If you have issues viewing or accessing this file contact us at NCJRS.gov. t) ,".. ,1:- / ... ~ (REVISED·· DRAfT " ~ 'I ~ . SENTENCING. I.GUIDELINES . "" ... ", ~- . {"J .0 "\! ~, o t~ , o \\ * " c JANUARY 1987 \l ." Q Published to comply with statutory requirements and to elicit analysis and comment THE UNITED STATES SENTENCING COMMISSION t331 PENNSYLVANIA AVENUE. NW SUITE 1400 WASHINGTON, D.C. 20004 (202) 662-8800 William W. Wilkins, Jr. Chairman Michael K. Block Stephen G. Breyer Helen G. Corrothers George E. MacKinnon Ilene H. Nagel Paul H. Roblnsof. Benjamin F. Baer (ex officio) Ronald L GaIner (ex officio) LETTER FROM TI-IE COMMISSION This revised draft of sentencing guidelines differs significantly in format and substance from the preliminary draft published by the Commission in September 1986. The revisions are due in part to suggestions from hundreds of judges, prosecutors, defense attorneys, probation officers, victim advocates, and other individuals who analyzed and commented on the preliminary draft. In its deliberations and redrafting, the Commission has been sensItive to these concerns. The primary purpose of publishing a preliminary draft of guidelines in September was to provide a vehicle for extensive public comment. The Commission was under no statutory requirement to publish draft guidelines at that early date. The alternative, however, would have severely limited public comment, and the Commission found this unacceptable. The decision to publish a preliminary draft early proved to be correct. We learned a great deal and at the same time informed many people about guidelines and the positive effect they will have on our system of Justice. Guideline sentencing is an evolutionary process. We are developing a working framework for a system of guidelines that, over time, will be refined and amended as practical expenence, analysis, and logic dictate. The Commission realizes that it cannot produce a perfect system. However, what will be accomplished is significant improvement in our system of justice through a progressive, informed, and just set of sentencing guidelines. Once again we seek your critical analysis and comments. Thank you. U.S. Department of Justice Sincerely, National Institute of Justice This document has been reproduced ~xactly ~s recei~e~ from the person or organization originating it. POints of view or opInions stat~d ;!{~~~~r in this document are those of the authors and do. not nec~ssan Y represent the official position or poliCies 01 the National Institute 01 WilliarYw. Wilkins, Jr. Justice. Chairman Permission to reproduce this QGP¥£lgRted material has been gran~ibIcpU Domain u.s sentencing commission to the National Criminal JusHce Reference Service (NCJRS). Further reproduction outside of the NCJRS system requires permis­ sion of the ~ owner. TABLE OF CONTENTS CHAPTER ONE: INTRODUCTION AND OVERVIEW___________ _ 1 Au thority_______________ . ___________ _ 1. 1 II. Administrative Procedure Act. ____________________ 1 Principles of Sentencing ______________________ III. 5 2 IV. HistoricalOverview__________ _ 3 V. Overview of the Guidelines____________________ _ 4 VI. Application Instructions,______________________ _ 5 VII. The Sentencing System_____________________ _ 6 VIII. Probation and Sentencing Options._________________ _ 8 IX. ResearchProgram________________________ _ 8 X. Sentencing Table,_______________________ _ 10 CHAPTER TWO: OFFENSECONDUCT___________________________ _ 11 Over~ew________________________________ __ 11 Sentencing Factors,____________________________ _ 11 Part A ~ Offenses Involving the Person._____ -i'!!i!i-..,eso......,.ffl""1i~=",._- .......+_----- 13 1. Homicide,______ -_____ N_~_'-_!...:;:J11::..{ ..=R"!::':.;:9"""'''''4.. __-+- ____ 13 2. Assault 16 3. Criminal.-----------------------r-------- Sexual Conduct._______ -!!I~~_'9Jr_;fm~----!'------ 19 4. Kidnapping, Abduction, or Unlawful Restr l... ,- _______-ii~'-- _____ 22 5. Air Piracy__________________ f-f ___ _ 23 ACQUl!S'iifi.oNSli f Part B - Offenses InvoMng Property . t 25 1. Theft, Embezzlement, Receipt of Stolen Property, and Property Desitruction.__ _ 25 2. Burglary and Trespass 29 3. Robbery, Extortion, and Blackmail~ __________________ 30 4. Commercial Bribery and Kickbacks, ___________________ 33 5. Counterfeiting and Forgery_____________________ _ 35 6. Motor Vehicle Identification Numbers_______________ _ 38 Part C - Offenses Invol~ngPublic Officials, _____________________ 39 Part D - Offenses Involving Drugs.-_____________________ 44 1. Unlawful Manufacturing, Importing, Exporting, Trafficking, or Possession; Continuing Criminal Enterprise__________________ _ 44 2. Unlawful Possession_______________________ _ 55 3. Regulatory Violations,___________________ --- 56 Part E - Offenses Involving Criminal Enterprises and Racketeerinog_________ _ 57 1. Racketeerinog________________________ _ 57 2. Extortionate E;.,:tensions of Credit 59 3. Gambling.. _________________________ 60 4. Trafficking in Contraband Cigarettes _________________ 61 5. Labor Racketeering_______________________ _ 61 Part F - Offenses Involving Fraud and Deception._________________ _ 66 Part G - Offenses Involving Prostitution, Sexual Exploitation of Minors, and Obscenity________________________ _ 70 1. Prostitution_________________________ _ 70 2. Sexual Exploitation of a Minor__________________ _ 71 3. Obsceruty___________________________ _ 72 Part H - Offenses Involving Individual Rights, __________________ 74 1. Civil Rights, _________________________ 74 2. Political Rights, _________________________ 75 3. Privacy and Eavesdroppinog___________________ _ 77 4. Peonage, Involuntary Servitude, and Slave Trade ______________ 79 Part I - [Not Used} Part J - Offenses Involving the Administration of J ustice. ______________ 80 Part K - Offenses Involving Public Order and Safety_______________ _ 83 1. Explosives and Arson, ______________________ 83 2. Frrearms_______________________________ __ 85 3. Transportation of Hazardous Materials,________________ _ 88 4. Riotinog ____________________________ 90 Part L - Offenses Involving Immigration, Naturalization, and Passports,________ _ 91 1. Immigration,_________________________ _ 91 2. Naturalization and Passports,_____________________ __ 92 Part M - Offenses Involving National Defense _____________________ 94 1. Treason and Related Offenses,___________________ _ 94 2. Sabotage._________________________ _ 95 3. Espionage and Related Offenses,_______ "-- ____________ 97 4. Conduct Impairing Military Effectiveness,_______________ _ 102 5. Prohibited Financial Transactions and Exports._______________ _ 104 6. Agent Registration,________________________ _ 107 7. Atomic Energy____________________________ _ 109 Part N - Offenses Involving Food, Drugs, Agricultural Products, and Consumer Products______________________ _ 112 1. Tampering______________________________ _ 112 2. Food, Drug, and Agricultural.____________________ _ 113 3. Other Consumer Product_______________________ _ 114 Part 0 - [Not Used] Part P - Offenses Involving Prisons and Correctional Facilities,____________ _ 116 Part Q - Offenses Involving the Environment____________________ _ 119 1. En~ronment _______________________________ 119 2. Conservation and Wildlife,______________________ _ 125 Part R - Antitrust Offenses, ___________________________ 129 Part S - Money Laundering and Monetary Transaction Reportino.g ___________ 131 Part T - Offenses Involving Taxation____________ . _______ _ 135 1. Income Taxes______________________ _ 135 2. Alcohol and Tobacco Taxes, ___________________ 137 3. Customs Taxes, _______________________ 137 4. Tax Table,'________________________ _ 138 Part U - [Reserved] Part V - [Reserved] Part W - [ReservedJ Part X - Other Offenses. ________________________ 144 1. Conspiracies, Attempts, Solicitations._______________ _ 144 2. Aiding and Abettine..g _____________________ 145 3. Accessory After the Fact, ____________________ 145 4. All Other Offenses, ______________________ 146 Part Y - General Provisions._______________________ _ 147 1. Departures._______________________ _ 148 2. Adjustments._______________________ _ 152 Part Z - Role in the Offense.______________________ _ 157 CHAPTER THREE: OFFENDER CHARACTERISTICS, ____________ 159 Part A - Criminal History_______________________ _ 159 Part B - Special Offenders._______________________ _ 165 Part C - Post-Offense Conduct,_____________________ _ 166 1. Obstruction of Justice and Perjury________________ _ 166 2. Acceptance of Responsibility__________________ _ 167 3. Cooperation._______________________ _ 168 Part D - Other Offender Characteristics---------------------------- 170 CHAPTER FOUR: SENTENCING PROCEDURES, GUILTY PLEAS AND PLEA AGREEMENTS 1 T3 CHAPTER FIVE: DETERMINING THE SENTENCE.____________ _ 175 1. Probation,________________________________ , 175 2. Imprisonment'--___________________~ ________ 179 3. Supervised Release_, ______________________ 181 4. Restitution, Fines, Assessments, Forfeitures,____________ _ 182 5. Sentencing Options, _______________________ 188 6. Concurrent and Consecutive Sentences of Imprisonment,_________ _ 191 CHAPTER SIX: VIOLATIONS OF PROBATION AND SUPERVISED RELEASE,___ _ 194 APPENDIX A: AUTHORIZING LEG.ISLATION AND RELATED SENTENCING PROVISIONS APPENDIX B: RECORD OF COMMISSION VOTE AND DISSENT OF COMMISSIONER ROBINSON CHAPTER ONE • INTRODUCTION AND OVERVIEW I. Authority The United States Sentencing Commission ("Commission") is an independent agency in the judicial branch composed of seven voting and