise disposed of,
or purchased or received with intent to transport, transfer, sell, or
otherwise dispose of, a firearm or any ammunition knowing or having
reason to believe that such conduct would result in the receipt of the
firearm or ammunition by an individual who (I) was a prohibited person;
or (II) intended to use or dispose of the firearm or ammunition
unlawfully; or (ii) attempted or conspired to commit the conduct
described in clause (i), increase by [1][2] levels; or
(C) (i) transported, transferred, sold, or otherwise disposed of,
or purchased or received with intent to transport, transfer, sell, or
otherwise dispose of, two or more firearms knowing or having reason to
believe that such conduct would result in the receipt of the firearms
by an individual who (I) had a prior conviction for a crime of
violence, controlled substance offense, or misdemeanor crime of
domestic violence; (II) was under a criminal justice sentence; or (III)
intended to use or dispose of the firearms unlawfully; or (ii)
attempted or conspired to commit the conduct described in clause (i),
increase by [5][6] levels.'';
and by inserting at the end the following new paragraphs (8) and
(9):
``(8) If the defendant--
(A) [receives an enhancement under subsection (b)(5)][is convicted
under (i) 18 U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C. 922(a)(6) or
924(a)(1)(A) and committed the offense with knowledge, intent, or
reason to believe that the offense would result in the transfer of a
firearm or ammunition to a prohibited person];
(B) participated, at the time of the offense, in a group, club,
organization, or association of five or more persons that had as one of
its primary purposes the commission of criminal offenses, with
knowledge that its members engage
[[Page 7194]]
in or have engaged in criminal activity; and
(C) committed the offense with the intent to promote or further the
felonious activities of, or with the intent to maintain or increase his
or her position in, such group, club, organization, or association;
increase by [2][3][4] levels.
(9) If the defendant--
(A) [receives an enhancement under subsection (b)(5)][is convicted
under (i) 18 U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C. 922(a)(6) or
924(a)(1)(A) and committed the offense with knowledge, intent, or
reason to believe that the offense would result in the transfer of a
firearm or ammunition to a prohibited person];
(B) does not have more than 1 criminal history point, as determined
under Sec. 4A1.1 (Criminal History Category) and Sec. 4A1.2
(Definitions and Instructions for Computing Criminal History), read
together, before application of subsection (b) of Sec. 4A1.3
(Departures Based on Inadequacy of Criminal History Category); and
(C) (i) was motivated by an intimate or familial relationship or by
threats or fear to commit the offense; [or][and] (ii) received little
or no compensation from the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of the enterprise][that the
firearm would be used or possessed in connection with further criminal
activity];
decrease by [1][2] levels.''.
The Commentary to Sec. 2K2.1 captioned ``Statutory Provisions'' is
amended by inserting after ``(k)-(o),'' the following: ``932, 933,''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended--
in Note 3 by striking ``subsections (a)(4)(B) and (a)(6)'' and
inserting ``subsections (a)(4)(B), (a)(6), (b)(5), [(b)(8), and
(b)(9)]'';
in Note 10 by striking ``subsection (a)(1) and (a)(2)'' and
inserting ``subsections (a)(1) and (a)(2)'';
in Note 13--
by striking paragraph (A) as follows:
``(A) In General.--Subsection (b)(5) applies, regardless of whether
anything of value was exchanged, if the defendant--
(i) transported, transferred, or otherwise disposed of two or more
firearms to another individual, or received two or more firearms with
the intent to transport, transfer, or otherwise dispose of firearms to
another individual; and
(ii) knew or had reason to believe that such conduct would result
in the transport, transfer, or disposal of a firearm to an individual--
(I) whose possession or receipt of the firearm would be unlawful;
or
(II) who intended to use or dispose of the firearm unlawfully.'';
by redesignating paragraph (B) as paragraph (A);
in paragraph (A) (as so redesignated) by striking the first
paragraph as follows:
`` `Individual whose possession or receipt of the firearm would be
unlawful' means an individual who (i) has a prior conviction for a
crime of violence, a controlled substance offense, or a misdemeanor
crime of domestic violence; or (ii) at the time of the offense was
under a criminal justice sentence, including probation, parole,
supervised release, imprisonment, work release, or escape status.
`Crime of violence' and `controlled substance offense' have the meaning
given those terms in Sec. 4B1.2 (Definitions of Terms Used in Section
4B1.1). `Misdemeanor crime of domestic violence' has the meaning given
that term in 18 U.S.C. 921(a)(33)(A).'',
and inserting the following:
`` `Crime of violence' and `controlled substance offense' have the
meaning given those terms in Sec. 4B1.2 (Definitions of Terms Used in
Section 4B1.1).
`Misdemeanor crime of domestic violence' has the meaning given that
term in 18 U.S.C. 921(a)(33)(A).
The term `criminal justice sentence' includes probation, parole,
supervised release, imprisonment, work release, or escape status.'';
by inserting the following new paragraph (B):
``(B) Application of Subsection (b)(5)(C).--Subsection (b)(5)(C)
shall not apply based upon the receipt or intended receipt of the
firearms by an individual with a prior conviction for a misdemeanor
crime of domestic violence against a person in a dating relationship
if, at the time of the instant offense, such individual [had no prior
conviction for a crime of violence or controlled substance offense and
had not more than one conviction of a misdemeanor crime of domestic
violence against a person in a dating relationship, but 5 years had
elapsed from the later of the judgment of conviction or the completion
of the individual's custodial or supervisory sentence for such an
offense and the individual had not subsequently been convicted of
another such offense; a misdemeanor under federal, state, tribal, or
local law which has, as an element, the use or attempted use of
physical force, or the threatened use of a deadly weapon; or any other
offense covered in 18 U.S.C. 922(g)][met the criteria set forth in the
proviso of 18 U.S.C. 921(a)(33)(C)].'';
and in paragraph (C) by striking ``If the defendant trafficked
substantially more than 25 firearms, an upward departure may be
warranted'' and inserting ``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 [or an unusually large amount of ammunition], an
upward departure may be warranted''[;]
[and by striking Note 15 as follows:
``15. Certain Convictions Under 18 U.S.C. 922(a)(6), 922(d), and
924(a)(1)(A).--In a case in which the defendant is convicted under 18
U.S.C. 922(a)(6), 922(d), or 924(a)(1)(A), a downward departure may be
warranted if (A) none of the enhancements in subsection (b) apply, (B)
the defendant was motivated by an intimate or familial relationship or
by threats or fear to commit the offense and was otherwise unlikely to
commit such an offense, and (C) the defendant received no monetary
compensation from the offense.''].
[Option 2 (Increase Penalties for Offenses with Statutory Maximum
of 15 years or more):
Section 2K2.1(a) is amended--
in paragraph (1) by striking ``26,'' and inserting
``[26][27][28],'';
in paragraph (2) by striking ``24,'' and inserting
``[24][25][26],'';
in paragraph (3) by striking ``22,'' and inserting
``[22][23][24],'';
by striking paragraph (4) as follows:
``(4) 20, if--
(A) the defendant committed any part of the instant offense
subsequent to sustaining one felony conviction of either a crime of
violence or a controlled substance offense; or
(B) the (i) offense involved a (I) semiautomatic firearm that is
capable of accepting a large capacity magazine; or (II) firearm that is
described in 26 U.S.C. 5845(a); and (ii) defendant (I) was a prohibited
person at the time the defendant committed the instant offense; (II) is
convicted under 18 U.S.C. 922(d); or (III) is convicted under 18 U.S.C.
922(a)(6) or 924(a)(1)(A) and committed the offense with knowledge,
intent, or reason to believe that the offense would result in the
transfer of a firearm or ammunition to a prohibited person;'';
by redesignating paragraphs (5), (6), (7), and (8) as paragraphs
(6), (8), (9), and (10), respectively;
by inserting the following new paragraphs (4) and (5):
``(4) [21][22], if--
(A) the defendant committed any part of the instant offense
subsequent to sustaining one felony conviction of either a crime of
violence or a controlled substance offense; or
(B) (i) the defendant is convicted under 18 U.S.C. 922(d), 922(g),
924(h),
[[Page 7195]]
924(k), 932, or 933; and (ii) the offense involved a (I) semiautomatic
firearm that is capable of accepting a large capacity magazine; or (II)
firearm that is described in 26 U.S.C. 5845(a);
(5) 20, if the (A) offense involved a (i) semiautomatic firearm
that is capable of accepting a large capacity magazine; or (ii) firearm
that is described in 26 U.S.C. 5845(a); and (B) defendant (i) was a
prohibited person at the time the defendant committed the instant
offense; or (ii) is convicted under 18 U.S.C. 922(a)(6) or 924(a)(1)(A)
and committed the offense with knowledge, intent, or reason to believe
that the offense would result in the transfer of a firearm or
ammunition to a prohibited person;'';
by inserting the following new paragraph (7):
``(7) [15][16], if the defendant is convicted under 18 U.S.C.
922(d), 922(g), 924(h), 924(k), 932, or 933;'';
and in paragraph (8) (as so redesignated) by striking ``(B) is
convicted under 18 U.S.C. 922(d); or (C)'' and inserting ``or (B)''.
Section 2K2.1(b) is amended--
in paragraph (2) by striking ``(a)(4), or (a)(5)'' and inserting
``(a)(4), (a)(5), or (a)(6)'';
in the paragraph after paragraph (4) by striking ``level 29'' and
inserting ``level [29][30][31]'';
and by adding at the end the following new paragraphs (8), (9), and
(10):
``(8) If the defendant--
(A) is convicted under (i) 18 U.S.C. 922(d), 932, or 933; or (ii)
18 U.S.C. 922(a)(6) or 924(a)(1)(A) and committed the offense with
knowledge, intent, or reason to believe that the offense would result
in the transfer of a firearm or ammunition to a prohibited person;
(B) participated, at the time of the offense, in a group, club,
organization, or association of five or more persons that had as one of
its primary purposes the commission of criminal offenses, with
knowledge that its members engage in or have engaged in criminal
activity; and
(C) committed the offense with the intent to promote or further the
felonious activities of, or with the intent to maintain or increase his
or her position in, such group, club, organization, or association;
increase by [2][3][4] levels.
(9) If (A) the base offense level is determined under subsection
(a)(7); (B) none of the enhancements in subsection (b) apply; and (C)
the offense of conviction established only the possession or receipt of
firearms or ammunition, decrease by [1 level][2 levels].
(10) If subsection (b)(9) does not apply and the defendant--
(A) is convicted under 18 U.S.C. 922(d), 924(h), 924(k), 932, or
933;
(B) does not have more than 1 criminal history point, as determined
under Sec. 4A1.1 (Criminal History Category) and Sec. 4A1.2
(Definitions and Instructions for Computing Criminal History), read
together, before application of subsection (b) of Sec. 4A1.3
(Departures Based on Inadequacy of Criminal History Category); and
(C) (i) was motivated by an intimate or familial relationship or by
threats or fear to commit the offense; [or][and] (ii) received little
or no compensation from the offense; [or][and] (iii) had minimal
knowledge [of the scope and structure of the enterprise][that the
firearm would be used or possessed in connection with further criminal
activity];
decrease by [1][2] levels.''.
The Commentary to Sec. 2K2.1 captioned ``Statutory Provisions'' is
amended by inserting after ``(k)-(o),'' the following: ``932, 933,''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended--
in Note 2 by striking ``and (a)(4)'' and inserting ``(a)(4), and
(a)(5)'';
in Note 3 by striking ``(a)(4)(B) and (a)(6)'' and inserting
``(a)(5), (a)(8), and (b)(8)'';
in Note 4 by striking ``Subsection (a)(7)'' both places such term
appears and inserting ``Subsection (a)(9)'';
in Note 6 by striking ``subsections (a)(1)-(a)(5)'' and inserting
``subsections (a)(1)-(a)(6)'';
in Note 7 by striking ``(a)(4)(B), or (a)(5)'' and inserting
``(a)(4)(B), (a)(5), or (a)(6)'';
in Note 8(A)--
in the heading by striking ``Subsection (a)(7)'' and inserting
``Subsection (a)(9)'';
and by striking ``under subsection (a)(7)'' both places such phrase
appears and inserting ``under subsection (a)(9)'';
in Note 9 by striking ``prohibited person'' both places such term
appears and inserting ``person described in 18 U.S.C. 922(g) or
922(n)'';
in Note 10 by striking ``subsection (a)(1), (a)(2), (a)(3),
(a)(4)(A), (a)(4)(B), or (a)(6)'' and inserting ``subsection (a)(1),
(a)(2), (a)(3), (a)(4), (a)(5), or (a)(8)'';
in Note 13(B) by inserting after ``18 U.S.C. 921(a)(33)(A).'' the
following: ``However, an individual shall not be considered an
`individual whose possession or receipt of the firearm would be
unlawful' [if, at the time of the instant offense, the individual was
not otherwise covered by such definition and had not more than one
conviction of a misdemeanor crime of domestic violence against a person
in a dating relationship, but 5 years had elapsed from the later of the
judgment of conviction or the completion of the individual's custodial
or supervisory sentence for such an offense and the individual had not
subsequently been convicted of: another such offense; a misdemeanor
under federal, state, tribal, or local law which has, as an element,
the use or attempted use of physical force, or the threatened use of a
deadly weapon; or any other offense covered by the definition of
`individual whose possession or receipt of the firearm would be
unlawful.'] [based upon a conviction of a misdemeanor crime of domestic
violence against a person in a dating relationship, if the individual
met the criteria set forth in the proviso of 18 U.S.C. 921(a)(33)(C) at
the time of the instant offense.]''[;]
[and by striking Note 15 as follows:
``15. Certain Convictions Under 18 U.S.C. 922(a)(6), 922(d), and
924(a)(1)(A).--In a case in which the defendant is convicted under 18
U.S.C. 922(a)(6), 922(d), or 924(a)(1)(A), a downward departure may be
warranted if (A) none of the enhancements in subsection (b) apply, (B)
the defendant was motivated by an intimate or familial relationship or
by threats or fear to commit the offense and was otherwise unlikely to
commit such an offense, and (C) the defendant received no monetary
compensation from the offense.''].
Issues for Comment
1. The directive in the Bipartisan Safer Communities Act requires
the Commission to ensure that defendants convicted of the new offenses
at 18 U.S.C. 932 and 933 and other offenses applicable to the straw
purchases and trafficking of firearms are subject to increased
penalties in comparison to those currently provided by the guidelines
for such straw purchasing and trafficking of firearms offenses. The two
options presented in Part A of the proposed amendment would amend Sec.
2K2.1 (Unlawful Receipt, Possession, or Transportation of Firearms or
Ammunition; Prohibited Transactions Involving Firearms or Ammunition)
to increase penalties in response to the Act. The Commission seeks
comment on whether either of the options presented in Part A of the
proposed amendment would provide appropriate penalties for cases
involving straw purchases and trafficking of firearms. Should the
Commission adopt either of these options or neither? Are there
particular changes to the penalty levels in either of these options
that should be made?
In addition, the Commission seeks comment on whether additional
changes should be made to Sec. 2K2.1 in response to the part of the
directive that
[[Page 7196]]
requires the Commission to increase penalties for offenses involving
straw purchases and trafficking of firearms. If so, what additional
changes would be appropriate?
2. As described above, the Bipartisan Safer Communities Act also
amended the definition of ``misdemeanor crime of domestic violence'' at
18 U.S.C. 921(a)(33) to include misdemeanor offenses against a person
in ``a current or recent former dating relationship.'' The Act also
added a new provision at section 921(a)(33)(C) stating as follows:
A person shall not be considered to have been convicted of a
misdemeanor crime of domestic violence against an individual in a
dating relationship for purposes of this chapter if the conviction has
been expunged or set aside, or is an offense for which the person has
been pardoned or has had firearm rights restored unless the
expungement, pardon, or restoration of rights expressly provides that
the person may not ship, transport, possess, or receive firearms:
Provided, That, in the case of a person who has not more than 1
conviction of a misdemeanor crime of domestic violence against an
individual in a dating relationship, and is not otherwise prohibited
under this chapter, the person shall not be disqualified from shipping,
transport, possession, receipt, or purchase of a firearm under this
chapter if 5 years have elapsed from the later of the judgment of
conviction or the completion of the person's custodial or supervisory
sentence, if any, and the person has not subsequently been convicted of
another such offense, a misdemeanor under Federal, State, Tribal, or
local law which has, as an element, the use or attempted use of
physical force, or the threatened use of a deadly weapon, or any other
offense that would disqualify the person under [18 U.S.C. Sec. ]
922(g). The national instant criminal background check system
established under section 103 of the Brady Handgun Violence Prevention
Act (34 U.S.C. 40901) shall be updated to reflect the status of the
person. Restoration under this subparagraph is not available for a
current or former spouse, parent, or guardian of the victim, a person
with whom the victim shares a child in common, a person who is
cohabiting with or has cohabited with the victim as a spouse, parent,
or guardian, or a person similarly situated to a spouse, parent, or
guardian of the victim.
In light of this new provision, a person with a conviction for a
misdemeanor crime of domestic violence against an individual in a
dating relationship is not disqualified from shipping, transporting,
possessing, receiving, or purchasing a firearm under chapter 44 of
title 18, United States Code, if the criteria described above are met.
Are the changes to the Commentary to Sec. 2K2.1 set forth in Options 1
and 2 adequate to address this new provision? If not, how should the
Commission address it?
3. In response to the directive in the Bipartisan Safer Communities
Act, Part A of the proposed amendment includes an Option 1 that would
amend Sec. 2K2.1 to, among other things, revise the firearms
trafficking enhancement at Sec. 2K2.1(b)(5) to apply to straw
purchases and trafficking offenses. The revised enhancement would
result in higher penalties for straw purchasers and firearms
traffickers. The Commission seeks comment on whether having higher
penalties for straw purchasers than prohibited persons raises
proportionality concerns the Commission should address. If so, how
should the Commission address those concerns?
4. Part A of the proposed amendment includes an Option 2 that would
revise Sec. 2K2.1(a) in several ways. Among other things, it would
keep current Sec. 2K2.1(a)(4)(B) with a base offense level of 20
applicable if the (A) offense involved a (i) semiautomatic firearm that
is capable of accepting a large capacity magazine; or (ii) firearm that
is described in 26 U.S.C. 5845(a); and (B) defendant (i) was a
prohibited person at the time the defendant committed the instant
offense; or (ii) is convicted under 18 U.S.C. 922(a)(6) or 924(a)(1)(A)
and committed the offense with knowledge, intent, or reason to believe
that the offense would result in the transfer of a firearm or
ammunition to a prohibited person. In addition, Option 2 would delete
current Sec. 2K2.1(a)(6)(B) but keep the base offense level of 14
applicable to any defendant who (A) was a prohibited person at the time
the defendant committed the instant offense; or (B) is convicted under
18 U.S.C. 922(a)(6) or 924(a)(1)(A) and committed the offense with
knowledge, intent, or reason to believe that the offense would result
in the transfer of a firearm or ammunition to a prohibited person. The
Commission seeks comment on whether it should change the current base
offense levels of 14 and 20 applicable to the defendants described
above. If so, what offense level would be appropriate to any such
defendant, and why?
5. Options 1 and 2 of Part A of the proposed amendment would add to
Sec. 2K2.1 a new [1][2]-level reduction based on certain mitigating
factors. Option 1 provides that the reduction applies if the defendant
[received an enhancement under the new subsection (b)(5) proposed in
Option 1][was convicted under (i) 18 U.S.C. 922(d), 932, or 933; or
(ii) 18 U.S.C. 922(a)(6) or 924(a)(1)(A) and committed the offense with
knowledge, intent, or reason to believe that the offense would result
in the transfer of a firearm or ammunition to a prohibited person] and
meets other certain criteria. Option 2 provides that the reduction
applies if subsection (b)(9) does not apply and the defendant is
convicted under 18 U.S.C. 922(d), 924(h), 924(k), 932, or 933, and
meets the same other criteria provided in Option 1. The Commission
seeks comment on whether this new adjustment should apply more broadly.
Instead of providing a [1][2]-level reduction, should the Commission
provide a departure provision applicable to defendants who meet the
criteria?
The Commission also seeks comment on whether the criteria provided
in Options 1 and 2 for this new reduction are appropriate. Should any
criterion be deleted or changed? Should the Commission provide
additional or different criteria?
The Commission further seeks comment on the criminal history
requirement provided in Options 1 and 2. Is the proposed requirement
appropriate to respond to Congress's intent to address ``straw
purchasers without significant criminal histories''? Should the
Commission instead use a different criminal history requirement than
the one proposed in Options 1 and 2?
6. Application Note 15 of Sec. 2K2.1 contains a downward departure
provision for cases in which the defendant is convicted under 18 U.S.C.
922(a)(6), 922(d), or 924(a)(1)(A) and meets certain criteria, similar
to some of the criteria included in the new proposed reduction provided
in Option 1 at subsection (b)(9) and in Option 2 at subsection (b)(10).
Hence, both options bracket the possibility of deleting the current
departure provision. If the Commission were to promulgate any of the
options in Part A of the proposed amendment, either as an adjustment or
a downward departure provision, should the Commission delete the
current departure provision at Application Note 15? If not, how should
the new reduction interact with the current departure provision? Should
the current departure provision be modified in any way?
7. In response to the directive contained in the Bipartisan Safer
Communities Act, Options 1 and 2 of Part A of the proposed amendment
would provide a new [2][3][4]-level
[[Page 7197]]
enhancement in Sec. 2K2.1 based on the criminal affiliations of the
defendant. Option 1 provides that the new enhancement would be
applicable if the defendant [received an enhancement under the new
subsection (b)(5) proposed in Option 1][was convicted under (i) 18
U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C. 922(a)(6) or 924(a)(1)(A)
and committed the offense with knowledge, intent, or reason to believe
that the offense would result in the transfer of a firearm or
ammunition to a prohibited person] and meets other criteria. Option 2
provides that the new enhancement would be applicable if the defendant
is convicted under (i) 18 U.S.C. 922(d), 932, or 933; or (ii) 18 U.S.C.
922(a)(6) or 924(a)(1)(A) and committed the offense with knowledge,
intent, or reason to believe that the offense would result in the
transfer of a firearm or ammunition to a prohibited person; and meets
the same other criteria provided in Option 1. The Commission seeks
comment on whether the new enhancement should apply more broadly.
Should the Commission provide additional or different criteria for
purposes of applying this enhancement? In addition, how should this new
enhancement interact with the existing enhancements at Sec. 2K2.1?
Should the new enhancement be cumulative with other enhancements, or
should it interact with other enhancements in some other way (e.g., by
establishing a ``cap'' on its cumulative impact with other
enhancements)? Should the Commission instead provide an altogether
different approach to respond to this part of the congressional
directive?
(B) Firearms Not Marked With Serial Number (``Ghost Guns'')
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 or
that has an altered or obliterated serial number. 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 a firearm has an altered or obliterated serial number. The
Commentary to Sec. 2K2.1 provides that the enhancement applies
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 enhancement at Sec. 2K2.1 currently does not apply to ``ghost
guns.'' ``Ghost guns'' is the term commonly used to refer to firearms
that are not marked by a serial number by which they can be identified
and traced, and that are typically made by an unlicensed individual
from purchased components (such as standalone parts or weapon parts
kits) or homemade components. Because of their lack of identifying
markings, it is difficult to trace ghost guns and determine where and
who manufactured them, and to whom they were sold or otherwise
disposed. The Commission has heard from commenters that the very
purpose of ``ghost guns'' is to avoid the tracking and tracing systems
associated with a firearm's serial number and that they increasingly
are associated with violent crime. Commenters have also indicated that
Sec. 2K2.1 does not adequately address ``ghost guns,'' as the
enhancement at Sec. 2K2.1(b)(4)(B) only covers firearms that were
marked with a serial number when manufactured but where such identifier
was later altered or obliterated.
Part B of the proposed amendment would respond to these concerns by
revising Sec. 2K2.1(b)(4)(B) to provide that the 4-level enhancement
applies if any firearm had an altered or obliterated serial number or
was not otherwise marked with a serial number [(other than an antique
firearm, as defined in 18 U.S.C. 921(a)(16))].
An issue for comment is provided.
Proposed Amendment
Section 2K2.1(b)(4)(B) is amended by striking ``had an altered or
obliterated serial number'' and inserting ``(i) had an altered or
obliterated serial number; or (ii) was not otherwise marked with a
serial number [(other than an antique firearm, as defined in 18 U.S.C.
921(a)(16))]''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended--
in Note 8(A)--
in the first paragraph by striking ``However, if the offense
involved a firearm with an altered or obliterated serial number, apply
subsection (b)(4)(B)'' and inserting ``However, if the offense involved
a firearm with an altered or obliterated serial number, or that was not
otherwise marked with a serial number [(other than an antique firearm,
as defined in 18 U.S.C. 921(a)(16))], apply subsection (b)(4)(B)(i) or
(ii)'';
and by striking the second paragraph as follows:
``Similarly, if the offense to which Sec. 2K2.1 applies is 18
U.S.C. 922(k) or 26 U.S.C. 5861(g) or (h) (offenses involving an
altered or obliterated serial number) and the base offense level is
determined under subsection (a)(7), do not apply the enhancement in
subsection (b)(4)(B). This is because the base offense level takes into
account that the firearm had an altered or obliterated serial number.
However, it the offense involved a stolen firearm or stolen ammunition,
apply subsection (b)(4)(A).'',
and inserting the following:
``Similarly, if the offense to which Sec. 2K2.1 applies is 18
U.S.C. 922(k) or 26 U.S.C. 5861(g) or (h) (offenses involving an
altered or obliterated serial number) and the base offense level is
determined under subsection (a)(7), do not apply the enhancement in
subsection (b)(4)(B)(i). This is because the base offense level takes
into account that the firearm had an altered or obliterated serial
number. However, it the offense involved a stolen firearm or stolen
ammunition, or a firearm that was not otherwise marked with a serial
number [(other than an antique firearm, as defined in 18 U.S.C.
921(a)(16))], apply subsection (b)(4)(A) or (B)(ii).'';
and in Note 8(B) by striking ``Subsection (b)(4) applies regardless
of whether the defendant knew or had reason to believe that the firearm
was stolen or had an altered or obliterated serial number'' and
inserting ``Subsection (b)(4) applies regardless of whether the
defendant knew or had reason to believe that the firearm was stolen,
had an altered or obliterated serial number, or was not otherwise
marked with a serial number [(other than an antique firearm, as defined
in 18 U.S.C. 921(a)(16))]''.
Issue for Comment
1. Part B of the proposed amendment would expand the scope of
subsection (b)(4) of Sec. 2K2.1 (Unlawful Receipt, Possession, or
Transportation of Firearms or Ammunition; Prohibited Transactions
Involving Firearms or Ammunition) to address firearms that are not
marked with a serial number [(other than an antique firearm, as defined
in 18 U.S.C. 921(a)(16))], in addition to firearms that were stolen or
had an altered or obliterated serial number. The Commission seeks
comment on whether it should further revise the enhancement at Sec.
2K2.1(b)(4). For example, should the Commission insert into Sec.
2K2.1(b)(4) a mental state (mens rea) requirement that the defendant
knew, or had reason to believe, that the firearm was stolen, had an
altered or obliterated serial number, or was not otherwise marked with
a serial number (other than an antique
[[Page 7198]]
firearm, as defined in 18 U.S.C. 921(a)(16))?
(C) Issues for Comment on Further Revisions to Sec. 2K2.1
1. Parts A of the proposed amendment would amend Sec. 2K2.1
(Unlawful Receipt, Possession, or Transportation of Firearms or
Ammunition; Prohibited Transactions Involving Firearms or Ammunition)
to respond to the Bipartisan Safer Communities Act. Part B of the
proposed amendment would amend Sec. 2K2.1 to address concerns
expressed by some commenters about firearms that are not marked by a
serial number (i.e., ``ghost guns''). The Commission seeks comment on
whether it should further revise Sec. 2K2.1 to appropriately address
firearms offenses.
2. Offenses under 18 U.S.C. 922(u) are referenced to Sec. 2K2.1.
Section 922(u) prohibits stealing or unlawfully taking or carrying away
from the person or the premises of a person who is licensed to engage
in the business of importing, manufacturing, or dealing in firearms,
any firearm in the licensee's business inventory that has been shipped
or transported in interstate or foreign commerce. The Department of
Justice has expressed concerns that all offenses under 18 U.S.C.
922(u), which covers conduct of varying severity (including simple
theft, burglary, and robbery), are treated the same in Sec. 2K2.1.
According to the Department of Justice, burglaries and robberies of
federal firearms licensees are particularly dangerous crimes that often
involve multiple weapons. Currently, Sec. 2K2.1 provides at subsection
(b)(4)(A) a 2-level enhancement if any firearm was stolen. Application
Note 8(A) of Sec. 2K2.1 provides that this 2-level enhancement should
not apply if the base offense level is set at level 12 under Sec.
2K2.1(a)(7) (e.g., a defendant convicted under 18 U.S.C. 922(u))
because the base offense level takes into account that the firearm or
ammunition was stolen. The Commission seeks comment on whether it
should amend Sec. 2K2.1 to specifically address offenses where the
offense involved the burglary or robbery of a federal firearms
licensee. For example, should the Commission add an enhancement to
Sec. 2K2.1 that would be applicable if the offense involved the
burglary or robbery of a federal firearms licensee? If so, what level
of enhancement should the Commission set forth for such conduct? How
should this enhancement interact with the stolen firearms enhancement
at Sec. 2K2.1(b)(4)(A)? Should the Commission provide that both
enhancements are to be applied cumulatively or in the alternative?
3. The base offense levels at Sec. 2K2.1(a) include as factors
that form the basis for their application certain recidivism
requirements, such as whether the defendant committed the instant
offense subsequent to sustaining one or more felony convictions of
either a crime of violence or controlled substance offense. The
Commission seeks comment on whether it should add other types of prior
convictions as the basis for applying base offense levels or specific
offense characteristics, and what base offense level or offense level
increase should the Commission provide for any such prior conviction.
For example, should the Commission provide for increased penalties if
the defendant committed the instant offense subsequent to sustaining a
conviction or multiple convictions for a misdemeanor crime of domestic
violence or an offense that involved a firearm? If so, should the
Commission treat prior convictions for a misdemeanor crime of domestic
violence or an offense that involved a firearm the same as prior
convictions for a crime of violence or a controlled substance offense
and provide the same level of enhancement? If not, what base offense
level or offense level increase should the Commission set forth for
prior convictions for a misdemeanor crime of domestic violence or an
offense that involved a firearm?
4. The general definition of ``firearm'' in Sec. 2K2.1 at
Application Note 1 is drawn from 18 U.S.C. 921(a)(3). However, Sec.
2K2.1 applies a higher base offense level to offenses involving
firearms described in 26 U.S.C. 5845(a). Although section 5845(a)
generally defines a more limited class of firearms than section
921(a)(3), there are a limited number of devices--such as those
``designed and intended solely and exclusively . . . for use in
converting a weapon into a machinegun'' which are ``firearms'' under
section 5845(a) but not section 921(a)(3). Thus, such devices are
``firearms'' for purposes of the increased base offenses levels in
Sec. 2K2.1(a)(1), (a)(3), (a)(4)(B)(i)(II), and (a)(5), but not for
purposes of specific offense characteristics referring to ``firearms,''
such as Sec. 2K2.1(b)(1). The Commission seeks comment on whether it
should amend the definition of ``firearms'' in Application Note 1 of
Sec. 2K2.1 to include devices which are ``firearms'' under section
5845(a) but not section 921(a)(3).
5. The Commission seeks general comment on whether it should amend
Sec. 2K2.1 to increase penalties for defendants who transfer a firearm
to a minor. If so, how?
4. Circuit Conflicts
Synopsis of Proposed Amendment: This proposed amendment addresses
certain circuit conflicts involving Sec. 3E1.1 (Acceptance of
Responsibility) and Sec. 4B1.2 (Definitions of Terms Used in Section
4B1.1). See U.S. Sent'g Comm'n, ``Notice of Final Priorities,'' 87 FR
67756 (Nov. 9, 2022) (identifying resolution of circuit conflicts as a
priority, including the circuit conflicts concerning (A) whether the
government may withhold a motion pursuant to Sec. 3E1.1(b) because a
defendant moved to suppress evidence; and (B) whether an offense must
involve a substance controlled by the Controlled Substances Act (21
U.S.C. 801 et seq.) to qualify as a ``controlled substance offense''
under Sec. 4B1.2(b)). The proposed amendment contains two parts (Part
A and Part B). The Commission is considering whether to promulgate
either or both of these parts, as they are not mutually exclusive.
Part A of the proposed amendment would amend Sec. 3E1.1 and its
accompanying commentary to address circuit conflicts regarding the
permissible bases for withholding a reduction under Sec. 3E1.1(b). It
would set forth a definition of the term ``preparing for trial'' that
provides more clarity on what actions typically constitute preparing
for trial for the purposes of Sec. 3E1.1(b). An issue for comment is
also provided.
Part B of the proposed amendment would amend Sec. 4B1.2 by adding
a definition of the term ``controlled substance'' to address a circuit
conflict concerning whether the definition of ``controlled substance
offense'' in Sec. 4B1.2(b) only covers offenses involving substances
controlled by federal law. Two options are presented. An issue for
comment is also included.
(A) Circuit Conflicts Concerning Sec. 3E1.1(b)
Synopsis of Proposed Amendment: Subsection (a) of Sec. 3E1.1
(Acceptance of Responsibility) provides for a 2-level reduction for a
defendant who clearly demonstrates acceptance of responsibility for the
offense. See USSG Sec. 3E1.1(a). Subsection (b) of Sec. 3E1.1 sets
forth the circumstances under which a defendant is eligible for an
additional 1-level reduction by providing:
If the defendant qualifies for a decrease under subsection (a), the
offense level determined prior to the operation of subsection (a) is
level 16 or greater, and upon motion of the government stating that the
defendant has assisted authorities in the investigation or prosecution
of his own
[[Page 7199]]
misconduct by timely notifying authorities of his intention to enter a
plea of guilty, thereby permitting the government to avoid preparing
for trial and permitting the government and the court to allocate their
resources efficiently, decrease the offense level by 1 additional
level. USSG Sec. 3E1.1(b).
Section 401(g) of the Prosecutorial Remedies and Other Tools to end
the Exploitation of Children Today Act of 2003 (``PROTECT Act''), among
other things, directly amended Sec. 3E1.1(b) to include the language
requiring a government motion and consideration of government
resources. See Public Law 108-21, 401(g)(1), 117 Stat. 650 (2003). The
PROTECT Act also added the following sentence to Application Note 6 of
the Commentary to Sec. 3E1.1: ``Because the Government is in the best
position to determine whether the defendant has assisted authorities in
a manner that avoids preparing for trial, an adjustment under
subsection (b) may only be granted upon a formal motion by the
Government at the time of sentencing.'' Id. Sec. 401(g)(2).
In 2013, the Commission promulgated Amendment 775 to address two
circuit conflicts over the Sec. 3E1.1(b) motion requirement. See USSG
App. C, amend. 775 (effective Nov. 1, 2013). Among other things, the
amendment added the following sentence to Application Note 6: ``The
government should not withhold such a motion based on interests not
identified in Sec. 3E1.1, such as whether the defendant agrees to
waive his or her right to appeal.'' Id.
Two circuit conflicts have arisen relating to Sec. 3E1.1(b). The
first conflict concerns whether a Sec. 3E1.1(b) reduction may be
withheld or denied because a defendant moved to suppress evidence.
Justice Sotomayor, joined by Justice Gorsuch, recently ``emphasize[d]
the need for clarification from the Commission'' on this ``important
and longstanding split.'' Longoria v. United States, 141 S. Ct. 978,
979 (2021) (statement of Sotomayor, J., with whom Gorsuch, J. joins,
respecting the denial of certiorari). The second conflict concerns
whether the government may withhold a Sec. 3E1.1(b) motion where the
defendant has raised sentencing challenges.
These conflicts largely turn on how much discretion the government
has to withhold a motion under Sec. 3E1.1(b). Some circuits use the
analytical framework from Wade v. United States, 504 U.S. 181, 185-86
(1992), applicable to substantial assistance motions under Sec. 5K1.1
(Substantial Assistance to Authorities) (Policy Statement) and 18
U.S.C. 3553(e)--that the government's discretion is broad, but refusal
to file a motion cannot be based on ``an unconstitutional motive'' or a
reason ``not rationally related to any legitimate Government end.''
Other circuits specify that withholding is permissible if based on an
interest identified in Sec. 3E1.1. Courts also have grappled with
whether the government's discretion is limited to situations involving
trial preparation, and whether suppression motions or sentencing
disputes are enough like trial preparation to withhold a motion.
In relation to the first circuit conflict, the Third, Fifth, and
Sixth Circuits have permitted the government to withhold a Sec.
3E1.1(b) motion based on a suppression motion. See, e.g., United States
v. Longoria, 958 F.3d 372, 376-78 (5th Cir. 2020) (Amendment 775 did
not clearly overrule its caselaw ``allowing the government to withhold
the third point when it must litigate a suppression motion'';
suppression hearing was largely the ``substantive equivalent of a full
trial'' (quoting United States v. Gonzales, 19 F.3d 982, 984 (5th Cir.
1994))), cert. denied, 141 S. Ct. 978 (2021); United States v. Collins,
683 F.3d 697, 707 (6th Cir. 2012) (suppression motion required the
government ``to undertake trial-like preparations''; ``Avoiding
litigation on a motion to suppress is rationally related to the
legitimate government interest in the efficient allocation of its
resources. Accordingly . . . the government's decision to withhold the
Sec. 3E1.1(b) motion was not arbitrary or unconstitutionally
motivated.''); United States v. Drennon, 516 F.3d 160, 161, 163 (3d
Cir. 2008) (suppression hearing involved ``the large majority of the
work to prepare for trial''; motion withheld due to ``concern for the
efficient allocation of the government's litigating resources,'' not an
unconstitutional motive).
The First, Second, Ninth, Tenth, and D.C. Circuits have held that a
reduction may not be denied based on a suppression motion. See, e.g.,
United States v. Vargas, 961 F.3d 566, 582-84 (2d Cir. 2020) (district
court erred in denying government's Sec. 3E1.1(b) motion because of
suppression hearing; any ``experienced criminal lawyer knows that
preparing for a jury trial involves more work than preparing for a
suppression hearing''); United States v. Price, 409 F.3d 436, 443-44
(D.C. Cir. 2005) (district court erred in denying additional reduction
based on suppression motion; while government had to prepare for a
suppression hearing, ``it never had to prepare for trial''); United
States v. Marquez, 337 F.3d 1203, 1212 (10th Cir. 2003) (``district
court may not rely on the fact that the defendant filed a motion to
suppress requiring a `lengthy suppression hearing' to justify a denial
of the third level reduction''; even where issues substantially
overlap, ``preparation for a motion to suppress would not require the
preparation of voir dire questions, opening statements, closing
arguments, and proposed jury instructions, to name just a few
examples''); United States v. Marroquin, 136 F.3d 220, 225 (1st Cir.
1998) (``[g]uidelines do not force a defendant to forgo the filing of
routine pre-trial motions as the price of receiving a one-step
decrease''); United States v. Kimple, 27 F.3d 1409, 1415 (9th Cir.
1994) (district court erred in denying the additional reduction where
``resources were expended not in conducting trial preparation, but in
considering pretrial motions [including suppression motion] necessary
to protect [the defendant's] rights'').
With respect to the second circuit conflict, the First, Third,
Seventh, and Eighth Circuits have held that the government may withhold
a Sec. 3E1.1(b) motion where the defendant has raised sentencing
challenges. See, e.g., United States v. Adair, 38 F.4th 341, 361 (3d
Cir. 2022) (government properly withheld motion where defendant
``caused [the government] to have to prepare for a two-day sentencing
hearing''; government did not act with an unconstitutional motive);
United States v. Jordan, 877 F.3d 391, 395 (8th Cir. 2017) (defendant's
denial of conduct relevant to sentencing did not ``permit[ ] the
government and the court to allocate their resources efficiently''
(citation omitted)); United States v. Sainz-Preciado, 566 F.3d 708, 716
(7th Cir. 2009) (government had ``good reason'' to withhold motion
where it had to prepare ``testimony and other evidence to prove the
full scope of [defendant's] criminal conduct at the sentencing
hearing''); United States v. Beatty, 538 F.3d 8, 16-17 (1st Cir. 2008)
(within the government's broad discretion to withhold motion where
government reasonably determined that the defendant frivolously
contested issues related to sentencing). The Second and Fifth Circuits
have held that the government may not withhold a motion on this basis.
See, e.g., United States v. Castillo, 779 F.3d 318, 324-26 (5th Cir.
2015) (``we disagree that the government may withhold a Sec. 3E1.1(b)
motion simply because it has had to use its resources to litigate a
sentencing issue''; however, dispute must be in good faith); United
States v. Lee, 653 F.3d 170, 174 (2d Cir. 2011) (``As long as the
defendant disputes the accuracy of a factual assertion in the PSR in
good
[[Page 7200]]
faith, the government abuses its authority by refusing to move for a
third-point reduction because the defendant has invoked his right to a
Fatico hearing.'').
Part A of the proposed amendment would amend Sec. 3E1.1(b) to
provide a definition of the term ``preparing for trial.'' It would also
delete the following sentence in Application Note 6 of the Commentary
to Sec. 3E1.1: ``The government should not withhold such a motion
based on interests not identified in Sec. 3E1.1, such as whether the
defendant agrees to waive his or her right to appeal.''
An issue for comment is provided.
Proposed Amendment
Section 3E1.1(b) is amended by inserting after ``1 additional
level.'' the following:
``For the purposes of this guideline, the term `preparing for
trial' means substantive preparations taken to present the government's
case against the defendant to a jury (or judge, in the case of a bench
trial) at trial. `Preparing for trial' is ordinarily indicated by
actions taken close to trial, such as drafting in limine motions,
proposed voir dire questions and jury instructions, and witness and
exhibit lists. Preparation for early pretrial proceedings (such as
litigation related to a charging document, early discovery motions, and
early suppression motions) ordinarily are not considered `preparing for
trial' under this subsection. Post-conviction matters (such as
sentencing objections, appeal waivers, and related issues) are not
considered `preparing for trial.' ''.
The Commentary to Sec. 3E1.1 captioned ``Application Notes'' is
amended in Note 6 by striking ``The government should not withhold such
a motion based on interests not identified in Sec. 3E1.1, such as
whether the defendant agrees to waive his or her right to appeal.''.
Issue for Comment
1. Part A of the proposed amendment would amend Sec. 3E1.1
(Acceptance of Responsibility) to address the circuit conflicts
described in the synopsis above. The proposed amendment would amend
subsection (b) of Sec. 3E1.1 to provide a definition for the term
``preparing for trial.'' The Commission seeks comment on whether the
proposed definition of ``preparing for trial'' is appropriate for
purposes of Sec. 3E1.1(b). If not, what definition should the
Commission provide?
In the alternative, should the Commission address the circuit
conflicts in a manner other than the one provided in Part A of the
proposed amendment? For example, should the Commission address the
breadth of the government's discretion to withhold a Sec. 3E1.1(b)
motion, either by incorporating the framework outlined in Wade v.
United States, 504 U.S. 181, 185-86 (1992) (i.e., an ``unconstitutional
motive'' or a reason ``not rationally related to any legitimate
Government end'') (see, e.g., United States v. Adair, 38 F.4th 341, 361
(3d Cir. 2022)), or by specifying a different standard?
(B) Circuit Conflicts Concerning Sec. 4B1.2(b)
Synopsis of Proposed Amendment: Subsection (b) of Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1) defines a ``controlled
substance offense'' as ``an offense under federal or state law . . .
that prohibits the manufacture, import, export, distribution, or
dispensing of a controlled substance (or a counterfeit substance) or
the possession of a controlled substance (or a counterfeit substance)
with intent to manufacture, import, export, distribute, or dispense.''
USSG Sec. 4B1.2(b). The definition in Sec. 4B1.2(b) principally
applies to the career offender guideline at Sec. 4B1.1 (Career
Offender). However, several other guidelines incorporate this
definition by reference, often providing for higher base offense levels
if the defendant committed the instant offense after sustaining a
conviction for a ``controlled substance offense.'' See USSG 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),
4B1.4 (Armed Career Criminal), 5K2.17 (Semiautomatic Firearms Capable
of Accepting Large Capacity Magazine (Policy Statement)), and 7B1.1
(Classification of Violations (Policy Statement)).
The circuits are split regarding whether the definition of a
``controlled substance offense'' in Sec. 4B1.2(b) only covers offenses
involving substances controlled by the federal Controlled Substances
Act (``CSA'') (21 U.S.C. 801 et seq.), or whether the definition also
applies to offenses involving substances controlled by applicable state
law. This circuit conflict prompted Justice Sotomayor, joined by
Justice Barrett, to call for the Commission to ``address this division
to ensure fair and uniform application of the [g]uidelines.'' Guerrant
v. United States, 142 S. Ct. 640, 640-41 (2022) (statement of
Sotomayor, J., with whom Barrett, J. joins, respecting the denial of
certiorari).
The Second and Ninth Circuits have held that a ``controlled
substance offense'' only includes offenses involving substances
controlled by federal law (the CSA), not offenses involving substances
that a state's schedule lists as a controlled substance, but the CSA
does not. See United States v. Bautista, 989 F.3d 698, 705 (9th Cir.
2021) (conviction under Arizona statute criminalizing hemp as well as
marijuana is not a ``controlled substance offense'' because hemp is not
listed in the CSA); United States v. Townsend, 897 F.3d 66, 74 (2d Cir.
2018) (conviction under New York statute prohibiting the sale of Human
Chorionic Gonadotropin (``HCG'') is not a ``controlled substance
offense'' because HCG is not controlled under the CSA).
By contrast, the Fourth, Seventh, Eighth, and Tenth Circuits have
held that a state conviction involving a controlled substance that is
not identified in the CSA can qualify as a ``controlled substance
offense'' under the guidelines. See United States v. Jones, 15 F.4th
1288, 1295 (10th Cir. 2021) (definition of ``controlled substance
offense'' includes ``state-law controlled substance offenses, involving
substances not found on the CSA''), cert. denied, 143 S. Ct. 268
(2022); United States v. Henderson, 11 F.4th 713, 718 (8th Cir. 2021)
(``There is no requirement that the particular substance underlying the
state offense is also controlled under a distinct federal law.''),
cert. denied, 142 S. Ct. 1696 (2022); United States v. Ward, 972 F.3d
364, 374 (4th Cir. 2020) (``the Commission has specified that we look
to either the federal or state law of conviction to define whether an
offense will qualify [as a controlled substance offense].''), cert
denied, 141 S. Ct. 2864 (2021); United States v. Ruth, 966 F.3d 642,
654 (7th Cir. 2020) (``The career-offender guideline defines the term
controlled substance offense broadly, and the definition is most
plainly read to `include state-law offenses[.]' '' (citation quotation
omitted)), cert. denied, 141 S. Ct. 1239 (2021).
Part B of the proposed amendment would amend Sec. 4B1.2(b) to
include a definition for ``controlled substance'' to address the
circuit conflict. Two options are provided.
Option 1 would set forth a definition of ``controlled substance''
that adopts the approach of the Second and Ninth Circuits. It would
limit the definition of the term to substances that are specifically
included in the CSA.
Option 2 would set forth a definition of ``controlled substance''
that adopts
[[Page 7201]]
the approach of the Fourth, Seventh, Eighth, and Tenth Circuits. It
would provide that the term ``controlled substance'' refers to
substances either included in the CSA or otherwise controlled under
applicable state law.
An issue for comment is also provided.
Proposed Amendment
Section 4B1.2(b) is amended by adding at the end the following new
paragraph:
[Option 1 (Controlled Substances under Federal Law):
`` `Controlled substance' refers to a drug or other substance, or
immediate precursor, included in schedule I, II, III, IV, or V of the
Controlled Substances Act (21 U.S.C. 801 et seq.).''.]
[Option 2 (Controlled Substances under Federal or State Law):
`` `Controlled substance' refers to a drug or other substance, or
immediate precursor, either included in schedule I, II, III, IV, or V
of the Controlled Substances Act (21 U.S.C. 801 et seq.) or otherwise
controlled under applicable state law.''.]
Issue for Comment
1. Part B of the proposed amendment would amend subsection (b) of
Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1) to set forth a
definition of ``controlled substance.'' Two options are provided for
such definition.
The Commentary to Sec. 2L1.2 (Unlawfully Entering or Remaining in
the United States) contains a definition for the term ``drug
trafficking offense'' that closely tracks the definition of
``controlled substance offense'' in Sec. 4B1.2(b). See USSG Sec.
2L1.2, comment. (n.2). If the Commission were to amend Sec. 4B1.2(b)
to include a definition of ``controlled substance,'' should the
Commission also amend Application Note 2 to Sec. 2L1.2 to include the
same definition of ``controlled substance'' for purposes of the ``drug
trafficking offense'' definition?
5. Crime Legislation
Synopsis of Proposed Amendment: This proposed amendment responds to
recently enacted legislation. See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 87 FR 67756 (Nov. 9, 2022) (identifying as a priority
``[i]mplementation of any legislation warranting Commission action'').
The proposed amendment contains eleven parts (Parts A through K).
The Commission is considering whether to promulgate any or all these
parts, as they are not mutually exclusive.
Part A responds to the FDA Reauthorization Act of 2017, Public Law
115-52 (2017), by amending Appendix A (Statutory Index) and the
Commentary to Sec. 2N2.1 (Violations of Statutes and Regulations
Dealing with Any Food, Drug, Biological Product, Device, Cosmetic,
Agricultural Product, or Consumer Product). It also makes a technical
correction to the Commentary to Sec. 2N1.1 (Tampering or Attempting to
Tamper Involving Risk of Death or Bodily Injury). An issue for comment
is also provided.
Part B responds to the Allow States and Victims to Fight Online Sex
Trafficking Act of 2017, Public Law 115-164 (2018), by amending
Appendix A, Sec. 2G1.1 (Promoting a Commercial Sex Act or Prohibited
Sexual Conduct with an Individual Other than a Minor), and Sec. 2G1.3
(Promoting a Commercial Sex Act or Prohibited Sexual Conduct with a
Minor; Transportation of Minors to Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a Minor; Sex Trafficking of Children;
Use of Interstate Facilities to Transport Information about a Minor).
In addition, Part B brackets the possibility of amending the Commentary
to Sec. Sec. 4B1.5 (Repeat and Dangerous Sex Offender Against Minors)
and 5D1.2 (Term of Supervised Release) to exclude offenses under 18
U.S.C. 2421A from the definitions of ``covered sex offense'' and ``sex
offense.'' Issues for comment are also provided.
Part C responds to the FAA Reauthorization Act of 2018, Public Law
115-254 (2018), by amending Appendix A and Sec. 2A5.2 (Interference
with Flight Crew Member or Flight Attendant; Interference with
Dispatch, Navigation, Operation, or Maintenance of Mass Transportation
Vehicle), as well as the Commentary to Sec. Sec. 2A2.4 (Obstructing or
Impeding Officers) and 2X5.2 (Class A Misdemeanors (Not Covered by
Another Specific Offense Guideline)). An issue for comment is also
provided.
Part D responds to the SUPPORT for Patients and Communities Act,
Public Law 115-271 (2018), by amending Appendix A and the Commentary to
Sec. Sec. 2B1.1 (Theft, Property Destruction, and Fraud) and 2B4.1
(Bribery in Procurement of Bank Loan and Other Commercial Bribery). An
issue for comment is also provided.
Part E responds to the Amy, Vicky, and Andy Child Pornography
Victim Assistance Act of 2018, Public Law 115-299 (2018), by amending
Appendix A and the Commentary to Sec. 2X5.2. An issue for comment is
also provided.
Part F responds to the Foundations for Evidence-Based Policymaking
Act of 2018, Public Law 115-435 (2019), by amending Appendix A and the
Commentary to Sec. 2H3.1 (Interception of Communications;
Eavesdropping; Disclosure of Certain Private or Protected Information).
An issue for comment is also provided.
Part G responds to the National Defense Authorization Act for
Fiscal Year 2020, Public Law 116-92 (2019), by amending Appendix A and
the Commentary to Sec. 2X5.2. An issue for comment is also provided.
Part H responds to the Representative Payee Fraud Prevention Act of
2019, Public Law 116-126 (2020), by amending Appendix A and the
Commentary to Sec. 2B1.1. An issue for comment is also provided.
Part I responds to the Stop Student Debt Relief Scams Act of 2019,
Public Law 116-251 (2020), by amending Appendix A and the Commentary to
Sec. 2B1.1. An issue for comment is also provided.
Part J responds to the Protecting Lawful Streaming Act of 2020,
part of the Consolidation Appropriation Act, 2021, Public Law 116-260
(2020), by amending Appendix A. Issues for comment are also provided.
Part K responds to the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021, Public Law 116-283 (2021), by
amending Appendix A and the Commentary to 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). An issue for comment
is also provided.
(A) FDA Reauthorization Act of 2017
Synopsis of Proposed Amendment: Part A of the proposed amendment
responds to the FDA Reauthorization Act of 2017, Public Law 115-52
(2017).
That act amended 21 U.S.C. 333 (Penalties [for certain violations
of the Federal Food, Drug, and Cosmetic Act]) to add a new criminal
offense for the manufacture or distribution of a counterfeit drug. The
new offense states that
any person who violates [21 U.S.C. 331(i)(3)] by knowingly making,
selling, or dispensing, or holding for sale or dispensing, a
counterfeit drug shall be imprisoned for not more than 10 years or
fined in accordance with title 18, [United States Code,] or both.
21 U.S.C. 333(b)(8). Section 331(i)(3) prohibits any action which
causes a drug to be a counterfeit drug, or the sale or dispensing, or
the holding for sale or dispensing, of a counterfeit drug.
[[Page 7202]]
Currently, subsections (b)(1) through (b)(6) of 21 U.S.C. 333 are
referenced in Appendix A (Statutory Index) to Sec. 2N2.1 (Violations
of Statutes and Regulations Dealing With Any Food, Drug, Biological
Product, Device, Cosmetic, or Agricultural Product). Subsection (b)(7)
is referenced to Sec. 2N1.1 (Tampering or Attempting to Tamper
Involving Risk of Death or Bodily Injury). New subsection (b)(8) is not
referenced to any guideline.
Part A of the proposed amendment would amend Appendix A to
reference 21 U.S.C. 333(b)(8) to Sec. 2N2.1. Part A would also amend
the Commentary to Sec. 2N2.1 to reflect that subsection (b)(8), as
well as subsections (b)(1) through (b)(6), of 21 U.S.C. 333 are all
referenced to Sec. 2N2.1. Finally, Part A also makes a technical
change to the Commentary to Sec. 2N1.1, adding 21 U.S.C. 333(b)(7) to
the list of statutory provisions referenced to that guideline.
An issue for comment is also provided.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 21 U.S.C. 458 the following new line reference:
``21 U.S.C. 333(b)(8) 2N2.1''.
The Commentary to Sec. 2N2.1 captioned ``Statutory Provisions'' is
amended by striking ``333(a)(1), (a)(2), (b)'' and inserting
``333(a)(1), (a)(2), (b)(1)-(6), (b)(8)''.
The Commentary to Sec. 2N1.1 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 1365(a), (e)'' and inserting ``18
U.S.C. 1365(a), (e); 21 U.S.C. 333(b)(7). For additional statutory
provision(s), see Appendix A (Statutory Index)''.
Issue for Comment
1. In response to the FDA Reauthorization Act of 2017, Public Law
115-52 (2017), Part A of the proposed amendment would reference 21
U.S.C. 333(b)(8) to Sec. 2N2.1 (Violations of Statutes and Regulations
Dealing With Any Food, Drug, Biological Product, Device, Cosmetic,
Agricultural Product, or Consumer Product). The Commission seeks
comment on whether any additional changes to the guidelines are
required to account for section 333(b)(8)'s offense conduct.
Specifically, should the Commission amend Sec. 2N2.1 to provide a
higher or lower base offense level if 21 U.S.C. 333(b)(8) is the
offense of conviction? If so, what should that base offense level be
and why? Should the Commission add a specific offense characteristic to
Sec. 2N2.1 in response to section 333(b)(8)? If so, what should that
specific offense characteristic provide and why?
(B) Allow States and Victims To Fight Online Sex Trafficking Act of
2017
Synopsis of Proposed Amendment: Part B of the proposed amendment
responds to the Allow States and Victims to Fight Online Sex
Trafficking Act of 2017, Public Law 115-164 (2018).
That act created two new criminal offenses codified at 18 U.S.C.
2421A (Promotion or facilitation of prostitution and reckless disregard
of sex trafficking). The first new offense, codified at 18 U.S.C.
2421A(a), provides that
[w]hoever, using a facility or means of interstate or foreign commerce
or in or affecting interstate or foreign commerce, owns, manages, or
operates an interactive computer service . . . , or conspires or
attempts to do so, with the intent to promote or facilitate the
prostitution of another person shall be fined under this title,
imprisoned for not more than 10 years, or both.
The second new offense, codified at 18 U.S.C. 2421A(b), is an
aggravated form of the first. It provides an enhanced statutory maximum
penalty of 25 years for anyone who commits the first offense and either
``(1) promotes or facilitates the prostitution of 5 or more persons''
or ``(2) acts in reckless disregard of the fact that such conduct
contributed to sex trafficking, in violation of [18 U.S.C. ] 1591(a).''
Section 1591(a) criminalizes sex trafficking of a minor or sex
trafficking of anyone by force, threats of force, fraud, or coercion.
Part B of the proposed amendment would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2421A to Sec. 2G1.1 (Promoting a
Commercial Sex Act or Prohibited Sexual Conduct with an Individual
Other than a Minor) and Sec. 2G1.3 (Promoting a Commercial Sex Act or
Prohibited Sexual Conduct with a Minor; Transportation of Minors to
Engage in a Commercial Sex Act or Prohibited Sexual Conduct; Travel to
Engage in Commercial Sex Act or Prohibited Sexual Conduct with a Minor;
Sex Trafficking of Children; Use of Interstate Facilities to Transport
Information about a Minor). Offenses involving the promotion or
facilitation of commercial sex acts are generally referenced to these
guidelines.
If the offense did not involve a minor, Sec. 2G1.1 would be the
applicable guideline. For a defendant convicted under 18 U.S.C. 2421A,
subsection (a)(2) would apply, and the defendant's base offense level
would be level 14. Part B of the proposed amendment would amend Sec.
2G1.1(b)(1) so that the four-level increase in the defendant's offense
level provided by that specific offense characteristic would also apply
if subsection (a)(2) applies and [the offense of conviction is][the
offense involved conduct described in] 18 U.S.C. 2421A(b)(2). Section
2421A(b)(2) is the version of the new aggravated offense under which
the defendant has acted in reckless disregard of the fact that their
conduct contributed to sex trafficking in violation of 18 U.S.C.
1591(a).
If the offense involved a minor, Sec. 2G1.3 would be the
applicable guideline. For a defendant convicted under 18 U.S.C. 2421A,
subsection (a)(4) would apply, and the defendant's base offense level
would be level 24. Part B of the proposed amendment would amend Sec.
2G1.3(b)(4) to renumber the existing specific offense characteristic as
Sec. 2G1.3(b)(4)(A) and to add a new Sec. 2G1.3(b)(4)(B), which
provides for a [4]-level increase in the defendant's offense level if
(i) subsection (a)(4) applies; and (ii) [the offense of conviction
is][the offense involved conduct described in] 18 U.S.C. 2421A(b)(2).
Only the greater of Sec. 2G1.3(b)(4)(A) or Sec. 2G1.3(b)(4)(B) would
apply.
Part B of the proposed amendment also would amend the Commentary to
Sec. 2G1.3 to add a new application note instructing that if 18 U.S.C.
2421A(a) or Sec. 2421A(b)(1) is the offense of conviction, the
specific offense characteristic at Sec. 2G1.3(b)(3)(B) does not apply.
That special offense characteristic provides for a two-level increase
in the defendant's offense level if the offense involved the use of a
computer or an interactive computer service to entice, encourage,
offer, or solicit a person to engage in prohibited sexual conduct with
a minor.
Part B of the proposed amendment would make conforming changes to
Sec. Sec. 2G1.1 and 2G1.3 and their accompanying commentary.
Finally, 18 U.S.C. 2421A is codified in chapter 117 (Transportation
for Illegal Sexual Activity and Related Crimes) of title 18 of the
United States Code, which contains statutes that generally prohibit
conduct intended to promote or facilitate prostitution. Various
guidelines refer to chapter 117 overall, including Sec. 4B1.5 (Repeat
and Dangerous Sex Offender Against Minors) and Sec. 5D1.2 (Term of
Supervised Release). Specifically, Sec. 4B1.5 provides for increases
in the defendant's offense level if the offense of conviction is a
``covered sex crime.'' The Commentary to Sec. 4B1.5 states that a
``covered sex crime'' generally includes offenses under chapter 117 but
excludes from coverage the offenses of ``transmitting information about
a minor
[[Page 7203]]
or filing a factual statement about an alien individual.'' Section
5D1.2 includes a policy statement recommending that the court impose
the statutory maximum term of supervised release if the instant offense
of conviction is a ``sex offense.'' The Commentary to Sec. 5D1.2
defines ``sex offense'' to mean, among other things, an offense,
perpetrated against a minor, under chapter 117, ``not including
transmitting information about a minor or filing a factual statement
about an alien individual.'' Part B of the proposed amendment brackets
the possibility of amending the Commentary to Sec. Sec. 4B1.5 and
5D1.2 to exclude offenses under 18 U.S.C. 2421A from the definitions of
``covered sex offense'' and ``sex offense.''
Issues for comment are also provided.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 18 U.S.C. 2422 the following new line reference:
``18 U.S.C. 2421A 2G1.1, 2G1.3''.
Section 2G1.1(b)(1)(B) is amended by striking ``the offense
involved fraud or coercion'' and inserting ``(i) the offense involved
fraud or coercion, or (ii) [the offense of conviction is][the offense
involved conduct described in] 18 U.S.C. 2421(A)(b)(2)''.
The Commentary to Sec. 2G1.1 captioned ``Statutory Provisions'' is
amended by striking ``2422(a) (only if the offense involved a victim
other than a minor)'' and inserting ``2421A (only if the offense
involved a victim other than a minor), 2422(a) (only if the offense
involved a victim other than a minor). For additional statutory
provision(s), see Appendix A (Statutory Index)''.
Section 2G1.3(b) is amended in paragraph (4) by striking ``If (A)
the offense involved the commission of a sex act or sexual contact; or
(B) subsection (a)(3) or (a)(4) applies and the offense involved a
commercial sex act, increase by 2 levels.'', and inserting the
following:
``(Apply the greater):
(A) If (i) the offense involved the commission of a sex act or
sexual contact; or (ii) subsection (a)(3) or (a)(4) applies and the
offense involved a commercial sex act, increase by 2 levels.
(B) If (i) subsection (a)(4) applies; and (ii) [the offense of
conviction is][the offense involved conduct described in] 18 U.S.C.
2421A(b)(2), increase by [4] levels.''.
The Commentary to Sec. 2G1.3 captioned ``Statutory Provisions'' is
amended by striking ``2422 (only if the offense involved a minor),
2423, 2425'' and inserting ``2421A (only if the offense involved a
minor), 2422 (only if the offense involved a minor), 2423, 2425. For
additional statutory provision(s), see Appendix A (Statutory Index)''.
The Commentary to Sec. 2G1.3 captioned ``Application Notes'' is
amended in Note 4 by striking the following:
``Application of Subsection (b)(3)(A).--Subsection (b)(3)(A) is
intended to apply only to the use of a computer or an interactive
computer service to communicate directly with a minor or with a person
who exercises custody, care, or supervisory control of the minor.
Accordingly, the enhancement in subsection (b)(3)(A) would not apply to
the use of a computer or an interactive computer service to obtain
airline tickets for the minor from an airline's internet site.'',
and inserting the following:
``Application of Subsection (b)(3).--
(A) Application of Subsection (b)(3)(A).--Subsection (b)(3)(A) is
intended to apply only to the use of a computer or an interactive
computer service to communicate directly with a minor or with a person
who exercises custody, care, or supervisory control of the minor.
Accordingly, the enhancement in subsection (b)(3)(A) would not apply to
the use of a computer or an interactive computer service to obtain
airline tickets for the minor from an airline's internet site.
(B) Application of Subsection (b)(3)(B).--If the offense of
conviction is 18 U.S.C. 2421A(a) or Sec. 2421A(b)(1), do not apply
subsection (b)(3)(B).''.
[The Commentary to Sec. 4B1.5 captioned ``Application Notes'' is
amended in Note 2 by striking ``chapter 117 of such title, not
including transmitting information about a minor or filing a factual
statement about an alien individual'' and inserting ``chapter 117 of
such title, not including transmitting information about a minor,
filing a factual statement about an alien individual, or an offense
under 18 U.S.C. 2421A''.]
[The Commentary to Sec. 5D1.2 captioned ``Application Notes'' is
amended in Note 1, in the paragraph that begins `` `Sex offense'
means'', by striking ``chapter 117 of such title, not including
transmitting information about a minor or filing a factual statement
about an alien individual'' and inserting ``chapter 117 of such title,
not including transmitting information about a minor, filing a factual
statement about an alien individual, or an offense under 18 U.S.C.
2421A''.]
Issues for Comment
1. In response to the Allow States and Victims to Fight Online Sex
Trafficking Act of 2017, Public Law 115-164 (2018), Part B of the
proposed amendment would reference 18 U.S.C. 2421A to Sec. 2G1.1
(Promoting a Commercial Sex Act or Prohibited Sexual Conduct with an
Individual Other than a Minor) and Sec. 2G1.3 (Promoting a Commercial
Sex Act or Prohibited Sexual Conduct with a Minor; Transportation of
Minors to Engage in a Commercial Sex Act or Prohibited Sexual Conduct;
Travel to Engage in Commercial Sex Act or Prohibited Sexual Conduct
with a Minor; Sex Trafficking of Children; Use of Interstate Facilities
to Transport Information about a Minor), and would make various
revisions to those guidelines to account for the new statute's offense
conduct. The Commission seeks comment on whether the proposed revisions
are appropriate and on whether the Commission should make other changes
to the guidelines to account for section 2421A's offense conduct.
In particular, Part B of the proposed amendment would rely on the
specific offense characteristics and special instructions in Sec. Sec.
2G1.1 and 2G1.3 to produce the appropriate offense levels for the
aggravated offense at 18 U.S.C. 2421A(b). Should the Commission account
for the aggravated offense in a different way, for example, by
providing a higher base offense level if a defendant is convicted of
that offense? If so, should the Commission use one of the base offense
levels currently provided for convictions under other offenses, such as
level 28, provided by Sec. 2G1.3 for a conviction under 18 U.S.C.
2422(b) or 2423(a), or level 34, provided by Sec. Sec. 2G1.1 and 2G1.3
for a conviction under 18 U.S.C. 1591(b)(1)?
2. The new offenses codified at 18 U.S.C. 2421A are included in
chapter 117 (Transportation for Illegal Sexual Activity and Related
Crimes) of title 18 of the United States Code, which contains statutes
that generally prohibit conduct intended to promote or facilitate
prostitution. As indicated in the synopsis, Sec. Sec. 4B1.5 and 5D1.2
provide definitions for the terms ``covered sex crime'' and ``sex
offense,'' respectively, that generally include offenses in chapter 117
of title 18, with notable exceptions. The chapter 117 offenses that the
Commission excluded from the definitions of ``covered sex crime'' and
``sex offense'' do not criminalize conduct involving the direct sexual
exploitation of a minor by the defendant, but rather are primarily
concerned with the transmission or filing of information about
individuals.
Part B of the proposed amendment brackets the possibility of
amending the Commentary to Sec. Sec. 4B1.5 and 5D1.2 to
[[Page 7204]]
exclude offenses under 18 U.S.C. 2421A from the definitions of
``covered sex offense'' and ``sex offense.'' Section 2421A offenses
generally involve the posting or sharing (i.e., transmission) of
information about an individual, which may not necessarily involve the
direct exploitation of a minor victim by the defendant. The Commission
seeks comment on whether excluding offenses under 18 U.S.C. 2421A from
the definitions of ``covered sex crime'' and ``sex offense'' for
purposes of Sec. Sec. 4B1.5 and 5D1.2 is appropriate due to the nature
of such offenses. Should the Commission, instead, include the
aggravated form of the offense under 18 U.S.C. 2421A(b) in the
definitions of ``covered sex crime'' and ``sex offense''?
(C) FAA Reauthorization Act of 2018
Synopsis of Proposed Amendment: Part C of the proposed amendment
responds to the FAA Reauthorization Act of 2018, Public Law 115-254
(2018). That act created two new criminal offenses concerning the
operation of unmanned aircraft, commonly known as ``drones,'' and added
a new provision to an existing criminal statute that also concerns
drones.
The first new criminal offense, codified at 18 U.S.C. 39B (Unsafe
operation of unmanned aircraft), prohibits the unsafe operation of
drones. Specifically, section 39B(a)(1) prohibits any person from
operating an unmanned aircraft and knowingly interfering with the
operation of an aircraft carrying one or more persons in a manner that
poses an imminent safety hazard to the aircraft's occupants. Section
39B(a)(2) prohibits any person from operating an unmanned aircraft and
recklessly interfering with the operation of an aircraft carrying one
or more persons in a manner that poses an imminent safety hazard to the
aircraft's occupants. Section 39B(b) prohibits any person from
knowingly operating an unmanned aircraft near an airport runway without
authorization. A violation of any of these prohibitions is punishable
by a fine, not more than one year in prison, or both. A violation of
subsection (a)(2) that causes serious bodily injury or death is
punishable by a fine, not more than 10 years of imprisonment, or both.
A violation of subsection (a)(1) or subsection (b) that causes serious
bodily injury or death is punishable by a fine, imprisonment for any
term of years or for life, or both.
The second new criminal offense, codified at 18 U.S.C. 40A
(Operation of unauthorized unmanned aircraft over wildfires), generally
prohibits any individual from operating an unmanned aircraft and
knowingly or recklessly interfering with a wildfire suppression or with
law enforcement or emergency response efforts related to a wildfire
suppression. A violation of this offense is punishable by a fine,
imprisonment for not more than two years, or both.
The act also adds a new subsection (a)(5) to 18 U.S.C. 1752
(Restricted building or grounds). The new subsection prohibits anyone
from knowingly and willfully operating an unmanned aircraft system with
the intent to knowingly and willfully direct or otherwise cause the
system to enter or operate within or above a restricted building or
grounds. A violation of section 1752 is punishable by a fine,
imprisonment for not more than one year, or both. If the violator used
or carried a deadly or dangerous weapon or firearm or if the offense
results in significant bodily injury, the maximum term of imprisonment
increases to ten years.
Part C of the proposed amendment would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 39B to Sec. 2A5.2 (Interference with
Flight Crew Member or Flight Attendant; Interference with Dispatch,
Navigation, Operation, or Maintenance of Mass Transportation Vehicle)
and Sec. 2X5.2 (Class A Misdemeanors (Not Covered by Another Specific
Offense Guideline)). Accordingly, courts would use Sec. 2A5.2 for
felony violations of section 39B and Sec. 2X5.2 for misdemeanor
violations. Part C would also make conforming changes to Sec. 2A5.2
and its commentary and to the Commentary to Sec. 2X5.2. Part C of the
proposed amendment would also amend the title of Sec. 2A5.2 to add
``Unsafe Operation of Unmanned Aircraft.''
In addition, Part C of the proposed amendment would amend Appendix
A to reference 18 U.S.C. 40A to Sec. 2A2.4 (Obstructing or Impeding
Officers). It would also make conforming changes to the Commentary to
Sec. 2A2.4.
Section 1752 is currently referenced in Appendix A to Sec. 2A2.4
and Sec. 2B2.3 (Trespass). Accordingly, courts would use those
guidelines for violations of 18 U.S.C. 1752(a)(5). Part C of the
proposed amendment would make no changes to the guidelines to account
for that provision.
An issue for comment is also provided.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 18 U.S.C. 43 the following new line references:
``18 U.S.C. 39B 2A5.2, 2X5.2
18 U.S.C. 40A 2A2.4''.
Section 2A5.2 is amended in the heading by striking ``Vehicle'' and
inserting ``Vehicle; Unsafe Operation of Unmanned Aircraft''.
The Commentary to Sec. 2A5.2 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 1992(a)(1)'' and inserting ``18 U.S.C.
39B, 1992(a)(1)''.
The Commentary to Sec. 2X5.2 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 1365(f), 1801; 34 U.S.C. 12593; 49
U.S.C. 31310.'' and inserting ``18 U.S.C. 39B, 1365(f), 1801; 34 U.S.C.
12593; 49 U.S.C. 31310. For additional statutory provision(s), see
Appendix A (Statutory Index).''.
The Commentary to Sec. 2A2.4 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 111'' and inserting ``18 U.S.C. 40A,
111''.
Issue for Comment
1. In response to the FAA Reauthorization Act of 2018, Public Law
115-254 (2018), Part C of the proposed amendment would reference 18
U.S.C. 39B to Sec. 2A5.2 (Interference with Flight Crew Member or
Flight Attendant; Interference with Dispatch, Navigation, Operation, or
Maintenance of Mass Transportation Vehicle) and Sec. 2X5.2 (Class A
Misdemeanors (Not Covered by Another Specific Offense Guideline)). Part
C of the proposed amendment would also reference 18 U.S.C. 40A to Sec.
2A2.4 (Obstructing or Impeding Officers). The Commission seeks comment
on whether these proposed references are appropriate and whether any
additional changes to the guidelines are required to account for the
new criminal offenses created by the FAA Reauthorization Act.
(D) SUPPORT for Patients and Communities Act
Synopsis of Proposed Amendment: Part D of the proposed amendment
responds to the Substance Use-Disorder Prevention that Promotes Opioid
Recovery and Treatment for Patients and Communities Act (``the SUPPORT
for Patients and Communities Act''), Public Law 115-271 (2018).
This Act includes the Eliminating Kickbacks in Recovery Act of
2018, which added a new offense at 18 U.S.C. 220 (Illegal remunerations
for referrals to recovery homes, clinical treatment facilities, and
laboratories). Section 220(a) prohibits, with respect to services
covered by a ``health care benefit program,'' knowing or willfully: (1)
soliciting or receiving any remuneration (including kickbacks, bribes,
or rebates), in cash or in kind, for referring a patient or patronage
to a recovery home, clinical treatment facility, or laboratory; and (2)
paying or offering any
[[Page 7205]]
remuneration (including kickbacks, bribes, or rebates), in cash or in
kind, for inducing a referral of a patient to or in exchange for a
patient using the services of a recovery home, clinical treatment
facility, or laboratory. The new offense has a statutory maximum term
of imprisonment of ten years.
A ``health care benefit program,'' for purposes of section 220,
includes public and private plans and contracts affecting commerce. See
18 U.S.C. 220(e)(3) (referring to the definition of such term at 18
U.S.C. 24(b)). Section 220 also sets forth exemptions to the offense
relating to certain discounts, payments, and waivers. See 18 U.S.C.
220(b).
Part D of the proposed amendment would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 220 to Sec. Sec. 2B1.1 (Theft, Property
Destruction, and Fraud) and 2B4.1 (Bribery in Procurement of Bank Loan
and Other Commercial Bribery). The conduct prohibited in 18 U.S.C. 220
is similar to the conduct prohibited in 42 U.S.C. 1320a-7b(b) (Criminal
penalties for acts involving Federal health care programs). Currently,
section 1320a-7b offenses are referenced in Appendix A to both
Sec. Sec. 2B1.1 and 2B4.1.
Part D of the proposed amendment would also amend the commentaries
to Sec. Sec. 2B1.1 and 2B4.1 to reflect that 18 U.S.C. 220 is
referenced to these guidelines.
An issue for comment is also provided.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 18 U.S.C. 224 the following new line reference:
``18 U.S.C. 220 2B1.1, 2B4.1''.
The Commentary to Sec. 2B1.1 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 38'' and inserting ``18 U.S.C. 38,
220''.
The Commentary to Sec. 2B4.1 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 215'' and inserting ``18 U.S.C. 215,
220''.
Issue for Comment
1. In response to the SUPPORT for Patients and Communities Act,
Part D of the proposed amendment would reference 18 U.S.C. 220 to
Sec. Sec. 2B1.1 (Theft, Property Destruction, and Fraud) and 2B4.1
(Bribery in Procurement of Bank Loan and Other Commercial Bribery). The
Commission seeks comment on whether these proposed references are
appropriate and whether any additional changes to the guidelines are
required to account for section 220's offense conduct. Specifically,
should the Commission amend Sec. 2B1.1 or Sec. 2B4.1 to provide a
higher or lower base offense level if 18 U.S.C. 220 is the offense of
conviction? If so, what should that base offense level be and why?
Should the Commission add a specific offense characteristic to any of
these guidelines in response to section 220? If so, what should that
specific offense characteristic provide and why?
(E) Amy, Vicky, and Andy Child Pornography Victim Assistance Act of
2018
Synopsis of Proposed Amendment: Part E of the proposed amendment
responds to the Amy, Vicky, and Andy Child Pornography Victim
Assistance Act of 2018, Public Law 115-299 (2018).
Among other things, the Act amended 18 U.S.C. 2259 (Mandatory
restitution), with respect to victims of child pornography, by adding a
new subsection (d). This new subsection permits any victim of child
pornography trafficking to receive ``defined monetary assistance'' from
the Child Pornography Victims Reserve when a defendant is convicted of
trafficking in child pornography. It also sets forth rules for
determining the amount of ``defined monetary assistance'' a victim may
receive and certain limitations relating to the effect of restitution
and on eligibility. In addition, new subsection (d)(4)(A) states that
that any attorney representing a victim seeking ``defined monetary
assistance'' may not charge, receive, or collect (nor may the court
approve) the payment of fees and costs that in the aggregate exceeds 15
percent of any payment made under new subsection (d) in general. It
also provides that an attorney who violates subsection (d)(4)(A) may be
subject to a statutory maximum term of imprisonment of not more than
one year. See 18 U.S.C. 2259(d)(4)(B).
Part E of the proposed amendment would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2259(d)(4) to Sec. 2X5.2 (Class A
Misdemeanors (Not Covered by Another Specific Offense Guideline)). It
would also amend the Commentary to Sec. 2X5.2 to reflect that 18
U.S.C. 2259(d)(4) 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 18 U.S.C. 2260(a) the following new line reference:
``18 U.S.C. 2259(d)(4) 2X5.2''.
The Commentary to Sec. 2X5.2 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 1365(f), 1801; 34 U.S.C. 12593; 49
U.S.C. 31310.'' and inserting ``18 U.S.C. 1365(f), 1801, 2259(d)(4); 34
U.S.C. 12593; 49 U.S.C. 31310. For additional statutory provision(s),
see Appendix A (Statutory Index).''.
Issue for Comment
1. In response to the Amy, Vicky, and Andy Child Pornography Victim
Assistance Act of 2018, Part E of the proposed amendment would amend
Appendix A (Statutory Index) to reference 18 U.S.C. 2259(d)(4) to Sec.
2X5.2 (Class A Misdemeanors (Not Covered by Another Specific Offense
Guideline)). The Commission seeks comment on whether this proposed
reference is appropriate and whether any additional changes to the
guidelines are required to account for the new offense conduct at 18
U.S.C. 2259(d)(4).
(F) Foundations for Evidence-Based Policymaking Act of 2018
Synopsis of Proposed Amendment: Part F of the proposed amendment
responds to the Foundations for Evidence-Based Policymaking Act of
2018, Public Law 115-435 (2019).
This Act includes the Confidential Information Protection and
Statistical Efficiency Act of 2018, which added a new offense at 44
U.S.C. 3572 (Confidential information protection). Section 3572
prohibits the unauthorized disclosure of information collected by an
agency under a pledge of confidentiality and for exclusively
statistical purposes, or the use of such information for other than
statistical purposes. Any willful unauthorized disclosure of such
information by an officer, employee, or agent of an agency acquiring
information for exclusively statistical purposes is punishable by a
statutory maximum term of imprisonment of five years. See 44 U.S.C.
3572(f).
Part F of the proposed amendment would amend Appendix A (Statutory
Index) to reference 44 U.S.C. 3572 to Sec. 2H3.1 (Interception of
Communications; Eavesdropping; Disclosure of Certain Private or
Protected Information). Similar confidential information disclosure
offenses, such as 18 U.S.C. 1039 and 26 U.S.C. 7213(a), are referenced
to this guideline. Part F of the proposed amendment would also amend
the Commentary to Sec. 2H3.1 to reflect that 44 U.S.C. 3572 is
referenced to the guideline.
An issue for comment is also provided.
[[Page 7206]]
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 45 U.S.C. 359(a) the following new line reference:
``44 U.S.C. 3572 2H3.1''.
The Commentary to Sec. 2H3.1 captioned ``Statutory Provisions'' is
amended by striking ``47 U.S.C. 605'' and inserting ``44 U.S.C. 3572;
47 U.S.C. 605''.
Issue for Comment
1. In response to the Foundations for Evidence-Based Policymaking
Act of 2018, Part F of the proposed amendment would reference 44 U.S.C.
3572 to Sec. 2H3.1 (Interception of Communications; Eavesdropping;
Disclosure of Certain Private or Protected Information). The Commission
seeks comment on whether this proposed reference is appropriate and
whether any additional changes to the guidelines are required to
account for section 3572's offense conduct. Specifically, should the
Commission amend Sec. 2H3.1 to provide a higher or lower base offense
level if 44 U.S.C. 3572 is the offense of conviction? If so, what
should that base offense level be and why? Should the Commission add a
specific offense characteristic to Sec. 2H3.1 in response to section
3572? If so, what should that specific offense characteristic provide
and why?
(G) National Defense Authorization Act for Fiscal Year 2020
Synopsis of Proposed Amendment: Part G of the proposed amendment
responds to the National Defense Authorization Act for Fiscal Year
2020, Public Law 116-92 (2019).
The Act added a new statute at 10 U.S.C. 2733a regarding medical
malpractice claims by members of the uniformed services. The new
statute authorizes the Secretary of Defense to allow, settle, and pay a
claim against the United States for personal injury or death that
occurred during the service of a member of the uniformed services and
that was caused by the medical malpractice of a health care provider of
the Department of Defense, if certain requirements are met. Under
section 2733a(c)(2), the Department of Defense is not liable for the
payment of attorney fees for a claim under the new statute. However,
section 2733(g)(1) prohibits any attorney from charging, demanding,
receiving, or collecting fees in excess of 20 percent of any claim paid
pursuant to the new statute. Any attorney who charges, demands,
receives, or collects a fee in excess of 20 percent faces a statutory
maximum term of imprisonment of not more than one year. See 10 U.S.C.
2733a(g)(2).
Part G of the proposed amendment would amend Appendix A (Statutory
Index) to reference 10 U.S.C. 2733a(g)(2) to Sec. 2X5.2 (Class A
Misdemeanors (Not Covered by Another Specific Offense Guideline)). It
would also amend the Commentary to Sec. 2X5.2 to reflect that 10
U.S.C. 2733a(g)(2) 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 12 U.S.C. 631 the following new line reference:
``10 U.S.C. 2733a(g)(2) 2X5.2''.
The Commentary to Sec. 2X5.2 captioned ``Statutory Provisions'' is
amended by striking ``18 U.S.C. 1365(f), 1801; 34 U.S.C. 12593; 49
U.S.C. 31310.'' and inserting ``10 U.S.C. 2733a(g)(2); 18 U.S.C.
1365(f), 1801; 34 U.S.C. 12593; 49 U.S.C. 31310. For additional
statutory provision(s), see Appendix A (Statutory Index).''.
Issue for Comment
1. In response to the National Defense Authorization Act for Fiscal
Year 2020, Part G of the proposed amendment would amend Appendix A
(Statutory Index) to reference 10 U.S.C. 2733a(g)(2) to Sec. 2X5.2
(Class A Misdemeanors (Not Covered by Another Specific Offense
Guideline)). The Commission seeks comment on whether this proposed
reference is appropriate and whether any additional changes to the
guidelines are required to account for the new offense conduct at 10
U.S.C. 2733a(g)(2).
(H) Representative Payee Fraud Prevention Act of 2019
Synopsis of Proposed Amendment: Part H of the proposed amendment
responds to the Representative Payee Fraud Prevention Act of 2019,
Public Law 116-126 (2020).
The Act amended certain sections in chapters 83 (Retirement) and 84
(Federal Employees' Retirement System) of title 5 (Government
Organization and Employees), United States, Code, relating to the Civil
Services Retirement System (``CSRS'') and the Federal Employees
Retirement System (``FERS''). Under both retirement programs, annuities
that are due to a minor or an individual mentally incompetent or under
other legal disability may be made to the guardian or other fiduciary
of such individual. See 5 U.S.C. 8345(e), 8466(c).
The Act added two identical new offenses at 5 U.S.C. 8345a and
8466a, regarding embezzlement or conversion of payments due to a minor
or an individual mentally incompetent or under other legal disability
under CSRS and FERS. Both offenses apply to a ``representative payee.''
The Act added similar provisions to both chapters 83 and 84 of title 5
defining the term as ``a person (including an organization) designated
under [section 8345(e)(1) or section 8466(c)(1)] to receive payments on
behalf of a minor or an individual mentally incompetent or under other
legal disability.'' 5 U.S.C. 8331(33), 8401(39).
The new offense at 5 U.S.C. 8345a prohibits a representative payee
from embezzling or in any manner converting all or any part of the
amounts received from payments under the CSRS retirement program for a
use other than for the use and benefit of the minor or individual on
whose behalf the payments were received. The new offense at 5 U.S.C.
8466a prohibits a representative payee from engaging in the same
conduct prohibited under section 8345a for purposes of payments
received under the FERS retirement program. Offenses under both
sections 8345a and 8466a are punishable by a statutory maximum term of
imprisonment of five years.
Part H of the proposed amendment would amend Appendix A (Statutory
Index) to reference 5 U.S.C. 8345a and 8466a to Sec. 2B1.1 (Theft,
Property Destruction, and Fraud). Similar financial fraud and
embezzlement offenses relating to social security, veterans' benefits,
and welfare benefit and pension plans (such as 18 U.S.C. 664, 38 U.S.C.
6102, and 42 U.S.C. 408(a)(5), 1011(a)(4) and 1383a(a)(4)) are
referenced to Sec. 2B1.1. Part H of the proposed amendment would also
amend the Commentary to Sec. 2B1.1 to reflect that 5 U.S.C. 8345a and
8466a are 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 7 U.S.C. 6 the following new line references:
``5 U.S.C. 8345a 2B1.1
5 U.S.C. 8466a 2B1.1''.
The Commentary to Sec. 2B1.1 captioned ``Statutory Provisions'' is
amended by striking ``7 U.S.C. 6, 6b, 6c, 6h, 6o, 13, 23'' and
inserting ``5 U.S.C. 8345a, 8466a; 7 U.S.C. 6, 6b, 6c, 6h, 6o, 13,
23''.
Issue for Comment
1. In response to the Representative Payee Fraud Prevention Act of
2019,
[[Page 7207]]
Part H of the proposed amendment would reference 5 U.S.C. 8345a and
8466a to Sec. 2B1.1 (Theft, Property Destruction, and Fraud). The
Commission seeks comment on whether these proposed references are
appropriate and whether any additional changes to the guidelines are
required to account for the offense conduct covered by sections 8345a
and 8466a. Specifically, should the Commission amend Sec. 2B1.1 to
provide a higher or lower base offense level if 5 U.S.C. 8345a or Sec.
8466a is the offense of conviction? If so, what should that base
offense level be for each of these sections and why? Should the
Commission add a specific offense characteristic to Sec. 2B1.1 in
response to 5 U.S.C. 8345a or Sec. 8466a? If so, what should that
specific offense characteristic provide and why?
(I) Stop Student Debt Relief Scams Act of 2019
Synopsis of Proposed Amendment: Part I of the proposed amendment
responds to the Stop Student Debt Relief Scams Act of 2019, Public Law
116-251 (2020).
The Act created a new offense at 20 U.S.C. 1097(e). Current
subsections (a) through (d) of section 1097 provide criminal penalties
for crimes relating to student assistance programs, including
embezzlement, theft, fraud, forgery, and making unlawful payments to a
lender to acquire a loan. New subsection (e) of section 1097 prohibits
knowingly using an access device (as defined in 18 U.S.C. 1029(e)(1))
issued to another person or obtained by fraud or false statement to
access information technology systems of the Department of Education
for purposes of obtaining commercial advantage or private financial
gain, or in furtherance of any criminal or tortious act. The statutory
maximum term of imprisonment for the offense is five years.
Part I of the proposed amendment would amend Appendix A (Statutory
Index) to reference 20 U.S.C. 1097(e) to Sec. 2B1.1 (Theft, Property
Destruction, and Fraud). Section 1097(a), (b), and (d) offenses (theft,
embezzlement, and fraud) are currently referenced to Sec. 2B1.1, while
section 1097(c) offenses (unlawful payments to acquire a loan) are
referenced to Sec. 2B4.1 (Bribery in Procurement of Bank Loan and
Other Commercial Bribery). Part I of the proposed amendment would also
amend the Commentary to Sec. 2B1.1 to reflect that 20 U.S.C. 1097(a),
(b), (d), and (e) are 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 21 U.S.C. 101 the following new line reference:
``20 U.S.C. 1097(e) 2B1.1''.
The Commentary to Sec. 2B1.1 captioned ``Statutory Provisions'' is
amended by striking ``19 U.S.C. 2401f'' and inserting ``19 U.S.C.
2401f; 20 U.S.C. 1097(a), (b), (d), (e)''.
Issue for Comment
1. In response to the Stop Student Debt Relief Scams Act of 2019,
Part I of the proposed amendment would reference 20 U.S.C. 1097(e) to
Sec. 2B1.1 (Theft, Property Destruction, and Fraud). The Commission
seeks comment on whether the proposed reference is appropriate and
whether any additional changes to the guidelines are required to
account for section 1097(e) offenses. Specifically, should the
Commission amend Sec. 2B1.1 to provide a higher or lower base offense
level if 20 U.S.C. 1097(e) is the offense of conviction? If so, what
should that base offense level be and why? Should the Commission add a
specific offense characteristic to Sec. 2B1.1 in response to 20 U.S.C.
1097(e)? If so, what should that specific offense characteristic
provide and why?
(J) Protecting Lawful Streaming Act of 2020
Synopsis of Proposed Amendment: Part J responds to title II of
Division Q of the Consolidated Appropriations Act, 2021, referred to as
the Protecting Lawful Streaming Act of 2020, Public Law 116-260 (2020).
The Act created a new commercial streaming piracy offense at 18
U.S.C. 2319C (Illicit digital transmission services). Section 2319C(b)
makes it unlawful to willfully, and for purposes of commercial
advantage or private financial gain, offer or provide to the public a
digital transmission service that (1) is primarily designed or provided
for the purpose of publicly performing works protected under copyright
law by means of a digital transmission without the authority of the
copyright owner or the law; (2) has no commercially significant purpose
or use other than to publicly perform works protected under copyright
law by means of a digital transmission without the authority of the
copyright owner or the law; or (3) is intentionally marketed to promote
its use in publicly performing works protected under copyright law by
means of a digital transmission without the authority of the copyright
owner or the law. Section 2319C(a) provides definitions for some of the
terms used in the statute.
A violation of section 2319C has a statutory maximum term of
imprisonment of three years. 18 U.S.C. 2319C(c)(1). However, the
maximum penalty increases to five years if (1) the offense was
committed in connection with one or more works being prepared for
commercial public performance; and (2) the offender knew or should have
known that the work was being prepared for commercial public
performance. Id. Sec. 2319C(c)(2). A ten-year maximum penalty applies
if the offense is a second or subsequent offense under 18 U.S.C. 2319C
or Sec. 2319(a). Id. Sec. 2319C(c)(3).
Part J of the proposed amendment would amend Appendix A (Statutory
Index) to reference 18 U.S.C. 2319C to Sec. 2B5.3 (Criminal
Infringement of Copyright or Trademark). Similar offenses, such as 17
U.S.C. 506 (prohibiting infringing a copyright of a work being prepared
for commercial distribution) and 18 U.S.C. 2319A and 2319B (prohibiting
the unauthorized recording and trafficking of live musical performances
for commercial advantage or private financial gain, and the
unauthorized recording of motion pictures in movie theaters), are
referenced to Sec. 2B5.3.
Issues for comment are also provided.
Proposed Amendment
Appendix A (Statutory Index) is amended by inserting before the
line referenced to 18 U.S.C. 2320 the following new line reference:
``18 U.S.C. 2319C 2B5.3''.
Issues for Comment
1. In response to the Protecting Lawful Streaming Act of 2020, Part
J of the proposed amendment would reference 18 U.S.C. 2319C to Sec.
2B5.3 (Criminal Infringement of Copyright or Trademark). The Commission
seeks comment on whether the proposed reference is appropriate and
whether any additional changes to the guidelines are required to
account for section 2319C offenses. Specifically, should the Commission
amend Sec. 2B5.3 to provide a higher or lower base offense level if 18
U.S.C. 2319C is the offense of conviction? If so, what should that base
offense level be and why? Should the Commission add a specific offense
characteristic to Sec. 2B5.3 in response to 18 U.S.C. 2319C? If so,
what should that specific offense characteristic provide and why?
The new statute at 18 U.S.C. 2319C provides enhanced penalties if
(1) the offense was committed in connection with one or more works
being prepared
[[Page 7208]]
for commercial public performance, and the offender knew or should have
known that the work was being prepared for commercial public
performance; or (2) if the offense is a second or subsequent offense
under 18 U.S.C. 2319C or Sec. 2319(a). Should the Commission amend
Sec. 2B5.3 to address these enhanced penalties? If so, how should the
Commission address them and why?
2. Currently, Sec. 2B5.3 includes a specific offense
characteristic at subsection (b)(2) providing a 2-level enhancement
``[i]f the offense involved the display, performance, publication,
reproduction, or distribution of a work being prepared for commercial
distribution.'' The new offense at 18 U.S.C. 2319C mainly addresses the
streaming (i.e., offering or providing ``to the public a digital
transmission service'') of works ``being prepared for commercial public
performance.'' The Commission seeks comment on whether current Sec.
2B5.3(b)(2) adequately accounts for section 2319C's offense conduct. If
not, what revisions to Sec. 2B5.3(b)(2) would be appropriate to
account for this conduct? Should the Commission instead revise Sec.
2B5.3 in general provide one or more specific offense characteristics
or departure provisions to better account for this conduct? If so, what
should the Commission provide?
(K) William M. (Mac) Thornberry National Defense Authorization Act for
Fiscal Year 2021
Synopsis of Proposed Amendment: Part K of the proposed amendment
responds to the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021, Public Law 116-283 (2021). The
Act created several new offenses at 31 U.S.C. 5335 and 5336.
The Act included two regulatory offenses in a new section 5335 of
title 31, United States Code. Section 5335(b) prohibits knowingly
concealing, falsifying, or misrepresenting (or attempting to do so)
from or to a financial institution, a material fact concerning the
ownership or control of assets involved in a monetary transaction if
(1) the person or entity who owns or controls the assets is a senior
foreign political figure, or any immediate family member or close
associate of a senior foreign political figure; and (2) the aggregate
value of the assets involved in one or more monetary transactions is
not less than $1,000,000. Section 5335(c) prohibits knowingly
concealing, falsifying, or misrepresenting (or attempting to do so)
from or to a financial institution, a material fact concerning the
source of funds in a monetary transaction that (1) involves an entity
found to be a primary money laundering concern under 31 U.S.C. 5318A or
applicable regulations; and (2) violates the prohibitions or conditions
prescribed under 31 U.S.C. 5318A(b)(5) or applicable regulations. Both
new offenses cover conspiracies to commit the prohibited conduct and
have a statutory maximum term of imprisonment of ten years. See 31
U.S.C. 5335(d).
The Act also added a new section 5336 to title 31, United States
Code, concerning reporting requirements of beneficial ownership of
certain entities. Specifically, section 5336(b) requires certain United
States and foreign corporations, limited liability companies, and
similar entities, to file annual reports with the Department of the
Treasury's Financial Crimes Enforcement Network (``FinCEN''). The
annual reports must identify an entity's beneficial owners (i.e., those
exercising substantial control or who own or control no less than 25%
of the ownership interests), including names, dates of birth, street
address, and unique identification numbers (such as passport numbers,
driver's license numbers, or FinCEN identifiers). Section 5336(c)
provides certain conditions under which FinCEN may disclose the
beneficial ownership information to certain requesting agencies,
including federal agencies, state, local and tribal law enforcement
agencies, federal agencies on behalf of law enforcement, or a
prosecutor or judge of a foreign country.
Section 5336 includes three new offenses relating to the provisions
described above. First, section 5336(h)(1) prohibits (1) willfully
providing, or attempting to provide, false or fraudulent beneficial
ownership information, including a false or fraudulent identifying
photograph or document, to FinCEN; or (2) willfully failing to report
complete or updated beneficial ownership information to FinCEN. The
statutory maximum term of imprisonment for this offense is two years.
Second, section 5336(c)(4) prohibits any employee or officer of a
requesting agency from violating the protocols established by the
regulations promulgated by the Secretary of the Treasury under section
5336, including unauthorized disclosure or use of the beneficial
ownership information obtained from FinCEN. Third, section 5336(h)(2)
prohibits the knowing disclosure or knowing use, without authorization,
of beneficial ownership information obtained through a report submitted
to FinCEN or a disclosure made by FinCEN. Both sections 5336(c)(4) and
5336(h)(2) offenses face a statutory maximum term of imprisonment of
five years, with an enhanced penalty of up to ten years if the offense
was committed while violating another law or as part of a pattern of
any illegal activity involving more than $100,000 in a 12-month period.
Part K of the proposed amendment would amend Appendix A (Statutory
Index) to reference 31 U.S.C. 5335 and 5336 to 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). Similar offenses,
such as offenses under 31 U.S.C. 5313 and 5318(g)(2), are referenced to
Sec. 2S1.3. Part K of the proposed amendment would also amend the
Commentary to Sec. 2S1.3 to reflect that 31 U.S.C. 5335 and 5336 are
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 31 U.S.C. 5363 the following new line references:
``31 U.S.C. 5335 2S1.3
31 U.S.C. 5336 2S1.3''.
The Commentary to Sec. 2S1.3 captioned ``Statutory Provisions'' is
amended by striking ``5332'' and inserting ``5332, 5335, 5336''.
Issue for Comment
1. In response to the William M. (Mac) Thornberry National Defense
Authorization Act for Fiscal Year 2021, Part K of the proposed
amendment would reference 31 U.S.C. 5335 and 5336 to 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). The
Commission seeks comment on whether these proposed references are
appropriate and whether any additional changes to the guidelines are
required to account for sections 5335 and 5336 offenses. Specifically,
should the Commission amend Sec. 2S1.3 to provide a higher or lower
base offense level if 31 U.S.C. 5335 or Sec. 5336 is the offense of
conviction? If so, what should that base offense level be for each of
these
[[Page 7209]]
sections and why? Should the Commission add a specific offense
characteristic to Sec. 2S1.3 in response to 31 U.S.C. 5335 and 5336?
If so, what should that specific offense characteristic provide and
why?
The new statute provides an enhanced penalty for offenses under 31
U.S.C. 5336(c)(4) and 5336(h)(2) offenses if the offense was committed
while violating another law or as part of a pattern of any illegal
activity involving more than $100,000 in a 12-month period. Should the
Commission amend Sec. 2S1.3 to address this enhanced penalty? If so,
how should the Commission address it and why?
6. Career Offender
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's multiyear work on Sec. 4B1.2 (Definitions of Terms
Used in Section 4B1.1), including possible amendments to (A) provide an
alternative approach to the ``categorical approach'' in determining
whether an offense is a ``crime of violence'' or a ``controlled
substance offense''; and (B) address various application issues,
including the meaning of ``robbery'' and ``extortion,'' and the
treatment of inchoate offenses and offenses involving an offer to sell
a controlled substance. See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 87 FR 67756 (Nov. 9, 2022). The proposed amendment
contains four parts (Parts A through D). The Commission is considering
whether to promulgate any or all of these parts, as they are not
mutually exclusive.
Part A of the proposed amendment would amend Sec. 4B1.2 to address
recurrent criticism of the categorical approach and modified
categorical approach, which courts have applied in the context of Sec.
4B1.1 (Career Offender). It eliminates the categorical approach from
the guidelines by defining ``crime of violence'' and ``controlled
substance offense'' based upon a list of guidelines, rather than
offenses or elements of an offense. Part A would also make conforming
changes to the guidelines that use the terms ``crime of violence'' and
``controlled substance offense'' and define these terms by making
specific reference to Sec. 4B1.2. Issues for comment are also
provided.
Part B of the proposed amendment would address the concern that
certain robbery offenses, such as Hobbs Act robbery, no longer
constitute a ``crime of violence'' under Sec. 4B1.2, as amended in
2016. It would amend Sec. 4B1.2 to add a definition of ``robbery''
that mirrors the Hobbs Act robbery definition at 18 U.S.C. 1951(b)(1).
Part B of the proposed amendment also brackets a provision defining the
phrase ``actual or threatened force,'' for purposes of the new
``robbery'' definition, as ``force sufficient to overcome a victim's
resistance,'' informed by the Supreme Court's holding in Stokeling v.
United States, 139 S. Ct. 544, 550 (2019). Finally, Part B of the
proposed amendment would make conforming changes to the definition of
``crime of violence'' in the Commentary to Sec. 2L1.2 (Unlawfully
Entering or Remaining in the United States), which includes robbery as
an enumerated offense. Issues for comment are also provided.
Part C of the proposed amendment would amend Sec. 4B1.2 to address
two circuit conflicts regarding the commentary provision stating that
the terms ``crime of violence'' and ``controlled substance offense''
include the offenses of aiding and abetting, conspiring to commit, and
attempting to commit a ``crime of violence'' and a ``controlled
substance offense.'' Two options are presented. Issues for comment are
also provided.
Part D of the proposed amendment would amend the definition of
``controlled substance offense'' in Sec. 4B1.2(b) to include offenses
involving an offer to sell a controlled substance and offenses
described in 46 U.S.C. 70503(a) and Sec. 70506(b). An issue for
comment is also provided.
(A) Listed Guidelines Approach
Synopsis of Proposed Amendment: Part A of the proposed amendment
addresses recurrent criticism of the categorical approach and modified
categorical approach, which courts have applied in the context of Sec.
4B1.1 (Career Offender). It eliminates the categorical approach from
the guidelines by defining ``crime of violence'' and ``controlled
substance offense'' based upon a list of guidelines, rather than
offenses or elements of an offense.
The Categorical Approach as Developed by Supreme Court Jurisprudence
A number of statutes and guidelines provide enhanced penalties for
defendants convicted of offenses that meet the definition of a
particular category of crimes. Courts typically determine whether a
conviction fits within the definition of a particular category of
crimes through the application of the ``categorical approach'' and
``modified categorical approach,'' as set forth by Supreme Court
jurisprudence. The categorical approach requires courts to look only to
the statute of conviction, rather than the particular facts underlying
the conviction, to determine whether the offense meets the definition
of a particular category of crimes. In applying the modified
categorical approach, courts are allowed to look to certain additional
sources of information, now commonly referred to as the ``Shepard
documents,'' to determine the elements of the offense of conviction.
See Taylor v. United States, 495 U.S. 575 (1990) (holding that, under
the ``categorical approach,'' courts must compare the elements of the
offense as described in the statute of conviction to the elements of
the applicable definition of a particular category of crimes to
determine if such offense criminalizes the same or a narrower range of
conduct than the definition captures in order to serve as a predicate
offense); Shepard v. United States, 544 U.S. 13 (2005) (holding that
courts may use a ``modified categorical approach'' in cases where the
statute of conviction is ``overbroad,'' that is, the statute defines
both conduct that fits within the applicable definition and conduct
that does not). However, the Supreme Court later held that a court may
only apply the modified categorical approach if the court first
conducts a threshold inquiry to determine whether a statute of
conviction is ``divisible.'' See Descamps v. United States, 570 U.S.
254 (2013); Mathis v. United States, 579 U.S. 500 (2016). Thus, under
Descamps and Mathis, if a statute of conviction is ``indivisible'' and
criminalizes a broader range of conduct than the applicable definition,
the entire statute is categorically disqualified from serving as a
predicate offense, even if a defendant was convicted under a part of
the statute that falls within the definition.
Application of the Categorical Approach in the Guidelines
Even though Supreme Court jurisprudence on this subject pertains
only to statutory provisions (e.g., 18 U.S.C. 924(e)), courts have
applied the categorical approach and the modified categorical approach
to guideline provisions. For example, courts have used these approaches
to determine if a conviction is a ``crime of violence'' or a
``controlled substance offense'' for purposes of applying the career
offender guideline at Sec. 4B1.1. Additionally, several other
guidelines, such as Sec. 2K2.1 (Unlawful Receipt, Possession, or
Transportation of Firearms or Ammunition; Prohibited Transactions
Involving Firearms or Ammunition), also rely upon the career offender
guideline's definitions of ``crime of violence'' and ``controlled
substance offense.'' Therefore, courts have also used the categorical
approach for purposes of these guidelines.
[[Page 7210]]
Commission data indicates that of the 53,779 offenders sentenced in
fiscal year 2021, 1,246 offenders (2.3%) were sentenced under the
career offender guideline. An additional 3,239 offenders (6.0% of the
offenders sentenced in fiscal year 2021) sentenced under Sec. 2K2.1
were assigned to a base offense level that requires a prior conviction
for a ``crime of violence'' or ``controlled substance offense.''
While representing a relatively small portion of the federal
caseload each year, the categorical approach continues to result in
substantial litigation. Since 1990, the Supreme Court has issued dozens
of opinions that have shaped the categorical approach and modified
categorical approach. The Commission identified over 3,300 written
opinions over the past five years in which federal courts have invoked,
discussed, or applied the categorical approach. More than half of those
opinions focused on categorical approach issues raised in applying
guideline provisions while the remainder dealt with statutory
provisions (e.g., 18 U.S.C. 924(c)).
General Criticism of the Categorical Approach as Developed by Supreme
Court Jurisprudence
The Commission has received significant comment over the years
regarding the complexity and limitations of the categorical approach,
as developed by Supreme Court jurisprudence. Specifically, courts and
stakeholders have criticized the requirement of a threshold inquiry of
whether a statute of conviction is divisible or indivisible as
resulting in an overly complex and time-consuming analysis that often
leads to counterintuitive and arbitrary results. For example,
dissenting justices in Descamps and Mathis expressed concern that the
``divisibility'' inquiry is confusing and ``will cause serious
practical problems'' (e.g., Descamps, 570 U.S. at 284 (Alito, J.,
dissenting); Mathis, 579 U.S. at 523-33 (Breyer, J., joined by
Ginsberg, J., dissenting)), and noted that ``lower court judges[,] who
must regularly grapple with the modified categorical approach,
struggle[ ] to understand Descamps'' (Mathis, 579 U.S. at 538 (Alito,
J., dissenting)).
In the aftermath of Descamps and Mathis, commenters have stressed
that the categorical approach has become increasingly difficult to
apply, while simultaneously producing results less reflective of the
types of conduct Sec. 4B1.1 was intended to capture. See, e.g., Public
Comment on Proposed Amendments (Feb. 2019), at https://www.ussc.gov/policymaking/public-comment/public-comment-february-19-2019. Courts
have further criticized the categorical approach as a ``legal
fiction,'' in which an offense that a defendant commits violently is
deemed to be a non-violent offense because other defendants at other
times could have been convicted of violating the same statute without
violence, often leading to ``odd'' and ``arbitrary'' results. See,
e.g., United States v. Davis, 875 F.3d 592, 595 (11th Cir. 2017);
United States v. McCollum, 885 F.3d 300, 309-14 (4th Cir. 2018)
(Traxler, J., concurring); id. (Wilkinson, J., dissenting).
Proposed Approach for Sec. 4B1.2
Part A of the proposed amendment eliminates the categorical
approach from the guidelines by defining ``crime of violence'' and
``controlled substance offense'' based upon a list of guidelines,
rather than offenses or elements of an offense. The list of Chapter Two
guidelines included in the definition of ``crime of violence'' is
informed by the guidelines that the Commission has identified as
covering ``violent instant offenses'' for purposes of the study of
recidivism of federal offenders. See Courtney R. Semisch, Cassandra
Syckes & Landyn Rookard, U.S. Sent'g Comm'n, Recidivism of Federal
Violent Offenders Released in 2010 (2022), https://www.ussc.gov/research/research-reports/recidivism-federal-violent-offenders-released-2010. The Chapter Two guidelines listed in the definition of
``controlled substance offense'' are the guidelines that cover the
offenses expressly referenced in the career offender directive at 28
U.S.C. 994(h).
The focus of inquiry set forth in the proposed approach is whether
the defendant was convicted of a federal offense for which the
``applicable Chapter Two guideline'' is listed in Sec. 4B1.2 or a
state offense for which the ``most appropriate'' offense guideline
would have been one of the Chapter Two guidelines listed in Sec. 4B1.2
had the defendant been sentenced under the guideline in federal court.
The court would make this determination based on: (1) the elements, and
any means of committing such an element, that formed the basis of the
defendant's conviction, and (2) the offense conduct cited in the count
of conviction, or a fact admitted or confirmed by the defendant, that
establishes any such elements or means.
The proposed approach is intended to remove the complexity inherent
in determining whether a statute of conviction is ``divisible'' or
``indivisible'' based on a threshold ``elements-means'' inquiry. Thus,
the court would not be required to determine whether an indivisible
statute criminalizes conduct that does not meet the applicable
definition; rather, the court would be required to determine only
whether the Chapter Two guideline that covers the type of conduct most
similar to the offense charged in the count of which the defendant was
convicted is listed in Sec. 4B1.2. The proposed approach would also
expand the use of additional sources of information by permitting
courts to use the Shepard documents when necessary to make the career
offender determination.
Conforming Changes to Other Guidelines
Finally, Part A of the proposed amendment would make conforming
changes to the guidelines that use the terms ``crime of violence'' and
``controlled substance offense'' and define these terms by making
specific reference to Sec. 4B1.2. Accordingly, the proposed amendment
would amend the Commentary to Sec. 2K1.3 (Unlawful Receipt,
Possession, or Transportation of Explosive Materials; Prohibited
Transactions Involving Explosive Materials), Sec. 2K2.1 (Unlawful
Receipt, Possession, or Transportation of Firearms or Ammunition;
Prohibited Transactions Involving Firearms or Ammunition), Sec. 2S1.1
(Laundering of Monetary Instruments; Engaging in Monetary Transactions
in Property Derived from Unlawful Activity), Sec. 4A1.2 (Definitions
and Instructions for Computing Criminal History), Sec. 4B1.4 (Armed
Career Criminal), and Sec. 7B1.1 (Classification of Violations (Policy
Statement)).
Issues for comment are also provided.
Proposed Amendment
Section 4B1.2(a) is amended by striking the following:
``The term `crime of violence' means any offense under federal or
state law, punishable by imprisonment for a term exceeding one year,
that--
(1) has as an element the use, attempted use, or threatened use of
physical force against the person of another, or
(2) is murder, voluntary manslaughter, kidnapping, aggravated
assault, a forcible sex offense, robbery, arson, extortion, or the use
or unlawful possession of a firearm described in 26 U.S.C. 5845(a) or
explosive material as defined in 18 U.S.C. 841(c).'',
and inserting the following:
``Crime of Violence.--
(1) In General.--The term `crime of violence' means any of the
following offenses:
[[Page 7211]]
(A) Any offense under federal law, punishable by imprisonment for a
term exceeding one year--
(i) for which the applicable Chapter Two guideline (as determined
under the provisions of Sec. 1B1.2 (Applicable Guidelines)); or
(ii) to which Sec. 2X1.1 (Attempt, Solicitation, or Conspiracy) or
Sec. 2X2.1 (Aiding and Abetting) applies and the appropriate guideline
for the offense the defendant aided or abetted, or conspired,
solicited, or attempted to commit;
is one of the guidelines listed in paragraph (2).
(B) Any offense under state law (or the offense of aiding or
abetting, or conspiring, soliciting, or attempting to commit any such
offense), punishable by imprisonment for a term exceeding one year, for
which the most appropriate guideline would have been one of the Chapter
Two guidelines listed in paragraph (2) had the defendant been sentenced
under the guidelines in federal court (as determined under subsection
(c)).
(2) Guidelines Listed.--For purposes of the `crime of violence'
definition, use the following Chapter Two guidelines:
Homicide.--Sec. Sec. 2A1.1 (First Degree Murder), 2A1.2
(Second Degree Murder), 2A1.3 (Voluntary Manslaughter), 2A1.5
(Conspiracy or Solicitation to Commit Murder);
Assault.--Sec. Sec. 2A2.1 (Attempted Murder), 2A2.2
(Aggravated Assault), 2A2.4 (Obstructing or Impeding Officers);
Criminal Sexual Abuse.--Sec. Sec. 2A3.1 (Sexual Abuse),
2A3.3 (Sexual Abuse of a Ward), 2A3.4 (Abusive Sexual Contact);
Kidnapping, Abduction, and Unlawful Restraint.--Sec.
2A4.1 (Kidnapping, Abduction, Unlawful Restraint);
Air Piracy and Offenses Against Mass Transportation
Systems.--Sec. Sec. 2A5.1 (Aircraft Piracy), 2A5.2 (Interference with
Flight or Cabin Crew, or Mass Transportation);
Threatening or Harassing Communications, Hoaxes, Stalking,
and Domestic Violence.--Sec. Sec. 2A6.1 (Threatening or Harassing
Communications, Hoaxes, or False Liens) (only if the offense involve a
threat to injure a person or property), 2A6.2 (Stalking or Domestic
Violence);
Robbery and Extortion.--Sec. Sec. 2B3.1 (Robbery), 2B3.2
(Extortion by Force or Threat of Injury or Serious Damage);
Racketeering.--Sec. Sec. 2E1.1 (Unlawful Conduct Relating
to Racketeering), 2E1.2 (Travel or Transportation Aiding Racketeering),
2E1.3 (Violent Crimes Aiding Racketeering), 2E1.4 (Using Certain
Facilities to Commit Murder-For-Hire);
Promoting a Commercial Sex Act or Prohibited Sexual
Conduct with Minors.--Sec. 2G1.3 (Promoting Commercial Sex Acts or
Prohibited Sexual Conduct with Minors; Using Certain Facilities to
Transport Information about Minors);
Sexual Exploitation of Minors.--Sec. Sec. 2G2.1 (Sexual
Exploitation of Minors; Production of Child Pornography), 2G2.3
(Selling or Buying Children for Pornography Production), 2G2.6 (Child
Exploitation Enterprises);
Peonage and Slavery.--Sec. 2H4.1 (Peonage, Slavery, Child
Soldiers);
Explosives and Arson.--Sec. Sec. 2K1.3 (Unlawful Receipt,
Possession, or Transportation of Explosive Materials), 2K1.4 (Arson);
Firearms.--Sec. Sec. 2K2.1 (Unlawful Receipt, Possession,
or Transportation of Firearms or Ammunition) (only if the offense
involved possession of a firearm that is described in 26 U.S.C.
5845(a)), 2K2.4 (Using Certain Firearms, Ammunition, or Explosives
During or in Relation to Certain Crimes);
Material Support to Terrorists.--Sec. 2M5.3 (Providing
Material Support to Certain Terrorists or for Terrorist Purposes);
Nuclear, Biological, and Chemical Weapons and Materials.--
Sec. 2M6.1 (Unlawful Activity Involving Nuclear, Biological, or
Chemical Weapons or Materials, or Other Weapons of Mass Destruction);
Use of Minors in Crimes of Violence.--Sec. 2X6.1 (Using
Minors in Crimes of Violence).
(3) Exclusion.--For purposes of this guideline, a conviction under
federal or state law based upon a finding of recklessness or negligence
is not a `crime of violence.' ''.
Section 4B1.2(b) is amended by striking the following:
``The term `controlled substance offense' means an offense under
federal or state law, punishable by imprisonment for a term exceeding
one year, that prohibits the manufacture, import, export, distribution,
or dispensing of a controlled substance (or a counterfeit substance) or
the possession of a controlled substance (or a counterfeit substance)
with intent to manufacture, import, export, distribute, or dispense.'',
and inserting the following:
Controlled Substance Offense.--
(1) In General.--The term `controlled substance offense' means any
of the following offenses:
(A) Any offense under federal law, punishable by imprisonment for a
term exceeding one year--
(i) for which the applicable Chapter Two guideline (as determined
under the provisions of Sec. 1B1.2 (Applicable Guidelines)); or
(ii) to which Sec. 2X1.1 (Attempt, Solicitation, or Conspiracy) or
Sec. 2X2.1 (Aiding and Abetting) applies and the appropriate guideline
for the offense the defendant aided or abetted, or conspired,
solicited, or attempted to commit;
is one of the guidelines listed in paragraph (2).
(B) Any offense under state law (or the offense of aiding or
abetting, or conspiring, soliciting, or attempting to commit any such
offense), punishable by imprisonment for a term exceeding one year, for
which the most appropriate guideline would have been one of the Chapter
Two guidelines listed in paragraph (2) had the defendant been sentenced
under the guidelines in federal court (as determined under subsection
(c)).
(C) Any offense described in chapter 705 of title 46, United States
Code.
(2) Guidelines Listed.--For purposes of the `controlled substance
offense' definition, use the following Chapter Two guidelines:
Sec. Sec. 2D1.1 (Unlawful Manufacturing, Importing,
Exporting, or Trafficking); 2D1.9 (Placing or Maintaining Dangerous
Devices on Federal Property to Protect Unlawful Production of Drugs);
2D1.11 (Unlawfully Distributing, Importing, Exporting, or Possessing
Listed Chemicals)[;]
[ Sec. Sec. 2D1.2 (Drug Offenses Occurring Near Protected
Locations or Involving Certain Individuals); 2D1.6 (Use of
Communication Facility in Committing Drug Offense), if the appropriate
guideline for the underlying offense is also listed in this paragraph;
2D1.8 (Renting or Managing Drug Establishments); 2D1.10 (Life
Endangerment While Manufacturing Drugs); 2D1.12 (Unlawful Possession,
Manufacture, Distribution, Transportation, Exportation, or Importation
of Prohibited Items)].
(3) Exclusion.--For purposes of this guideline, a conviction under
federal or state law based upon a finding of recklessness or negligence
is not a `controlled substance offense.' ''.
Section 4B1.2 is amended--
by redesignating subsection (c) as subsection (d);
by adding the following new subsection (c):
``(c) Determination of Whether a State Offense Is a `Crime of
Violence' or a `Controlled Substance Offense'.--For purposes of
determining whether a state offense is a `crime of violence' or a
`controlled substance offense' under
[[Page 7212]]
subsection (a)(1)(B) or (b)(1)(B), the `most appropriate guideline' is
the Chapter Two guideline that covers the type of conduct most similar
to the offense charged in the count of which the defendant was
convicted. The court shall make this determination based on: (1) the
elements, and any means of committing such an element, that formed the
basis of the defendant's conviction, and (2) the offense conduct cited
in the count of conviction, or a fact admitted or confirmed by the
defendant, that establishes any such elements or means.'';
and in subsection (d) (as so redesignated) by inserting at the
beginning the following new heading ``Two Prior Felony Convictions.--
''.
The Commentary to Sec. 4B1.2 captioned ``Application Notes'' is
amended--
in Note 1 by striking the following:
``Definitions.--For purposes of this guideline--
`Crime of violence' and `controlled substance offense, include the
offenses of aiding and abetting, conspiring, and attempting to commit
such offenses.
`Forcible sex offense' includes where consent to the conduct is not
given or is not legally valid, such as where consent to the conduct is
involuntary, incompetent, or coerced. The offenses of sexual abuse of a
minor and statutory rape are included only if the sexual abuse of a
minor or statutory rape was (A) an offense described in 18 U.S.C.
2241(c) or (B) an offense under state law that would have been an
offense under section 2241(c) if the offense had occurred within the
special maritime and territorial jurisdiction of the United States.
`Extortion' is obtaining something of value from another by the
wrongful use of (A) force, (B) fear of physical injury, or (C) threat
of physical injury.
Unlawfully possessing a listed chemical with intent to manufacture
a controlled substance (21 U.S.C. 841(c)(1)) is a `controlled substance
offense.'
Unlawfully possessing a prohibited flask or equipment with intent
to manufacture a controlled substance (21 U.S.C. 843(a)(6)) is a
`controlled substance offense.'
Maintaining any place for the purpose of facilitating a drug
offense (21 U.S.C. 856) is a `controlled substance offense' if the
offense of conviction established that the underlying offense (the
offense facilitated) was a `controlled substance offense.'
Using a communications facility in committing, causing, or
facilitating a drug offense (21 U.S.C. 843(b)) is a `controlled
substance offense' if the offense of conviction established that the
underlying offense (the offense committed, caused, or facilitated) was
a `controlled substance offense.'
A violation of 18 U.S.C. 924(c) or Sec. 929(a) is a `crime of
violence' or a `controlled substance offense' if the offense of
conviction established that the underlying offense was a `crime of
violence' or a `controlled substance offense'. (Note that in the case
of a prior 18 U.S.C. 924(c) or Sec. 929(a) conviction, if the
defendant also was convicted of the underlying offense, the sentences
for the two prior convictions will be treated as a single sentence
under Sec. 4A1.2 (Definitions and Instructions for Computing Criminal
History).)
`Prior felony conviction' means a prior adult federal or state
conviction for an offense punishable by death or imprisonment for a
term exceeding one year, regardless of whether such offense is
specifically designated as a felony and regardless of the actual
sentence imposed. A conviction for an offense committed at age eighteen
or older is an adult conviction. 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).'',
and inserting the following:
`` `Prior Felony Conviction' Defined.--`Prior felony conviction,'
for purposes of this guideline, means a prior adult federal or state
conviction for an offense punishable by death or imprisonment for a
term exceeding one year, regardless of whether such offense is
specifically designated as a felony and regardless of the actual
sentence imposed. A conviction for an offense committed at age eighteen
or older is an adult conviction. 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).'';
in Note 2 by striking the following:
``Offense of Conviction as Focus of Inquiry.--Section 4B1.1 (Career
Offender) expressly provides that the instant and prior offenses must
be crimes of violence or controlled substance offenses of which the
defendant was convicted. Therefore, in determining whether an offense
is a crime of violence or controlled substance for the purposes of
Sec. 4B1.1 (Career Offender), the offense of conviction (i.e., the
conduct of which the defendant was convicted) is the focus of
inquiry.'',
and inserting the following:
``Determination of Whether a State Offense Is a `Crime of Violence'
or a `Controlled Substance Offense.'--In determining whether a state
offense is a `crime of violence' or a `controlled substance offense'
under subsection (a)(1)(B) or (b)(1)(B), the court may only consider
the statute of conviction and the following sources of information:
(A) The judgment of conviction.
(B) The charging document.
(C) The jury instructions.
(D) The judge's formal rulings of law or findings of fact.
(E) The plea agreement or transcript of colloquy between judge and
defendant in which the factual basis of the guilty plea was confirmed
by the defendant.
(F) Any explicit factual finding by the trial judge to which the
defendant assented.
(G) Any comparable judicial record of the sources described in
paragraphs (A) through (F).
The fact that the statute of conviction describes conduct that is
broader than, or encompasses types of conduct in addition to, the type
of conduct covered by any of the Chapter Two guidelines listed in
subsection (a)(2) or (b)(2) is not determinative.'';
in Note 3 by striking ``The provisions of Sec. 4A1.2 (Definitions
and Instructions for Computing Criminal History) are applicable to the
counting of convictions under Sec. 4B1.1.'' and inserting the
following:
``The provisions of Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History) are applicable to the counting of
convictions under Sec. 4B1.1. Note that in the case of a prior 18
U.S.C. 924(c) or Sec. 929(a) conviction, if the defendant also was
convicted of the underlying offense, the sentences for the two prior
convictions will be treated as a single sentence under Sec.
4A1.2(a)(2).'';
and by striking Note 4 as follows:
``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.''.
[[Page 7213]]
The Commentary to Sec. 4B1.2 is amended by adding at the end the
following:
``Background: Section 4B1.2 defines the terms `crime of violence,'
`controlled substance offense,' and `two prior felony convictions' for
purposes of Sec. 4B1.1 (Career Offender). Prior to [2023], to
determine if an offense met the definition of `crime of violence' or
`controlled substance offense' in Sec. 4B1.2, courts typically used
the categorical approach and the modified categorical approach, as set
forth in Supreme Court jurisprudence. See, e.g., Taylor v. United
States, 495 U.S. 575 (1990); Shepard v. United States, 544 U.S. 13
(2005); Descamps v. United States, 570 U.S. 254 (2013); Mathis v.
United States, 579 U.S. 500 (2016). These Supreme Court cases, however,
involved statutory provisions (e.g., 18 U.S.C. 924(e)) rather than
guideline provisions.
In [2023], the Commission amended Sec. 4B1.2 to set forth an
approach for determining whether an offense is a `crime of violence' or
a `controlled substance offense' that does not require the application
of the categorical approach and modified categorical approach
established by Supreme Court jurisprudence. See USSG App. C, Amendment
[ ] (effective [Date]). The definitions of `crime of violence' and
`controlled substance offense,' rather than describing offenses or
elements of an offense, are based upon a list of guidelines. The focus
of inquiry is whether the defendant was convicted of a federal offense
for which the applicable Chapter Two guideline is one of the listed
guidelines, or a state offense for which the `most appropriate' Chapter
Two guideline would have been one of the listed guidelines had the
defendant been sentenced in federal court under the guidelines. The
approach set forth by this guideline requires the court to consider not
only the statute of conviction, but also the offense conduct cited in
the count of conviction, or a fact admitted or confirmed by the
defendant, that establishes any of the elements, and any means of
committing such an element, that formed the basis of the defendant's
conviction. The court is also permitted to use certain additional
sources of information, as appropriate, while conducting this
inquiry.''.
The Commentary to Sec. 2K1.3 captioned ``Application Notes'' is
amended in Note 2--
in the paragraph that begins '' `Controlled substance offense' has
the meaning'' by striking ``has the meaning given that term in Sec.
4B1.2(b) and Application Note 1 of the Commentary to Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)'' and inserting ``means a
`controlled substance offense' as defined and determined in accordance
with Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1)'';
and in the paragraph that begins '' `Crime of violence' has the
meaning'' by striking ``has the meaning given that term in Sec.
4B1.2(a) and Application Note 1 of the Commentary to Sec. 4B1.2'' and
inserting ``means a `crime of violence' as defined and determined in
accordance with Sec. 4B1.2 (Definitions of Terms Used in Section
4B1.1)''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended--
in Note 1--
in the paragraph that begins '' `Controlled substance offense' has
the meaning'' by striking ``has the meaning given that term in Sec.
4B1.2(b) and Application Note 1 of the Commentary to Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)'' and inserting ``means a
`controlled substance offense' as defined and determined in accordance
with Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1)'';
and in the paragraph that begins '' `Crime of violence' has the
meaning'' by striking ``has the meaning given that term in Sec.
4B1.2(a) and Application Note 1 of the Commentary to Sec. 4B1.2'' and
inserting ``means a `crime of violence' as defined and determined in
accordance with Sec. 4B1.2 (Definitions of Terms Used in Section
4B1.1)'';
and in Note 13(B) by striking ``have the meaning given those terms
in Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1)'' and
inserting ``mean a `crime of violence' and a `controlled substance
offense' as defined and determined in accordance with Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)''.
The Commentary to Sec. 2S1.1 captioned ``Application Notes'' is
amended in Note 1, in the paragraph that begins '' `Crime of violence'
has the meaning'' by striking ``has the meaning given that term in
subsection (a)(1) of Sec. 4B1.2 (Definitions of Terms Used in Section
4B1.1)'' and inserting ``means a `crime of violence' as defined and
determined in accordance with Sec. 4B1.2 (Definitions of Terms Used in
Section 4B1.1)''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended in Note 5 by striking ``has the meaning given that term in
Sec. 4B1.2(a)'' and inserting ``means a `crime of violence' as defined
and determined in accordance with Sec. 4B1.2 (Definitions of Terms
Used in Section 4B1.1)''.
Section 4A1.2(p) is amended by striking ``the definition of `crime
of violence' is that set forth in Sec. 4B1.2(a)'' and inserting ''
`crime of violence' means a `crime of violence' as defined and
determined in accordance with Sec. 4B1.2 (Definitions of Terms Used in
Section 4B1.1)''.
Section 4B1.4 is amended--
in subsection (b)(3)(A) by striking ``in connection with either a
crime of violence, as defined in Sec. 4B1.2(a), or a controlled
substance offense, as defined in Sec. 4B1.2(b)'' and inserting ``in
connection with either a crime of violence or a controlled substance
offense, as defined and determined in accordance with Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)'';
and in subsection (c)(2) by striking ``in connection with either a
crime of violence, as defined in Sec. 4B1.2(a), or a controlled
substance offense, as defined in Sec. 4B1.2(b)'' and inserting ``in
connection with either a crime of violence or a controlled substance
offense, as defined and determined in accordance with Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)''.
The Commentary to Sec. 5K2.17 captioned ``Application Note'' is
amended in Note 1 by striking ``are defined in Sec. 4B1.2 (Definitions
of Terms Used in Section 4B1.1)'' and inserting ``mean a `crime of
violence' and a `controlled substance offense' as defined and
determined in accordance with Sec. 4B1.2 (Definitions of Terms Used in
Section 4B1.1)''.
The Commentary to Sec. 7B1.1 captioned ``Application Notes'' is
amended--
in Note 2 by striking ``is defined in Sec. 4B1.2 (Definitions of
Terms Used in Section 4B1.1). See Sec. 4B1.2(a) and Application Note 1
of the Commentary to Sec. 4B1.2'' and inserting ``means a `crime of
violence' as defined and determined in accordance with Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1)'';
and in Note 3 by striking ``is defined in Sec. 4B1.2 (Definitions
of Terms Used in Section 4B1.1). See Sec. 4B1.2(b) and Application
Note 1 of the Commentary to Sec. 4B1.2'' and inserting ``means a
`controlled substance offense' as defined and determined in accordance
with Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1)''.
Issues for Comment
1. Part A of the proposed amendment would allow courts to look to
the documents expressly approved in Taylor v. United States, 495 U.S.
575 (1990), and Shepard v. United States, 544 U.S. 13 (2005), in
determining whether a conviction is a ``crime of violence'' or a
``controlled substance offense.''
The Commission seeks comment on whether additional or different
guidance
[[Page 7214]]
should be provided. For example, should the Commission provide a
specific set of factors to assess the reliability of a source of
information, such as whether the document came out of the adversarial
process, was accepted by both parties, or was made by an impartial
third party? Should the Commission list specific sources or types of
sources that courts may consider, in addition to the sources expressly
approved in Taylor and Shepard (i.e., the Shepard documents)? Are there
any documents or types of information that should be expressly
excluded?
2. The Commentary to Sec. 2L1.2 (Unlawfully Entering or Remaining
in the United States) contains definitions for the terms ``crime of
violence'' and ``drug trafficking offense'' that closely track the
definitions of ``crime of violence'' and ``controlled substance
offense,'' respectively, in Sec. 4B1.2(b). See USSG Sec. 2L1.2,
comment. (n.2).
If the Commission were to promulgate Part A of the proposed
amendment, should the Commission also amend the Commentary to Sec.
2L1.2 to mirror the proposed approach for Sec. 4B1.2?
(B) Meaning of ``Robbery''
Synopsis of Proposed Amendment: In 2016, the Commission amended
Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1) to, among
other things, delete the ``residual clause'' and revise the
``enumerated offenses clause'' by moving enumerated offenses that were
previously listed in the commentary to the guideline itself. See USSG,
App. C, Amendment 798 (effective Aug. 1, 2016). The ``enumerated
offenses clause'' identifies specific offenses that qualify as crimes
of violence. Although the guideline relies on existing case law for
purposes of defining most enumerated offenses, the amendment added to
the Commentary to Sec. 4B1.2 definitions for two of the enumerated
offenses: ``forcible sex offense'' and ``extortion.''
``Extortion'' is defined as ``obtaining something of value from
another by the wrongful use of (A) force, (B) fear of physical injury,
or (C) threat of physical injury.'' USSG Sec. 4B1.2, comment. (n.1).
Under case law existing at the time of the amendment, courts generally
defined extortion as ``obtaining something of value from another with
his consent induced by the wrongful use of force, fear, or threats,''
based on the Supreme Court's holding in United States v. Nardello, 393
U.S. 286, 290 (1969) (defining ``extortion'' for purposes of 18 U.S.C.
1952). However, consistent with the Commission's goal of focusing the
career offender and related enhancements on the most dangerous
offenders, the amendment narrowed the generic definition of extortion
by limiting it to offenses having an element of force or an element of
fear or threats ``of physical injury,'' as opposed to non-violent
threats such as injury to reputation.
The Department of Justice has expressed concern that courts have
held that certain robbery offenses, such as Hobbs Act robbery, no
longer constitute a ``crime of violence'' under the guideline, as
amended in 2016, because the statute of conviction does not fit either
the generic definition of ``robbery'' or the new guideline definition
of ``extortion.'' See, e.g., Annual Letter from the Department of
Justice to the Commission (Aug. 10, 2018), at https://www.ussc.gov/sites/default/files/pdf/amendment-process/public-comment/20180810/DOJ.pdf. The Hobbs Act defines the term ``robbery'' as ``the unlawful
taking or obtaining of personal property from the person or in the
presence of another, against his will, by means of actual or threatened
force, or violence, or fear of injury, immediate or future, to his
person or property . . . . '' 18 U.S.C. 1951(b)(1) (emphasis added).
Following the 2016 amendment, every circuit court addressing the issue
has concluded that Hobbs Act robbery does not fall within Sec. 4B1.2's
narrow definition of ``crime of violence.'' See United States v.
Chappelle, 41 F.4th 102 (2d Cir. 2022); United States v. Scott, 14
F.4th 190 (3d Cir. 2021); United States v. Prigan, 8 F.4th 1115 (9th
Cir. 2021); United States v. Green, 996 F.3d 176 (4th Cir. 2021);
Bridges v. United States, 991 F.3d 793 (7th Cir. 2021); United States
v. Eason, 953 F.3d 1184 (11th Cir. 2020); United States v. Camp, 903
F.3d 594 (6th Cir. 2018); United States v. Edling, 895 F.3d 1153 (9th
Cir. 2018); United States v. O'Connor, 874 F.3d 1147 (10th Cir. 2017).
At least two circuits--the Ninth and Tenth Circuits--have found
ambiguity as to whether the guideline definition of extortion includes
injury to property, and (under the rule of lenity) both circuits have
interpreted the new definition as excluding prior convictions where the
statute encompasses injury to property offenses, such as Hobbs Act
robbery. See, e.g., United States v. O'Connor, 874 F.3d 1147 (10th Cir.
2017) (Hobbs Act robbery); United States v. Edling, 895 F.3d 1153 (9th
Cir. 2018) (Nevada robbery).
Part B of the proposed amendment would amend Sec. 4B1.2 to address
this issue. First, it would move the definitions of enumerated offenses
(i.e., ``forcible sex offense'' and ``extortion'') and ``prior felony
conviction'' from the Commentary to Sec. 4B1.2 to a new subsection (d)
in the guideline itself. Second, Part B of the proposed amendment would
add to new subsection (d) a definition of ``robbery'' that mirrors the
``robbery'' definition at 18 U.S.C. 1951(b)(1). Specifically, it would
provide that ``robbery'' is ``the unlawful taking or obtaining of
personal property from the person or in the presence of another,
against his will, by means of actual or threatened force, or violence,
or fear of injury, immediate or future, to his person or property, or
property in his custody or possession, or the person or property of a
relative or member of his family or of anyone in his company at the
time of the taking or obtaining.'' Finally, Part B of the proposed
amendment brackets the possibility of defining the phrase ``actual or
threatened use of force,'' for purposes of the ``robbery'' definition,
as ``force that is sufficient to overcome a victim's resistance.'' This
definition is informed by the Supreme Court's holding in Stokeling v.
United States, 139 S. Ct. 544 (2019).
In addition, Part B of the proposed amendment sets forth conforming
changes to the definition of ``crime of violence'' in the Commentary to
Sec. 2L1.2 (Unlawfully Entering or Remaining in the United States),
which includes robbery as an enumerated offense.
Issues for comment are also provided.
Proposed Amendment
Section 4B1.2(a) is amended by inserting at the beginning the
following new heading ``Crime of Violence.--''.
Section 4B1.2(b) is amended by inserting at the beginning the
following new heading ``Controlled Substance Offense.--''.
Section 4B1.2(c) is amended by inserting at the beginning the
following new heading ``Two Prior Felony Convictions.--''.
Section 4B1.2 is amended by adding at the end the following new
subsection (d):
``(d) Additional Definitions.--
(1) Forcible Sex Offense.--`Forcible sex offense' includes where
consent to the conduct is not given or is not legally valid, such as
where consent to the conduct is involuntary, incompetent, or coerced.
The offenses of sexual abuse of a minor and statutory rape are included
only if the sexual abuse of a minor or statutory rape was (A) an
offense described in 18 U.S.C. 2241(c) or (B) an offense under state
law that would have been an offense under section 2241(c) if the
offense had occurred within the special maritime and territorial
jurisdiction of the United States.
[[Page 7215]]
(2) Extortion.--`Extortion' is obtaining something of value from
another by the wrongful use of (A) force, (B) fear of physical injury,
or (C) threat of physical injury.
(3) Robbery.--`Robbery' is the unlawful taking or obtaining of
personal property from the person or in the presence of another,
against his will, by means of actual or threatened force, or violence,
or fear of injury, immediate or future, to his person or property, or
property in his custody or possession, or the person or property of a
relative or member of his family or of anyone in his company at the
time of the taking or obtaining. [The phrase `actual or threatened
force' refers to force that is sufficient to overcome a victim's
resistance.]
(4) Prior Felony Conviction.-- `Prior felony conviction' means a
prior adult federal or state conviction for an offense punishable by
death or imprisonment for a term exceeding one year, regardless of
whether such offense is specifically designated as a felony and
regardless of the actual sentence imposed. A conviction for an offense
committed at age eighteen or older is an adult conviction. 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).''.
The Commentary to Sec. 4B1.2 captioned ``Application Notes'' is
amended in Note 1--
in the heading by striking ``Definitions.--'' and inserting
``Further Considerations Regarding `Crimes of Violence' and `Controlled
Substance Offenses'.--'';
by striking the following two paragraphs:
`` `Forcible sex offense' includes where consent to the conduct is
not given or is not legally valid, such as where consent to the conduct
is involuntary, incompetent, or coerced. The offenses of sexual abuse
of a minor and statutory rape are included only if the sexual abuse of
a minor or statutory rape was (A) an offense described in 18 U.S.C.
2241(c) or (B) an offense under state law that would have been an
offense under section 2241(c) if the offense had occurred within the
special maritime and territorial jurisdiction of the United States.
`Extortion' is obtaining something of value from another by the
wrongful use of (A) force, (B) fear of physical injury, or (C) threat
of physical injury.'';
and by striking the last paragraph as follows:
`` `Prior felony conviction' means a prior adult federal or state
conviction for an offense punishable by death or imprisonment for a
term exceeding one year, regardless of whether such offense is
specifically designated as a felony and regardless of the actual
sentence imposed. A conviction for an offense committed at age eighteen
or older is an adult conviction. 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).''.
The Commentary to Sec. 2L1.2 captioned ``Application Notes'' is
amended in Note 2, in the paragraph that begins `` `Crime of violence'
means'' by inserting after ``territorial jurisdiction of the United
States.'' the following: `` `Robbery' is the unlawful taking or
obtaining of personal property from the person or in the presence of
another, against his will, by means of actual or threatened force, or
violence, or fear of injury, immediate or future, to his person or
property, or property in his custody or possession, or the person or
property of a relative or member of his family or of anyone in his
company at the time of the taking or obtaining. [The phrase `actual or
threatened force' refers to force that is sufficient to overcome a
victim's resistance.]''.
Issues for Comment
1. Part B of the proposed amendment would provide a definition of
``robbery'' for purposes of Sec. 4B1.2 (Definitions of Terms Used in
Section 4B1.1) and Sec. 2L1.2 (Unlawfully Entering or Remaining in the
United States) that mirrors the Hobbs Act definition of ``robbery'' at
18 U.S.C. 1951(b)(1). The Commission seeks comment on whether the
proposed definition of ``robbery'' is appropriate. Are there robbery
offenses that are covered by the proposed definition but should not be?
Are there robbery offenses that are not covered by the proposed
definition but should be?
2. Part B of the proposed amendment brackets the possibility of
defining the phrase ``actual or threatened force,'' for purposes of the
proposed ``robbery'' definition, as ``force that is sufficient to
overcome a victim's resistance,'' which is consistent with the Supreme
Court's holding in Stokeling v. United States, 139 S. Ct. 544, 550
(2019). The Commission seeks comment regarding whether the definition
of ``actual or threatened force'' is necessary after the Stokeling
decision. If so, is the proposed definition of the phrase appropriate?
Are there robbery offenses that would be covered by defining ``actual
or threatened force'' in such a way but should not be? Are there
robbery offenses that would not be covered but should be?
(C) Inchoate Offenses
Synopsis of Proposed Amendment: The career offender guideline
includes convictions for inchoate offenses and offenses arising from
accomplice liability, such as aiding and abetting, conspiring to
commit, and attempting to commit a ``crime of violence'' and a
``controlled substance offense.'' See USSG Sec. 4B1.2, comment. (n.1).
In the original 1987 Guidelines Manual, these offenses were included
only in the definition of ``controlled substance offense.'' See USSG
Sec. 4B1.2, comment. (n.2) (effective Nov. 1, 1987). In 1989, the
Commission amended the guideline to provide that both definitions--
``crime of violence'' and ``controlled substance offense''--include the
offenses of aiding and abetting, conspiracy, and attempt to commit such
crimes. See USSG App. C, Amendment 268 (effective Nov. 1, 1989). Two
circuit conflicts have now arisen relating to the definitions of
``crime of violence'' and ``controlled substance offense'' in Sec.
4B1.2 (Definitions of Terms Used in Section 4B1.1) and their inclusion
of inchoate offenses.
The first circuit conflict concerns whether the definition of
controlled substance offense in Sec. 4B1.2(b) includes the inchoate
offenses listed in Application Note 1 to Sec. 4B1.2. Although courts
had previously held that Sec. 4B1.2's definitions include inchoate
offenses based on the Commentary to Sec. 4B1.2 and the Supreme Court's
decision in Stinson v. United States, 508 U.S. 36 (1993), four circuits
have now held that Sec. 4B1.2(b)'s definition of a ``controlled
substance offense'' does not include inchoate offenses because such
offenses are not expressly included in the guideline text, while five
have continued with their long-standing holding that such offenses are
included.
The Third, Fourth, Sixth, and D.C. Circuits have held that inchoate
offenses are not included in the definition of a ``controlled substance
offense'' because the commentary is inconsistent with the text of the
guideline and, thus, does not control. These courts have concluded that
that the Commission exceeded its authority under Stinson when it
[[Page 7216]]
attempted to incorporate inchoate offenses to Sec. 4B1.2(b)'s
definition through the commentary, because the commentary can only
interpret or explain the guideline, it cannot expand its scope by
adding qualifying offenses. See United States v. Winstead, 890 F.3d
1082, 1090-92 (D.C. Cir. 2018) (Where the guideline ``present[ed] a
very detailed `definition' of controlled substance offense that clearly
excludes inchoate offenses,'' the Commentary's inclusion of such
offenses had ``no grounding in the guidelines themselves.''); United
States v. Havis, 927 F.3d 382, 386 (6th Cir. 2019) (en banc) (``To make
attempt crimes a part of Sec. 4B1.2(b), the Commission did not
interpret a term in the guideline itself--no term in Sec. 4B1.2(b)
would bear that construction. Rather, the Commission used Application
Note 1 to add an offense not listed in the guideline.''); United States
v. Nasir, 982 F.3d 144, 156-60 (3d Cir. 2020) (en banc), vacated and
remanded on other grounds, 142 S. Ct. 56, 211 L.Ed.2d 1 (2021), aff'd
on remand, 17 F.4th 459, 467-72 (3d Cir. 2021) (en banc); United States
v. Campbell, 22 F.4th 438, 444-47 (4th Cir. 2022).
The First, Second, Seventh, Eighth, Ninth, and Eleventh Circuits
continue to hold that inchoate offenses like attempt and conspiracy
qualify as controlled substance offenses, reasoning that the commentary
is consistent with the text of Sec. 4B1.2(b) because it does not
include any offense that is explicitly excluded by the text of the
guideline. See United States v. Smith, 989 F.3d 575, 583-85 (7th Cir.
2021) (citing United States v. Adams, 934 F.3d 720, 727-29 (7th Cir.
2019) (``conclud[ing] that Sec. 4B1.2's Application Note 1 is
authoritative and that `controlled substance offense' includes inchoate
offenses'' (citation omitted)), cert. denied, 142 S.Ct. 488 (2021);
accord United States v. Lewis, 963 F.3d 16, 21-23 (1st Cir. 2020);
United States v. Richardson, 958 F.3d 151, 154-55 (2d Cir. 2020)
(citing United States v. Tabb, 949 F.3d 81, 87-89 (2d Cir. 2020));
United States v. Garcia, 946 F.3d 413, 417 (8th Cir. 2019); United
States v. Crum, 934 F.3d 963, 966 (9th Cir. 2019); United States v.
Lange, 862 F.3d 1290, 1295 (11th Cir. 2017). See also United States v.
Goodin, 835 F. App'x 771, 782 n.1 (5th Cir. 2021) (unpublished) (noting
that circuit precedent provides that Application Note 1 in the career
offender guideline is binding).
The second circuit conflict concerns whether certain conspiracy
offenses qualify as crimes of violence or controlled substance
offenses. Some courts have employed a two-step analysis in determining
whether a prior conviction for conspiracy to commit a crime of violence
or controlled substance offense is itself a crime of violence or
controlled substance offense, by first comparing the substantive
offense to its generic definition and then separately comparing the
inchoate offense to its generic definition. See, e.g., United States v.
McCollum, 885 F.3d 300, 303 (4th Cir. 2018) (Employing a two-step
categorical approach and concluding that conspiracy to commit murder in
aid of racketeering is not categorically a crime of violence because
generic conspiracy requires an overt act while the conspiracy at issue
does not). In doing so, these courts have held that because the generic
definition of conspiracy requires proof of an overt act, certain
conspiracy offenses that do not contain an ``overt act'' element are
categorically excluded as crimes of violence or controlled substance
offenses, even though the substantive crime is a crime of violence or a
controlled substance offense. See, e.g., United States v. Norman, 935
F.3d 232, 237-39 (4th Cir. 2019) (finding that prior federal
convictions for conspiracy to distribute and possess with intent to
distribute crack cocaine under 21 U.S.C. 846 do not qualify as
controlled substance offenses, even though there is no dispute that the
underlying drug trafficking crimes qualify as controlled substance
offenses); United States v. Martinez-Cruz, 836 F.3d 1305, 1314 (10th
Cir. 2016) (holding that there is ``no evidence [of the intent of the
Sentencing Commission] regarding whether a conspiracy conviction
requires an overt act--except for the plain language of the guideline,
which uses a generic, undefined term, ripe for the categorical
approach.'')
In contrast, the First and Second Circuits have declined to follow
this reasoning, holding instead that ``[t]he text and structure of
Application Note 1 demonstrate that it was intended to include Section
846 narcotics conspiracy. Application Note 1 clarifies that `controlled
substance offenses' include `the offense[ ] of . . . conspiring . . .
to commit such offenses,' language that on its face encompasses federal
narcotics conspiracy.'' United States v. Tabb, 949 F.3d 81, 88 (2d Cir.
2020), cert. denied, 141 S. Ct. 2793 (2021) (``To us, it is patently
evident that Application Note 1 was intended to and does encompass
Section 846 narcotics conspiracy.''); see also United States v. Lewis,
963 F.3d 16, 26-27 (1st Cir. 2020).
Part C of the proposed amendment would address these circuit
conflicts by amending Sec. 4B1.2 and its commentary. First, it would
move the inchoate offenses provision from the Commentary to Sec. 4B1.2
to the guideline itself as a new subsection (c). Second, Part C of the
proposed amendment would revise the provision to provide that the terms
``crime of violence'' and ``controlled substance offense'' include
aiding and abetting, attempting to commit, or conspiring to commit any
such offense, or any other inchoate offense or offense arising from
accomplice liability involving a ``crime of violence'' or a
``controlled substance offense.''
Third, Part C of the proposed amendment addresses the circuit
conflict regarding whether certain conspiracy offenses qualify as
crimes of violence or controlled substance offenses. Two options are
provided.
Option 1 would address the conspiracy issue in a comprehensive
manner that would be applicable to all other inchoate offenses and
offenses arising from accomplice liability. It would eliminate the need
for the two-step analysis discussed above by adding the following to
new subsection (c): ``To determine whether any offense described above
qualifies as a `crime of violence' or `controlled substance offense,'
the court shall only determine whether the underlying substantive
offense is a `crime of violence' or a `controlled substance offense,'
and shall not consider the elements of the inchoate offense or offense
arising from accomplice liability.''
Option 2 would take a narrower approach, addressing only conspiracy
offenses without addressing whether a court must perform the two-step
analysis described above with regard to other inchoate offenses. Option
2 would instead add a provision to new subsection (c) that brackets two
alternatives addressing conspiracy to commit a ``crime of violence'' or
a ``controlled substance offense.'' The first bracketed alternative
provides that an offense of conspiring to commit a ``crime of
violence'' or a ``controlled substance offense'' qualifies as a ``crime
of violence'' or a ``controlled substance offense,'' regardless of
whether an overt act must be proved as an element of the conspiracy
offense. The second bracketed alternative provides that an offense of
conspiring to commit a ``crime of violence'' or a ``controlled
substance offense'' qualifies as a ``crime of violence'' or a
``controlled substance offense,'' only if an overt act must be proved
as an element of the conspiracy offense.
Issues for comment are also provided.
[[Page 7217]]
Proposed Amendment
Section 4B1.2 is amended by redesignating subsection (c) as
subsection (d), and by adding the following new subsection (c):
[Option 1 (includes changes to the commentary):
(c) The terms `crime of violence' and `controlled substance
offense' include the offenses of aiding and abetting, attempting to
commit, or conspiring to commit any such offense, or any other inchoate
offense or offense arising from accomplice liability involving a `crime
of violence' or a `controlled substance offense.' To determine whether
any offense described above qualifies as a `crime of violence' or
`controlled substance offense,' the court shall only determine whether
the underlying substantive offense is a `crime of violence' or a
`controlled substance offense,' and shall not consider the elements of
the inchoate offense or offense arising from accomplice liability.''.]
[Option 2 (includes changes to the commentary):
(c) The terms `crime of violence' and `controlled substance
offense' include the offenses of aiding and abetting, attempting to
commit, or conspiring to commit any such offense, or any other inchoate
offense or offense arising from accomplice liability involving a `crime
of violence' or a `controlled substance offense.' [An offense of
conspiring to commit a `crime of violence' or a `controlled substance
offense' qualifies as a `crime of violence' or a `controlled substance
offense,' regardless of whether an overt act must be proved as an
element of the conspiracy offense][However, an offense of conspiring to
commit a `crime of violence' or a `controlled substance offense'
qualifies as a `crime of violence' or a `controlled substance offense,'
only if an overt act must be proved as an element of the conspiracy
offense].''.]
[Options 1 and 2 (continued):
The Commentary to Sec. 4B1.2 captioned ``Application Notes'' is
amended in Note 1 by striking the following paragraph:
`` `Crime of violence' and `controlled substance offense' include
the offenses of aiding and abetting, conspiring, and attempting to
commit such offenses.''.]
Issues for Comment
1. In determining whether an inchoate offense is a ``crime of
violence'' or a ``controlled substance offense,'' some courts have
employed a two-step analysis. First, courts compare the substantive
offense to its generic definition to determine whether it is a ``crime
of violence'' or a ``controlled substance offense.'' Then, these courts
make a second and separate analysis comparing the inchoate offense
involving that substantive offense to the generic definition of the
specific inchoate offense. Option 1 of Part C of the proposed amendment
would amend Sec. 4B1.2 (Definitions of Terms Used in Section 4B1.1) to
clarify that the offenses of aiding and abetting, attempting to commit,
[soliciting to commit,] or conspiring to commit a ``crime of violence''
or a ``controlled substance offense,'' or any other inchoate offense or
offense arising from accomplice liability involving a ``crime of
violence'' or a ``controlled substance offense'' are a ``crime of
violence'' or a ``controlled substance offense'' if the substantive
offense is a ``crime of violence'' or a ``controlled substance
offense.''
The Commission seeks comment on whether the guidelines should be
amended to make this clarification by eliminating the two-step analysis
some courts use in determining whether an inchoate offense is a ``crime
of violence'' or a ``controlled substance offense.'' Should the
guidelines adopt a different approach?
2. The Commission also seeks comment more broadly on how the
guidelines definitions of ``crime of violence'' and ``controlled
substance offense'' should address aiding and abetting, attempting to
commit, soliciting to commit, or conspiring to commit a ``crime of
violence'' or a ``controlled substance offense,'' or any other inchoate
offense or offense arising from accomplice liability involving a
``crime of violence'' or a ``controlled substance offense.''
Specifically, should the Commission promulgate any of the options
provided above? Should the Commission provide additional requirements
or guidance to address these types of offenses? What additional
requirements or guidance, if any, should the Commission provide? Should
the Commission differentiate between ``crimes of violence'' and
``controlled substance offenses''? For example, should the guidelines
require proof of an overt act for purposes of a conspiracy to commit a
controlled substance offense, but not include such a requirement for
conspiracy to commit a crime of violence?
Alternatively, should the Commission exclude inchoate offenses and
offenses arising from accomplice liability altogether as predicate
offenses for purposes of the ``crime of violence'' and ``controlled
substance offenses'' definitions?
(D) Definition of ``Controlled Substance Offense''
Synopsis of Proposed Amendment: Subsection (b) of Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1) defines a ``controlled
substance offense'' as an offense that prohibits ``the manufacture,
import, export, distribution, or dispensing of a controlled substance
(or counterfeit substance) or the possession of a controlled substance
(or a counterfeit substance) with intent to manufacture, import,
export, distribute, or dispense.'' USSG Sec. 4B1.2(b).
The Department of Justice has raised a concern that courts have
held that state drug statutes that include an offense involving an
``offer to sell'' a controlled substance do not qualify as a
``controlled substance offense'' under Sec. 4B1.2(b) because such
statutes encompass conduct that is broader than Sec. 4B1.2(b)'s
definition of a ``controlled substance offense.'' See, e.g., Annual
Letter from the Department of Justice to the Commission (Aug. 10,
2018), at https://www.ussc.gov/sites/default/files/pdf/amendment-process/public-comment/20180810/DOJ.pdf. The Commission previously
addressed a similar issue regarding the definition of a ``drug
trafficking offense'' in the illegal reentry guideline at Sec. 2L1.2
(Unlawfully Entering or Remaining in the United States). In 2008, the
Commission amended the Commentary to Sec. 2L1.2 to clarify that an
offer to sell a controlled substance is a ``drug trafficking offense''
for purposes of that guideline, by adding ``offer to sell'' to the
conduct listed in the definition of ``drug trafficking offense.'' See
USSG App. C, Amendment 722 (effective Nov. 1, 2008). In 2016, the
Commission comprehensively revised Sec. 2L1.2. Among the changes made,
the Commission amended the definition of ``crime of violence'' in the
Commentary to Sec. 2L1.2 to conform it to the definition in Sec.
4B1.2, but the Commission did not make changes to the ``drug
trafficking offense'' definition in the Commentary to Sec. 2L1.2.
In addition, a separate issue has arisen as a result of statutory
changes to chapter 705 of title 46 (``Maritime Drug Law Enforcement
Act''). The career offender directive at 28 U.S.C. 994(h) directed the
Commission to assure that ``the guidelines specify a term of
imprisonment at or near the maximum term authorized'' for offenders who
are 18 years or older and have been convicted of a felony that is, and
also have previously been convicted of two or more felonies that are, a
``crime of violence'' or ``an offense described in section 401 of the
Controlled Substances
[[Page 7218]]
Act (21 U.S.C. 841), sections 1002(a), 1005, and 1009 of the Controlled
Substances Import and Export Act (21 U.S.C. 952(a), 955, and 959), and
chapter 705 of title 46.'' 28 U.S.C. 994(h) (emphasis added). Until
2016, the only substantive criminal offense included in ``chapter 705
of title 46'' was codified in section 70503(a) and read as follows:
An individual may not knowingly or intentionally manufacture or
distribute, or possess with intent to manufacture or distribute, a
controlled substance on board--
(1) a vessel of the United States or a vessel subject to the
jurisdiction of the United States; or
(2) any vessel if the individual is a citizen of the United States
or a resident alien of the United States.
46 U.S.C. 70503(a) (2012). Section 70506(b) provided that a person
attempting or conspiring to violate section 70503 was subject to the
same penalties as provided for violating section 70503.
In 2016, Congress enacted the Coast Guard Authorization Act of
2015, Public Law 114-120 (2016), amending, among other things, Chapter
705 of Title 46. Specifically, Congress revised section 70503(a) as
follows:
While on board a covered vessel, an individual may not knowingly or
intentionally--
(1) manufacture or distribute, or possess with intent to
manufacture or distribute, a controlled substance;
(2) destroy (including jettisoning any item or scuttling, burning,
or hastily cleaning a vessel), or attempt or conspire to destroy,
property that is subject to forfeiture under section 511(a) of the
Comprehensive Drug Abuse Prevention and Control Act of 1970 (21 U.S.C.
881(a)); or
(3) conceal, or attempt or conspire to conceal, more than $100,000
in currency or other monetary instruments on the person of such
individual or in any conveyance, article of luggage, merchandise, or
other container, or compartment of or aboard the covered vessel if that
vessel is outfitted for smuggling.
46 U.S.C. 70503(a). Section 70506(b) remained unchanged. The Act added
two new offenses to section 70503(a), in subparagraphs (2) and (3).
Following this statutory change, these two new offenses may not be
covered by the current definition of ``controlled substance offense''
in Sec. 4B1.2.
Part D of the proposed amendment would amend the definition of
``controlled substance offense'' in Sec. 4B1.2(b) to address these
issues. First, it would amend the definition to include offenses
involving an offer to sell a controlled substance, which would align it
with the current definition of ``drug trafficking offense'' in the
Commentary to Sec. 2L1.2. Second, it would revise the ``controlled
substance offense'' definition to also include ``an offense described
in 46 U.S.C. 70503(a) or 70506(b).''
An issue for comment is also provided.
Proposed Amendment
Section 4B1.2(b) is amended by striking the following:
``The term `controlled substance offense' means an offense under
federal or state law, punishable by imprisonment for a term exceeding
one year, that prohibits the manufacture, import, export, distribution,
or dispensing of a controlled substance (or a counterfeit substance) or
the possession of a controlled substance (or a counterfeit substance)
with intent to manufacture, import, export, distribute, or dispense.'',
and inserting the following:
``The term `controlled substance offense' means an offense under
federal or state law, punishable by imprisonment for a term exceeding
one year, that--
(1) prohibits the manufacture, import, export, distribution, or
dispensing of, or offer to sell a controlled substance (or a
counterfeit substance) or the possession of a controlled substance (or
a counterfeit substance) with intent to manufacture, import, export,
distribute, or dispense; or
(2) is an offense described in 46 U.S.C. 70503(a) or 70506(b).''.
Issue for Comment
1. Part D of the proposed amendment would amend the definition of
``controlled substance offense'' in subsection (b) of Sec. 4B1.2
(Definitions of Terms Used in Section 4B1.1) to include offenses
involving an offer to sell a controlled substance. The Commission seeks
comment on the extent to which such offenses should be included as
``controlled substance offenses'' for purposes of the career offender
guideline. Are there other drug offenses that are not included under
this definition, but should be?
If the Commission were to amend the definition of ``controlled
substance offense'' in Sec. 4B1.2(b) to include other drug offenses,
in addition to offenses involving an offer to sell a controlled
substance, should the Commission revise the definition of ``controlled
substance offense'' at Sec. 2L1.2 (Unlawfully Entering or Remaining in
the United States) to conform it to the revised definition set forth in
Sec. 4B1.2(b)?
7. Criminal History
Synopsis of Proposed Amendment: The proposed amendment contains
three parts (Parts A through C). The Commission is considering whether
to promulgate any or all of these parts, as they are not mutually
exclusive. Parts A through C of the proposed amendment all address the
Commission's priority on criminal history. See U.S. Sent'g Comm'n,
``Notice of Final Priorities,'' 87 FR 67756 (Nov. 9, 2022) (``In light
of Commission studies, consideration of possible amendments to the
Guidelines Manual relating to criminal history to address (A) the
impact of `status' points under subsection (d) of section 4A1.1
(Criminal History Category); (B) the treatment of defendants with zero
criminal history points; and (C) the impact of simple possession of
marihuana offenses.''). Part B of the proposed amendment also addresses
the Commission's priority on 28 U.S.C. 994(j). Id. (``Consideration of
possible amendments to the Guidelines Manual addressing 28 U.S.C.
994(j).'').
A defendant's criminal history score is calculated pursuant to
Chapter Four, Part A (Criminal History). To calculate a criminal
history score, courts are instructed to assign one, two, or three
points to qualifying prior sentences under subsections (a) through (c)
of Sec. 4A1.1 (Criminal History Category). One point is also added
under Sec. 4A1.1(e) for any prior sentence resulting from a crime of
violence that was not otherwise already assigned points. Finally, two
criminal history points are added under Sec. 4A1.1(d) if the defendant
committed the instant offense ``while under any criminal justice
sentence, including probation, parole, supervised release,
imprisonment, work release, or escape status.'' USSG Sec. 4A1.1(e). A
``criminal justice sentence'' refers to a ``sentence countable under
Sec. 4A1.2 (Definitions and Instructions for Computing Criminal
History) having a custodial or supervisory component, although active
supervision is not required.'' USSG Sec. 4A1.1, comment. (n.4).
(A) Status Points Under Sec. 4A1.1
``Status points'' are relatively common in cases with at least one
criminal history point, having been applied in 37.5 percent of cases
with criminal history points over the last five fiscal years. Of the
offenders who received ``status points'', 61.5 percent had a higher CHC
as a result of the status points. Like other provisions in Chapter
Four, ``status points'' are included in the
[[Page 7219]]
calculation of a defendant's criminal history as a reflection of
several statutory purposes of sentencing. As described in the
Introductory Commentary to Chapter Four, accounting for a defendant's
criminal history in the guidelines, including status points, addresses
the need for the sentence ``(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;
[and] (C) to protect the public from further crimes of the defendant.''
18 U.S.C. 3553(a)(2)(A)-(C). A series of recent Commission publications
has focused on just one of these purposes of sentencing--specific
deterrence--through detailed analyses regarding the recidivism rates of
federal offenders. See, e.g., U.S. Sent'g Comm'n, Recidivism of
Offenders Released in 2010 (2021), available at https://www.ussc.gov/research/research-reports/recidivism-federal-offenders-released-2010.
These reports again concluded that a defendant's criminal history
calculation under the guidelines is strongly associated with the
likelihood of future recidivism by the defendant. In a related
publication, the Commission also found, however, that status points add
little to the overall predictive value associated with the criminal
history score. U.S. Sent'g Comm'n, Revisiting Status Points (2022),
available at https://www.ussc.gov/research/research-reports/revisiting-status-points.
Part A of the proposed amendment addresses the impact of ``status
points'' under the guidelines. Three options are provided.
Option 1 would add a downward departure provision in Application
Note 4 of the Commentary to Sec. 4A1.1 for cases in which ``status
points'' are applied.
Option 2 would reduce the impact of ``status points'' overall, by
decreasing the criminal history points added under Sec. 4A1.1(d) from
two points to one point. It would also add a departure provision in
Application Note 4 of the Commentary to Sec. 4A1.1 that could result
in either an upward departure or a downward departure, depending on the
circumstances.
Option 3 would eliminate the ``status points'' provided in Sec.
4A1.1(d). It would also make conforming changes to Sec. 2P1.1 (Escape,
Instigating or Assisting Escape) and Sec. 4A1.2 to reflect the removal
of ``status points'' from the Guidelines Manual. In addition, Option 3
would amend the Commentary to Sec. 4A1.3 (Departures Based on
Inadequacy of Criminal History Category (Policy Statement)) to provide
an example of an instance in which an upward departure from the
defendant's criminal history may be warranted.
Issues for comment are also provided.
(B) Zero Point Offenders
The Sentencing Table in Chapter Five, Part A of the Guidelines
Manual comprises two components: offense level and criminal history
category. Criminal history forms the horizontal axis of the table and
is divided into six categories, from I (lowest) to VI (highest).
Chapter Four, Part A of the Guidelines Manual provides instructions on
how to calculate a defendant's criminal history category by assigning
points for certain prior convictions. Criminal History Category I
includes offenders with zero criminal history points and those with one
criminal history point. Accordingly, the following types of offenders
are classified under the same category: (1) offenders with no prior
convictions; (2) offenders who have prior convictions that are not
counted because they were not within the time limits set forth in
subsection (d) and (e) of Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History); (3) offenders who have prior convictions
that are not used in computing the criminal history category for
reasons other than their ``staleness'' (e.g., sentences resulting from
foreign or tribal court convictions, minor misdemeanor convictions, or
infractions); and (4) offenders with a prior conviction that received
only one criminal history point. In fiscal year 2021, there were
approximately 17,500 offenders who received zero criminal history
points, of whom approximately 13,200 had no prior convictions.
Chapter Five also address what types of sentences a court may
impose (e.g., probation or imprisonment), according to the location of
the defendant's applicable sentencing range in one of the four Zones
(A-D) of the Sentencing Table. Specifically, Sec. 5C1.1 (Imposition of
a Term of Imprisonment) provides that defendants in Zones A and B may
receive, in the court's discretion, a probationary sentence or a
sentence of incarceration; defendants in Zone C may receive a ``split''
sentence of incarceration followed by community confinement or a
sentence of incarceration only at the court's discretion; and
defendants in Zone D may only receive a sentence of imprisonment absent
a downward departure or variance from that zone. The Commentary to
Sec. 5C1.1 contains an application note that provides that ``[i]f the
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.''
USSG Sec. 5C1.1, comment. (n.4).
Recidivism data analyzed by the Commission suggest that offenders
with zero criminal history points (``zero-point'' offenders) have
considerably lower recidivism rates than other offenders, including
lower recidivism rates than the offenders in Criminal History Category
I with one criminal history point. See U.S. Sent'g Comm'n, Recidivism
of Federal Offenders Released in 2010 (2021), available at https://www.ussc.gov/research/research-reports/recidivism-federal-offenders-released-2010. Among other findings, the report concluded that ``zero-
point'' offenders were less likely to be rearrested than ``one point''
offenders (26.8% compared to 42.3%), the largest variation of any
comparison of offenders within the same Criminal History Category. In
addition, 28 U.S.C. 994(j) directs that alternatives to incarceration
are generally appropriate for first offenders not convicted of a
violent or otherwise serious offense.
Part B of the proposed amendment sets forth a new Chapter Four
guideline, at Sec. 4C1.1 (Adjustment for Certain Zero-Point
Offenders). New Sec. 4C1.1 would provide a decrease of [1 level][2
levels] from the offense level determined under Chapters Two and Three
for zero-point offenders who meet certain criteria. It provides two
options for establishing the criteria.
Option 1 would make the adjustment applicable to zero-point
offenders with no prior convictions. It would provide a [1][2]-level
decrease if the defendant meets all of the following criteria: (1) the
defendant did not receive any criminal history points from Chapter
Four, Part A, and had no prior convictions or other comparable judicial
dispositions of any kind; (2) the defendant did not use violence or
credible threats of violence or possess a firearm or other dangerous
weapon (or induce another participant to do so) in connection with the
offense; (3) the offense did not result in death or serious bodily
injury; (4) the defendant's acts or omissions did not result in
substantial financial hardship to [one or more victims][five or more
victims][25 or more victims]; (5) the defendant was not an organizer,
leader, manager, or supervisor of others in the offense, as determined
under Sec. 3B1.1 (Aggravating Role), and was not engaged in a
continuing criminal enterprise, as defined in 21 U.S.C. 848; and (6)
[the defendant is not determined to be a
[[Page 7220]]
repeat and dangerous sex offender against minors under Sec. 4B1.5
(Repeat and Dangerous Sex Offender Against Minors)][the instant offense
of conviction is not a covered sex crime]. Under Option 1,
approximately 10,500 offenders sentenced in fiscal year 2021 would have
been eligible under Sec. 4C1.1 depending on the exclusionary criteria.
Option 2 would make the adjustment applicable to all offenders who
had no countable convictions (i.e., offenders who received zero
criminal history points based upon the criminal history rules in
Chapter Four). It would provide a [1 level][2 levels] decrease if the
defendant meets all of the following criteria: (1) the defendant did
not receive any criminal history points from Chapter Four, Part A; (2)
the defendant did not use violence or credible threats of violence or
possess a firearm or other dangerous weapon (or induce another
participant to do so) in connection with the offense; (3) the offense
did not result in death or serious bodily injury; (4) the defendant's
acts or omissions did not result in substantial financial hardship to
[one or more victims][five or more victims][25 or more victims]; (5)
the defendant was not an organizer, leader, manager, or supervisor of
others in the offense, as determined under Sec. 3B1.1 (Aggravating
Role), and was not engaged in a continuing criminal enterprise, as
defined in 21 U.S.C. 848; and (6) [the defendant is not determined to
be a repeat and dangerous sex offender against minors under Sec. 4B1.5
(Repeat and Dangerous Sex Offender Against Minors)][the instant offense
of conviction is not a covered sex crime]. Option 2 also provides for
an upward departure that would be applicable if the adjustment under
new Sec. 4C1.1 substantially underrepresents the seriousness of the
defendant's criminal history. Under Option 2, approximately 13,500
offenders sentenced in fiscal year 2021 would have been eligible under
Sec. 4C1.1 depending on the exclusionary criteria.
Both options include a subsection (c) that provides definitions and
additional considerations for purposes of applying the guideline.
Part B of the proposed amendment would also amend the Commentary to
Sec. 5C1.1 (Imposition of a Term of Imprisonment) as part of the
Commission's implementation of 28 U.S.C. 994(j). Section 994(j)
directed the Commission to ensure that the guidelines 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. Part
B of the proposed amendment would address the alternatives to
incarceration available to ``zero-point'' offenders by revising the
application note in Sec. 5C1.1 that addresses ``nonviolent first
offenders'' to focus on ``zero-point'' offenders. Two new provisions
would be added. New Application Note 4(A) would provide that if the
defendant received an adjustment under new Sec. 4C1.1 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. New
Application Note 4(B) would provide that if the defendant received an
adjustment under new Sec. 4C1.1, the defendant's applicable guideline
range is in Zone C or D of the Sentencing Table, and the defendant's
instant offense of conviction is not an otherwise serious offense, a
departure to a sentence other than a sentence of imprisonment [may be
appropriate][is generally appropriate]. Of the approximately 10,500
offenders who received zero criminal history points and had no prior
convictions in fiscal year 2021 who would be eligible under Sec. 4C1.1
under Option 1, about one-quarter were in Zones A and B, about ten
percent were in Zone C, and over 60 percent were in Zone D. Of the
approximately 13,500 offenders who received zero criminal history
points in fiscal year 2021 who would be eligible under Sec. 4C1.1
under Option 2, about 30 percent were in Zones A and B, ten percent
were in Zone C, and about 60 percent were in Zone D.
In addition, Part B of the proposed amendment would amend
subsection (b)(2)(A) of Sec. 4A1.3 (Departures Based on Inadequacy of
Criminal History Category (Policy Statement)) to provide that a
departure below the lower limit of the applicable guideline range for
Criminal History Category I is prohibited, ``unless otherwise
specified.'' Part B of the proposed amendment would also amend Chapter
One, Part A, Subpart 1(4)(d) (Probation and Split Sentences) to provide
an explanatory note addressing amendments to the Guidelines Manual
related to the implementation of 28 U.S.C. 994(j), first offenders, and
``zero-point'' offenders.
Finally, Part B of the proposed amendment provides issues for
comment.
(C) Impact of Simple Possession of Marihuana Offenses
While marihuana remains a Schedule I controlled substance under the
federal Controlled Substances Act (CSA), subjecting offenders to up to
one year in prison (and up to two or three years in prison for repeat
offenders), many states and territories have reduced or eliminated the
penalties for possessing small quantities of marihuana for personal
use. Twenty-one states and territories have removed legal prohibitions,
including criminal and civil penalties, for the possession of small
quantities for recreational use. An additional 14 states and
territories have lowered the punishment for possession of small
quantities for recreational use from criminal penalties (such as
imprisonment) to solely civil penalties (such as a fine). At the end of
fiscal year 2021, possession of marihuana remained illegal for all
purposes only in 12 states and territories.
The Commission recently published a report on the impact of simple
possession of marihuana offenses on sentencing. See U.S. Sent'g Comm'n,
Weighing the Impact of Simple Possession of Marijuana: Trends and
Sentencing in the Federal System (2023), available at https://www.ussc.gov/research/research-reports/weighing-impact-simple-possession-marijuana.
The key findings from the report include--
In fiscal year 2021, 4,405 federal offenders (8.0%)
received criminal history points under the federal sentencing
guidelines for prior marihuana possession sentences. Most (79.3%) of
the prior sentences were for less than 60 days in prison, including
non-custodial sentences. Furthermore, ten percent (10.2%) of these
4,405 offenders had no other criminal history points.
The criminal history points for prior marihuana possession
sentences resulted in a higher Criminal History Category for 40 percent
(40.1%) of the 4,405 offenders (1,765).
Part C of the proposed amendment would amend the Commentary to
Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category (Policy Statement)) to include sentences resulting from
possession of marihuana offenses as an example of when a downward
departure from the defendant's criminal history may be warranted.
Specifically, Part C of the proposed amendment would provide that a
downward departure may be warranted if 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.
Issues for comment are provided.
[[Page 7221]]
(A) Status Points Under Sec. 4A1.1
Proposed Amendment
[Option 1 (Departure Provision for Status Points):
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended in Note 4 by adding at the end the following new paragraph:
``There may be cases in which adding points under Sec. 4A1.1(d)
results in a Criminal History Category that substantially
overrepresents the seriousness of the defendant's criminal history. In
such a case, a downward departure may be warranted in accordance with
Sec. 4A1.3 (Departures Based on Inadequacy of Criminal History
Category).''.]
[Option 2 (Reducing Status Points):
Section 4A1.1(d) is amended by striking ``2 points'' and inserting
``1 point''.
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended in Note 4 by striking ``Two points are added'' and inserting
``One point is added'', and by adding at the end the following new
paragraph:
``There may be cases in which adding a point under Sec. 4A1.1(d)
results in a Criminal History Category that substantially
overrepresents or underrepresents the seriousness of the defendant's
criminal history. In such a case, a departure may be warranted in
accordance with Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category).''.
The Commentary to Sec. 4A1.1 captioned ``Background'' is amended
by striking ``Section 4A1.1(d) adds two points'' and inserting
``Section 4A1.1(d) adds one point''.]
[Option 3 (Eliminating Status Points):
Section 4A.1.1 is amended--
by striking subsection (d) as follows:
``(d) Add 2 points if the defendant committed the instant offense
while under any criminal justice sentence, including probation, parole,
supervised release, imprisonment, work release, or escape status.'';
and by redesignating subsection (e) as subsection (d).
The Commentary to Sec. 4A1.1 captioned ``Application Notes'' is
amended--
by striking Note 4 as follows:
``4. Sec. 4A1.1(d). Two points are added if the defendant
committed any part of the instant offense (i.e., any relevant conduct)
while under any criminal justice sentence, including probation, parole,
supervised release, imprisonment, work release, or escape status.
Failure to report for service of a sentence of imprisonment is to be
treated as an escape from such sentence. See Sec. 4A1.2(n). For the
purposes of this subsection, a ``criminal justice sentence'' means a
sentence countable under Sec. 4A1.2 (Definitions and Instructions for
Computing Criminal History) having a custodial or supervisory
component, although active supervision is not required for this
subsection to apply. For example, a term of unsupervised probation
would be included; but a sentence to pay a fine, by itself, would not
be included. A defendant who commits the instant offense while a
violation warrant from a prior sentence is outstanding (e.g., a
probation, parole, or supervised release violation warrant) shall be
deemed to be under a criminal justice sentence for the purposes of this
provision if that sentence is otherwise countable, even if that
sentence would have expired absent such warrant. See Sec. 4A1.2(m).'';
by redesignating Note 5 as Note 4;
and in Note 4 (as so redesignated) by striking ``Sec. 4A1.1(e)''
each place such term appears and inserting ``Sec. 4A.1.1(d)'', and by
striking ``Sec. 4A1.2(p)'' and inserting ``Sec. 4A1.2(n)''.
The Commentary to Sec. 4A1.1 captioned ``Background'' is amended
by striking the last paragraph as follows:
``Section 4A1.1(d) adds two points if the defendant was under a
criminal justice sentence during any part of the instant offense.''.
The Commentary to Sec. 2P1.1 captioned ``Application Notes'' is
amended in Note 5 by striking ``and Sec. 4A1.1(d) (custody status)''.
Section 4A1.2 is amended--
in subsection (a)(2) by striking ``Sec. 4A1.1(e)'' and inserting
``Sec. 4A1.1(d)'';
in subsection (l) by striking ``Sec. 4A1.1(a), (b), (c), (d), and
(e)'' and inserting ``Sec. 4A1.1(a), (b), (c), and (d)'';
by striking subsections (m) and (n) as follows:
``(m) Effect of a Violation Warrant
For the purposes of Sec. 4A1.1(d), a defendant who commits the
instant offense while a violation warrant from a prior sentence is
outstanding (e.g., a probation, parole, or supervised release violation
warrant) shall be deemed to be under a criminal justice sentence if
that sentence is otherwise countable, even if that sentence would have
expired absent such warrant.
(n) Failure to Report for Service of Sentence of Imprisonment
For the purposes of Sec. 4A1.1(d), failure to report for service
of a sentence of imprisonment shall be treated as an escape from such
sentence.'';
by redesignation subsections (o) and (p) as subsections (m) and
(n), respectively;
and in subsection (n) (as so redesignated) by striking ``Sec.
4A1.1(e)'' and inserting ``Sec. 4A1.1(d)''.
The Commentary to Sec. 4A1.3 captioned ``Application Notes'' is
amended in Note 2(A) by adding at the end the following new
subparagraph:
``(v) The defendant committed the instant offense (i.e., any
relevant conduct to the instant offense under Sec. 1B1.3 (Relevant
Conduct)) while under any criminal justice sentence having a custodial
or supervisory component (including probation, parole, supervised
release, imprisonment, work release, or escape status).''.
Issues for Comment
1. Option 3 of Part A of the proposed amendment would eliminate the
``status points'' provided in subsection (d) of Sec. 4A1.1 (Criminal
History Category). Instead of eliminating ``status points'' altogether,
should the Commission eliminate ``status points'' related to certain
categories of prior offenses, but not others? For example, should
``status points'' continue to apply if the defendant was under a
criminal justice sentence resulting from a violent prior offense?
Should ``status points'' continue to apply if the defendant was
recently placed under a criminal justice sentence involving a custodial
or supervisory component?
2. Option 3 of Part A of the proposed amendment would amend the
Commentary to Sec. 4A1.3 (Departures Based on Inadequacy of Criminal
History Category (Policy Statement)) to provide an example of an
instance in which an upward departure from the defendant's criminal
history may be warranted. Instead of a departure provision, should the
Commission account in some other way for the ``custody status'' of the
defendant during the commission of the instant offense? If so, how
should the Commission account for such ``status''?
(B) Zero Point Offenders
Proposed Amendment
Chapter Four is amended by inserting at the end the following new
Part C:
``PART C--ADJUSTMENT FOR CERTAIN ZERO-POINT OFFENDERS
Sec. 4C1.1. Adjustment for Certain Zero-Point Offenders
[Option 1 (Zero-Point Offenders with No Prior Convictions):
(a) Adjustment.--If the defendant meets all of the following
criteria:
(1) the defendant did not receive any criminal history points from
Chapter Four, Part A, and had no prior convictions or other comparable
judicial dispositions of any kind;
[[Page 7222]]
(2) the defendant did not use violence or credible threats of
violence or possess a firearm or other dangerous weapon (or induce
another participant to do so) in connection with the offense;
(3) the offense did not result in death or serious bodily injury;
(4) the defendant's acts or omissions did not result in substantial
financial hardship to [one or more victims][five or more victims][25 or
more victims];
(5) the defendant was not an organizer, leader, manager, or
supervisor of others in the offense, as determined under Sec. 3B1.1
(Aggravating Role), and was not engaged in a continuing criminal
enterprise, as defined in 21 U.S.C. 848; and
(6) [the defendant is not determined to be a repeat and dangerous
sex offender against minors under Sec. 4B1.5 (Repeat and Dangerous Sex
Offender Against Minors)][the instant offense of conviction is not a
covered sex crime];
decrease the offense level determined under Chapters Two and Three
by [1 level][2 levels].
(b) Definitions And Additional Considerations.--
(1) The phrase `comparable judicial dispositions of any kind'
includes diversionary or deferred dispositions resulting from a finding
or admission of guilt or a plea of nolo contendere and juvenile
adjudications.
(2) `Dangerous weapon,' `firearm,' `offense,' and `serious bodily
injury' have the meaning given those terms in the Commentary to Sec.
1B1.1 (Application Instructions).
(3) Consistent with Sec. 1B1.3 (Relevant Conduct), the term
`defendant' limits the accountability of the defendant to the
defendant's own conduct and conduct that the defendant aided or
abetted, counseled, commanded, induced, procured, or willfully caused.
(4) In determining whether the defendant's acts or omissions
resulted in `substantial financial hardship' to a victim, the court
shall consider, among other things, the non-exhaustive list of factors
provided in Application Note 4(F) of the Commentary to Sec. 2B1.1
(Theft, Property Destruction, and Fraud).
[(5) ``Covered sex crime'' 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 trafficking in,
receipt of, or possession of, child pornography, or 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 subdivisions (A)(i) through (iv) of
this definition.]''.]
[Option 2 (Zero-Point Offenders with No Countable Convictions):
(a) Adjustment.--If the defendant meets all of the following
criteria:
(1) the defendant did not receive any criminal history points from
Chapter Four, Part A;
(2) the defendant did not use violence or credible threats of
violence or possess a firearm or other dangerous weapon (or induce
another participant to do so) in connection with the offense;
(3) the offense did not result in death or serious bodily injury;
(4) the defendant's acts or omissions did not result in substantial
financial hardship to [one or more victims][five or more victims][25 or
more victims];
(5) the defendant was not an organizer, leader, manager, or
supervisor of others in the offense, as determined under Sec. 3B1.1
(Aggravating Role), and was not engaged in a continuing criminal
enterprise, as defined in 21 U.S.C. 848; and
(6) [the defendant is not determined to be a repeat and dangerous
sex offender against minors under Sec. 4B1.5 (Repeat and Dangerous Sex
Offender Against Minors)][the instant offense of conviction is not a
covered sex crime];
decrease the offense level determined under Chapters Two and Three
by [1 level][2 levels].
(b) Definitions And Additional Considerations.--
(1) `Dangerous weapon,' `firearm,' `offense,' and `serious bodily
injury' have the meaning given those terms in the Commentary to Sec.
1B1.1 (Application Instructions).
(2) Consistent with Sec. 1B1.3 (Relevant Conduct), the term
`defendant' limits the accountability of the defendant to the
defendant's own conduct and conduct that the defendant aided or
abetted, counseled, commanded, induced, procured, or willfully caused.
(3) In determining whether the defendant's acts or omissions
resulted in `substantial financial hardship' to a victim, the court
shall consider, among other things, the non-exhaustive list of factors
provided in Application Note 4(F) of the Commentary to Sec. 2B1.1
(Theft, Property Destruction, and Fraud).
[(4) `Covered sex crime' 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 trafficking in, receipt of, or
possession of, child pornography, or 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 subdivisions (A)(i) through (iv) of this definition.]
Commentary
Application Notes:
1. 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. 5C1.1 captioned ``Application Notes'' is
amended--
by inserting at the beginning of Note 1 the following new heading:
``Application of Subsection (a).--'';
by inserting at the beginning of Note 2 the following new heading:
``Application of Subsection (b).--'';
by inserting at the beginning of Note 3 the following new heading:
``Application of Subsection (c).--'';
in Note 4 by striking the following:
``If the 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, in accordance with subsection (b) or (c)(3). See 28
U.S.C. 994(j). For purposes of this application note, a `nonviolent
first offender' is a defendant who has no prior convictions or other
comparable judicial dispositions of any kind and who did not use
violence or credible threats of violence or possess a firearm or other
dangerous weapon in connection with the offense of conviction. The
phrase ``comparable judicial dispositions of any kind'' includes
diversionary or deferred dispositions resulting from a finding or
admission of guilt or a plea of nolo contendere and juvenile
adjudications.'',
and inserting 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) Zero-Point Offenders in Zones C and D of the Sentencing
Table.--If the
[[Page 7223]]
defendant received an adjustment under Sec. 4C1.1 (Adjustment for
Certain Zero-Point Offenders), the defendant's applicable guideline
range is in Zone C or D of the Sentencing Table, and the defendant's
instant offense of conviction is not an otherwise serious offense, a
departure to a sentence other than a sentence of imprisonment [may be
appropriate][is generally appropriate]. See 28 U.S.C. 994(j).'';
by inserting at the beginning of Note 5 the following new heading:
``Application of Subsection (d).--'';
by inserting at the beginning of Note 6 the following new heading:
``Application of Subsection (e).--'';
by inserting at the beginning of Note 7 the following new heading:
``Departures Based on Specific Treatment Purpose.--'';
by inserting at the beginning of Note 8 the following new heading:
``Use of Substitutes for Imprisonment.--'';
by inserting at the beginning of Note 9 the following new heading:
``Residential Treatment Program.--'';
and by inserting at the beginning of Note 10 the following new
heading: ``Application of Subsection (f).--''.
Section 4A1.3(b)(2)(A) is amended by striking ``A departure'' and
inserting ``Unless otherwise specified, a departure''.
The Commentary to Sec. 4A1.3 captioned ``Application Notes'' is
amended in Note 3 by striking ``due to the fact that the lower limit of
the guideline range for Criminal History Category I is set for a first
offender with the lowest risk of recidivism'' and inserting ``unless
otherwise specified''.
Chapter One, Part A is amended in Subpart 1(4)(d) (Probation and
Split Sentences)--
by adding an asterisk after ``community confinement or home
detention.'';
by adding a second asterisk after ``through departures.*'';
and by striking the following:
``*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.)'',
and inserting the following:
``*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
[1 level][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 [__].)
** 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.)''.
Issues for Comment
1. Part B of the proposed amendment would set forth a new Chapter
Four guideline, at Sec. 4C1.1 (Adjustment for Certain Zero-Point
Offenders), that provides a decrease of [1 level][2 levels] from the
offense level determined under Chapters Two and Three if the defendant
meets certain criteria. It provides two options: one option for zero-
point offenders with no prior convictions and another option for zero-
point offenders with no countable convictions. The Commission seeks
comment on which option is preferable, or whether there is an
alternative approach that the Commission should consider. For example,
if the Commission decides to exclude offenders with prior convictions,
should the Commission consider a third option that nevertheless makes
the new adjustment available to offenders with prior convictions that
were not counted under a specific provision of Sec. 4A1.2 (Definitions
and Instructions for Computing Criminal History)? If so, what type of
prior convictions that did not receive criminal history points should
not be excluded? For example, should the Commission allow the new
adjustment to apply to offenders with prior convictions for
misdemeanors and petty offenses that were not counted under Sec.
4A1.2(c)? Should the Commission instead exclude offenders with certain
prior convictions that were not otherwise counted under Sec. 4A1.2?
For example, should the Commission exclude offenders with prior
convictions for sex offenses or violent offenses that were not counted
for criminal history purposes?
If the Commission were to promulgate an option of Sec. 4C1.1 that
excludes offenders with prior convictions not countable under Chapter
Four, Part A (Criminal History), are there any practical issues or
challenges that such an approach would present due to the availability
of records documenting such convictions? If so, what are these
practical issues or challenges?
2. Part B of the proposed amendment provides that the [1 level][2
levels] decrease under the new guideline applies if the defendant meets
all of the criteria set forth in the two options. Should the Commission
incorporate additional or different exclusionary criteria into either
of the options set forth in Part B of the proposed amendment? Should
the Commission change or remove any of the exclusionary criteria set
forth in either of the options thereby making the adjustment available
to a broader group of defendants?
3. If the Commission were to promulgate one of the proposed
options, what conforming changes, if any, should the Commission make to
other provisions of the Guidelines Manual?
4. Part B of the proposed amendment would also amend the Commentary
to Sec. 5C1.1 (Imposition of a Term of Imprisonment) to address the
alternatives to incarceration available to ``zero-point'' offenders.
The Commission seeks comment on whether it should provide additional
guidance about how to apply this new departure provision. If so, what
additional guidance should the Commission provide? For example, should
the Commission provide guidance on how courts should determine whether
the instant offense of conviction is ``not an otherwise serious
offense''?
(C) Impact of Simple Possession of Marihuana Offenses
Proposed Amendment
The Commentary to Sec. 4A1.3 captioned ``Application Notes'' is
amended in Note 3 by striking the following:
``Downward Departures.--A downward departure from the defendant's
criminal history category may be warranted if, for example, 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. A departure
[[Page 7224]]
below the lower limit of the applicable guideline range for Criminal
History Category I is prohibited under subsection (b)(2)(A), due to the
fact that the lower limit of the guideline range for Criminal History
Category I is set for a first offender with the lowest risk of
recidivism.'',
and inserting the following:
``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),
due to the fact that the lower limit of the guideline range for
Criminal History Category I is set for a first offender with the lowest
risk of recidivism.''.
Issues for Comment
1. Part C of the proposed amendment provides for a possible
downward departure if 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. The Commission
seeks comment on whether it should provide additional guidance for
purposes of determining whether a downward departure is warranted in
such cases. If so, what additional guidance should the Commission
provide?
2. The Commission also seeks comment on whether there is an
alternative approach it should consider for addressing sentences for
possession of marihuana. For example, instead of a departure, should
the Commission exclude such sentences from the criminal history score
calculation if the offense is no longer subject to criminal penalties
in the jurisdiction in which the defendant was convicted at the time of
sentencing for the instant offense? Alternatively, should the
Commission exclude all sentences for possession of marihuana offenses
from the criminal history score calculation, regardless of whether such
offenses are punishable by a term of imprisonment or subject to
criminal penalties in the jurisdiction in which the defendant was
convicted at the time of sentencing for the instant offense?
8. 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,''
87 FR 67756 (Nov. 9, 2022).
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); the criminal history calculations in Chapter Four, Part A
(Criminal History); and departures and adjustments in Chapter Five
(Determining the Sentence).
Specifically, Sec. 1B1.3(a)(1) provides that relevant conduct
comprises ``all acts and omissions . . . 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 includes, in
subsection (a)(1)(A), ``all acts and omissions committed, aided,
abetted, counseled, commanded, induced, procured, or willfully caused
by the defendant,'' and, in subsection (a)(1)(B), 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.'' See
USSG Sec. 1B1.3(a)(1).
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.
Consistent with 18 U.S.C. 3661, Sec. 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
unrestricted 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 2021, nearly all offenders (56,324; 98.3%) were
convicted through a guilty plea. The remaining 963 offenders (1.7% of
all offenders) were convicted and sentenced after a trial, and of those
offenders, 157 offenders (0.3% of all offenders) were acquitted of at
least one offense.
[[Page 7225]]
The proposed amendment would amend Sec. 1B1.3 to add a new
subsection (c) providing that acquitted conduct shall not be considered
relevant conduct for purposes of determining the guideline range unless
the conduct was admitted by the defendant during a guilty plea colloquy
or was found by the trier of fact beyond a reasonable doubt to
establish, in whole or in part, the instant offense of conviction. The
new provision would define ``acquitted conduct'' as conduct underlying
a charge of which the defendant has been acquitted by the trier of fact
or upon a motion of acquittal pursuant to Rule 29 of the Federal Rules
of Criminal Procedure or an analogous motion under the applicable law
of a state, local, or tribal jurisdiction.
The proposed amendment 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.
Two issues for comment are also provided.
Proposed Amendment
Section 1B1.3 is amended by adding at the end the following new
subsection (c):
``(c) Acquitted Conduct.--
(1) Limitation.--Acquitted conduct shall not be considered relevant
conduct for purposes of determining the guideline range unless such
conduct--
(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.
(2) Definition of Acquitted Conduct.--For purposes of this
guideline, `acquitted conduct' means conduct (i.e., any acts or
omission) underlying a charge of which the defendant has been acquitted
by the trier of fact or upon a motion of acquittal pursuant to Rule 29
of the Federal Rules of Criminal Procedure or an analogous motion under
the applicable law of a state, local, or tribal jurisdiction.''.
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, generally shall
not be considered relevant conduct for purposes of determining the
guideline range. See subsection (c) of Sec. 1B1.3 (Relevant Conduct).
Acquitted conduct may be considered 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)).''.
Issues for Comment
1. The proposed amendment is intended to generally prohibit the use
of acquitted conduct for purposes of determining the guideline range,
except when such conduct was admitted by the defendant during a guilty
plea colloquy or was found by the trier of fact beyond a reasonable
doubt to establish the instant offense of conviction. However, conduct
underlying an acquitted charge may overlap with conduct found by the
trier of fact beyond a reasonable doubt to establish the instant
offense of conviction. Does this proposed amendment allow a court to
consider such ``overlapping'' conduct for purposes of determining the
guideline range? Should the Commission provide additional guidance to
address this conduct?
2. The Commission seeks comment on whether the limitation on the
use of acquitted conduct is too broad or too narrow. If so, how? For
example, should the Commission account for acquittals for reasons such
as jurisdiction, venue, or statute of limitations, that are otherwise
unrelated to the substantive evidence?
9. Sexual Abuse Offenses
Synopsis of Proposed Amendment: The proposed amendment contains two
parts (Part A and Part B). The Commission is considering whether to
promulgate either or both of these parts, as they are not mutually
exclusive. Part A of the proposed amendment responds to recently
enacted legislation. See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 87 FR 67756 (Nov. 9, 2022) (identifying as a priority
``[i]mplementation of any legislation warranting Commission action'').
Part B of the proposed amendment is a result of the Commission's
``[c]onsideration of possible amendments to the Guidelines Manual to
address sexual abuse or contact offenses against a victim in the
custody, care, or supervision of, and committed by law enforcement or
correctional personnel.'' Id.
(A) Violence Against Women Act Reauthorization Act of 2022
Part A of the proposed amendment responds to title XII of the
Violence Against Women Act Reauthorization Act of 2022 (``the Act'').
The Act is part of the Consolidated Appropriations Act, 2022, Public
Law 117-103 (2022). It created two new offenses concerning sexual
misconduct while committing civil rights offenses and sexual abuse of
an individual in federal custody.
First, the Act created a new offense at 18 U.S.C. 250 (Penalties
for civil rights offenses involving sexual misconduct). New section
250(a) prohibits any person from engaging in, or causing another to
engage in, sexual misconduct while committing a civil rights offense
under chapter 13 (Civil Rights) of part I (Crimes) of title 18, United
States Code, or an offense under section 901 of the Fair Housing Act
(42 U.S.C. 3631). The statute does not define ``sexual misconduct,''
but new section 250(b) delineates different maximum statutory terms of
imprisonment for different degrees of sexual misconduct, ranging from
two years to any term of years or life. The maximum penalties are: (1)
any term of years or life if the offense involved aggravated sexual
abuse, as defined in 18 U.S.C. 2241, or sexual abuse, as defined in 18
U.S.C. 2242, or any attempts to commit such conduct; (2) any term of
years or life if the offense involved abusive sexual contact of a child
who has not attained the age of 16, of the type prohibited by 18 U.S.C.
2244(a)(5); (3) 40 years if the offense involved a sexual act, as
defined in 18 U.S.C. 2246, without the other person's permission and
the sexual act does not amount to sexual abuse or aggravated sexual
abuse; (4) 10 years if the offense involved abusive sexual contact of
the type prohibited by 18 U.S.C. 2244(a)(1) or (b) (excluding abusive
sexual contact through the clothing), with an enhanced maximum penalty
of 30 years if such abusive sexual contact involved a child
[[Page 7226]]
under the age of 12; (5) 3 years if the offense involved abusive sexual
contact of the type prohibited by 18 U.S.C. 2244(a)(2), with an
enhanced maximum penalty of 20 years if such abusive sexual contact
involved a child under the age of 12; (6) 2 years if the offense
involved abusive sexual contact through the clothing of the type
prohibited by 18 U.S.C. 2244(a)(3), (a)(4), or (b), with an enhanced
maximum penalty of 10 years if such abusive sexual conduct through the
clothing involved a child under the age of 12.
Second, the Act amended 18 U.S.C. 2243 and created a new offense at
subsection (c). The new section 2243(c) prohibits an individual, while
acting in their capacity as a federal law enforcement officer, from
knowingly engaging in a sexual act with an individual who is under
arrest, under supervision, in detention, or in federal custody. The
statutory maximum term of imprisonment for the offense is 15 years,
which is the same maximum penalty for offenses under sections 2243(a)
(prohibiting knowingly engaging in a sexual act with a minor who had
attained the age of twelve but not the age of sixteen and is at least
four years younger than the person so engaging) and 2243(b)
(prohibiting knowingly engaging in a sexual act with a ward in official
detention (including in a federal prison or any prison, institution, or
facility where people are held in custody by the direction of, or
pursuant to a contract or agreement with, any federal department or
agency) and under the custodial, supervisory, or disciplinary authority
of the person so engaging).
The Act also included a provision defining ``federal law
enforcement officer'' at 18 U.S.C. 2246(7) as having the meaning given
the term in 18 U.S.C. 115 (i.e., ``any officer, agent, or employee of
the United States authorized by law or by a Government agency to engage
in or supervise the prevention, detection, investigation, or
prosecution of any violation of Federal criminal law.''). In addition,
the Act amended 18 U.S.C. 2244 (Abusive sexual contact) to add a new
penalty provision at subsection (a)(6) stating any person that
knowingly engages in or causes sexual contact with or by another
person, if doing so would violate new section 2243(c), would face a
maximum statutory term of imprisonment of two years.
Part A of the proposed amendment would amend Appendix A (Statutory
Index) to reference offenses under 18 U.S.C. 250 to Sec. 2H1.1
(Offenses Involving Individual Rights), and offenses under 18 U.S.C.
2243(c) to Sec. 2A3.3 (Criminal Sexual Abuse of a Ward or Attempt to
Commit Such Acts). Part A of the proposed amendment would also amend
the Commentary to Sec. Sec. 2A3.3 and 2H1.1 to reflect that these
statutes are referenced to these guidelines. In addition, it would
amend the title of Sec. 2A3.3 to add ``Criminal Sexual Abuse of an
Individual in Federal Custody.''
Issues for comment are also provided.
(B) Sexual Abuse Offenses Committed by Law Enforcement and Correctional
Personnel
Part B of the proposed amendment addresses concerns regarding the
increasing number of cases involving sexual abuse committed by law
enforcement or correctional personnel against victims in their custody,
care, or supervision. In its annual letter to the Commission, the
Department of Justice urged the Commission to consider amending the
Guidelines Manual to better account for such sexual abuse offenses,
including offenses under 18 U.S.C. 2243(b) and the offense conduct
covered by the new statute at 18 U.S.C. 2243(c) (discussed in Part A of
the proposed amendment). According to the Department of Justice, the
provisions of the guideline applicable to such offenses, Sec. 2A3.3
(Criminal Sexual Abuse of a Ward or Attempt to Commit Such Acts), do
not sufficiently account for the severity of the conduct in such
offenses, nor provide adequate penalties in accordance with the
statutory maximum terms of imprisonment provided for these offenses.
Part B of the proposed amendment would amend Sec. 2A3.3 in several
ways to address these concerns. First, it would increase the base
offense level of the guideline from 14 to [22]. Second, Part B of the
proposed amendment would address the presence of aggravating factors in
sexual abuse offenses, such as causing serious bodily injury and the
use or threat of force, in the same way Sec. 2A3.2 (Criminal Sexual
Abuse of a Minor Under the Age of Sixteen Years (Statutory Rape) or
Attempt to Commit Such Acts) currently does, by providing a cross
reference to Sec. 2A3.1 (Criminal Sexual Abuse; Attempt to Commit
Criminal Sexual Abuse) for cases where the offense involved criminal
sexual abuse or attempt to commit criminal sexual abuse (as defined in
18 U.S.C. 2241 or Sec. 2242).
Issues for comment are also provided.
(A) Violence Against Women Act Reauthorization Act of 2022
Proposed Amendment
Appendix A (Statutory Index) is amended--
by inserting before the line referenced to 18 U.S.C. 281 the
following new line reference:
``18 U.S.C. 250 2H1.1'';
and by inserting before the line referenced to 18 U.S.C. 2244 the
following new line reference:
``18 U.S.C. 2243(c) 2A3.3''.
Section 2A3.3 is amended in the heading by inserting after ``Acts''
the following: ``; Criminal Sexual Abuse of an Individual in Federal
Custody''.
The Commentary to Sec. 2A3.3 captioned ``Statutory Provision'' is
amended by inserting after ``Sec. 2243(b)'' the following: ``,
2243(c)''.
The Commentary to Sec. 2H1.1 captioned ``Statutory Provisions'' is
amended by striking ``246, 247, 248, 249'' and inserting ``246-250''.
Issues for Comment
1. In response to the Violence Against Women Act Reauthorization
Act of 2022, Part A of the proposed amendment would reference 18 U.S.C.
250 to Sec. 2H1.1 (Offenses Involving Individual Rights). The
Commission seeks comment on whether the proposed reference is
appropriate and whether any additional changes to the guidelines are
required to account for section 250's offense conduct. Specifically,
should the Commission amend Sec. 2H1.1 to provide a higher or lower
base offense level if 18 U.S.C. 250 is the offense of conviction? If
so, what should that base offense level be and why? Should the
Commission add specific offense characteristics to Sec. 2H1.1 in
response to section 250? If so, what should any such specific offense
characteristic provide and why?
The new statute at 18 U.S.C. 250 provides different maximum
statutory terms of imprisonment, ranging from two years to any term of
years or life, depending on the sexual misconduct involved in the
offense. Should the Commission amend Sec. 2H1.1 to address this range
of penalties? If so, how should the Commission address these different
penalties and why?
2. In response to the Violence Against Women Act Reauthorization
Act of 2022, Part A of the proposed amendment would reference 18 U.S.C.
2243(c) to Sec. 2A3.3 (Criminal Sexual Abuse of a Ward or Attempt to
Commit Such Acts). The Commission seeks comment on whether the proposed
reference is appropriate and whether
[[Page 7227]]
any additional changes to the guidelines are required to account for
section 2243(c)'s offense conduct. Specifically, should the Commission
amend Sec. 2A3.3 to provide a higher or lower base offense level if 18
U.S.C. 2243(c) is the offense of conviction? If so, what should that
base offense level be and why? Should the Commission add a specific
offense characteristic to Sec. 2A3.3 in response to section 2243(c)?
If so, what should that specific offense characteristic provide and
why?
(B) Sexual Abuse Offenses Committed by Law Enforcement and Correctional
Personnel
Proposed Amendment
Section 2A3.3 is amended--
in subsection (a) by striking ``14'' and inserting ``[22]'';
and by inserting at the end the following new subsection (c):
``(c) Cross Reference
(1) If the offense involved criminal sexual abuse or attempt to
commit criminal sexual abuse (as defined in 18 U.S.C. 2241 or Sec.
2242), apply Sec. 2A3.1 (Criminal Sexual Abuse; Attempt to Commit
Criminal Sexual Abuse). If the victim had not attained the age of 12
years, Sec. 2A3.1 shall apply, regardless of the `consent' of the
victim.''.
Issues for Comment
1. Part B of the proposed amendment would amend Sec. 2A3.3
(Criminal Sexual Abuse of a Ward or Attempt to Commit Such Acts) to
increase the base offense level of the guideline from 14 to [22]. The
proposed base offense level of [22] for Sec. 2A3.3 would result in
proportionate penalties with offenses sentenced under Sec. 2A3.2
(Criminal Sexual Abuse of a Minor Under the Age of Sixteen Years
(Statutory Rape) or Attempt to Commit Such Acts), where, like Sec.
2A3.3, the victim is incapable of granting consent. Specifically, Sec.
2A3.2 provides a base offense level of 18 and a 4-level increase at
Sec. 2A3.2(b)(1) that applies in cases where the victim was in the
custody, care, or supervisory control of the defendant. The Commission
seeks comment on whether the proposed base offense level for Sec.
2A3.3 is appropriate and, if not, what should the base offense level be
and why. Are there distinctions between sexual offenses against minors
and sexual offenses against wards that may warrant different base
offense levels? If so, what are those distinctions and how should they
be accounted for in Sec. 2A3.3?
2. Part B of the proposed amendment would also amend Sec. 2A3.3 to
provide a cross reference to Sec. 2A3.1 (Criminal Sexual Abuse;
Attempt to Commit Criminal Sexual Abuse) for cases where the offense
involved criminal sexual abuse or attempt to commit criminal sexual
abuse (as defined in 18 U.S.C. 2241 or Sec. 2242). This cross
reference is the same as the one currently provided for in Sec. 2A3.2
(Criminal Sexual Abuse of a Minor Under the Age of Sixteen Years
(Statutory Rape) or Attempt to Commit Such Acts). The Commission seeks
comment on whether adding a cross reference to Sec. 2A3.1 in Sec.
2A3.3 is appropriate to address the presence of aggravating factors in
the offenses referenced to this guideline, such as causing serious
bodily injury and the use or threat of force. If not, how should the
Commission take into account such aggravating factors? For example,
should the Commission add specific offense characteristics to address
these aggravating factors?
10. Alternative-to-Incarceration Programs
In November 2022, the Commission identified as one of its policy
priorities a ``[m]ultiyear study of court-sponsored diversion and
alternatives-to-incarceration programs (e.g., Pretrial Opportunity
Program, Conviction And Sentence Alternatives (CASA) Program, Special
Options Services (SOS) Program), including consideration of possible
amendments to the Guidelines Manual that might be appropriate.'' U.S.
Sent'g Comm'n, ``Notice of Final Priorities,'' 87 FR 67756 (Nov. 9,
2022). As part of its work on this priority, the Commission is
publishing these issues for comment on alternative-to-incarceration
programs to inform the Commission's consideration of this policy
priority.
Issues for Comment
1. The Commission invites general comment on how it should approach
any study related to this policy priority. What should be the scope,
duration, and sources of information of such a study, and what specific
questions should be addressed?
The Commission further seeks comment on any relevant developments
in recent legal or social science literature on court-sponsored
diversion and alternatives-to-incarceration programs.
2. The Commission invites general comment on whether the Guidelines
Manual should be amended to address court-sponsored diversion and
alternatives-to-incarceration programs. The Commission also seeks
comment on whether it should consider amending the guidelines for such
purposes during this amendment cycle, or whether it should first
undertake further study of court-sponsored diversion and alternatives-
to-incarceration programs. In either case, how should the Commission
amend the Guidelines Manual to address court-sponsored diversion and
alternatives-to-incarceration programs?
For example, should the Commission add to Chapter Five, Part K,
Subpart 2 (Other Grounds for Departure) a new policy statement
permitting a downward departure if the defendant successfully completed
the necessary requirements of an alternative-to-incarceration court
program? If so, what type of programs should be addressed by such
departure provision? Should the Commission provide criteria for
purposes of applying a departure provision related to alternative-to-
incarceration court programs? If so, what criteria should the
Commission use? For example, should such a downward departure only
apply to defendants who successfully completed the necessary
requirements of an alternative-to-incarceration court program? In the
alternative, should the Commission allow the departure to apply also to
defendants who productively participated in any such program without
fulfilling all requirements because they were administratively
discharged from the program due to reasons beyond the defendant's
control (e.g., health reasons, scheduling issues)?
11. Fake Pills
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's consideration of miscellaneous guidelines
application issues. See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 87 FR 67756 (Nov. 9, 2022) (identifying as a priority
``[c]onsideration of other miscellaneous issues, including possible
amendments to (A) section 2D1.1 (Unlawful Manufacturing, Importing,
Exporting, or Trafficking (Including Possession with Intent to Commit
These Offenses); Attempt or Conspiracy) to address offenses involving
misrepresentation or marketing of a controlled substance as another
substance . . . .'').
The proposed amendment responds to concerns expressed by the Drug
Enforcement Administration (DEA) about the proliferation of ``fake
pills'' (i.e., illicitly manufactured pills represented or marketed as
legitimate pharmaceutical pills) containing fentanyl or fentanyl
analogue.
According to the DEA, these fake pills resemble legitimately
manufactured pharmaceutical pills (such as OxyContin, Xanax, and
Adderall) but can result in sudden death or poisoning
[[Page 7228]]
due to the unknown presence and quantities of dangerous substances,
such as fentanyl and fentanyl analogues.
The DEA reported that it seized over 50.6 million fentanyl-laced,
fake prescription pills in calendar year 2022. See Drug Enforcement
Administration, Press Release: Drug Enforcement Administration
Announces the Seizure of Over 379 million Deadly Doses of Fentanyl in
2022 (Dec. 20, 2022), https://www.dea.gov/press-releases/2022/12/20/drug-enforcement-administration-announces-seizure-over-379-million-deadly. DEA laboratory testing indicates that the number of fake pills
laced with fentanyl have sharply increased in recent years and that six
out of ten fentanyl-laced faked pills have been found to contain a
potentially fatal dose of fentanyl. See Drug Enforcement
Administration, Public Safety Alert: DEA Laboratory Testing Reveals
that 6 out of 10 Fentanyl-Laced Fake Prescription Pills Now Contain a
Potentially Lethal Dose of Fentanyl (2022), https://www.dea.gov/alert/dea-laboratory-testing-reveals-6-out-10-fentanyl-laced-fake-prescription-pills-now-contain.
According to the Centers for Disease Control and Prevention (CDC),
overdose deaths from synthetic opioids containing fentanyl, including
pills purporting to be legitimate pharmaceuticals, have sharply
increased in recent years. See Christine L. Mattson et al., Trends and
Geographic Patterns in Drug and Synthetic Opioid Overdose Deaths--
United States, 2013-2019, 70 Morb Mortal Wkly Rep 6 (Feb. 12, 2021),
https://www.cdc.gov/mmwr/volumes/70/wr/mm7006a4.htm.
In order to address this issue, the DEA recommended that the
Commission review the 4-level enhancement for knowingly distributing or
marketing as another substance a mixture or substance containing
fentanyl or fentanyl analogue as a different substance at subsection
(b)(13) of Sec. 2D1.1 (Unlawful Manufacturing, Importing, Exporting,
or Trafficking). Specifically, the DEA suggested that the Commission
consider changing the mens rea requirement to expand the application of
the enhancement to offenders who may not have known fentanyl or
fentanyl analogue was in the substance but distributed or marketed a
substance without regard to whether such dangerous substances could
have been present.
The proposed amendment would amend Sec. 2D1.1(b)(13) to add a new
subparagraph with an alternative 2-level enhancement for cases where
the defendant represented or marketed as a legitimately manufactured
drug another mixture or substance containing fentanyl (N-phenyl-N-[1-
(2-phenylethyl)-4-piperidinyl] propanamide) or a fentanyl analogue,
with reason to believe that such mixture or substance was not the
legitimately manufactured drug. The new provision would refer to 21
U.S.C. 321(g)(1) for purposes of defining the term ``drug.''
An issue for comment is provided.
Proposed Amendment
Section 2D1.1(b)(13) is amended--
by inserting after ``defendant'' the following: ``(A)'';
and by inserting after ``4 levels'' the following: ``; or (B)
represented or marketed as a legitimately manufactured drug another
mixture or substance containing fentanyl (N-phenyl-N-[1-(2-
phenylethyl)-4-piperidinyl] propanamide) or a fentanyl analogue, with
reason to believe that such mixture or substance was not the
legitimately manufactured drug, increase by [2] levels. For purposes of
subsection (b)(13)(B), the term `drug' has the meaning given that term
in 21 U.S.C. 321(g)(1)''.
Issue for Comment
1. The proposed amendment would amend subsection (b)(13) of Sec.
2D1.1 (Unlawful Manufacturing, Importing, Exporting, or Trafficking
(Including Possession with Intent to Commit These Offenses); Attempt or
Conspiracy) to add an alternative 2-level enhancement applicable if the
defendant represented or marketed as a legitimately manufactured drug
another mixture or substance containing fentanyl (N-phenyl-N-[1-(2-
phenylethyl)-4-piperidinyl] propanamide) or a fentanyl analogue, with
reason to believe that such mixture or substance was not the
legitimately manufactured drug. The Commission seeks comment on whether
the proposed alternative enhancement at Sec. 2D1.1(b)(13)(B) is
appropriate to address the concerns raised by the Drug Enforcement
Administration. If not, is there an alternative approach that the
Commission should consider? Should the Commission expand the scope of
Sec. 2D1.1(b)(13)(B) to include other synthetic opioids? If so, what
other synthetic opioids should be included?
The Commission also seeks comment on whether the mens rea
requirement proposed for Sec. 2D1.1(b)(13)(B) is appropriate. Should
the Commission provide a different mens rea requirement for the new
provision? If so, what mens rea requirement should the Commission
provide? Should the Commission instead make Sec. 2D1.1(b)(13)(B) an
offense-based enhancement as opposed to exclusively defendant-based?
12. Miscellaneous
Synopsis of Proposed Amendment: This proposed amendment is a result
of the Commission's consideration of miscellaneous guidelines
application issues. See U.S. Sent'g Comm'n, ``Notice of Final
Priorities,'' 87 FR 67756 (Nov. 9, 2022) (identifying as a priority
``[c]onsideration of other miscellaneous issues, including possible
amendments to . . . (B) section 3D1.2 (Grouping of Closely Related
Counts) to address the interaction between section 2G1.3 (Promoting a
Commercial Sex Act or Prohibited Sexual Conduct with a Minor;
Transportation of Minors to Engage in a Commercial Sex Act or
Prohibited Sexual Conduct; Travel to Engage in Commercial Sex Act or
Prohibited Sexual Conduct with a Minor; Sex Trafficking of Children;
Use of Interstate Facilities to Transport Information about a Minor)
and section 3D1.2(d); and (C) section 5F1.7 (Shock Incarceration
Program (Policy Statement)) to reflect that the Bureau of Prisons no
longer operates a shock incarceration program.''). The proposed
amendment contains two parts (Part A and Part B). The Commission is
considering whether to promulgate either or both of these parts, as
they are not mutually exclusive.
Part A responds to a guideline application issue concerning the
interaction of Sec. 2G1.3 and Sec. 3D1.2 (Grouping of Closely Related
Counts). Although subsection (d) of Sec. 3D1.2 specifies that offenses
covered by Sec. 2G1.1 are not grouped under the subsection, it does
not specify whether or not offenses covered by Sec. 2G1.3 are so
grouped. Part A would amend Sec. 3D1.2(d) to provide that offenses
covered by Sec. 2G1.3, like offenses covered by Sec. 2G1.1, are not
grouped under subsection (d).
Part B revises the guidelines to address the fact that the Bureau
of Prisons (``BOP'') no longer operates a shock incarceration program
as described in Sec. 5F1.7 (Shock Incarceration Program (Policy
Statement)). Part B would amend the Commentary to Sec. 5F1.7 to
reflect the fact that BOP no longer operates the program.
(A) Grouping of Offenses Covered by Sec. 2G1.3
Synopsis of Proposed Amendment: Part A of the proposed amendment
revises Sec. 3D1.2 (Grouping of Closely Related Counts) to provide
that offenses covered by Sec. 2G1.3 (Promoting a Commercial Sex Act or
Prohibited
[[Page 7229]]
Sexual Conduct with a Minor; Transportation of Minors to Engage in a
Commercial Sex Act or Prohibited Sexual Conduct; Travel to Engage in
Commercial Sex Act or Prohibited Sexual Conduct with a Minor; Sex
Trafficking of Children; Use of Interstate Facilities to Transport
Information about a Minor) are not grouped under Sec. 3D1.2(d).
Section 3D1.2 addresses the grouping of closely related counts for
purposes of determining the offense level when a defendant has been
convicted on multiple counts. Subsection (d) states that counts are
grouped together ``[w]hen the offense level is determined largely on
the basis of the total amount of harm or loss, the quantity of a
substance involved, or some other measure of aggregate harm, or if the
offense behavior is ongoing or continuous in nature and the offense
guideline is written to cover such behavior.'' Subsection (d) also
contains lists of (1) guidelines for which the offenses covered by the
guideline are to be grouped under the subsection and (2) guidelines for
which the covered offenses are specifically excluded from grouping
under the subsection.
Section 2G1.1 (Promoting a Commercial Sex Act or Prohibited Sexual
Conduct with an Individual Other than a Minor) is included in the list
of guidelines for which the covered offenses are excluded from grouping
under Sec. 3D1.2(d). Section 2G1.3 is, however, not included on that
list, even though several offenses that are referenced to Sec. 2G1.3
when the offense involves a minor are referenced to Sec. 2G1.1 when
the offense involves an individual other than a minor. In addition,
several offenses that were referenced to Sec. 2G1.1 before Sec. 2G1.3
was promulgated are now referenced to Sec. 2G1.3. See USSG App. C,
Amendment 664 (effective Nov. 1, 2004). Furthermore, Application Note 6
of the Commentary to Sec. 2G1.3 states that multiple counts under
Sec. 2G1.3 are not to be grouped.
Section 2G1.3 is also not included on the list of guidelines for
which the covered offenses are to be grouped under Sec. 3D1.2(d).
Because Sec. 2G1.3 is included on neither list, Sec. 3D.1(d) provides
that ``grouping under [the] subsection may or may not be appropriate
and a ``case-by-case determination must be made based upon the facts of
the case and the applicable guideline (including specific offense
characteristics and other adjustments) used to determine the offense
level.''
Part A of the proposed amendment would amend Sec. 3D1.2(d) to add
Sec. 2G1.3 to the list of guidelines for which the covered offenses
are specifically excluded from grouping.
Proposed Amendment
Section 3D1.2(d) is amended by striking ``Sec. Sec. 2G1.1, 2G2.1''
and inserting ``Sec. Sec. 2G1.1, 2G1.3, 2G2.1''.
(B) Policy Statement on Shock Incarceration Programs
Synopsis of Proposed Amendment: Part B of the proposed amendment
revises the guidelines to address the fact that the Bureau of Prisons
(``BOP'') no longer operates a shock incarceration program as described
in Sec. 5F1.7 (Shock Incarceration Program (Policy Statement)) and the
corresponding commentary.
Section 4046 of title 18, United States Code, authorizes BOP to
place any person who has been sentenced to a term of imprisonment of
more than 12 but not more than 30 months in a shock incarceration
program if the person consents to that placement. Sections 3582(a) and
3621(b)(4) of title 18 authorize a court, in imposing sentence, to make
a recommendation regarding the type of prison facility that would be
appropriate for the defendant. In making such a recommendation, the
court ``shall consider any pertinent policy statements issued by the
Sentencing Commission.'' 18 U.S.C. 3582(a).
Section 5F1.7 provides that, pursuant to sections 3582(a) and
3621(b)(4), a sentencing court may recommend that a defendant who meets
the criteria set forth in section 4046 participate in a shock
incarceration program. The Commentary to Sec. 5F1.7 describes the
authority for BOP to operate a shock incarceration program and the
procedures that the BOP established in 1990 regarding operation of such
a program.
In 2008, BOP terminated its shock incarceration program and removed
the rules governing its operation. Part B of the proposed amendment
would amend the Commentary to Sec. 5F1.7 to reflect those
developments. It would also correct two typographical errors in the
commentary.
Proposed Amendment
The Commentary to Sec. 5F1.7 captioned ``Background'' is amended--
by striking ``six months'' and inserting ``6 months'';
by striking ``as the Bureau deems appropriate. 18 U.S.C. 4046.' ''
and inserting ``as the Bureau deems appropriate.' 18 U.S.C. 4046.'';
and by striking the final paragraph as follows:
``The Bureau of Prisons has issued an operations memorandum (174-90
(5390), November 20, 1990) that outlines eligibility criteria and
procedures for the implementation of this program (which the Bureau of
Prisons has titled `intensive confinement program'). Under these
procedures, the Bureau will not place a defendant in an intensive
confinement program unless the sentencing court has approved, either at
the time of sentencing or upon consultation after the Bureau has
determined that the defendant is otherwise eligible. In return for the
successful completion of the `intensive confinement' portion of the
program, the defendant is eligible to serve the remainder of his term
of imprisonment in a graduated release program comprised of community
corrections center and home confinement phases.'',
and inserting the following:
``In 1990, the Bureau of Prisons issued an operations memorandum
(174-90 (5390), November 20, 1990) that outlined eligibility criteria
and procedures for the implementation of a shock incarceration program
(which the Bureau of Prisons titled the `intensive confinement
program'). In 2008, however, the Bureau of Prisons terminated the
program and removed the rules governing its operation. See 73 FR 39863
(July 11, 2008).''.
13. Technical
Synopsis of Proposed Amendment: This proposed amendment would make
technical and other non-substantive changes to the Guidelines Manual.
Part A of the proposed amendment would make technical changes to
provide updated references to certain sections in the United States
Code that were redesignated in legislation. The Frank LoBiondo Coast
Guard Authorization Act of 2018, Public Law 115-282 (Dec. 4, 2018)
(hereinafter ``the Act''), among other things, established a new
chapter 700 (Ports and Waterway Safety) in subtitle VII (Security and
Drug Enforcement) of title 46 (Shipping) of the United States Code.
Section 401 of the Act repealed the Ports and Waterways Safety Act of
1972, previously codified in 33 U.S.C. 1221-1232b, and restated its
provisions with some revisions in the new chapter 700 of title 46,
specifically at 46 U.S.C. 70001-70036. Appendix A (Statutory Index)
includes references to Chapter Two guidelines for both former 33 U.S.C.
1227(b) and 1232(b). Specifically, former section 1227(b) is referenced
to Sec. Sec. 2J1.1 (Contempt) and 2J1.5 (Failure to Appear by
Defendant), while former section 1232(b) is referenced to Sec. 2A2.4
[[Page 7230]]
(Obstructing or Impeding Officers). Part A of the proposed amendment
would amend Appendix A to delete the references to 33 U.S.C. 1227(b)
and 1232(b) and replace them with updated references to 46 U.S.C.
70035(b) and 70036(b). The Act did not make substantive revisions to
either of these provisions.
Part B of the proposed amendment would make technical changes to
reflect the editorial reclassification of certain sections in the
United States Code. Effective December 1, 2015, the Office of Law
Revision Counsel eliminated the Appendix to title 50 of the United
States Code and transferred the non-obsolete provisions to new chapters
49 to 57 of title 50 and to other titles of the United States Code. To
reflect the new section numbers of the reclassified provisions, Part B
of the proposed amendment would make changes to Sec. 2M4.1 (Failure to
Register and Evasion of Military Service), Sec. 2M5.1 (Evasion of
Export Controls; Financial Transactions with Countries Supporting
International Terrorism), and Appendix A. Similarly, effective
September 1, 2016, the Office of Law Revision Counsel also transferred
certain provisions from Chapter 14 of title 25 to four new chapters in
title 25 in order to improve the organization of the title. To reflect
these changes, Part B of the proposed amendment would make further
changes to Appendix A.
Part C of the proposed amendment would make certain technical
changes to the Commentary to Sec. 2D1.1 (Unlawful Manufacturing,
Importing, Exporting, or Trafficking (Including Possession with Intent
to Commit These Offenses); Attempt or Conspiracy). First, Part C of the
proposed amendment would amend the Drug Conversion Tables at
Application Note 8(D) and the Typical Weight Per Unit Table at
Application Note 9 to reorganize the controlled substances contained
therein in alphabetical order to make the tables more user-friendly. It
would also make minor changes to the controlled substance references to
promote consistency in the use of capitalization, commas,
parentheticals, and slash symbols throughout the Drug Conversion
Tables. For example, the proposed amendment would change the reference
to ``Phencyclidine (actual)/PCP (actual)'' to ``Phencyclidine (PCP)
(actual).'' Second, Part C of the proposed amendment would make
clerical changes throughout the Commentary to correct some
typographical errors. Finally, Part C of the proposed amendment would
amend the Background Commentary to add a specific reference to
Amendment 808, which replaced the term ``marihuana equivalency'' with
the new term ``converted drug weight'' and changed the title of the
``Drug Equivalency Tables'' to ``Drug Conversion Tables.'' See USSG
App. C, amend. 808 (effective Nov. 1, 2018).
Part D of the proposed amendment would make technical changes to
the Commentary to Sec. Sec. 2A4.2 (Demanding or Receiving Ransom
Money), 2A6.1 (Threatening or Harassing Communications; Hoaxes; False
Liens), and 2B3.2 (Extortion by Force or Threat of Injury or Serious
Damage), and to Appendix A, to provide references to the specific
applicable provisions of 18 U.S.C. 876.
Part E of the proposed amendment would make technical changes to
the commentary of several guidelines in Chapter Eight (Sentencing of
Organizations). First, the proposed amendment would replace the term
``prior criminal adjudication,'' as found and defined in Application
Note 3(G) of Sec. 8A1.2 (Application Instructions--Organizations),
with ``criminal adjudication'' to better reflect how that term is used
throughout Chapter Eight. In addition, the proposed amendment would
make conforming changes to the Commentary to Sec. 8C2.5 (Culpability
Score) to account for the new term. Part E of the proposed amendment
would also make changes to the Commentary to Sec. 8C3.2 (Payment of
the Fine--Organizations). Section 207 of the Mandatory Victims
Restitution Act of 1996, Public Law 104-132 (Apr. 24, 1996), amended 18
U.S.C. 3572(d) to eliminate the requirement that if the court permits
something other than the immediate payment of a fine or other monetary
payment, the period for payment shall not exceed five years. Part E of
the proposed amendment would revise Application Note 1 of Sec. 8C3.2
to reflect the current language of 18 U.S.C. 3572(d) by providing that
if the court permits other than immediate payment of a fine or other
monetary payment, the period provided for payment shall be the shortest
time in which full payment can reasonably be made.
Part F of the proposed amendment would make clerical changes to
correct typographical errors in: Sec. 1B1.1 (Application
Instructions); Sec. 1B1.3 (Relevant Conduct (Factors that Determine
the Guideline Range)); Sec. 1B1.4 (Information to be Used in Imposing
Sentence (Selecting a Point Within the Guideline Range or Departing
from the Guidelines)); Sec. 1B1.10 (Reduction in Term of Imprisonment
as a Result of Amended Guideline Range (Policy Statement)); Sec. 2D2.3
(Operating or Directing the Operation of a Common Carrier Under the
Influence of Alcohol or Drugs); Sec. 2G2.1 (Sexually Exploiting a
Minor by Production of Sexually Explicit Visual or Printed Material;
Custodian Permitting Minor to Engage in Sexually Explicit Conduct;
Advertisement for Minors to Engage in Production); Sec. 2H3.1
(Interception of Communications; Eavesdropping; Disclosure of Certain
Private or Protected Information); Sec. 2K2.1 (Unlawful Receipt,
Possession, or Transportation of Firearms or Ammunition; Prohibited
Transactions Involving Firearms or Ammunition); Sec. 2M1.1 (Treason);
Sec. 2T1.1 (Tax Evasion; Willful Failure to File Return, Supply
Information, or Pay Tax; Fraudulent or False Returns, Statements, or
Other Documents); the Introductory Commentary to Chapter Two, Part T,
Subpart 2 (Alcohol and Tobacco Taxes); the Introductory Commentary to
Chapter Two, Part T, Subpart 3 (Customs Taxes); the Introductory
Commentary to Chapter Three, Part A (Victim-Related Adjustments); Sec.
3A1.1 (Hate Crime Motivation or Vulnerable Victim); the Introductory
Commentary to Chapter Three, Part B (Role in the Offense); Sec. 3C1.1
(Obstructing or Impeding the Administration of Justice); the
Introductory Commentary to Chapter Three, Part D (Multiple Counts);
Sec. 3D1.1 (Procedure for Determining Offense Level on Multiple
Counts); Sec. 3D1.2 (Groups of Closely Related Counts); Sec. 3D1.3
(Offense Level Applicable to Each Group of Closely Related Counts);
Sec. 3D1.4 (Determining the Combined Offense Level); Sec. 4A1.3
(Departures Based on Inadequacy of Criminal History Category (Policy
Statement)); Sec. 4B1.1 (Career Offender); Sec. 5C1.1 (Imposition of
a Term of Imprisonment); Sec. 5E1.1 (Restitution); Sec. 5E1.3
(Special Assessments); Sec. 5E1.4 (Forfeiture); the Introductory
Commentary to Chapter Five, Part H (Specific Offender Characteristics);
the Introductory Commentary to Chapter Six, Part A (Sentencing
Procedures); Chapter Seven, Part A (Introduction to Chapter Seven);
Sec. 8B1.1 (Restitution--Organizations); Sec. 8B2.1 (Effective
Compliance and Ethics Program); Sec. 8C3.3 (Reduction of Fine Based on
Inability to Pay); and Sec. 8E1.1 (Special Assessments--
Organizations).
Part G of the proposed amendments would also make clerical changes
to the Commentary to Sec. Sec. 1B1.11 (Use of Guidelines Manual in
Effect on Date of Sentencing (Policy Statement)) and 5G1.3 (Imposition
of a Sentence on a Defendant Subject to an Undischarged
[[Page 7231]]
Term of Imprisonment or Anticipated State Term of Imprisonment), to
update the citation of Supreme Court cases. In addition, Part G of the
proposed amendment would amend (1) the Commentary to Sec. 2K2.4 (Use
of Firearm, Armor-Piercing Ammunition, or Explosive During or in
Relation to Certain Crimes) to add a missing reference to 18 U.S.C.
844(o); (2) the Commentary to Sec. 2M6.1 (Unlawful Activity Involving
Nuclear Material, Weapons, or Facilities, Biological Agents, Toxins, or
Delivery Systems, Chemical Weapons, or Other Weapons Of Mass
Destruction; Attempt or Conspiracy), to delete the definitions of two
terms that are not currently used in the guideline; (3) the Commentary
to Sec. Sec. 2M5.3 (Providing Material Support or Resources to
Designated Foreign Terrorist Organizations or Specially Designated
Global Terrorists, or For a Terrorist Purpose) and 2T1.1 (Tax Evasion;
Willful Failure to File Return, Supply Information, or Pay Tax;
Fraudulent or False Returns, Statements, or Other Documents), to
correct references to the Code of Federal Regulations; and (4) the
Commentary to Sec. 3A1.2 (Official Victim), to add missing content in
Application Note 3.
Proposed Amendment
(A) Frank LoBiondo Coast Guard Authorization Act of 2018
Appendix A (Statutory Index) is amended--
by striking the following line references:
``33 U.S.C. 1227(b) 2J1.1, 2J1.5
33 U.S.C. 1232(b)(2) 2A2.4'';
and by inserting before the line referenced to 46 U.S.C. App. Sec.
1707a(f)(2) the following new line references:
``46 U.S.C. 70035(b) 2J1.1, 2J1.5
46 U.S.C. 70036(b) 2A2.4''.
(B) Reclassification of Sections of United States Code
The Commentary to Sec. 2M4.1 captioned ``Statutory Provisions'' is
amended by striking ``50 U.S.C. App. Sec. 462'' and inserting ``50
U.S.C. Sec. 3811''.
The Commentary to Sec. 2M5.1 captioned ``Statutory Provisions'' is
amended by striking ``50 U.S.C. App. Sec. Sec. 2401-2420'' and
inserting ``50 U.S.C. Sec. Sec. 4601-4623. For additional statutory
provision(s), see Appendix A (Statutory Index)''.
The Commentary to Sec. 2M5.1 captioned ``Application Notes'' is
amended--
in Note 3 by striking ``50 U.S.C. App. Sec. 2410'' and inserting
``50 U.S.C. Sec. 4610'';
and in Note 4 by striking ``50 U.S.C. App. 2405'' and inserting
``50 U.S.C. Sec. 4605''.
Appendix A (Statutory Index) is amended--
in the line referenced to 25 U.S.C. Sec. Sec. 450d by striking
``Sec. 450d'' and inserting ``Sec. 5306'';
by striking the following line references:
``50 U.S.C. App. Sec. 462 2M4.1
50 U.S.C. App. Sec. 527(e) 2X5.2
50 U.S.C. App. Sec. 2410 2M5.1'';
and inserting before the line referenced to 52 U.S.C. Sec. Sec.
10307(c) the following new line references:
``50 U.S.C. Sec. 3811 2M4.1
50 U.S.C. Sec. 3937(e) 2X5.2
50 U.S.C. Sec. 4610 2M5.1''.
(C) Technical Changes to Commentary to Sec. 2D1.1
The Commentary to Sec. 2D1.1 captioned ``Application Notes'' is
amended--
in Note 8(A) by striking ``the statute (21 U.S.C. Sec. 841(b)(1)),
as the primary basis'' and inserting ``the statute (21 U.S.C. Sec.
841(b)(1)) as the primary basis'', and by striking ``fentanyl, LSD and
marihuana'' and inserting ``fentanyl, LSD, and marihuana'';
in Note 8(D)--
under the heading relating to Schedule I or II Opiates, by striking
the following:
``1 gm of Heroin = 1 kg
1 gm of Dextromoramide = 670 gm
1 gm of Dipipanone = 250 gm
1 gm of 1-Methyl-4-phenyl-4-propionoxypiperidine/MPPP = 700 gm
1 gm of 1-(2-Phenylethyl)-4-phenyl-4-acetyloxypiperidine/PEPAP = 700 gm
1 gm of Alphaprodine = 100 gm
1 gm of Fentanyl (N-phenyl-N-[1-(2-phenylethyl)-4-piperidinyl]
Propanamide) = 2.5 kg
1 gm of a Fentanyl Analogue = 10 kg
1 gm of Hydromorphone/Dihydromorphinone = 2.5 kg
1 gm of Levorphanol = 2.5 kg
1 gm of Meperidine/Pethidine = 50 gm
1 gm of Methadone = 500 gm
1 gm of 6-Monoacetylmorphine = 1 kg
1 gm of Morphine = 500 gm
1 gm of Oxycodone (actual) = 6700 gm
1 gm of Oxymorphone = 5 kg
1 gm of Racemorphan = 800 gm
1 gm of Codeine = 80 gm
1 gm of Dextropropoxyphene/Propoxyphene-Bulk = 50 gm
1 gm of Ethylmorphine = 165 gm
1 gm of Hydrocodone (actual) = 6700 gm
1 gm of Mixed Alkaloids of Opium/Papaveretum = 250 gm
1 gm of Opium = 50 gm
1 gm of Levo-alpha-acetylmethadol (LAAM) = 3 kg'',
and inserting the following:
``1 gm of 1-(2-Phenylethyl)-4-phenyl-4-acetyloxypiperidine (PEPAP) =
700 gm
1 gm of 1-Methyl-4-phenyl-4-propionoxypiperidine (MPPP) = 700 gm
1 gm of 6-Monoacetylmorphine = 1 kg
1 gm of Alphaprodine = 100 gm
1 gm of Codeine = 80 gm
1 gm of Dextromoramide = 670 gm
1 gm of Dextropropoxyphene/Propoxyphene-Bulk = 50 gm
1 gm of Dipipanone = 250 gm
1 gm of Ethylmorphine = 165 gm
1 gm of Fentanyl (N-phenyl-N-[1-(2-phenylethyl)-4-piperidinyl]
Propanamide) = 2.5 kg
1 gm of a Fentanyl Analogue = 10 kg
1 gm of Heroin = 1 kg
1 gm of Hydrocodone (actual) = 6,700 gm
1 gm of Hydromorphone/Dihydromorphinone = 2.5 kg
1 gm of Levo-alpha-acetylmethadol (LAAM) = 3 kg
1 gm of Levorphanol = 2.5 kg
1 gm of Meperidine/Pethidine = 50 gm
1 gm of Methadone = 500 gm
1 gm of Mixed Alkaloids of Opium/Papaveretum = 250 gm
1 gm of Morphine = 500 gm
1 gm of Opium = 50 gm
1 gm of Oxycodone (actual) = 6,700 gm
1 gm of Oxymorphone = 5 kg
1 gm of Racemorphan = 800 gm'';
under the heading relating to Cocaine and Other Schedule I and II
Stimulants (and their immediate precursors), by striking the following:
``1 gm of Cocaine = 200 gm
1 gm of N-Ethylamphetamine = 80 gm
1 gm of Fenethylline = 40 gm
1 gm of Amphetamine = 2 kg
1 gm of Amphetamine (Actual) = 20 kg
1 gm of Methamphetamine = 2 kg
1 gm of Methamphetamine (Actual) = 20 kg
1 gm of ``Ice'' = 20 kg
1 gm of Khat = .01 gm
1 gm of 4-Methylaminorex (`Euphoria') = 100 gm
1 gm of Methylphenidate (Ritalin) = 100 gm
1 gm of Phenmetrazine = 80 gm
1 gm Phenylacetone/P2P (when possessed for the purpose of
manufacturing methamphetamine) = 416 gm
1 gm Phenylacetone/P2P (in any other case) = 75 gm
1 gm Cocaine Base (`Crack') = 3,571 gm
1 gm of Aminorex = 100 gm
1 gm of N-N-Dimethylamphetamine = 40 gm
1 gm of N-Benzylpiperazine = 100 gm'',
and inserting the following:
``1 gm of 4-Methylaminorex (`Euphoria') = 100 gm
[[Page 7232]]
1 gm of Aminorex = 100 gm
1 gm of Amphetamine = 2 kg
1 gm of Amphetamine (actual) = 20 kg
1 gm of Cocaine = 200 gm
1 gm of Cocaine Base (`Crack') = 3,571 gm
1 gm of Fenethylline = 40 gm
1 gm of `Ice' = 20 kg
1 gm of Khat = .01 gm
1 gm of Methamphetamine = 2 kg
1 gm of Methamphetamine (actual) = 20 kg
1 gm of Methylphenidate (Ritalin) = 100 gm
1 gm of N-Benzylpiperazine = 100 gm
1 gm of N-Ethylamphetamine = 80 gm
1 gm of N-N-Dimethylamphetamine = 40 gm
1 gm of Phenmetrazine = 80 gm
1 gm of Phenylacetone (P2P) (when possessed for the purpose
of manufacturing methamphetamine) = 416 gm
1 gm of Phenylacetone (P2P) (in any other case) = 75 gm'';
under the heading relating to Synthetic Cathinones (except Schedule
III, IV, and V Substances), by striking ``a synthetic cathinone'' and
inserting ``a Synthetic Cathinone'';
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 Bufotenine = 70 gm
1 gm of D-Lysergic Acid Diethylamide/Lysergide/LSD = 100 kg
1 gm of Diethyltryptamine/DET = 80 gm
1 gm of Dimethyltryptamine/DM = 100 gm
1 gm of Mescaline = 10 gm
1 gm of Mushrooms containing Psilocin and/or Psilocybin (Dry) = 1 gm
1 gm of Mushrooms containing Psilocin and/or Psilocybin (Wet) = 0.1 gm
1 gm of Peyote (Dry) = 0.5 gm
1 gm of Peyote (Wet) = 0.05 gm
1 gm of Phencyclidine/PCP = 1 kg
1 gm of Phencyclidine (actual)/PCP (actual) = 10 kg
1 gm of Psilocin = 500 gm
1 gm of Psilocybin = 500 gm
1 gm of Pyrrolidine Analog of Phencyclidine/PHP = 1 kg
1 gm of Thiophene Analog of Phencyclidine/TCP = 1 kg
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
1 gm of Paramethoxymethamphetamine/PMA = 500 gm
1 gm of 1-Piperidinocyclohexanecarbonitrile/PCC = 680 gm
1 gm of N-ethyl-1-phenylcyclohexylamine (PCE) = 1 kg'',
and inserting 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
1 gm of Bufotenine = 70 gm
1 gm of D-Lysergic Acid Diethylamide/Lysergide (LSD) = 100 kg
1 gm of Diethyltryptamine (DET) = 80 gm
1 gm of Dimethyltryptamine (DM) = 100 gm
1 gm of Mescaline = 10 gm
1 gm of Mushrooms containing Psilocin and/or Psilocybin (dry) = 1 gm
1 gm of Mushrooms containing Psilocin and/or Psilocybin (wet) = 0.1 gm
1 gm of N-ethyl-1-phenylcyclohexylamine (PCE) = 1 kg
1 gm of Paramethoxymethamphetamine (PMA) = 500 gm
1 gm of Peyote (dry) = 0.5 gm
1 gm of Peyote (wet) = 0.05 gm
1 gm of Phencyclidine (PCP) = 1 kg
1 gm of Phencyclidine (PCP) (actual) = 10 kg
1 gm of Psilocin = 500 gm
1 gm of Psilocybin = 500 gm
1 gm of Pyrrolidine Analog of Phencyclidine (PHP) = 1 kg
1 gm of Thiophene Analog of Phencyclidine (TCP) = 1 kg'';
under the heading relating to Schedule I Marihuana, by striking the
following:
``1 gm of Marihuana/Cannabis, granulated, powdered, etc. = 1 gm
1 gm of Hashish Oil = 50 gm
1 gm of Cannabis Resin or Hashish = 5 gm
1 gm of Tetrahydrocannabinol, Organic = 167 gm
1 gm of Tetrahydrocannabinol, Synthetic = 167 gm'',
and inserting the following:
``1 gm of Cannabis Resin or Hashish = 5 gm
1 gm of Hashish Oil = 50 gm
1 gm of Marihuana/Cannabis (granulated, powdered, etc.) = 1 gm
1 gm of Tetrahydrocannabinol (organic) = 167 gm
1 gm of Tetrahydrocannabinol (synthetic) = 167 gm'';
under the heading relating to Synthetic Cannabinoids (except
Schedule III, IV, and V Substances), by striking ``a synthetic
cannabinoid'' and inserting ``a Synthetic Cannabinoid'', and by
striking `` `Synthetic cannabinoid,' for purposes of this guideline''
and inserting `` `Synthetic Cannabinoid,' for purposes of this
guideline'';
under the heading relating to Schedule I or II Depressants (except
gamma-hydroxybutyric acid), by striking ``except gamma-hydroxybutyric
acid'' both places such term appears and inserting ``except Gamma-
hydroxybutyric Acid'';
under the heading relating to Gamma-hydroxybutyric Acid, by
striking ``of gamma-hydroxybutyric acid'' and inserting ``of Gamma-
hydroxybutyric Acid'';
under the heading relating to Schedule III Substances (except
ketamine), by striking ``except ketamine'' in the heading and inserting
``except Ketamine'';
under the heading relating to Ketamine, by striking ``of ketamine''
and inserting ``of Ketamine'';
under the heading relating to Schedule IV (except flunitrazepam),
by striking ``except flunitrazepam'' in the heading and inserting
``except Flunitrazepam'';
under the heading relating to List I Chemicals (relating to the
manufacture of amphetamine or methamphetamine), by striking ``of
amphetamine or methamphetamine'' in the heading and inserting ``of
Amphetamine or Methamphetamine'';
under the heading relating to Date Rape Drugs (except
flunitrazepam, GHB, or ketamine), by striking ``except flunitrazepam,
GHB, or ketamine'' in the heading and inserting ``except Flunitrazepam,
GHB, or Ketamine'', by striking ``of 1,4-butanediol'' and inserting
``of 1,4-Butanediol'', and by striking ``of gamma butyrolactone'' and
inserting ``of Gamma Butyrolactone'';
in Note 9, under the heading relating to Hallucinogens, by striking
the following:
``MDA 250 mg
MDMA 250 mg
Mescaline 500 mg
PCP* 5 mg
Peyote (dry) 12 gm
Peyote (wet) 120 gm
[[Page 7233]]
Psilocin* 10 mg
Psilocybe mushrooms (dry) 5 gm
Psilocybe mushrooms (wet) 50 gm
Psilocybin* 10 mg
2,5-Dimethoxy-4-methylamphetamine (STP, DOM)* 3 mg'',
and inserting the following:
``2,5-Dimethoxy-4-methylamphetamine (STP, DOM)* 3 mg
MDA 250 mg
MDMA 250 mg
Mescaline 500 mg
PCP* 5 mg
Peyote (dry) 12 gm
Peyote (wet) 120 gm
Psilocin* 10 mg
Psilocybe mushrooms (dry) 5 gm
Psilocybe mushrooms (wet) 50 gm
Psilocybin* 10 mg'';
and in Note 21, by striking ``Section Sec. 5C1.2(b)'' and
inserting ``Section 5C1.2(b)''.
The Commentary to Sec. 2D1.1 captioned ``Background'' is amended
by striking ``Public Law 103-237'' and inserting ``Public Law 104-
237'', and by inserting after ``to change the title of the Drug
Equivalency Tables to the `Drug Conversion Tables.' '' the following:
``See USSG App. C, Amendment 808 (effective November 1, 2018).''.
(D) References to 18 U.S.C. 876
The Commentary to Sec. 2A4.2 captioned ``Statutory Provisions'' is
amended by striking ``Sec. Sec. 876,'' and inserting ``Sec. Sec.
876(a),''.
The Commentary to Sec. 2A6.1 captioned ``Statutory Provisions'' is
amended by striking ``876,'' and inserting ``876(c),''.
The Commentary to Sec. 2B3.2 captioned ``Statutory Provisions'' is
amended by striking ``Sec. Sec. 875(b), 876,'' and inserting
``Sec. Sec. 875(b), (d), 876(b), (d),''.
Appendix A (Statutory Index) is amended--
by striking the following line reference:
``18 U.S.C. 876 2A4.2,2A6.1, 2B3.2, 2B3.3''
and by inserting before the line referenced to 18 U.S.C. 877 the
following new line references:
``18 U.S.C. 876(a) 2A4.2, 2B3.2
18 U.S.C. 876(b) 2B3.2
18 U.S.C. 876(c) 2A6.1
18 U.S.C. 876(d) 2B3.2, 2B3.3''.
(E) Technical Changes to Commentary in Chapter Eight
The Commentary to Sec. 8A1.2 captioned ``Application Notes'' is
amended in Note 3(G) by striking '' `Prior criminal adjudication' ''
and inserting '' `Criminal Adjudication' ''.
The Commentary to Sec. 8C2.5 captioned ``Application Notes'' is
amended in Note 1 by striking '' `prior criminal adjudication' '' and
inserting '' `criminal adjudication' ''.
The Commentary to Sec. 8C3.2 captioned ``Application Note'' is
amended in Note 1 by striking ``the period provided for payment shall
in no event exceed five years'' and inserting ``the period provided for
payment shall be the shortest time in which full payment can reasonably
be made''.
(F) Clerical Changes to Correct Typographical Errors
The Commentary to Sec. 1B1.1 captioned ``Application Notes'' is
amended in Note 1(E) by striking ``(e.g. a defendant'' and inserting
``(e.g., a defendant''.
The Commentary to Sec. 1B1.3 captioned ``Background'' is amended
by striking ``the guidelines in those Chapters'' and inserting ``the
guidelines in those chapters''.
The Commentary to Sec. 1B1.4 captioned ``Background'' is amended
by striking ``in imposing sentence within that range'' and inserting
``in imposing a sentence within that range''.
The Commentary to Sec. 1B1.10 captioned ``Background'' is amended
by striking ``Title 18'' and inserting ``title 18''.
The Commentary to Sec. 2D2.3 captioned ``Background'' is amended
by striking ``Section 6482'' and inserting ``section 6482''.
Section 2G2.1(b)(6)(A) is amended by striking ``engage sexually
explicit conduct'' and inserting ``engage in sexually explicit
conduct''.
The Commentary to Sec. 2H3.1 captioned ``Application Notes'' is
amended in Note 5(B) by striking ``(e.g. physical harm'' and inserting
``(e.g., physical harm''.
The Commentary to Sec. 2K2.1 captioned ``Application Notes'' is
amended in Note 8(A) by striking ``However, it the offense involved a
stolen firearm'' and inserting ``However, if the offense involved a
stolen firearm''.
The Commentary to Sec. 2M1.1 captioned ``Application Notes'' is
amended by striking ``this Part'' and inserting ``this part''.
The Commentary to Sec. 2T1.1 captioned ``Application Notes'' is
amended in Note 7 by striking ``Subchapter C corporation'' and
inserting ``subchapter C corporation''.
The Commentary to Sec. 2T1.1 captioned ``Background'' is amended
by striking ``the treasury'' and inserting ``the Treasury''.
Chapter Two, Part T, Subpart 2 is amended in the introductory
commentary by striking ``Parts I-IV of Subchapter J of Chapter 51 of
Subtitle E of Title 26'' and inserting ``parts I-IV of subchapter J of
chapter 51 of subtitle E of title 26, United States Code''.
Chapter Two, Part T, Subpart 3 is amended in the introductory
commentary by striking ``Subpart'' both places such term appears and
inserting ``subpart''.
Chapter Three, Part A is amended in the introductory commentary by
striking ``Part'' and inserting ``part''.
The Commentary to Sec. 3A1.1 captioned ``Background'' is amended
by striking ``Section 280003'' and inserting ``section 280003''.
Chapter Three, Part B is amended in the introductory commentary by
striking ``Part'' and inserting ``part''.
The Commentary to Sec. 3C1.1 captioned ``Application Notes'' is
amended in Note 4(I) by striking ``Title 18'' and inserting ``title
18''.
Chapter Three, Part D is amended in the introductory commentary by
striking ``Part'' each place such term appears and inserting ``part''.
The Commentary to Sec. 3D1.1 captioned ``Application Notes'' is
amended in Note 2 by striking ``Part'' both places such term appears
and inserting ``part''.
The Commentary to Sec. 3D1.1 captioned ``Background'' is amended
by striking ``Chapter 3'' and inserting ``Chapter Three'', and by
striking ``Chapter Four'' and inserting ``Chapter Four''.
The Commentary to Sec. 3D1.2 captioned ``Background'' is amended
by striking ``Part'' both places such term appears and inserting
``part''.
The Commentary to Sec. 3D1.3 captioned ``Background'' is amended
by striking ``Part'' and inserting ``part''.
The Commentary to Sec. 3D1.4 captioned ``Background'' is amended
by striking ``Part'' and inserting ``part''.
The Commentary to Sec. 4A1.3 captioned ``Application Notes'' is
amended in Note 2(C)(v) by striking ``this Chapter'' and inserting
``this chapter''.
The Commentary to Sec. 4B1.1 captioned ``Background'' is amended
by striking ``Title 28'' and inserting ``title 28''.
The Commentary to Sec. 5C1.1 captioned ``Application Notes'' is
amended in Note 1 by striking ``this Chapter'' and inserting ``this
chapter''.
The Commentary to Sec. 5E1.1 captioned ``Application Notes'' is
amended in Note 1 by striking ``Chapter'' both places such term appears
and inserting ``chapter''; by striking ``Title 18'' both places such
term appears and inserting ``title 18''; and by striking ``Subchapter
C'' and inserting ``subchapter C''.
The Commentary to Sec. 5E1.1 captioned ``Background'' is amended
by striking ``Title 18'' and inserting ``title 18''.
The Commentary to Sec. 5E1.3 captioned ``Background'' is amended
by striking ``Title 18'' and inserting ``title 18'', and
[[Page 7234]]
by striking ``The Victims'' and inserting ``the Victims''.
The Commentary to Sec. 5E1.4 captioned ``Background'' is amended
by striking ``Titles'' and inserting ``titles''.
Chapter Five, Part H is amended in the introductory commentary by
striking ``Part'' each place such term appears and inserting ``part''.
Chapter Six, Part A is amended in the introductory commentary by
striking ``Part'' and inserting ``part''.
Chapter Seven, Part A, Subpart 3(b) (Choice between Theories) is
amended by striking ``Title 21'' and inserting ``title 21''.
The Commentary to Sec. 8B1.1 captioned ``Background'' is amended
by striking ``Title 18'' and inserting ``title 18''.
The Commentary to Sec. 8B2.1 captioned ``Application Notes'' is
amended in Note 1, in the paragraph that begins '' `Governing
authority' means'' by striking ``means the (A) the Board'' and
inserting ``means (A) the Board''.
Section 8C3.3(a) is amended by striking ``its ability'' and
inserting ``the ability of the organization''.
The Commentary to Sec. 8E1.1 captioned ``Background'' is amended
by striking ``Title 18'' and inserting ``title 18''.
(G) Additional Clerical Changes to Guideline Commentary
The Commentary to Sec. 1B1.11 captioned ``Background'' is amended
by striking ``133 S. Ct. 2072, 2078'' and inserting ``569 U.S. 530,
533''.
The Commentary to Sec. 2K2.4 captioned ``Statutory Provisions'' is
amended by striking ``Sec. Sec. 844(h)'' and inserting ``Sec. Sec.
844(h), (o)''.
The Commentary to Sec. 2M5.3 captioned ``Application Notes'' is
amended in Note 1, in the paragraph that begins '' `Specially
designated global terrorist' has'' by striking ``Sec. 594.513'' and
inserting ``Sec. 594.310''.
The Commentary to Sec. 2M6.1 captioned ``Application Notes'' is
amended in Note 1--
by striking the following paragraph:
`` `Restricted person' has the meaning given that term in 18 U.S.C.
175b(d)(2).'',
and by striking the following paragraph:
`` `Vector' has the meaning given that term in 18 U.S.C. 178(4).''.
The Commentary to Sec. 2T1.1 captioned ``Application Notes'' is
amended in Note 6, in the paragraph that begins '' `Gross income' has''
by striking ``Sec. 1.61'' and inserting ``Sec. 1.61-1''.
The Commentary to Sec. 3A1.2 captioned ``Application Notes'' is
amended in Note 3 by striking ``the victim was a government officer or
employee, or a member of the immediate family thereof'' and inserting
``the victim was a government officer or employee, a former government
officer or employee, or a member of the immediate family thereof''.
The Commentary to Sec. 5G1.3 captioned ``Background'' is amended
by striking ``132 S. Ct. 1463, 1468'' and inserting ``566 U.S. 231,
236'', and by striking ``132 S. Ct. at 1468'' and inserting ``566 U.S.
at 236''.
[FR Doc. 2023-01346 Filed 2-1-23; 8:45 am]
BILLING CODE 2210-40-P