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No. 10618590
United States Court of Appeals for the Ninth Circuit
United States v. Keller
No. 10618590 · Decided June 27, 2025
No. 10618590·Ninth Circuit · 2025·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
June 27, 2025
Citation
No. 10618590
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 23-656
D.C. No.
Plaintiff - Appellee,
3:18-cr-00462-
VC-1
v.
THOMAS KELLER,
OPINION
Defendant - Appellant.
Appeal from the United States District Court
for the Northern District of California
Vince Chhabria, District Judge, Presiding
Argued and Submitted December 3, 2024
San Francisco, California
Filed June 27, 2025
Before: Mark J. Bennett, Daniel A. Bress, and Danielle J.
Forrest, Circuit Judges.
Per Curiam Opinion;
Concurrence by Judge Bennett
2 USA V. KELLER
SUMMARY *
Criminal Law
The panel affirmed Thomas Keller’s conviction and
sentence on four counts of prescribing controlled substances
outside the scope of professional practice.
Keller made four claims: (1) the district court erred in
denying his motion to suppress a journal found at his
residence that was seized pursuant to a search warrant
justified by neither probable cause nor the “plain view”
doctrine; (2) the district court erred in not holding an
evidentiary hearing on his suppression motion; (3) the
charges against him violated the nondelegation doctrine; and
(4) the district court erred in calculating his sentencing range
under U.S.S.G. § 2D1.1 by relying on a drug conversion
ratio found in the Sentencing Guidelines commentary.
The panel held: (1) the district court did not err in
denying Keller’s motion to suppress because the seized
journal fell within the scope of the search warrant and its
seizure was supported by probable cause; (2) the district
court did not abuse its discretion in declining to hold an
evidentiary hearing on the seizure of the journal because
Keller’s conclusory allegations did not establish contested
issues of fact; (3) there was no violation of the nondelegation
doctrine, as the Attorney General’s promulgation of the
relevant regulations fell within the scope of the authority
intelligibly delegated to the Attorney General by Congress;
and (4) Keller’s sentencing claim fails because the
*
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
USA V. KELLER 3
challenged drug conversion table underwent the same
congressional review process as the Guidelines and was
expressly incorporated into the relevant Guideline itself.
Concurring, Judge Bennett wrote that any alleged error
in sentencing was harmless. He would affirm the sentence
on the basis of harmless error, and would not reach whether
the relevant Sentencing Guidelines commentary was
incorporated into the text of the Guidelines itself. He joined
the rest of the opinion.
COUNSEL
Kelly I. Volkar (argued) and Kristina Green, Assistant
United States Attorneys; Merry J. Chan, Chief, Appellate
Section, Criminal Division; Ismail J. Ramsey, United States
Attorney; Office of the United States Attorney, United States
Department of Justice, San Francisco, California; for
Plaintiff-Appellee.
Todd M. Borden (argued) and David W. Rizk, Assistant
Federal Public Defenders; Jodi Linker, Federal Public
Defender, Northern District of California; Federal Public
Defenders Office, San Francisco, California; for Defendant-
Appellant.
4 USA V. KELLER
OPINION
PER CURIAM:
Defendant-Appellant Thomas Keller appeals his
conviction on four counts of prescribing controlled
substances outside the scope of professional practice and his
subsequent sentence to a term of 30 months of incarceration
and 3 years of supervised release. 1 Keller makes four
claims: (1) the district court erred in denying his motion to
suppress a journal found at his residence that was seized
pursuant to a search warrant justified by neither probable
cause nor the “plain view” doctrine; (2) the district court
erred in not holding an evidentiary hearing on his
suppression motion; (3) the charges against him violated the
nondelegation doctrine; and (4) the district court erred in
calculating his sentencing range under United States
Sentencing Guideline § 2D1.1 by relying on a drug
conversion ratio found in the Sentencing Guidelines
commentary.
As to Keller’s first claim, the district court did not err in
denying Keller’s motion to suppress, because the seized
journal fell within the scope of the search warrant and its
seizure was supported by probable cause. 2 As to his second
claim, the district court did not abuse its discretion in
declining to hold an evidentiary hearing on the seizure of the
1
Keller is no longer incarcerated. Keller’s release from custody does
not, however, moot his sentencing claim, given that he is still subject to
the terms of supervised release. See United States v. Verdin, 243 F.3d
1174, 1178 (9th Cir. 2001).
2
Because we find that the journal was properly seized pursuant to the
search warrant, we do not reach whether the seizure was alternatively
justified under the plain view doctrine.
USA V. KELLER 5
journal because Keller’s conclusory allegations did not
establish contested issues of fact. Regarding Keller’s third
claim, there was no violation of the nondelegation doctrine,
as the Attorney General’s promulgation of the relevant
regulations fell within the scope of the authority intelligibly
delegated to the Attorney General by Congress. Finally,
Keller’s sentencing claim fails because the challenged drug
conversion table underwent the same congressional review
process as the Guidelines and was expressly incorporated
into the relevant Guideline itself.
I. FACTUAL AND PROCEDURAL BACKGROUND
A. Factual Background
Defendant-Appellant Thomas Keller began working as a
solo practitioner physician specializing in pain management
in Santa Rosa, California, in 2011. Keller possessed a
license from the Drug Enforcement Administration (“DEA”)
allowing him to prescribe various controlled substances
pursuant to 21 U.S.C. § 829(a) and (b). This allowed Keller
to prescribe opiates like Percocet and OxyContin.
Between beginning his practice in 2011 and surrendering
his license in 2018, Keller was in the 99th percentile of pain
specialists “in terms of the amount [of opioids] he [was]
prescribing per patient per day.” Keller was known by local
pharmacists for prescribing “only narcotics,” as well as for
prescribing opiates in exceptionally large quantities. One
pharmacy eventually refused to fill prescriptions written by
Keller. In one episode that the government alleged was
demonstrative, a treating psychiatrist, after speaking with
6 USA V. KELLER
Keller about a patient they were separately treating, filed a
complaint with the Medical Board of California:
Dr. Thomas Keller has been prescribing
opioids to a pregnant and breastfeeding
mother for the last year without any
knowledge of her pregnancy or lactation
status. I learned this after calling him to ask
him about whether he was aware of her
breastfeeding status due to my concern for
the [Controlled Substance Utilization Review
and Evaluation System (CURES)] report that
indicate[d] . . . [Keller] refill[ed] a large
amount of opioids during her pregnancy and
breastfeeding.
In March 2013, Keller began to treat A.M., then 18 years
old, for “low back pain.” A.M. presented no physical issues
justifying prescribing large amounts of opiates, but Keller
nevertheless prescribed many.
A.M. attempted suicide in December 2013. Following
A.M.’s suicide attempt, Keller briefly terminated his
treatment of A.M., but he ultimately resumed treatment at
her mother’s request. Contrary to accepted professional
practice (given Keller’s knowledge of A.M.’s suicide
attempt), Keller continued to prescribe A.M. opiates and
other controlled substances—including thousands of pills of
oxycodone, OxyContin, Carisoprodol, and diazepam—over
the next four years. In July 2017, A.M. committed suicide
by overdosing on prescription drugs. Some of these drugs,
including oxycodone and diazepam, had been prescribed by
Keller.
USA V. KELLER 7
Also in 2017, federal agents began to investigate Keller
on suspicion of over-prescribing medications. Besides
monitoring Keller’s office with a pole camera and utilizing
an undercover officer to pose as a potential patient, law
enforcement agents executed a search warrant at Keller’s
personal residence. Among other items, agents seized a
journal that contained handwritten notes regarding Keller’s
“patient information” and “medical information.”
Following the raid on his residence, Keller surrendered both
his medical license and his DEA license. He also closed his
medical practice.
In September 2018, Keller was indicted on various
federal charges, including unlawfully dispensing and
distributing controlled substances without a legitimate
medical purpose under the Controlled Substances Act
(“CSA”) (in violation of 21 U.S.C. § 841(a)(l), (b)(l)(C), and
(b)(2)) and health care fraud (18 U.S.C. § 1347). In August
2019, Keller was indicted in California state court on charges
including second-degree murder (stemming from A.M.’s
death) and overprescribing opiates. Keller’s state trial—
which preceded his federal trial—concluded in March 2020.
Keller was acquitted of murder and two drug charges. The
jury hung on the other charges.
B. Procedural Background
A superseding federal indictment was filed against
Keller in 2021. Keller was charged with ten counts of
prescribing various drugs outside the scope of professional
practice (in violation of 21 U.S.C. § 841 (a)(1), (b)(1)(C),
8 USA V. KELLER
and (b)(2)) 3 and one count of health care fraud (18 U.S.C.
§ 1347).
Keller moved to suppress the journal seized during the
raid on his residence and requested an evidentiary hearing.
The district court denied the motion to suppress the journal 4
and declined to hold an evidentiary hearing. Keller also
moved to dismiss the drug charges against him, arguing,
among other things, that those counts violated the
nondelegation doctrine. The district court also denied that
motion.
During the 2022 trial, the government introduced
portions of Keller’s seized journal. Keller was convicted on
four counts of distributing controlled substances outside the
scope of professional practice. The jury hung on the
remaining six counts of prescribing controlled substances
outside the scope of professional practice (and the
government opted not to re-try Keller on those counts). The
district court granted Keller’s motion for judgment of
acquittal as to the health care fraud count.
Before sentencing, Keller challenged the Presentence
Report (PSR)’s use of a “converted drug weight ratio” of
6,700:1 for oxycodone in calculating his Guidelines range
on the ground that the ratio appears not in the Sentencing
Guidelines themselves but in commentary appended to the
Guidelines. Without this ratio, Keller contends that his
3
21 U.S.C. § 841(a)(1) criminalizes the act of “knowingly or
intentionally . . . manufactur[ing], distribut[ing], or dispens[ing], or
possess[ing] with intent to manufacture, distribute, or dispense, a
controlled substance.” Subsections 841(b)(1)(C) and 841(b)(2) delineate
penalties specific to the scheduling level of the drugs at issue.
4
The district court granted the motion to suppress as to other seized
items.
USA V. KELLER 9
Guidelines range would have been 0 to 6 months. Keller also
argued that if the ratio were to be applied, Keller should have
been found responsible for distributing a “converted” drug
weight of 96.51 kilograms (covering only the drugs
identified in the counts on which Keller was convicted),
rather than the 2,794.5 kilograms that the government argued
he should be found responsible for distributing (which
covered all the drugs Keller had been charged with
distributing, including counts on which Keller was not
convicted).
At Keller’s sentencing hearing, the district court utilized
the challenged ratio in calculating the converted drug weight
distributed by Keller but limited its calculations to only those
drugs that Keller was convicted of distributing. The district
court ultimately adopted a total offense level of 24, which
corresponded with a Guidelines range of 51 to 63 months.
The court then varied downward and sentenced Keller to 30
months in prison followed by 3 years of supervised release.
Keller now appeals the district court’s denial of his
motion to suppress the journal seized from his residence; the
district court’s failure to hold an evidentiary hearing; the
district court’s denial of his nondelegation doctrine motion
to dismiss; and his sentence.
II. JURISDICTION
We have jurisdiction under 28 U.S.C. § 1291 and 18
U.S.C. § 3742(a).
III. STANDARD OF REVIEW
We review de novo the trial court’s denial of a motion to
suppress. See United States v. Ramirez, 976 F.3d 946, 951
(9th Cir. 2020). “We review for an abuse of discretion a
court’s decision whether to conduct an evidentiary hearing
10 USA V. KELLER
on a motion to suppress.” United States v. Howell, 231 F.3d
615, 620 (9th Cir. 2000). We review de novo the trial
court’s denial of a motion to dismiss an indictment on
constitutional grounds. See United States v. McCalla, 545
F.3d 750, 753 (9th Cir. 2008). “We review the district
court’s . . . construction of the United States Sentencing
Guidelines de novo, and its application of the Guidelines to
the facts for abuse of discretion.” United States v. Harris,
999 F.3d 1233, 1235 (9th Cir. 2021).
IV. DISCUSSION
A. The search warrant covered the seizure of Keller’s
journal and the supporting affidavit established
probable cause sufficient to justify the seizure of
the journal.
“Probable cause exists where the totality of the
circumstances indicates a ‘fair probability that . . . evidence
of a crime will be found in a particular place.’” United States
v. Elmore, 917 F.3d 1068, 1074 (9th Cir. 2019) (alteration in
original) (quoting Illinois v. Gates, 462 U.S. 213, 238
(1983)); see also United States v. Wong, 334 F.3d 831, 836
(9th Cir. 2003) (“Probable cause exists if it would be
reasonable to seek the evidence in the place indicated in the
affidavit.” (cleaned up) (quoting United States v. Peacock,
761 F.2d 1313, 1315 (9th Cir. 1985), abrogated on other
grounds by Gomez v. United States, 490 U.S. 858 (1989))).
An “issuing judge’s finding of probable cause is entitled to
‘great deference.’” Elmore, 917 F.3d at 1074 (quoting
United States v. Krupa, 658 F.3d 1174, 1177 (9th Cir.
2011)).
Affidavits filed in support of search warrants must
provide “a substantial basis for determining the existence of
probable cause.” Gates, 462 U.S. at 239. The DEA agent’s
USA V. KELLER 11
affidavit in support of the search warrant on Keller’s
residence highlighted that Keller prescribed a “surprisingly”
high number of controlled substances; 5 received various
professional documents at his home address, including both
financial and medical licensure documents; and was seen
traveling between his home and office carrying a briefcase.
The DEA agent also stated in the affidavit that based on her
extensive experience with similar investigations,
practitioners “often retain personal and business notes,
letters, and correspondence relating to their
5
The search warrant affidavit contained detailed descriptions of Keller’s
extraordinarily high numbers of controlled substance prescriptions. For
example:
CURES also revealed the top five products prescribed
by KELLER were: oxycodone, hydrocodone,
methadone, morphine sulfate and hydromorphone.
All of these top five produced are Schedule II
controlled substances. Of the 5,230 prescriptions that
KELLER wrote for controlled substances, 3,588 were
for Schedule II controlled substances. In my training
and experience, that is an extraordinarily high
percentage of Schedule II controlled substances. . . .
The CURES data also shows that KELLER prescribes
a large amount of controlled substances in a
combination known as “The Holy Trinity”—a drug
regimen that includes at least one opioid, a
benzodiazepine, and Carisoprodol for one patient. In
my training and experience, the Holy Trinity is
frequently sought by opiate addicts because that
combination enhances the high that they experience.
However, based on my training and experience, and
my consultation with medical experts, there is no
legitimate medical reason to prescribe this
combination of drugs, which carries enhanced risk of
drowsiness, respiratory depression, confusion, tremor,
and seizure.
12 USA V. KELLER
narcotics/prescription orders at their residences.” Thus, both
direct surveillance of Keller and the agent’s expertise in
comparable investigations provided probable cause that
documents relevant to the crimes being investigated would
be located at Keller’s residence. And as the district court
found, it is also a “commonsensical” fact “that doctors, and
perhaps especially doctors who commit crimes and wish to
shield their activities from their colleagues or potential
inspectors, bring medical records home.” Accordingly, there
was probable cause to believe that the incriminatory
documentary evidence described in the warrant might be
found at Keller’s residence. 6
Keller’s journal also fell squarely within the scope of
materials subject to seizure. The search warrant expressly
authorized the seizure of “[d]ocuments, including but not
limited to . . . journals, books, [and] records . . . that refer or
relate to . . . the ordering, prescribing, or dispensing of any
controlled drug” in the locations to be searched, including
Keller’s residence (emphasis added). The relevant seized
document was immediately identifiable as a journal, which
Keller’s counsel conceded at oral argument. And while
Keller attempts to distinguish between “professional
6
The warrant provided:
The items to be seized are evidence, contraband, fruits,
or instrumentalities of violations of 21 U.S.C.
§§ 841(a)(l) and 846 (conspiracy to distribute and
distribution of controlled substances); 21 U.S.C.
§ 843(a)(3) (acquiring a controlled substance by
misrepresentation, fraud, forgery or deception[)]; 18
U.S.C. §§ 1347, 1349 (health care fraud)[;] 42 U.S.C.
§ l320a-7b(b) (payment, solicitation, and offering of
remuneration for the receipt of a benefit from a federal
health care program) . . . .
USA V. KELLER 13
‘journals and ledgers’” and what he describes as his
“personal, handwritten diary,” the warrant itself makes no
such distinction. The search warrant thus permitted the
seizure of journals with information relevant to the crimes
being investigated—such as the journal at issue—from
Keller’s home, regardless of whether Keller also used those
journals for recording personal, non-professional
information. 7
B. The district court did not abuse its discretion in
declining to hold an evidentiary hearing on the
admissibility of the journal.
The district court did not conduct an evidentiary hearing
regarding the legibility of Keller’s journal. 8 Keller now
argues that we should, at minimum, “conditionally vacate
the judgment and remand for an evidentiary hearing”
7
Keller made a similar argument regarding other documents that were
seized, which the district court accepted in partially granting the motion
to suppress:
Keller argues that . . . letters to his sister were outside
the scope of the warrant and therefore not properly
seized. The letters were outside the scope of the
warrant. Even a quick skim shows they do not relate
to “(1) the prescribing, dispensing, or other
distribution of any controlled drug or to any person to
whom a controlled substance was prescribed or
dispensed; (2) the submission of any billing to
Medicare; [ ] (3) the receipt of payment of any
compensation in exchange for the act of writing or
filling a prescription to a Medicare beneficiary” or any
other category of documents listed in Attachment B of
the warrant application.
8
Keller claims “legibility” was important because if the journal were
illegible, it would have fallen outside the scope of the search warrant.
14 USA V. KELLER
because of an alleged “material factual dispute” regarding
the legibility of Keller’s journal.
Keller argues that the district court must hold such a
hearing “[w]henever there is a disputed material fact
concerning a suppression motion.” For this, Keller invokes
our holding in United States v. Mejia, 69 F.3d 309 (9th Cir.
1995), that a district court is “require[d] . . . to conduct an
evidentiary hearing when the moving papers filed in
connection with a pre-trial suppression motion show that
there are contested issues of fact relating to the lawfulness of
a search.” Id. at 318. But for moving papers to show that
there are contested issues of fact warranting an evidentiary
hearing, they must “allege facts with sufficient definiteness,
clarity, and specificity to enable the trial court to conclude
that contested issues of fact exist.” Howell, 231 F.3d at 620.
A simple desire to cross-examine agents that a movant has
accused of being untruthful does not itself create grounds for
an evidentiary hearing. See Franks v. Delaware, 438 U.S.
154, 171 (1978) (“[T]he challenger’s attack must be more
than conclusory and must be supported by more than a mere
desire to cross-examine.”).
“We review for an abuse of discretion a court’s decision
whether to conduct an evidentiary hearing on a motion to
suppress.” Howell, 231 F.3d at 620. Abuse of discretion is
a “highly deferential standard, under which the appellate
court cannot substitute its view of what constitutes
substantial justification for that of the district court” but must
rather merely “assur[e] that the district court’s determination
has a basis in reason.” Gonzales v. Free Speech Coal., 408
F.3d 613, 618 (9th Cir. 2005) (cleaned up) (quoting Bay
Area Peace Navy v. United States, 914 F.2d 1224, 1230 (9th
Cir. 1990)). Accordingly, we look to whether the district
court had a basis in reason for declining to find that Keller
USA V. KELLER 15
“allege[d] facts with sufficient definiteness, clarity, and
specificity to enable the trial court to conclude that contested
issues of fact exist” to warrant an evidentiary hearing.
Howell, 231 F.3d at 620.
Keller emphasizes that it took law enforcement agents
“many months of study to be able to decipher” the journal.
But the fact that it took such study to completely decipher the
journal does not negate the fact that—as the district court
found—relevant target words in the journal were
immediately discernible to agents perusing it. The issue of
total legibility advanced by Keller is distinct from whether
specific words or phrases would have demonstrated to an
agent that at least some of the journal’s contents related to
the prescription of relevant drugs and thus made the journal
seizable pursuant to the warrant.
And much of the journal is immediately legible. As the
district court found, “patient names and medical terms are
discernible in a quick flip through the journal’s pages.” 9
Considering the obvious and immediate relevance of such
references to the crimes for which Keller was under
investigation, Keller’s broad allegations of general
illegibility did not suffice to create “contested issues of fact”
that would have warranted an evidentiary hearing. Id. There
were many relevant entries in the journal that were legible to
a reader, justifying its seizure pursuant to the warrant. No
hearing was necessary to make those determinations. And
beyond his unavailing legibility challenge, Keller does not
otherwise “allege facts with sufficient definiteness, clarity,
9
These include references to “Suboxone,” “Suboxone + Norco,”
“Narcotics,” “A**** M****! [A.M.’s full name, capitalized],”
“FU**ING PSYCHO DRUGGIE,” and the phrase “see me as a legal
drug dealer.”
16 USA V. KELLER
and specificity” to demonstrate a dispute over any material
fact. Id. The district court thus did not abuse its discretion
in not conducting an evidentiary hearing on Keller’s journal.
C. Keller’s charges did not violate the nondelegation
doctrine.
Keller’s charges included ten counts of violating the
CSA—specifically, 21 U.S.C. § 841(a)(1), (b)(1)(C), and
(b)(2). Keller moved to dismiss the indictment, arguing that
“the drug counts violate the Constitution’s nondelegation
doctrine because criminal liability only attaches to
prescribing physicians by virtue of a federal regulation
promulgated by the Executive Branch, an improper
delegation of Congress’s power to define crimes with
insufficient guidance to the Executive Branch.” 10 The
district court rejected Keller’s motion.
Keller contends that “the scope of the criminal liability
against Keller was defined solely by an administrative
10
Keller also argued below, and reiterates here, that the superseding
indictment improperly charged him with “distributing” controlled
substances, rather than “dispensing” controlled substances as prohibited
by the CSA. The implication of this argument is that Keller’s indictment
was facially defective for not charging a proper offense. As Keller
concedes, however, this court has held that “[i]f the prescription is not
lawful, the ‘practitioner’ does not dispense; rather . . . he ‘distributes.’”
United States v. Black, 512 F.2d 864, 866 (9th Cir. 1975). Certain other
circuits have found that it is possible to unlawfully “dispense” controlled
substances. See, e.g., United States v. Azmat, 805 F.3d 1018, 1034 (11th
Cir. 2015); id. at 1032–34 (collecting cases). Keller “preserves for
possible en banc or certiorari review his contention that a licensed
physician alleged to have unlawfully prescribed controlled substances
has not, as a matter of law, ‘distributed’ controlled substances, as
charged in the superseding indictment.” Given that this panel is bound
by circuit precedent, we do not address the propriety of the superseding
indictment’s use of “distributed” instead of “dispensed.”
USA V. KELLER 17
regulation, and the statute authorizing its promulgation
lacked any intelligible principle.” Keller also argues that it
is an “open question” whether something more than an
intelligible principle is required when the government
promulgates regulations leading to criminal sanctions, and
“maintains that more than a showing of a mere intelligible
principle is required.”
We hold that the relevant sections of the CSA satisfy the
nondelegation doctrine’s intelligible principle test. The
Attorney General’s promulgation of the challenged
regulation thus reflects a constitutionally permissible
exercise of authority. And under precedent, even when
promulgated regulations implicate criminal punishments,
the correct standard is the intelligible principle test.
1. The nondelegation doctrine and the intelligible
principle test.
The nondelegation doctrine reflects the separation-of-
powers principles inherent in the Constitution. The doctrine
arises from Article I, which establishes that “[a]ll legislative
Powers . . . shall be vested in a Congress of the United
States.” U.S. Const. art. I, § 1. Congress “may not transfer
to another branch ‘powers which are strictly and exclusively
legislative.’” Gundy v. United States, 588 U.S. 128, 135
(2019) (plurality opinion) (quoting Wayman v. Southard, 23
U.S. (10 Wheat.) 1, 42–43 (1825)).
But “the nondelegation doctrine does not prevent
Congress from seeking assistance, within proper limits, from
its coordinate Branches.” Touby v. United States, 500 U.S.
160, 165 (1991). Rather, delegation is permissible so long
as Congress articulates an “intelligible principle” by which
the actor empowered to exercise delegated authority can
conform. Mistretta v. United States, 488 U.S. 361, 372
18 USA V. KELLER
(1989). The intelligible principle test reflects “a practical
understanding that in our increasingly complex society,
replete with ever changing and more technical problems,
Congress simply cannot do its job absent an ability to
delegate power under broad general directives.” Id.
The standards for satisfying this test are “not
demanding.” Gundy, 588 U.S. at 146 (plurality opinion).
“Only twice in this country’s history,” both times in 1935,
has the Supreme Court “found a delegation excessive—in
each case because Congress had failed to
articulate any policy or standard to confine discretion.” Id.
(cleaned up) (quoting Mistretta, 488 U.S. at 373 n.7) (citing
A.L.A Schechter Poultry Corp. v. United States, 295 U.S.
495 (1935); Panama Refining Co. v. Ryan, 293 U.S. 388
(1935)). A delegation of authority will be upheld so long as
Congress delineates “the general policy, the public agency
which is to apply it, and the boundaries of th[e] delegated
authority.” Am. Power & Light Co. v. SEC, 329 U.S. 90, 105
(1946). “[A] nondelegation inquiry always begins (and
often almost ends) with statutory interpretation,” and “‘[i]t
is a fundamental canon of statutory construction that the
words of a statute must be read in their context and with a
view to their place in the overall statutory scheme.’” Gundy,
588 U.S. at 135, 141 (plurality opinion) (quoting Nat’l Ass’n.
of Home Builders v. Defs. of Wildlife, 551 U.S. 644, 666
(2007)).
2. 21 U.S.C. §§ 821 and 871 and 21 C.F.R. § 1306.04.
Under 21 U.S.C. § 821, the Attorney General has the
authority to “promulgate rules and regulations . . . relating to
the registration and control of the manufacture, distribution,
and dispensing of controlled substances.” 21 U.S.C. § 821.
Section 871(b) authorizes the Attorney General to
USA V. KELLER 19
“promulgate and enforce any rules, regulations, and
procedures which he may deem necessary and appropriate
for the efficient execution of his functions under this
subchapter.” Id. § 871(b).
Accordingly, the Attorney General has promulgated 21
C.F.R. § 1306.04. That regulation establishes, in part, that
for “[a] prescription for a controlled substance to be effective
[it] must be issued for a legitimate medical purpose by an
individual practitioner acting in the usual course of his
professional practice,” and that violators “shall be subject to
the penalties provided for violations of the provisions of law
relating to controlled substances.” 21 C.F.R. § 1306.04(a).
3. The Attorney General’s promulgation of 21 C.F.R.
§ 1306.04 satisfies the intelligible principle test.
Keller was charged with violations of 21 U.S.C.
§ 841(a)(1), (b)(1)(C), and (b)(2)—that is, the “provisions of
law relating to controlled substances” referenced in 21
C.F.R. § 1306.04(a)—based on his distribution of controlled
substances “outside the scope of professional practice.”
Keller was subject to the penalties of the CSA (a criminal
statute) because of his failure to comply with § 1306.04(a)
(a regulation promulgated by the executive branch pursuant
to 21 U.S.C. §§ 821 and 871(b)).
In determining the constitutionality of delegated
authority, we look to whether Congress has clearly
articulated a general policy by which implementing agencies
or officials may abide. See Am. Power, 329 U.S. at 105. The
general policy outlined within the CSA is “the efficient
execution” of the Attorney General’s “functions under” that
statute. 21 U.S.C. § 871(b). Those functions are defined as
“control[ling] . . . the manufacture, distribution, and
dispensing of controlled substances.” Id. § 821 (emphasis
20 USA V. KELLER
added); see also Oregon v. Ashcroft, 368 F.3d 1118, 1129
(9th Cir. 2004) (identifying the CSA’s “mandate” as
“combat[ting] prescription drug abuse and addiction”), aff’d
sub nom. Gonzales v. Oregon, 546 U.S. 243 (2006). This
kind of mandate—limited in terms of the subject area in
which delegated authority may be exercised, yet broad as to
how the delegated authority may be exercised—is the type
of delegation of authority long upheld as permissible. See,
e.g., Whitman v. Am. Trucking Ass’n, 531 U.S. 457, 473
(2001) (allowing the Environmental Protection Agency to
“establish uniform national [air pollution] standards at a
level that is requisite to protect public health”); Nat’l Broad.
Co. v. United States, 319 U.S. 190, 215, 225–26 (1943)
(allowing the Federal Communications Commission to
regulate broadcast licensing as the “public interest,
convenience, or necessity” require); see also Loving v.
United States, 517 U.S. 748, 771 (1996) (“[Since 1935,] we
have . . . upheld, without exception, delegations under
standards phrased in sweeping terms.”).
We also look to whether Congress has designated an
agency to exercise the relevant authority. See Am. Power,
329 U.S. at 105. The CSA is unambiguous in granting such
authority to the Attorney General. 21 U.S.C. §§ 821, 871.
The test also requires that we analyze whether Congress
has “clearly delineate[d] . . . the boundaries of [the]
delegated authority.” See Am. Power, 329 U.S. at 105. The
scope of the authority delegated by 21 U.S.C. §§ 821 and
871(b) is both clear and bounded: the Attorney General is
authorized to promulgate rules and regulations “relating to
the registration and control of the manufacture, distribution,
and dispensing of controlled substances and to listed
chemicals,” 21 U.S.C. § 821, and to promulgate rules in
USA V. KELLER 21
support of the execution of his functions under the CSA, see
id. § 871(b).
Furthermore, Section 841 makes it “unlawful for any
person knowingly or intentionally” to “distribute . . . a
controlled substance,” “[e]xcept as authorized by [the
CSA].” 21 U.S.C. § 841(a)(1). The CSA permits
prescriptions “by a practitioner” for controlled substances,
id. § 829(a)–(b), and the statute defines a “practitioner” as a
“physician” authorized “to distribute . . . a controlled
substance in the course of professional practice,” id.
§ 802(21) (emphasis added). The CSA also defines a “valid
prescription” as “a prescription that is issued for a legitimate
medical purpose in the usual course of professional
practice.” 21 U.S.C. § 829(e)(2)(A) (emphasis added); see
also id. § 830(b)(3)(A)(ii) (defining a “valid prescription” as
“a prescription which is issued for a legitimate medical
purpose by an individual practitioner . . . acting in the usual
course of the practitioner’s professional practice”).
The text of 21 C.F.R. § 1306.04 borrows directly from
the CSA in declaring that for “[a] prescription for a
controlled substance to be effective” it “must be issued for a
legitimate medical purpose by an individual practitioner
acting in the usual course of his professional practice.” 21
C.F.R. § 1306.04(a); see 21 U.S.C. §§ 802(21), 802(56)(C),
829(e)(2)(A), 830(b)(3)(A)(ii). This reinforces our
conclusion that section 1306.04 operates within the limits of
delegated authority. It delineates the standards by which a
“practitioner” must abide when prescribing controlled
substances and allows for criminal prosecution (pursuant to
the CSA) of a physician’s failure to abide by “professional
practice[s].” 21 C.F.R. § 1306.04(a). It neither extends
beyond, nor conflicts with, the authority to (1) regulate
controlled substances and (2) enforce the provisions of the
22 USA V. KELLER
CSA delegated to the Attorney General by 21 U.S.C. §§ 821
and 871(b).
Thus, the requirements for the delegation of authority to
be constitutional are met. See Am. Power, 329 U.S. at 105.
Those sections of the CSA that authorize the promulgation
and enforcement of § 1306.04 establish a clear general
policy; the implementing agency (or here, official—the
Attorney General) is specifically identified; and the
boundaries of the authority delegated to the Attorney
General under the CSA are clearly outlined.
Section 1306.04 operates within the boundaries of the
authority delegated to the Attorney General under the CSA.
4. No heightened standard beyond the intelligible
principle test is required for delegations of authority
implicating criminal sanctions.
Keller claims that it “is an open question” whether
Congress must provide guidance beyond an intelligible
principle when dealing with the criminal law and criminal
penalties. Even assuming that was true at the time of
briefing and argument, in United States v. Pheasant, 129
F.4th 576 (9th Cir. 2025), we held that “[e]ven in the
criminal context, the ‘intelligible principle’ test provides the
controlling legal standard for evaluating non-delegation
challenges.” Id. at 583. Keller’s argument that regulations
relating to criminal penalties require something greater than
an intelligible principle is thereby foreclosed by our
precedent. And because § 1306.04 satisfies the intelligible
principle test, Keller’s challenge fails.
USA V. KELLER 23
D. The district court properly calculated Keller’s
Sentencing Guidelines range.
1. Keller’s sentence under the drug conversion ratio.
At sentencing, the district court agreed with Keller that
the conduct forming the basis of his conviction limited the
relevant drug quantities for sentencing purposes. This
consisted of 14.4 grams of oxycodone, 84 grams of
carisoprodol, and 2.4 grams of diazepam, before applying
any drug weight conversion factors. As relevant here,
§ 2D1.1(a)(5) of the Guidelines directs that the offense level
for illegally distributed controlled substances is “specified in
the Drug Quantity Table set forth in subsection (c).” In turn,
§ 2D1.1(c) lists various controlled substances (e.g., heroin,
cocaine, methamphetamine) and then provides a base
offense level for different quantities of each substance. For
example, 90 kilograms or more of heroin leads to a base
offense level of 38.
Some controlled substances, including oxycodone, are
not specifically mentioned in § 2D1.1(c). To determine the
base offense level for these substances, § 2D1.1(c) provides
a residual category based on “Converted Drug Weight.”
Thus, for example, for a base offense level of 26, the
defendant must be responsible for “[a]t least 400 KG but less
than 700 KG of Converted Drug Weight.” U.S.S.G.
§ 2D1.1(c)(7). Determining the proper converted weight,
and thus base offense level, for controlled substances that are
not specifically listed in § 2D1.1(c) requires further
consideration of both § 2D1.1(c) and Guidelines
commentary that it specifically incorporates.
At the top of § 2D1.1(c)’s Drug Quantity Table, an
asterisk directs the reader to a lower portion of text entitled
“Notes to Drug Quantity Table,” which sets forth various
24 USA V. KELLER
definitions. Importantly, these Notes are part of the text of
§ 2D1.1(c) itself. Subsection (B) of these Notes confirms
that oxycodone is among the controlled substances covered
by § 2D1.1(c), because it provides that “[t]he terms
‘Hydrocodone (actual)’ and ‘Oxycodone (actual)’ refer to
the weight of the controlled substance, itself, contained in
the pill, capsule, or mixture.” Subsection (K) of the Notes
then explains how to calculate the “Converted Drug Weight”
for controlled substances like oxycodone that are not
specifically listed in § 2D1.1(c). Note (K) states:
The term “Converted Drug Weight,” for
purposes of this guideline, refers to a nominal
reference designation that is used as a
conversion factor in the Drug Conversion
Tables set forth in the Commentary below, to
determine the offense level for controlled
substances that are not specifically
referenced in the Drug Quantity Table or
when combining differing controlled
substances.
U.S.S.G. § 2D1.1(c), Note (K). Note (K) thus directs the
reader to Drug Conversion Tables in the Guidelines
commentary, which are found in the commentary’s
Application Note 8(D). And Application Note 8(D)
provides that 1 gram of oxycodone has a converted drug
weight of 6,700 grams. U.S.S.G. § 2D1.1 cmt. n.8(D).
In Keller’s case, his 14.4 grams of oxycodone, multiplied
by a 6,700 conversion factor, led to a converted drug weight
of approximately 96 kilograms (the other substances did not
materially increase the converted drug weight based on the
applicable formulae). This placed Keller at a base offense
USA V. KELLER 25
level of 22 under U.S.S.G. § 2D1.1(c)(9). The addition of a
2-level increase under U.S.S.G. § 3B1.1 for abusing a
position of trust increased the base offense level to 24, which
together with Keller’s criminal history score led to a
Guidelines range of 51–63 months. As discussed above, the
district court sentenced Keller to 30 months in prison.
Keller argues that the district court erred in calculating
his sentencing range by relying on the 6,700:1 conversion
ratio for oxycodone because the ratio appears in the
Sentencing Guidelines commentary and not in the text of the
Guidelines itself. See U.S.S.G. § 2D1.1(c) & cmt. n.8(D).
Keller argues that this reliance on the commentary is no
longer proper after the Supreme Court’s decision in Kisor v.
Wilkie, 588 U.S. 558 (2019), and this court’s recent decision
in United States v. Castillo, 69 F.4th 648 (9th Cir. 2023). In
Keller’s view, the commentary impermissibly expands upon
the Guidelines. And if the commentary’s conversion ratio is
invalid, Keller says (and the government does not dispute)
that the applicable Guidelines range would instead be 0–6
months imprisonment.
2. Any error in calculating Keller’s sentence was not
harmless.
As an initial matter, we agree with Keller that if the
district court erred in relying on the oxycodone conversion
ratio, that error would not be harmless. “To establish
harmlessness, the Government must show that ‘it is more
probable than not’ that the error did not affect the sentence.”
United States v. Dominguez-Caicedo, 40 F.4th 938, 963 (9th
Cir. 2022) (quoting United States v. Morales, 108 F.3d 1031,
1040 (9th Cir. 1997) (en banc)). And “[i]n most cases a
defendant who has shown that the district court mistakenly
deemed applicable an incorrect, higher Guidelines range has
26 USA V. KELLER
demonstrated a reasonable probability of a different
outcome.” Molina-Martinez v. United States, 578 U.S. 189,
200 (2016).
In this case, the district court relied on the converted drug
weight ratio to calculate a sentencing range of 51–63 months
before departing downward from that starting point to
impose a sentence of 30 months’ imprisonment. At
sentencing the district court, referencing a Guideline range
of 51 to 63 months, stated: “[t]hat is the Guideline
calculation adopted in this case.” Later, at the end of the
hearing, the court reiterated that “the Guideline range that
I’ve adopted is 51 to 63 months,” but that it was “appropriate
to vary downward from the Guideline range, and[,] applying
all of the 3553(a) factors[,] . . . to impose a sentence of 30
months in prison.” The government does not challenge
Keller’s contention that without the converted drug weight
ratio, his Guidelines range would have been 0–6 months.
Under these circumstances, we do not find it “more probable
than not” that the district court’s use of the conversion ratio
had no bearing on Keller’s sentence. See Dominguez-
Caicedo, 40 F.4th at 963 (quoting Morales, 108 F.3d at
1040). We do not think it is probable that if the applicable
range were 0–6 months, the district court would have still
sentenced Keller to 30 months in prison—which would be
five times the upper end of the range. In fact, this is highly
improbable, given that the district court found it “appropriate
to vary downward from the Guideline range” and imposed a
sentence well below its calculated range.
The concurrence argues that the district court considered
the alternative 0–6 month range when it stated that “it is very
difficult to imagine a non-custodial sentence in this case,
applying all of the 3553(a) factors.” But this statement does
not shed light on what Guidelines range the court had in
USA V. KELLER 27
mind before applying the § 3553(a) factors, and we know the
Guidelines range it had calculated was 51–63 months. There
is likewise no basis to conclude that the district court’s
skepticism towards “a non-custodial sentence” suggests that
the court had in mind a Guidelines range of 0-6 months as a
starting point, from which it deviated upwards to impose a
30-month sentence. The district court plainly believed that
a custodial sentence was warranted, but we cannot conclude
that the court would have selected a 30-month sentence if the
Guidelines range were 0–6 months.
The government briefly argues that the district court
would have imposed the same sentence even if the
Guidelines range had been different, pointing to the court’s
statement that “even if I did disagree with the drug amount,
I would still not impose a sentence of less than 30 months in
this case considering all of the 3553(a) factors.” The
concurrence also argues that this language indicates that the
court implicitly considered the 0–6 month sentencing range.
But in context, the district court was not referring to the
possibility that the commentary reflected an impermissible
interpretation of the Guideline under Kisor. Instead, based
on the colloquy during the hearing, the court was referring
to the possibility that it could deviate from the advisory
Guidelines based on a policy disagreement with the ratio.
See Kimbrough v. United States, 552 U.S. 85, 101 (2007)
(“The Government acknowledges that the Guidelines ‘are
now advisory’ and that, as a general matter, ‘courts may vary
[from Guidelines ranges] based solely on policy
considerations, including disagreements with the
Guidelines.’” (alteration in original) (quoting Rita v. United
States, 551 U.S. 338, 351 (2007))). Thus, the district court
did not address the Kisor issue or state that it would have
28 USA V. KELLER
imposed the same sentence even if the Guidelines range had
been 0–6 months rather than 51–63 months.
In any case, even if we agreed with the government’s
reading of the record, the statement in question still would
not establish harmlessness. “A ‘district court’s mere
statement that it would impose the same . . . sentence no
matter what the correct calculation cannot, without more,
insulate the sentence from remand.’” Dominguez-Caicedo,
40 F.4th at 963 (ellipsis in original) (quoting United States
v. Munoz-Camarena, 631 F.3d 1028, 1031 (9th Cir. 2011)
(per curiam)). “This is because a district court’s analysis
must ‘flow from an initial determination of the correct
Guidelines range,’ and the district court must keep that range
‘in mind throughout the process.’” Id. (citation omitted)
(quoting Munoz-Camarena, 631 F.3d at 1030–31). For this
reason as well, any error in calculating the Guidelines range
cannot be regarded as harmless.
The concurrence argues that the district court’s statement
was sufficient to establish harmlessness because it identified
the Guidelines calculation as only “part of the mix of
deciding what the appropriate sentence should be,” and
repeatedly justified a custodial sentence under the § 3553(a)
factors. The district court’s consideration of the § 3553(a)
factors is insufficient under our precedent. We have found a
Guidelines calculation error not harmless even where a court
expressly states that “based on [the] 3553(a) factors” it
would impose the same sentence regardless of the
Guidelines range, because such conclusory statements “do[]
not demonstrate that the district court conducted the
sentencing a second time starting with the correct range and
keeping it in mind throughout the process.” Dominguez-
Caicedo, 40 F.4th at 964 (first alteration in original).
USA V. KELLER 29
3. The distinction between the Sentencing Guidelines
and the commentary.
We thus must resolve Keller’s sentencing challenge on
the merits. This challenge rests on the distinction between
the Sentencing Guidelines and their accompanying
commentary, and the reach of relatively recent case law
addressing when courts may rely on Guidelines
commentary.
The Sentencing Reform Act of 1984, 18 U.S.C. § 3551
et seq., created the Sentencing Commission, which
“promulgate[d] the guidelines by virtue of an express
congressional delegation of authority for rulemaking.”
Castillo, 69 F.4th at 655 (alteration in original) (quoting
Stinson v. United States, 508 U.S. 36, 44–45 (1993)). The
Guidelines must be reviewed by Congress, and “cannot
become effective until after [a] 6-month review period for
congressional modification or disapproval.” Stinson, 508
U.S. at 44; see also 28 U.S.C. § 994(p).
The Guidelines commentary is also prepared by the
Sentencing Commission, see Stinson, 508 U.S. at 44–45, and
may help “interpret the guideline[s] or explain how [they
are] to be applied,” U.S.S.G. § 1B1.7. The “commentary is
not subject to mandatory congressional review,” and has
been analogized to “an agency’s interpretation of its own
legislative rule.” Castillo, 69 F.4th at 655 (quoting Stinson,
508 U.S. at 44).
In Stinson v. United States, the Supreme Court held that
“commentary in the Guidelines Manual that interprets or
explains a guideline is authoritative unless it violates the
Constitution or a federal statute, or is inconsistent with, or a
plainly erroneous reading of, that guideline.” 508 U.S. at 38.
Relying on Bowles v. Seminole Rock & Sand Co., 325 U.S.
30 USA V. KELLER
410 (1945), Stinson described the guidelines as “the
equivalent of legislative rules adopted by federal agencies,”
explaining that “this type of commentary is akin to an
agency’s interpretation of its own legislative rules” and
should generally be given controlling weight. 508 U.S. at
45 (citing Seminole Rock, 325 U.S. at 414). This level of
deference was referred to as “Seminole Rock deference,” or
later, as “Auer deference.” See Auer v. Robbins, 519 U.S.
452, 461 (1997); see also Kisor, 588 U.S. at 563. Beyond
Seminole Rock deference, Stinson further advised that the
commentary in the Sentencing Guidelines “provides
concrete guidance as to how even unambiguous guidelines
are to be applied in practice.” 508 U.S. at 44.
In Kisor, however, the Supreme Court narrowed the
deference afforded to an agency’s interpretation of its own
regulations, holding that such deference is proper only if the
regulation is “genuinely ambiguous,” which is determined
by “exhaust[ing] all the ‘traditional tools’ of construction”
and examining the regulation’s “text, structure, history, and
purpose.” Kisor, 588 U.S at 574–75 (quoting Chevron
U.S.A. Inc. v. Nat. Res. Def. Council, Inc., 467 U.S. 837, 843
n.9 (1984)). If a regulation is shown to be genuinely
ambiguous, a court may not defer to the agency’s
interpretation unless the court independently determines that
the interpretation is “reasonable,” i.e., that it “come[s] within
the zone of ambiguity the court has identified after
employing all its interpretive tools.” Id. at 575–76 (quoting
Thomas Jefferson Univ. v. Shalala, 512 U.S. 504, 515
(1994)).
Following Kisor, the question arose as to whether the
Kisor standard should replace Stinson’s more deferential
approach to the Guidelines commentary. We recently
answered that question in Castillo, holding that “[t]he more
USA V. KELLER 31
demanding deference standard articulated in Kisor applies to
the Guidelines’ commentary.” 69 F.4th at 655. We
explained that because “Stinson deference is directly
grounded in Seminole Rock and Auer deference[,] . . . ‘the
only way to harmonize Kisor and Stinson is to conclude that
Kisor’s gloss on Auer and Seminole Rock applies to
Stinson.’” Id. at 656 (quoting United States v. Dupree, 57
F.4th 1269, 1275 (11th Cir. 2023) (en banc) (brackets
omitted); see also United States v. Scheu, 83 F.4th 1124,
1127–28 (9th Cir. 2023) (tracking the development in the
law from Stinson to Castillo).
4. The district court did not err in relying on the 6,700:1
converted drug weight ratio for oxycodone.
Keller argues that the district court could not defer to the
6,700:1 ratio in Application Note 8 because the ratio is not a
reasonable interpretation of an ambiguous Guideline under
Kisor and Castillo. But we conclude that we need not and
should not address whether the ratio is a permissible
interpretation of the Guideline under Kisor because, in
assessing the weight to be given to the commentary, the
converted drug weight ratio for oxycodone is more properly
regarded as part of the Guideline itself.
As we explained above, the Guideline covers
oxycodone, U.S.S.G. § 2D1.1(c), Note B, it provides base
offense levels for “Converted Drug Weight”, id. § 2D1.1(c),
and it expressly directs that “‘Converted Drug Weight,’ for
purposes of this guideline, refers to a nominal reference
designation that is used as a conversion factor in the Drug
Conversion Tables set forth in the Commentary below,” id.
§ 2D1.1(c), Note K. As drafted, the ratios in the drug
conversion tables are effectively part of § 2D1.1 itself
32 USA V. KELLER
because this section of the Guidelines expressly incorporates
them.
Furthermore, and critically, although the “commentary is
not subject to mandatory congressional review,” Castillo, 69
F.4th at 655, the 6,700:1 oxycodone ratio underwent the
same notice-and-comment and congressional-review
process as the Guideline itself. The Sentencing Commission
submitted this ratio to Congress for review on May 1, 2003,
as part of Amendment 657. Addendum-19–22 (2003
Amendments to the Sentencing Guidelines, at 57–58,
available at
https://www.ussc.gov/sites/default/files/pdf/amendment-
process/reader-friendly-
amendments/20030512_RF_Amendments_0.pdf).
Congress did not act, and the ratio went into effect on
November 1, 2003. Id.; see also United States v. Landron-
Class, 696 F.3d 62, 75–76 (1st Cir. 2012). Because the
Commission expressly incorporated the Drug Conversion
Tables into the text of § 2D1.1(c) and adopted them using
the procedures required for enacting the Guidelines
themselves, we believe the better view is that the Drug
Conversion Tables should be regarded as part of the
Guidelines, and no further Kisor inquiry is required before a
district court may apply the drug ratios.
This case thus presents a different situation from
Castillo. There, we considered whether a defendant’s
conviction for conspiracy to distribute methamphetamine
was a “controlled substance offense” under U.S.S.G.
§ 4B1.2(b), which in turn qualified the defendant as a career
offender under U.S.S.G. § 4B1.1. 69 F.4th at 653. While
the Sentencing Guidelines at the time did not define
“controlled substance offense” to “include inchoate crimes
like conspiracies,” the “commentary extend[ed] the
USA V. KELLER 33
definition to such crimes.” Id. In Castillo’s case, the career
offender enhancement substantially elevated his advisory
Guidelines range. Id. at 651.
Applying Kisor, Castillo held that the commentary in
question should not be followed. We explained that
“[a]pplying the traditional tools of statutory construction to
the text of the guideline, as Kisor instructs, . . . § 4B1.2(b)
unambiguously identifies a list of crimes that does not
include inchoate offenses.” Id. at 657–58. Because the
Guideline itself was “unambiguous, the Supreme Court’s
decision in Kisor now ma[de] it impermissible to defer” to
the application note. 11 Id. at 663. This case is different
because here, unlike in Castillo, the Guideline itself
expressly incorporates the commentary, a relatively rare
occurrence in the Guidelines.
Keller protests that no prior case has treated commentary
as part of a Guideline and thus exempt from a further Kisor
inquiry. But when Stinson governed, the distinction between
the Guidelines and commentary was not especially
significant. To the extent today’s decision is novel, that is
only because the question we confront is itself novel, now
that Kisor applies. See Castillo, 69 F.4th at 655.
Keller also suggests that our approach has no “limiting
principle” because the Sentencing Commission could
promulgate a guideline that defines the offense level for a
particular offense by reference to the commentary, and then
rely entirely on ever-changing commentary to determine the
offense level. Keller is incorrect. The limiting principle is
11
The Sentencing Commission has since moved the inchoate offense
commentary into the Guideline itself. See Amendment 822 to U.S.S.G.
§ 4B1.2, effective Nov. 1, 2023; see also U.S.S.G. § 4B1.2(d).
34 USA V. KELLER
that the commentary incorporated by reference in the
Guidelines must itself have undergone notice and comment
and congressional review, as the commentary in Amendment
657 did. The commentary, in other words, must be enacted
as if it were an express part of a Guideline. If the Sentencing
Commission had changed the oxycodone ratio to 10,000:1
without subjecting it to notice and comment and
congressional review, we do not think it could be properly
regarded as part of the Guideline itself, even if it purported
to incorporate it. At that point, a Kisor inquiry would be
required.
It is true that in Castillo we found that Kisor deference
applied even though the commentary at issue there had also
undergone notice and comment. Castillo, 69 F.4th at 652;
see also United States v. Dupree, 57 F.4th 1269, 1281 (11th
Cir. 2023) (en banc) (Pryor, C.J., concurring). But this was
so because the commentary at issue in that case “expand[ed]
unambiguous Guidelines.” Castillo, 69 F.4th at 664. By
contrast, Application Note 8 does not expand unambiguous
Guidelines. Rather, it was expressly incorporated into the
Guidelines.
The Commission could have moved the Drug
Conversion Tables into the Guideline by pasting them into
that part of the text. The Commission has undertaken
revisions along these lines in recent years, as courts have
grappled with whether the commentary is an appropriate
interpretation of the Guidelines under Kisor. See, e.g.,
Amendment 822 to U.S.S.G. § 4B1.2, effective Nov. 1,
2023. Although the Commission could do that here for the
Drug Conversion Tables, requiring it to do so would be
unduly formalistic when the Commission has already
expressly incorporated the commentary into the Guidelines
and put it through the same notice and comment and
USA V. KELLER 35
congressional review process as the Guidelines themselves.
Therefore, Kisor is not implicated, and we find no error by
the district court.
* * *
For the foregoing reasons, Keller’s conviction and
sentence are
AFFIRMED.
BENNETT, Circuit Judge, concurring:
I believe that any alleged error in sentencing was
harmless. I would accordingly affirm Thomas Keller’s
sentence on the basis of harmless error. I would not reach
whether the relevant Sentencing Guidelines commentary
was incorporated into the text of the Guidelines itself. I join
the rest of the per curiam opinion.
If a district court utilizes an inappropriate Sentencing
Guidelines range, that error is subject to harmless-error
review. See United States v. Prigan, 8 F.4th 1115, 1122 (9th
Cir. 2021). “Errors that impact Guideline calculations
typically require remand unless the Government establishes
the error was harmless.” United States v. Klensch, 87 F.4th
1159, 1166 (9th Cir. 2023).
For harmlessness, “[a] district court’s analysis must
‘flow from an initial determination of the correct Guidelines
range,’ and the district court must keep that range ‘in mind
throughout the process.’” United States v. Dominguez-
Caicedo, 40 F.4th 938, 963 (9th Cir. 2022) (citation omitted)
(quoting United States v. Munoz-Camarena, 631 F.3d 1028,
1030, 1031 (9th Cir. 2011) (per curiam)). In the majority’s
36 USA V. KELLER
understanding, the district court failed to make that
determination because it “did not . . . state that it would have
imposed the same sentence even if the Guidelines range had
been 0–6 months rather than 51–63 months.” Op. at 27–28.
I disagree that the district court did not consider the allegedly
correct range.
The district court did not explicitly reference the
potential 0–6 month Guidelines range. But I believe the
district court did consider that range. As the district court
stated, “it is very difficult to imagine a non-custodial
sentence in this case, applying all of the [§] 3553(a) factors.”
This demonstrates consideration of the 0–6 month range:
that range was the only one that would have entailed a
noncustodial sentence, and it was expressly rejected by the
district court. I do not believe the district court must engage
in a formulaic recitation of the allegedly correct Guidelines
range to satisfy the requirement that it keep such range “in
mind” during sentencing proceedings. Dominguez-Caicedo,
40 F.4th at 963 (quoting Munoz-Camarena, 631 F.3d at
1030). And the district court also stated: “But even if I did
disagree with the drug amount, I would still not impose a
sentence of less than 30 months in this case considering all
of the [§] 3553(a) factors.”
Of course, even when the district court considers but
rejects the allegedly correct Guidelines range, “[a] ‘district
court’s mere statement that it would impose the
same . . . sentence no matter what the correct calculation
cannot, without more, insulate the sentence from remand.’”
Id. (ellipsis in original) (emphasis added) (quoting Munoz-
Camarena, 631 F.3d at 1031). Rather, “[f]or the district
court’s calculation error to be harmless, the district court
‘must explain, among other things, the reason for the extent
of a variance’ from the correct Guidelines range.” Prigan, 8
USA V. KELLER 37
F.4th at 1122 (quoting Munoz-Camarena, 631 F.3d at 1031).
Here, there was “more,” and in my view significantly more.
First, the court identified the Guidelines calculation as
“just . . . part of the mix of deciding what the appropriate
sentence should be.” Second, the district court repeatedly
noted that its justification for a custodial sentence relied on
its consideration of various alternative factors under 18
U.S.C. § 3553(a): “[A]pplying the [§] 3553(a) factors, the
idea of a non-custodial sentence in this case, it seems
virtually impossible”; “it is very difficult to imagine a non-
custodial sentence in this case, applying all of the
[§] 3553(a) factors”; “you do need to think about general
deterrence in this case”; “you need to think about . . . what
would be a just punishment for Mr. Keller”; “I think that,
you know, applying all of the [§] 3553(a) factors, this is
absolutely a case where the Defendant must go to prison.”
See 18 U.S.C. § 3553(a)(1), (a)(2)(A), (a)(2)(B).
To establish harmlessness, the government ultimately
must show that “‘it is more probable than not’ that [any]
error did not affect the sentence.” Dominguez-Caicedo, 40
F.4th at 963 (quoting United States v. Morales, 108 F.3d
1031, 1040 (9th Cir. 1997) (en banc)). The majority finds it
“highly improbable” “that if the applicable range were 0–6
months, the district court would have still sentenced Keller
to 30 months in prison.” Op. at 26. But I disagree. As the
record shows, the district court acknowledged the possibility
of a noncustodial, 0–6 month sentence under the Guidelines;
rejected that possibility; 1 and identified many factors
1
And again, the district court made multiple statements about exactly
why a noncustodial sentence was essentially “impossible” and why a
sentence of 30 months was the absolute minimum. Among the factors
the court focused on were A.M.’s tragic death and the fact that “[i]f Mr.
38 USA V. KELLER
justifying a custodial sentence. These included deterrence,
18 U.S.C. § 3553(a)(2)(B); “just punishment,” id.
§ 3553(a)(2)(A); and “the nature and circumstances of the
offense and the history and characteristics of the defendant,”
id. § 3553(a)(1). For these reasons, I believe it is “more
probable than not” that even if the district court employed an
incorrect Guidelines range, any such error was harmless, and
accordingly would hold as much. Dominguez-Caicedo, 40
F.4th at 963 (quoting Morales, 108 F.3d at 1040).
Keller had exercised any restraint in how he prescribed medicine, how
he prescribed drugs to [A.M.], we might not be here.” The district court
also emphasized that “[Keller’s] journal clearly reflect[ed] that he did
not care what was going to happen to [A.M.] or . . . any number of other
patients.”
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
02KELLER SUMMARY * Criminal Law The panel affirmed Thomas Keller’s conviction and sentence on four counts of prescribing controlled substances outside the scope of professional practice.
03Keller made four claims: (1) the district court erred in denying his motion to suppress a journal found at his residence that was seized pursuant to a search warrant justified by neither probable cause nor the “plain view” doctrine; (2) the
04§ 2D1.1 by relying on a drug conversion ratio found in the Sentencing Guidelines commentary.
Frequently Asked Questions
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
FlawCheck shows no negative treatment for United States v. Keller in the current circuit citation data.
This case was decided on June 27, 2025.
Use the citation No. 10618590 and verify it against the official reporter before filing.