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U.S. Code as of:
01/19/04
Section 994. Duties of the Commission
(a) The Commission, by affirmative vote of at least four members
of the Commission, and pursuant to its rules and regulations and
consistent with all pertinent provisions of any Federal statute
shall promulgate and distribute to all courts of the United States
and to the United States Probation System -
(1) guidelines, as described in this section, for use of a
sentencing court in determining the sentence to be imposed in a
criminal case, including -
(A) a determination whether to impose a sentence to
probation, a fine, or a term of imprisonment;
(B) a determination as to the appropriate amount of a fine or
the appropriate length of a term of probation or a term of
imprisonment;
(C) a determination whether a sentence to a term of
imprisonment should include a requirement that the defendant be
placed on a term of supervised release after imprisonment, and,
if so, the appropriate length of such a term;
(D) a determination whether multiple sentences to terms of
imprisonment should be ordered to run concurrently or
consecutively; and
(E) a determination under paragraphs (6) and (11) (!1) of
section 3563(b) of title 18;
(2) general policy statements regarding application of the
guidelines or any other aspect of sentencing or sentence
implementation that in the view of the Commission would further
the purposes set forth in section 3553(a)(2) of title 18, United
States Code, including the appropriate use of -
(A) the sanctions set forth in sections 3554, 3555, and 3556
of title 18;
(B) the conditions of probation and supervised release set
forth in sections 3563(b) and 3583(d) of title 18;
(C) the sentence modification provisions set forth in
sections 3563(c), 3564, 3573, and 3582(c) of title 18;
(D) the fine imposition provisions set forth in section 3572
of title 18;
(E) the authority granted under rule 11(e)(2) of the Federal
Rules of Criminal Procedure to accept or reject a plea
agreement entered into pursuant to rule 11(e)(1); and
(F) the temporary release provisions set forth in section
3622 of title 18, and the prerelease custody provisions set
forth in section 3624(c) of title 18; and
(3) guidelines or general policy statements regarding the
appropriate use of the provisions for revocation of probation set
forth in section 3565 of title 18, and the provisions for
modification of the term or conditions of supervised release and
revocation of supervised release set forth in section 3583(e) of
title 18.
(b)(1) The Commission, in the guidelines promulgated pursuant to
subsection (a)(1), shall, for each category of offense involving
each category of defendant, establish a sentencing range that is
consistent with all pertinent provisions of title 18, United States
Code.
(2) If a sentence specified by the guidelines includes a term of
imprisonment, the maximum of the range established for such a term
shall not exceed the minimum of that range by more than the greater
of 25 percent or 6 months, except that, if the minimum term of the
range is 30 years or more, the maximum may be life imprisonment.
(c) The Commission, in establishing categories of offenses for
use in the guidelines and policy statements governing the
imposition of sentences of probation, a fine, or imprisonment,
governing the imposition of other authorized sanctions, governing
the size of a fine or the length of a term of probation,
imprisonment, or supervised release, and governing the conditions
of probation, supervised release, or imprisonment, shall consider
whether the following matters, among others, have any relevance to
the nature, extent, place of service, or other incidents (!2) of an
appropriate sentence, and shall take them into account only to the
extent that they do have relevance -
(1) the grade of the offense;
(2) the circumstances under which the offense was committed
which mitigate or aggravate the seriousness of the offense;
(3) the nature and degree of the harm caused by the offense,
including whether it involved property, irreplaceable property, a
person, a number of persons, or a breach of public trust;
(4) the community view of the gravity of the offense;
(5) the public concern generated by the offense;
(6) the deterrent effect a particular sentence may have on the
commission of the offense by others; and
(7) the current incidence of the offense in the community and
in the Nation as a whole.
(d) The Commission in establishing categories of defendants for
use in the guidelines and policy statements governing the
imposition of sentences of probation, a fine, or imprisonment,
governing the imposition of other authorized sanctions, governing
the size of a fine or the length of a term of probation,
imprisonment, or supervised release, and governing the conditions
of probation, supervised release, or imprisonment, shall consider
whether the following matters, among others, with respect to a
defendant, have any relevance to the nature, extent, place of
service, or other incidents (!2) of an appropriate sentence, and
shall take them into account only to the extent that they do have
relevance -
(1) age;
(2) education;
(3) vocational skills;
(4) mental and emotional condition to the extent that such
condition mitigates the defendant's culpability or to the extent
that such condition is otherwise plainly relevant;
(5) physical condition, including drug dependence;
(6) previous employment record;
(7) family ties and responsibilities;
(8) community ties;
(9) role in the offense;
(10) criminal history; and
(11) degree of dependence upon criminal activity for a
livelihood.
The Commission shall assure that the guidelines and policy
statements are entirely neutral as to the race, sex, national
origin, creed, and socioeconomic status of offenders.
(e) The Commission shall assure that the guidelines and policy
statements, in recommending a term of imprisonment or length of a
term of imprisonment, reflect the general inappropriateness of
considering the education, vocational skills, employment record,
family ties and responsibilities, and community ties of the
defendant.
(f) The Commission, in promulgating guidelines pursuant to
subsection (a)(1), shall promote the purposes set forth in section
991(b)(1), with particular attention to the requirements of
subsection 991(b)(1)(B) for providing certainty and fairness in
sentencing and reducing unwarranted sentence disparities.
(g) The Commission, in promulgating guidelines pursuant to
subsection (a)(1) to meet the purposes of sentencing as set forth
in section 3553(a)(2) of title 18, United States Code, shall take
into account the nature and capacity of the penal, correctional,
and other facilities and services available, and shall make
recommendations concerning any change or expansion in the nature or
capacity of such facilities and services that might become
necessary as a result of the guidelines promulgated pursuant to the
provisions of this chapter. The sentencing guidelines prescribed
under this chapter shall be formulated to minimize the likelihood
that the Federal prison population will exceed the capacity of the
Federal prisons, as determined by the Commission.
(h) The Commission shall assure that the guidelines specify a
sentence to a term of imprisonment at or near the maximum term
authorized for categories of defendants in which the defendant is
eighteen years old or older and -
(1) has been convicted of a felony that is -
(A) a crime of violence; or
(B) an offense described in section 401 of the Controlled
Substances 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 the Maritime Drug Law
Enforcement Act (46 U.S.C. App. 1901 et seq.); and
(2) has previously been convicted of two or more prior
felonies, each of which is -
(A) a crime of violence; or
(B) an offense described in section 401 of the Controlled
Substances 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 the Maritime Drug Law
Enforcement Act (46 U.S.C. App. 1901 et seq.).
(i) The Commission shall assure that the guidelines specify a
sentence to a substantial term of imprisonment for categories of
defendants in which the defendant -
(1) has a history of two or more prior Federal, State, or local
felony convictions for offenses committed on different occasions;
(2) committed the offense as part of a pattern of criminal
conduct from which the defendant derived a substantial portion of
the defendant's income;
(3) committed the offense in furtherance of a conspiracy with
three or more persons engaging in a pattern of racketeering
activity in which the defendant participated in a managerial or
supervisory capacity;
(4) committed a crime of violence that constitutes a felony
while on release pending trial, sentence, or appeal from a
Federal, State, or local felony for which he was ultimately
convicted; or
(5) committed a felony that is set forth in section 401 or 1010
of the Comprehensive Drug Abuse Prevention and Control Act of
1970 (21 U.S.C. 841 and 960), and that involved trafficking in a
substantial quantity of a controlled substance.
(j) The Commission shall insure 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, and the general appropriateness of imposing a term
of imprisonment on a person convicted of a crime of violence that
results in serious bodily injury.
(k) The Commission shall insure that the guidelines reflect the
inappropriateness of imposing a sentence to a term of imprisonment
for the purpose of rehabilitating the defendant or providing the
defendant with needed educational or vocational training, medical
care, or other correctional treatment.
(l) The Commission shall insure that the guidelines promulgated
pursuant to subsection (a)(1) reflect -
(1) the appropriateness of imposing an incremental penalty for
each offense in a case in which a defendant is convicted of -
(A) multiple offenses committed in the same course of conduct
that result in the exercise of ancillary jurisdiction over one
or more of the offenses; and
(B) multiple offenses committed at different times, including
those cases in which the subsequent offense is a violation of
section 3146 (penalty for failure to appear) or is committed
while the person is released pursuant to the provisions of
section 3147 (penalty for an offense committed while on
release) of title 18; and
(2) the general inappropriateness of imposing consecutive terms
of imprisonment for an offense of conspiring to commit an offense
or soliciting commission of an offense and for an offense that
was the sole object of the conspiracy or solicitation.
(m) The Commission shall insure that the guidelines reflect the
fact that, in many cases, current sentences do not accurately
reflect the seriousness of the offense. This will require that, as
a starting point in its development of the initial sets of
guidelines for particular categories of cases, the Commission
ascertain the average sentences imposed in such categories of cases
prior to the creation of the Commission, and in cases involving
sentences to terms of imprisonment, the length of such terms
actually served. The Commission shall not be bound by such average
sentences, and shall independently develop a sentencing range that
is consistent with the purposes of sentencing described in section
3553(a)(2) of title 18, United States Code.
(n) The Commission shall assure that the guidelines reflect the
general appropriateness of imposing a lower sentence than would
otherwise be imposed, including a sentence that is lower than that
established by statute as a minimum sentence, to take into account
a defendant's substantial assistance in the investigation or
prosecution of another person who has committed an offense.
(o) The Commission periodically shall review and revise, in
consideration of comments and data coming to its attention, the
guidelines promulgated pursuant to the provisions of this section.
In fulfilling its duties and in exercising its powers, the
Commission shall consult with authorities on, and individual and
institutional representatives of, various aspects of the Federal
criminal justice system. The United States Probation System, the
Bureau of Prisons, the Judicial Conference of the United States,
the Criminal Division of the United States Department of Justice,
and a representative of the Federal Public Defenders shall submit
to the Commission any observations, comments, or questions
pertinent to the work of the Commission whenever they believe such
communication would be useful, and shall, at least annually, submit
to the Commission a written report commenting on the operation of
the Commission's guidelines, suggesting changes in the guidelines
that appear to be warranted, and otherwise assessing the
Commission's work.
(p) The Commission, at or after the beginning of a regular
session of Congress, but not later than the first day of May, may
promulgate under subsection (a) of this section and submit to
Congress amendments to the guidelines and modifications to
previously submitted amendments that have not taken effect,
including modifications to the effective dates of such amendments.
Such an amendment or modification shall be accompanied by a
statement of the reasons therefor and shall take effect on a date
specified by the Commission, which shall be no earlier than 180
days after being so submitted and no later than the first day of
November of the calendar year in which the amendment or
modification is submitted, except to the extent that the effective
date is revised or the amendment is otherwise modified or
disapproved by Act of Congress.
(q) The Commission and the Bureau of Prisons shall submit to
Congress an analysis and recommendations concerning maximum
utilization of resources to deal effectively with the Federal
prison population. Such report shall be based upon consideration of
a variety of alternatives, including -
(1) modernization of existing facilities;
(2) inmate classification and periodic review of such
classification for use in placing inmates in the least
restrictive facility necessary to ensure adequate security; and
(3) use of existing Federal facilities, such as those currently
within military jurisdiction.
(r) The Commission, not later than two years after the initial
set of sentencing guidelines promulgated under subsection (a) goes
into effect, and thereafter whenever it finds it advisable, shall
recommend to the Congress that it raise or lower the grades, or
otherwise modify the maximum penalties, of those offenses for which
such an adjustment appears appropriate.
(s) The Commission shall give due consideration to any petition
filed by a defendant requesting modification of the guidelines
utilized in the sentencing of such defendant, on the basis of
changed circumstances unrelated to the defendant, including changes
in -
(1) the community view of the gravity of the offense;
(2) the public concern generated by the offense; and
(3) the deterrent effect particular sentences may have on the
commission of the offense by others.
(t) The 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. Rehabilitation of the defendant alone shall not be
considered an extraordinary and compelling reason.
(u) If the Commission reduces the term of imprisonment
recommended in the guidelines applicable to a particular offense or
category of offenses, it shall specify in what circumstances and by
what amount the sentences of prisoners serving terms of
imprisonment for the offense may be reduced.
(v) The Commission shall ensure that the general policy
statements promulgated pursuant to subsection (a)(2) include a
policy limiting consecutive terms of imprisonment for an offense
involving a violation of a general prohibition and for an offense
involving a violation of a specific prohibition encompassed within
the general prohibition.
(w)(1) The Chief Judge of each district court shall ensure that,
within 30 days following entry of judgment in every criminal case,
the sentencing court submits to the Commission a written report of
the sentence, the offense for which it is imposed, the age, race,
sex of the offender, and information regarding factors made
relevant by the guidelines. The report shall also include -
(A) the judgment and commitment order;
(B) the statement of reasons for the sentence imposed (which
shall include the reason for any departure from the otherwise
applicable guideline range);
(C) any plea agreement;
(D) the indictment or other charging document;
(E) the presentence report; and
(F) any other information as the Commission finds appropriate.
(2) The Commission shall, upon request, make available to the
House and Senate Committees on the Judiciary, the written reports
and all underlying records accompanying those reports described in
this section, as well as other records received from courts.
(3) The Commission shall submit to Congress at least annually an
analysis of these documents, any recommendations for legislation
that the Commission concludes is warranted by that analysis, and an
accounting of those districts that the Commission believes have not
submitted the appropriate information and documents required by
this section.
(4) The Commission shall make available to the Attorney General,
upon request, such data files as the Commission may assemble or
maintain in electronic form that include any information submitted
under paragraph (1). Such data files shall be made available in
electronic form and shall include all data fields requested,
including the identity of the sentencing judge.
(x) The provisions of section 553 of title 5, relating to
publication in the Federal Register and public hearing procedure,
shall apply to the promulgation of guidelines pursuant to this
section.
(y) The Commission, in promulgating guidelines pursuant to
subsection (a)(1), may include, as a component of a fine, the
expected costs to the Government of any imprisonment, supervised
release, or probation sentence that is ordered.
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