Court Opinion

ID: 9494766
Source: CourtListenerOpinion
Date Created: 2023-08-05 15:45:59.179259+00
Date Added: 2024-06-11T17:56:36.183223
License: Public Domain

MOORE, Circuit Judge,
dissenting.
I agree with the majority that the criminal enterprise at issue here did not include five or more “participants,” as that term is used in the Sentencing Guidelines. I respectfully dissent, however, because I do not believe that the majority’s narrow interpretation of the “otherwise extensive” prong of § 3Bl.l(a) comports with the plain language of the Guidelines and the accompanying commentary.
Section 3Bl.l(a) permits a four-level enhancement for a defendant who “was an organizer or leader of a criminal activity that involved five or more participants or was otherwise extensive.” U.S.S.G. § 3Bl.l(a). The Guidelines define the word “participant” as “a person who is criminally responsible for the commission of the offense, but need not have been convicted.” U.S.S.G. § 3B1.1, commentary, applic. note 1. The majority concludes that the phrasing of § 3Bl.l(a) suggests an equivalence between “five or more participants” and “otherwise extensive,” such that “otherwise extensive” must be interpreted in terms of the number of individuals involved in the criminal activity and the extent of their contributions.
A more plausible interpretation of § 3Bl.l(a), in my opinion, is that the presence of five or more “participants” establishes a conclusive presumption that the criminal activity is “extensive,” but that other factors may warrant a finding that criminal activity involving fewer than five participants is “otherwise extensive.” This interpretation is consistent with the view endorsed by the majority of circuits, which permits the sentencing court to “examine the totality of the circumstances, including not only the number of participants but also the width, breadth, scope, complexity and duration of the scheme,” in determining whether criminal activity was “otherwise extensive.” United States v. Dietz, 950 F.2d 50, 53 (1st Cir.1991); see also United States v. Yarnell, 129 F.3d 1127, 1139 (10th Cir.1997); United States v. Briscoe, 65 F.3d 576, 590 (7th Cir.1995); United States v. Leung, 35 F.3d 1402, 1407 (9th Cir.1994), cert. denied, 513 U.S. 1135, 115 S.Ct. 954, 130 L.Ed.2d 897 (1995); United States v. Holland, 22 F.3d 1040, 1046 (11th Cir.1994), cert. denied, 513 U.S. 1109, 115 S.Ct. 898, 130 L.Ed.2d 782 (1995); United States v. Mergerson, 4 F.3d 337, 347-48 (5th Cir.1993), cert. denied, 510 U.S. 1198, 114 S.Ct. 1310, 127 L.Ed.2d 660 (1994). Although the Sixth Circuit has never explicitly decided this issue, we have previously noted with approval the view that a § 3Bl.l(a) enhancement is required where the district court finds that criminal activity was “otherwise extensive” based upon factors other than the number of participants. See United States v. Sanders, 95 F.3d 449, 457 (6th Cir.1996) (“[T]he district judge did find expressly that the conspiracy was ‘otherwise extensive’ because activities in furtherance of the conspiracy took place in several states. Upon the district court’s explicit findings ..., a four-level enhancement is mandated by U.S.S.G. § 3Bl.l(a).”).
This interpretation of § 3Bl.l(a) best gives effect to the plain language of that guideline. United States v. Dietz, 950 F.2d at 54. The disjunctive language of § 3Bl.l(a) allows the imposition of a four-level enhancement when the defendant’s criminal activity did not involve five or more participants, but was “otherwise extensive.” United States v. D’Andrea, 107 F.3d 949, 957 (1st Cir.1997). The use of the word “otherwise” indicates that the second category, “otherwise extensive,” in-*703eludes factors that are different in kind than the first category, “five or more participants.” WebsteR’s Third New Int’l Dictionary 1598 (1986) (defining “otherwise” as “in a different way or manner”). Moreover, the use of the open-ended word “extensive” evinces the Commission’s intention that the “otherwise extensive” prong should include a wide-ranging consideration of factors such as geographic scope, duration, and complexity of the criminal enterprise. The relevant definition of this word indicates that numerosity is merely one, but by no means the primary, factor that is commonly considered in determining extensiveness:
3a: widely extended in scope or application: broad in range ... very complete ... b: widely extended in area ... extending over a large surface or space ... c: marked by considerable length ... d: large in amount ... e: considerable in number....
Id. at 805. Unlike the majority, therefore, I am not persuaded by the Third Circuit’s observation that “[i]f the Commission intended the courts to utilize a broader analysis to determine if a criminal activity was ‘extensive’ it could easily have said so.” United States v. Helbling, 209 F.3d 226, 246 (3rd Cir.2000), cert. denied, 531 U.S. 1100, 121 S.Ct. 833, 148 L.Ed.2d 715 (2001). Given the broad nature of the phrase “otherwise extensive,” it seems clear that the Commission did say so.
It is evident from the language and structure of the guideline that the “or otherwise extensive” prong envisions more than a mere headcount. If the enhancement could be applied only when the defendant’s criminal activity involves five or more persons — whether or not they are culpable “participants,” the Commission’s use and careful definition of the word “participants” would be rendered mere surplus, since culpable participants and unknowing outsiders would be more or less fungible. Recognizing this concern, the majority adopts a “functional equivalence” test for “otherwise extensive,” which requires that the total contributions of all culpable participants and unknowing outsiders be the “functional - equivalent” of five “participants.” This test involves a highly contextual and fact-dependent assessment of the extent and importance of the contributions of non-participants. United States v. Carrozzella, 105 F.3d 796, 803-04 (2d Cir.1997). I find no support in the language of the guidelines for the interpretation of “or otherwise extensive” to mean the functional equivalent of five “participants.” If the Commission had intended this meaning, it could have stated this intention explicitly rather than using the much broader phrase, “otherwise extensive.” See Leung, 35 F.3d at 1407 (“[T]he phrase ‘otherwise extensive’ is not susceptible to such a narrow interpretation.”). The majority’s framework for evaluating the relative importance of unknowing contributions and developing an equivalence with the participation of culpable “participants” (which itself is not a standardized measure) is not even hinted at in the Guidelines.
The majority contends that the background commentary to § 3Bl.l(a) further supports its position that § 3331.1(a) imposes a numerosity requirement. The relevant commentary states that “[t]his section provides a range of adjustments to increase the offense level based upon the size of a criminal organization (ie. the number of participants in the offense) and the degree to which the defendant was responsible for committing the offense.” U.S.S.G. § 3131.1(a), commentary, background. From the structure of the guideline, however, it seems clear that this comment cannot mean that “the number of participants in the offense” is the only factor in determining extensiveness. “Participants” is a defined term indicating *704criminally responsible persons, and both the text of § 3Bl.l(a) and the commentary leave no doubt that the enhancement may be applied in some cases involving fewer than five “participants.” U.S.S.G. § 3B1.1, commentary, applic. note 3. Therefore, this comment can mean only that the number of “participants” is one indicia of extensiveness, but not the only one. Moreover, the Commission’s use of “extensive” later in the same background note suggests a broader meaning for the word than merely to denote the number of people involved in a criminal activity. ^Immediately following the paragraph cited by the majority, the Commission contrasts large criminal organizations that are considered extensive with “small criminal enterprises that are not otherwise to be considered as extensive in scope or in planning or preparation.” U.S.S.G. § 3B1.1 commentary, background (emphasis added). This use of “extensive” plainly contemplates the scope of the activities involved in a criminal enterprise, and not merely the number of people.
The defendant does not challenge the district court’s findings that the criminal activity was “extensive,” other than to note that the court focused on the scope of the activity, rather than the number of people involved. As I have stated, I believe such an inquiry is permitted by § 3Bl.l(a). See Dietz, 950 F.2d at 53. The district court’s finding that the plan to cover-up the false statements to the CPSC inspector was “extensive” is supported by the record and was not clear error. Therefore, I respectfully dissent from the majority’s decision to vacate Anthony’s sentence and remand to the district court. .