United States v. RauppUnited States v. Raupp
Lead Opinion
Anthony Raupp pleaded guilty to possessing a firearm despite his status as a felon.
Robbery in Indiana is a “crime of violence” under the Guidelines and a “violent felony” under the Armed Career Criminal Act,
Raupp asks us to ignore the application note. He contends that it has been superseded by Begay v. United States,
Begay and its successors interpret a statute, not the Guidelines. The final step in Raupp’s argument is the proposition that the statute and § 4B1.2 must be understood identically. We have held that, when the Guidelines and the Armed Career Criminal Act use the same language, they receive the same interpretation. See, e.g., United States v. Woods,
The United States contends that conspiracy should be treated like attempt (and for that matter aiding and abetting) under both the statute and the Guidelines. We need not decide whether that is so. James reserved the question whether a particular inchoate offense may be so far distant from the completed crime that it should not be treated as a “violent felony” under the statute.
Woods and Templeton hold that identical language implies identical interpretation, but the Guidelines contain some language that is not in the statute. The application note about the treatment of inchoate offenses is unique to the Guidelines. Section 924(e)(2)(B) of the statute corresponds to § 4B1.2(a); everything else in the Guidelines and the accompanying notes must be taken into account, not ignored. If the Sentencing Commission wants to have a list of qualifying offenses that differs from the one in the statute (as Begay reads § 924(e)), there’s no reason why the judges should say nay. The Commission could have put the language of the note in § 4B1.2(a) as a new paragraph, and then Raupp’s argument would be sunk. Likewise the Commission could have added offense levels for anyone whose record includes a conviction of conspiracy to commit robbery, whether or not that conviction is classified as a “crime of violence.” Why should it matter that the Commission achieved the same end by using a note to elaborate on the meaning of “crime of violence”?
Decisions such as Auer v. Robbins,
the commentary [should] be treated as an agency’s interpretation of its own legislative rule. The Sentencing Commission promulgates the guidelines by virtue of an express congressional delegation of authority for rulemaking, and through the informal rulemaking proee*759 dures in5 U.S.C. § 553 , see28 U.S.C. § 994(x) . Thus, the guidelines are the equivalent of legislative rules adopted by federal agencies. The functional purpose of commentary (of the kind at issue here) is to assist in the interpretation and application of those rules, which are within the Commission’s particular area of concern and expertise and which the Commission itself has the first responsibility to formulate and announce. In these respects this type of commentary is akin to an agency’s interpretation of its own legislative rules. As we have often stated, provided an agency’s interpretation of its own regulations does not violate the Constitution or a federal statute, it must be given “controlling weight unless it is plainly erroneous or inconsistent with the regulation.”
Stinson v. United States,
The first application note to § 4B1.2 tells us that the Sentencing Commission deems inchoate and completed offenses to be the same for the purpose of identifying crimes of violence. Is this note inconsistent with anything in the text of a Guideline? Begay and similar decisions do not concern any Guideline, so they do not address that subject; they have nothing to say about the effect of language that differentiates the Guidelines from the Armed Career Criminal Act. Accord, United States v. Martinez,
Forget Begay and ask directly whether the note conflicts with the Guideline. Here is § 4B1.2(a):
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 burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
And here is the note:
“Crime of violence” and “controlled substance offense” include the offenses of aiding and abetting, conspiring, and attempting to commit such offenses.
There cannot be a conflict because the text of § 4B1.2(a) does not tell us, one way or another, whether inchoate offenses are included or excluded. The note says they are included.
James puts to rest any doubt about whether answering the question “are inchoate offenses included?” conflicts with the text. The Supreme Court held in James that attempted burglary (an inchoate offense) is a “violent felony” for the purpose of § 924(e)(2)(B)(ii). As we related above, James does not tell us whether conspiracy to commit a violent felony is treated as a violent felony. But James does show that there is no conflict between the text of § 924(e)(2)(B)(ii), or § 4B1.2(a), and a rule treating an inchoate offense the same as the substantive offense. If treating substantive and inchoate offenses alike
Whether conspiracy should be treated the same way as attempt cannot be resolved by the rule that the Commission must not use notes to contradict the Guidelines’ text. Instead the question “should conspiracy and attempt be treated the same?” concerns wise policy. Perhaps, as Raupp contends, attempts are more dangerous than conspiracies, because of the substantial-step element of attempt crimes. Perhaps one could say, to the contrary, that the conspiracies are more dangerous than attempts, because conspiracies always involve multiple actors, and criminal gangs are more likely to succeed than lone criminals are. See United States v. Manzella,
Raupp may be assuming that § 4B1.1 and § 4B1.2 implement § 924(e). If that were so, then our interpretation of the Guidelines would be required to mirror § 924(e) as interpreted in Begay (and James). But the career-offender Guidelines don’t depend on § 924(e). Instead they implement
Thus the Commission is free to go its own way; it can classify as “crimes of violence” offenses that are not “violent felonies” under § 924(e). It can’t do this by application notes that contradict the text of the Guideline, but what the first note to § 4B1.2 does is address a question — the treatment of inchoate offenses — left open by the text of § 4B1.2, as it is also left open by the text of § 924(e) and the holding of James.
Section 924(e) uses the definition of “violent felony” to set 15-year minimum sentences. The Sentencing Commission does not prescribe such a stern and inflexible outcome by defining “crime of violence.” Both § 4B1.1 and § 2K2.1(a)(2) raise the offense level without setting a mandatory minimum. They are just Guidelines, so the judge is free to impose a sentence outside the Commission’s preferred range after evaluating each defendant’s arguments. See United States v. Comer,
Affirmed
Dissenting Opinion
dissenting.
The only point that Anthony Raupp has raised on this appeal is whether the district court, in applying U.S.S.G. § 2K2.1(a)(2), correctly added two offense levels under the U.S. Sentencing Guidelines on the ground that Raupp had two previous convictions for crimes of violence. That guideline stipulates that the meaning of the term “crime of violence” for purposes here is the same as that found in § 4B 1.2(a) and Application Note 1 of the Commentary to § 4B1.2. The question before us concerns what that definition properly covers and whether it includes Raupp’s prior state conviction for conspiracy to commit robbery. My colleagues conclude that the Sentencing Guidelines in this instance have adopted a significantly broader definition than the one used in the Armed Career Criminal Act (“ACCA”),
Raupp pleaded guilty to being a felon in possession of a firearm, made criminal by
Section 4B1.2(a) defines the term “crime of violence” as follows:
... 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 burglary of a dwelling, arson, or extortion, involves the use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another.
The language of the ACCA does not track that definition perfectly, but it comes close. After stating that a person who violates § 922(g) and who has three previous convictions “for a violent felony or a serious drug offense” gets an enhanced sentence, the ACCA defines the term “violent felony” as follows:
... any crime punishable by imprisonment for a term exceeding one year [or certain juvenile dispositions not at issue here], that—
(i) has as an element the use, attempted use, or threatened use of physical force against the person of another, or
*762 (ii) is burglary, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another----
So far, so good. This court has regularly respected the substantive identity of these two provisions. See, e.g., United States v. Scanlan,
Raupp argues here that the inchoate crime of which he was convicted — conspiring to commit robbery in violation of
But the majority has concluded that it does not need to address the question whether conspiracy “presents a serious potential risk of physical injury to another.” Instead, it plays a trump card against Raupp that comes from the commentary to § 4B1.2. Application Note 1, paragraph 1, says that “‘[cjrime of violence’ and ‘controlled substance offense’ include the offenses of aiding and abetting, conspiring, and attempting to commit such offenses.” If the Sentencing Commission is entitled to broaden the Guideline so that it applies to non-violent crimes such as the version of conspiracy that Indiana has adopted, then my colleagues are correct that this language cheeks Raupp’s argument. In order to reach that result, they assume that the treatment of inchoate offenses is left open by § 4B1.2, and that all the Commission has done in the Application Note is to fill in a blank. In my view, however, the inclusion of all conspiracy offenses is inconsistent with the language of the Guideline, and thus the expansion implicit in the Application Note is incorrect under established principles of administrative law.
This is consistent with the approach to the ACCA taken in Sykes v. United States, — U.S.-,
The majority postulates that the Sentencing Commission might have chosen to include inchoate offenses in the text of § 4B1.2 itself. I agree with them that there was nothing forcing the Commission to use the same language as that found in the ACCA, and I also agree that Raupp’s argument would have no merit if the Commission had written a Guideline that expressly included all inchoate offenses. But, to state the obvious, that is not what the Commission did. Instead, it elected to promulgate a Guideline that mimics the ACCA and then to “interpret” that Guide
Application Notes in the commentary to the Sentencing Guidelines should “be treated as an agency’s interpretation of its own legislative rule.” Stinson v. United States,
In order to assess the scope of the Guideline properly, we must take into account the fact that its language is identical to, and in fact came directly from, a statute passed by Congress. The definition found in the ACCA was put in place in 1986. See
When an agency borrows language that originated with Congress, we should not ignore the meaning of the congressional language when we evaluate the agency’s interpretation of its rules. For example, in United Fire Ins. v. C.I.R., this court found that deference to the IRS’s interpretation of its own regulation was not justified.
The majority believes that the Tenth Circuit’s Martinez decision, supra,
Indeed, there are signs on the horizon that the Supreme Court may be about to revisit Auer and endorse a more skeptical review of agency interpretations of their own regulations. The Court has before it the case of Christopher v. SmithKline Beecham Corp.,
This debate between an agency’s adoption of formal regulations (or, as here, the Guidelines) and its interpretations of those regulations is not an exercise in empty formality. There is a significant difference between the procedures that the Sentencing Commission uses when it promulgates the Guidelines and those that it uses when it writes commentary or policy statements. See
When an agency like the Sentencing Commission uses a regulation as a springboard for an “interpretation” that goes beyond the boundaries of the original regulation, Auer and Stinson tell us that it has gone too far. That is exactly what the Sentencing Commission did here, when it decided that the phrase “presents a serious potential risk of physical injury to another” could be stretched to include Indiana’s inchoate offense of conspiracy to commit robbery. In my opinion, it cannot, and so I would find that Raupp is entitled to be resentenced. I therefore respectfully dissent.