US Laws, Codes, Statutes & Cases

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[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
  January 24, 2002 and December 19, 2002]
[CITE: 18USC3553]

 
                 TITLE 18--CRIMES AND CRIMINAL PROCEDURE
 
                       PART II--CRIMINAL PROCEDURE
 
                         CHAPTER 227--SENTENCES
 
                    SUBCHAPTER A--GENERAL PROVISIONS
 
Sec. 3553. Imposition of a sentence

    (a) Factors To Be Considered in Imposing a Sentence.--The court 
shall impose a sentence sufficient, but not greater than necessary, to 
comply with the purposes set forth in paragraph (2) of this subsection. 
The court, in determining the particular sentence to be imposed, shall 
consider--
        (1) the nature and circumstances of the offense and the history 
    and characteristics of the defendant;
        (2) the need for the sentence imposed--
            (A) to reflect the seriousness of the offense, to promote 
        respect for the law, and to provide just punishment for the 
        offense;
            (B) to afford adequate deterrence to criminal conduct;
            (C) to protect the public from further crimes of the 
        defendant; and
            (D) to provide the defendant with needed educational or 
        vocational training, medical care, or other correctional 
        treatment in the most effective manner;

        (3) the kinds of sentences available;
        (4) the kinds of sentence and the sentencing range established 
    for--
            (A) the applicable category of offense committed by the 
        applicable category of defendant as set forth in the guidelines 
        issued by the Sentencing Commission pursuant to section 
        994(a)(1) of title 28, United States Code, and that are in 
        effect on the date the defendant is sentenced; or
            (B) in the case of a violation of probation or supervised 
        release, the applicable guidelines or policy statements issued 
        by the Sentencing Commission pursuant to section 994(a)(3) of 
        title 28, United States Code;

        (5) any pertinent policy statement issued by the Sentencing 
    Commission pursuant to 28 U.S.C. 994(a)(2) that is in effect on the 
    date the defendant is sentenced;
        (6) the need to avoid unwarranted sentence disparities among 
    defendants with similar records who have been found guilty of 
    similar conduct; and
        (7) the need to provide restitution to any victims of the 
    offense.

    (b) Application of Guidelines in Imposing a Sentence.--The court 
shall impose a sentence of the kind, and within the range, referred to 
in subsection (a)(4) unless the court finds that there exists an 
aggravating or mitigating circumstance of a kind, or to a degree, not 
adequately taken into consideration by the Sentencing Commission in 
formulating the guidelines that should result in a sentence different 
from that described. In determining whether a circumstance was 
adequately taken into consideration, the court shall consider only the 
sentencing guidelines, policy statements, and official commentary of the 
Sentencing Commission. In the absence of an applicable sentencing 
guideline, the court shall impose an appropriate sentence, having due 
regard for the purposes set forth in subsection (a)(2). In the absence 
of an applicable sentencing guideline in the case of an offense other 
than a petty offense, the court shall also have due regard for the 
relationship of the sentence imposed to sentences prescribed by 
guidelines applicable to similar offenses and offenders, and to the 
applicable policy statements of the Sentencing Commission.
    (c) Statement of Reasons for Imposing a Sentence.--The court, at the 
time of sentencing, shall state in open court the reasons for its 
imposition of the particular sentence, and, if the sentence--
        (1) is of the kind, and within the range, described in 
    subsection (a)(4), and that range exceeds 24 months, the reason for 
    imposing a sentence at a particular point within the range; or
        (2) is not of the kind, or is outside the range, described in 
    subsection (a)(4), the specific reason for the imposition of a 
    sentence different from that described.

If the court does not order restitution, or orders only partial 
restitution, the court shall include in the statement the reason 
therefor. The court shall provide a transcription or other appropriate 
public record of the court's statement of reasons to the Probation 
System, and, if the sentence includes a term of imprisonment, to the 
Bureau of Prisons.
    (d) Presentence Procedure for an Order of Notice.--Prior to imposing 
an order of notice pursuant to section 3555, the court shall give notice 
to the defendant and the Government that it is considering imposing such 
an order. Upon motion of the defendant or the Government, or on its own 
motion, the court shall--
        (1) permit the defendant and the Government to submit affidavits 
    and written memoranda addressing matters relevant to the imposition 
    of such an order;
        (2) afford counsel an opportunity in open court to address 
    orally the appropriateness of the imposition of such an order; and
        (3) include in its statement of reasons pursuant to subsection 
    (c) specific reasons underlying its determinations regarding the 
    nature of such an order.

Upon motion of the defendant or the Government, or on its own motion, 
the court may in its discretion employ any additional procedures that it 
concludes will not unduly complicate or prolong the sentencing process.
    (e) Limited Authority To Impose a Sentence Below a Statutory 
Minimum.--Upon motion of the Government, the court shall have the 
authority to impose a sentence below a level established by statute as a 
minimum sentence so as to reflect a defendant's substantial assistance 
in the investigation or prosecution of another person who has committed 
an offense. Such sentence shall be imposed in accordance with the 
guidelines and policy statements issued by the Sentencing Commission 
pursuant to section 994 of title 28, United States Code.
    (f) Limitation on Applicability of Statutory Minimums in Certain 
Cases.--Notwithstanding any other provision of law, in the case of an 
offense under section 401, 404, or 406 of the Controlled Substances Act 
(21 U.S.C. 841, 844, 846) or section 1010 or 1013 of the Controlled 
Substances Import and Export Act (21 U.S.C. 960, 963), the court shall 
impose a sentence pursuant to guidelines promulgated by the United 
States Sentencing Commission under section 994 of title 28 without 
regard to any statutory minimum sentence, if the court finds at 
sentencing, after the Government has been afforded the opportunity to 
make a recommendation, that--
        (1) the defendant does not have more than 1 criminal history 
    point, as determined under the sentencing guidelines;
        (2) the defendant did not use violence or credible threats of 
    violence or possess a firearm or other dangerous weapon (or induce 
    another participant to do so) in connection with the offense;
        (3) the offense did not result in death or serious bodily injury 
    to any person;
        (4) the defendant was not an organizer, leader, manager, or 
    supervisor of others in the offense, as determined under the 
    sentencing guidelines and was not engaged in a continuing criminal 
    enterprise, as defined in section 408 of the Controlled Substances 
    Act; and
        (5) not later than the time of the sentencing hearing, the 
    defendant has truthfully provided to the Government all information 
    and evidence the defendant has concerning the offense or offenses 
    that were part of the same course of conduct or of a common scheme 
    or plan, but the fact that the defendant has no relevant or useful 
    other information to provide or that the Government is already aware 
    of the information shall not preclude a determination by the court 
    that the defendant has complied with this requirement.

(Added Pub. L. 98-473, title II, Sec. 212(a)(2), Oct. 12, 1984, 98 Stat. 
1989; amended Pub. L. 99-570, title I, Sec. 1007(a), Oct. 27, 1986, 100 
Stat. 3207-7; Pub. L. 99-646, Secs. 8(a), 9(a), 80(a), 81(a), Nov. 10, 
1986, 100 Stat. 3593, 3619; Pub. L. 100-182, Secs. 3, 16(a), 17, Dec. 7, 
1987, 101 Stat. 1266, 1269, 1270; Pub. L. 100-690, title VII, Sec. 7102, 
Nov. 18, 1988, 102 Stat. 4416; Pub. L. 103-322, title VIII, 
Sec. 80001(a), title XXVIII, Sec. 280001, Sept. 13, 1994, 108 Stat. 
1985, 2095; Pub. L. 104-294, title VI, Secs. 601(b)(5), (6), (h), Oct. 
11, 1996, 110 Stat. 3499, 3500; Pub. L. 107-273, div. B, title IV, 
Sec. 4002(a)(8), Nov. 2, 2002, 116 Stat. 1807.)

                       References in Text

    Section 408 of the Controlled Substances Act, referred to in subsec. 
(f)(4), is classified to section 848 of Title 21, Food and Drugs.


                               Amendments

    2002--Subsec. (e). Pub. L. 107-273 inserted ``a'' before ``minimum 
sentence''.
    1996--Subsec. (f). Pub. L. 104-294, Sec. 601(h), amended directory 
language of Pub. L. 103-322, Sec. 80001(a). See 1994 Amendment note 
below.
    Pub. L. 104-294, Sec. 601(b)(5), in introductory provisions, 
substituted ``section 1010 or 1013 of the Controlled Substances Import 
and Export Act (21 U.S.C. 960, 963)'' for ``section 1010 or 1013 of the 
Controlled Substances Import and Export Act (21 U.S.C. 961, 963)''.
    Subsec. (f)(4). Pub. L. 104-294, Sec. 601(b)(6), substituted 
``section 408 of the Controlled Substances Act'' for ``21 U.S.C. 848''.
    1994--Subsec. (a)(4). Pub. L. 103-322, Sec. 280001, amended par. (4) 
generally. Prior to amendment, par. (4) read as follows: ``the kinds of 
sentence and the sentencing range established for the applicable 
category of offense committed by the applicable category of defendant as 
set forth in the guidelines that are issued by the Sentencing Commission 
pursuant to 28 U.S.C. 994(a)(1) and that are in effect on the date the 
defendant is sentenced;''.
    Subsec. (f). Pub. L. 103-322, Sec. 80001(a), as amended by Pub. L. 
104-294, Sec. 601(h), added subsec. (f).
    1988--Subsec. (c). Pub. L. 100-690 inserted ``or other appropriate 
public record'' after ``transcription'' in second sentence and struck 
out ``clerk of the'' before ``court'' in last sentence.
    1987--Subsec. (b). Pub. L. 100-182, Sec. 3(1), (2), substituted 
``court finds that there exists an aggravating or mitigating 
circumstance of a kind, or to a degree, not adequately taken into 
consideration by the Sentencing Commission in formulating the guidelines 
that should result'' for ``court finds that an aggravating or mitigating 
circumstance exists that was not adequately taken into consideration by 
the Sentencing Commission in formulating the guidelines and that should 
result''.
    Pub. L. 100-182, Sec. 3(3), inserted after first sentence ``In 
determining whether a circumstance was adequately taken into 
consideration, the court shall consider only the sentencing guidelines, 
policy statements, and official commentary of the Sentencing 
Commission.''
    Pub. L. 100-182, Sec. 16(a), substituted ``In the absence of an 
applicable sentencing guideline, the court shall impose an appropriate 
sentence, having due regard for the purposes set forth in subsection 
(a)(2). In the absence of an applicable sentencing guideline in the case 
of an offense other than a petty offense, the court shall also have due 
regard for the relationship of the sentence imposed to sentences 
prescribed by guidelines applicable to similar offenses and offenders, 
and to the applicable policy statements of the Sentencing Commission.'' 
for ``In the absence of an applicable sentencing guideline, the court 
shall impose an appropriate sentence, having due regard for the 
relationship of the sentence imposed to sentences prescribed by 
guidelines applicable to similar offenses and offenders, the applicable 
policy statements of the Sentencing Commission, and the purposes of 
sentencing set forth in subsection (a)(2).''
    Subsec. (c)(1). Pub. L. 100-182, Sec. 17, inserted ``and that range 
exceeds 24 months,''.
    1986--Subsec. (a)(7). Pub. L. 99-646, Sec. 81(a), added par. (7).
    Subsec. (b). Pub. L. 99-646, Sec. 9(a), inserted provision relating 
to sentencing in the absence of applicable guidelines.
    Subsec. (c). Pub. L. 99-646, Sec. 8(a), substituted ``If the court 
does not order restitution, or orders only partial restitution'' for 
``If the sentence does not include an order of restitution''.
    Subsec. (d). Pub. L. 99-646, Sec. 80(a), struck out ``or 
restitution'' after ``notice'' in heading, and struck out ``or an order 
of restitution pursuant to section 3556,'' after ``section 3555,'' in 
introductory text.
    Subsec. (e). Pub. L. 99-570 added subsec. (e).


                    Effective Date of 1994 Amendment

    Section 80001(c) of Pub. L. 103-322 provided that: ``The amendment 
made by subsection (a) [amending this section] shall apply to all 
sentences imposed on or after the 10th day beginning after the date of 
enactment of this Act [Sept. 13, 1994].''


                    Effective Date of 1987 Amendment

    Amendment by Pub. L. 100-182 applicable with respect to offenses 
committed after Dec. 7, 1987, see section 26 of Pub. L. 100-182, set out 
as a note under section 3006A of this title.


                    Effective Date of 1986 Amendments

    Section 8(c) of Pub. L. 99-646 provided that: ``The amendments made 
by this section [amending this section and section 3663 of this title] 
shall take effect on the date of the taking effect of section 3553 of 
title 18, United States Code [Nov. 1, 1987].''
    Section 9(b) of Pub. L. 99-646 provided that: ``The amendments made 
by this section [amending this section] shall take effect on the date of 
the taking effect of section 3553 of title 18, United States Code [Nov. 
1, 1987].''
    Section 80(b) of Pub. L. 99-646 provided that: ``The amendments made 
by this section [amending this section] shall take effect on the date of 
the taking effect of section 212(a)(2) of the Sentencing Reform Act of 
1984 [section 212(a)(2) of Pub. L. 98-473, effective Nov. 1, 1987].''
    Section 81(b) of Pub. L. 99-646 provided that: ``The amendments made 
by this section [amending this section] shall take effect on the date of 
the taking effect of section 212(a)(2) of the Sentencing Reform Act of 
1984 [section 212(a)(2) of Pub. L. 98-473, effective Nov. 1, 1987].''
    Section 1007(b) of Pub. L. 99-570 provided that: ``The amendment 
made by this section [amending this section] shall take effect on the 
date of the taking effect of section 3553 of title 18, United States 
Code [Nov. 1, 1987].''


                             Effective Date

    Section effective Nov. 1, 1987, and applicable only to offenses 
committed after the taking effect of this section, see section 235(a)(1) 
of Pub. L. 98-473, set out as a note under section 3551 of this title.


 Authority To Lower a Sentence Below Statutory Minimum for Old Offenses

    Section 24 of Pub. L. 100-182 provided that: ``Notwithstanding 
section 235 of the Comprehensive Crime Control Act of 1984 [section 235 
of Pub. L. 98-473, set out as a note under section 3551 of this title]--
        ``(1) section 3553(e) of title 18, United States Code;
        ``(2) rule 35(b) of the Federal Rules of Criminal Procedure as 
    amended by section 215(b) of such Act [set out in the Appendix to 
    this title]; and
        ``(3) rule 35(b) as in effect before the taking effect of the 
    initial set of guidelines promulgated by the United States 
    Sentencing Commission pursuant to chapter 58 of title 28, United 
    States Code,
shall apply in the case of an offense committed before the taking effect 
of such guidelines.''

                  Section Referred to in Other Sections

    This section is referred to in sections 1031, 3551, 3552, 3555, 
3562, 3563, 3564, 3565, 3572, 3582, 3583, 3584, 3742 of this title; 
title 28 sections 991, 994, 995.