[Federal Register Volume 62, Number 138 (Friday, July 18, 1997)]
[Notices]
[Pages 38598-38601]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-18959]


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UNITED STATES SENTENCING COMMISSION


Rules of Practice and Procedure

AGENCY: United States Sentencing Commission.

ACTION: Notice of promulgation of rules of practice and procedure.

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SUMMARY: Pursuant to its authority under section 995(a)(1) of title 28, 
United States Code, the Sentencing Commission has established rules of 
practice and procedure relating to the manner in which it conducts its 
business. The Commission hereby gives notice of the adoption of these 
rules.

EFFECTIVE DATE: These rules are effective as of their adoption by the 
Commission on July 11, 1997.

ADDRESSES: Inquiries about any matter covered by the rules should be 
sent to: United States Sentencing Commission, One Columbus Circle, NE., 
Suite 2-500, South Lobby, Washington, DC 20002-8002, Attention: Office 
of Legislative and Public Affairs.

FOR FURTHER INFORMATION CONTACT: Michael Courlander, Public Information 
Specialist, Telephone: (202) 273-4590.

SUPPLEMENTARY INFORMATION: Section 995(a)(1) of title 28 authorizes the 
U.S. Sentencing Commission, an independent agency in the judicial 
branch of the United States Government, to establish general policies 
and promulgate rules and regulations for the Commission as necessary to 
carry out the purposes of the Sentencing Reform Act of 1984. The rules 
of practice and procedure are designed to facilitate public 
understanding and participation in the work of the Sentencing 
Commission. For the most part, these rules do not represent a 
substantive change in the way the Commission has traditionally 
conducted its business. These rules are not intended to enlarge the 
rights of any person sentenced under the guidelines promulgated by the 
Commission or otherwise create any private right of action. The rules 
were published for comment on July 29 and October 8, 1996. 61 FR 39493-
96, 61 FR 52825-26. The Commission received public comment from a 
number of persons and groups. The Commission also conducted an 
informational hearing on June 4, 1997, at which time it received 
additional comment. The adopted rules reflect a variety of changes 
suggested by the public comment and hearing participants.

    Authority: 28 U.S.C. 995(a)(1).
Richard P. Conaboy,
Chairman.

Rules of Practice and Procedure

Part I--Purpose of Rules; Rules Amendment Procedure

Rule 1.1  Application and Purpose

    Pursuant to 28 U.S.C. 995(a)(1) and other applicable provisions of 
its organizational statute, the United States Sentencing Commission 
(``the Commission'') has established these rules governing its usual 
operating practices. The Commission, an agency within the judicial 
branch of government, is subject to only that provision of the 
Administrative Procedure Act, section 553 of title 5, United States 
Code, relating to publication in the Federal Register and a public 
hearing procedure, with regard to proposed sentencing guidelines or 
amendments thereto. See 28 U.S.C. 994(x). The Commission is not subject 
to a variety of other statutes, such as the Federal Advisory Committee 
Act, the Sunshine Act, and the Freedom of Information Act, typically 
applicable to rulemaking agencies in the executive branch. The 
Commission nevertheless desires to involve interested members of the 
public in its work to the maximum extent practicable. Accordingly, 
these rules are issued for the purpose of more fully informing 
interested persons of opportunities and procedures for becoming aware 
of and participating in the public business of the Commission. These 
rules are not intended to enlarge the rights of any person sentenced 
under the guidelines promulgated by the Commission or to otherwise 
create any private right of action.

Rule 1.2  Rules Amendment Procedure

    (a) Except as provided in subsection (b), amendment of these rules 
shall require the affirmative vote in a public meeting of a majority 
(and not less than three) of the voting members then serving. Any such 
amendment shall be adopted only after notice and reasonable opportunity 
for public comment.
    (b) The Commission temporarily may suspend any rule contained 
herein and/or adopt a supplemental or superseding rule by affirmative 
vote in a public meeting of a majority of the voting members then 
serving.

Part II--Action by the Commission

Rule 2.1  Members

    For purposes of the voting procedures set forth in these rules, 
``member'' of the Commission shall mean a voting member and shall not 
include an ex-officio, non-voting member. Ex-officio members may not 
vote or make or second motions.

Rule 2.2  Voting Rules for Action by the Commission

    Except as otherwise provided in these rules or by law, action by 
the Commission requires the affirmative vote of a majority of the 
members at a public meeting at which a quorum is present. A quorum 
shall consist of a majority of the members then serving. Members shall 
be deemed ``present'' and may participate and vote in public meetings 
from remote locations by electronic means, including telephone, 
satellite, and video conference devices.
    Promulgation of guidelines, policy statements, official commentary, 
and amendments thereto shall require the affirmative vote of at least 
four members at a public meeting. See 28 U.S.C. 994(a).
    Publication for comment of proposed amendments to guidelines, 
policy statements, or official commentary shall require the affirmative 
vote of at least three members at a public meeting. The decision to 
instruct staff to prepare a retroactivity impact analysis for a 
proposed amendment shall require the affirmative vote of at least three 
members at a public meeting.
    Action on miscellaneous matters may be taken without a meeting 
based on the affirmative vote, by written or oral communication, of a 
majority of the

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members then serving. Such matters may include, the approval of budget 
requests, legal briefs, staff reports, analyses of legislation, and 
administrative and personnel issues.
    A motion to reconsider Commission action may be made only by a 
commissioner on the prevailing side of the vote for which 
reconsideration is sought, or who did not vote on the matter. Four 
votes are necessary to reconsider a Commission vote on any question on 
which a four-vote majority is required.

Part III--Meetings and Hearings

Rule 3.1  Meetings

    The Chair shall call and preside at Commission meetings. In the 
absence of the Chair, the Chair will designate a Vice Chair to preside.

Rule 3.2  Public Meetings

    The Commission shall meet on at least two occasions in each 
calendar quarter to conduct business.
    To the extent practicable, the Chair shall issue, through the 
Office of Staff Director, a public notice of any public meeting at 
least seven days prior to the date of the meeting. The public notice, 
to the extent practicable, shall indicate the general purpose(s) of the 
meeting and include an agenda and any related documents approved for 
public release.
    At the discretion of the Chair, members of the public may be 
afforded an opportunity to comment on any issue on the agenda of a 
public meeting.

Rule 3.3  Executive Sessions

    The Commission may hold executive sessions closed to the public to 
transact business of the Commission that is not appropriate for a 
public meeting, e.g., discussion and resolution of personnel and budget 
issues.

Rule 3.4  Briefing Sessions

    The Commission may hold briefing sessions that are not open to the 
public generally to receive in-depth information from staff and other 
persons. The Office of Legislative and Public Affairs will make 
available a list of issues upon which the Commission was briefed.

Rule 3.5  Public Hearings

    The Commission may convene a public hearing on any matter involving 
the promulgation of sentencing guidelines or any other matter affecting 
the Commission's business. A request for comment on a proposed matter 
does not necessarily mean that a public hearing will be held on the 
matter or that a public hearing, if scheduled, will pertain to all 
issues raised in the request for comment.
    Notice of a public hearing shall be given as soon as practicable. 
The notice shall include, as applicable, information regarding a 
procedure for requesting an opportunity to testify, and the 
availability of documents or reports relevant to the subject of the 
hearing.
    The Commission may specify the format for public hearings, invite 
witnesses, choose witnesses from among those who request the 
opportunity to testify, and require that written testimony be submitted 
in advance of the hearing.
    The Commission may exclude from such a hearing any electronic 
devices that record the voice or image of any or all witnesses, as well 
as cameras of any kind.
    At the request of any witness to turn off any such electronic 
device(s) during that person's testimony, the Chair of the Commission 
may order, at his or her discretion, that use of such devices be 
discontinued during the testimony of that witness.

Rule 3.6  Written Record of Meetings and Hearings

    The Commission shall prepare and maintain written minutes of public 
meetings and make them publicly available after their approval by the 
Commission. The Commission shall tape record public meetings and make 
the recordings publicly available after the approval of the minutes of 
such meeting. No such recording shall be copied or removed from the 
Commission's offices.
    The Commission shall maintain a written transcription of public 
hearings that shall be publicly available for inspection.

Part IV--Guideline Amendment Process

Rule 4.1  Promulgation of Amendments

    The Commission may promulgate and submit to Congress amendments to 
the guidelines after the beginning of a regular session of Congress and 
not later than May 1 of that year. Amendments shall be accompanied by 
an explanation or statement of reasons for the amendments. Unless 
otherwise specified, or unless Congress legislates to the contrary, 
amendments submitted for review shall take effect on the first day of 
November of the year in which submitted. 28 U.S.C. 994(p).
    At other times, pursuant to special statutory enactment, the 
Commission may promulgate amendments to accomplish identified 
congressional objectives.
    Amendments to policy statements and commentary may be promulgated 
and put into effect at any time. However, to the extent practicable, 
the Commission shall endeavor to include amendments to policy 
statements and commentary in any submission of guideline amendments to 
Congress and put them into effect on the same November 1 date as any 
guideline amendments issued in the same year.
    Generally, promulgated amendments will be given prospective 
application only. However, in those cases in which the Commission 
considers an amendment for retroactive application to previously 
sentenced, imprisoned defendants, it shall decide whether to make the 
amendment retroactive at the same meeting at which it decides to 
promulgate the amendment. Prior to final Commission action on the 
retroactive application of an amendment, the Commission shall review 
the retroactivity impact analysis prepared pursuant to Rule 2.2, supra.

Rule 4.2  Prison Impact of Amendments

    Prior to promulgating amendments to the guidelines, the Commission 
shall consider the impact of any amendment on available penal and 
correctional resources, and on other facilities and services and shall 
make such information available to the public.

Rule 4.3  Notice and Comment on Proposed Amendments

    In proposing and promulgating guidelines and amendments thereto, 
the Commission shall comply with the requirements of section 553 of 
title 5, United States Code, relating to publication in the Federal 
Register and public hearing procedure. 28 U.S.C. 994(x).
    The Commission may promulgate commentary and policy statements, and 
amendments thereto, without regard to the provisions of 28 U.S.C. 
994(x). Nevertheless, the Commission will endeavor to provide, to the 
extent practicable, comparable opportunities for public input on 
proposed policy statements and commentary considered in conjunction 
with guideline amendments.

Rule 4.4  Federal Register Notice of Proposed Amendments

    A vote to publish a proposed amendment to a guideline, policy 
statement, or official commentary in the Federal Register shall be 
deemed to be a request for public comment on the proposed amendment. At 
the same time the Commission votes to publish proposed amendments for 
comment, it

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shall request public comment on whether to make any amendments 
retroactive.
    The notice of proposed amendments also shall provide, to the extent 
appropriate and practicable, reasons for consideration of amendments 
and a summary of or reference to publicly available information that is 
relevant to the issue(s). In addition, the publication notice shall 
include a deadline for public comment and may include a notice of any 
scheduled public hearing(s) or meetings on the issue(s).
    In the case of proposed amendments to guidelines or issues for 
comment that form the basis for possible guidelines amendments, the 
Commission shall allow, to the extent practicable, a minimum period of 
public comment of at least 60 calendar days prior to final Commission 
action on the proposed amendments.

Rule 4.5  Public Hearing on Proposed Amendments

    In the case of ``emergency'' amendments issued pursuant to special 
statutory authorization, the Commission ordinarily will not conduct a 
public hearing on the proposed amendments but will afford such 
opportunity for written comment as time allows.
    In the case of other amendments to guidelines or policy statements 
issued pursuant to 28 U.S.C. 994, the Commission shall conduct a public 
hearing on the proposed amendments, unless the Commission determines 
that time does not permit a hearing or that a hearing will not 
substantially assist the amendment process. Notice of the hearing shall 
be given in the Federal Register and by other means designed to inform 
persons likely to be interested in participating in such a hearing.

Part V--Public Participation in Guideline Amendment Process

Rule 5.1  Public Comment File

    The Office of Legislative and Public Affairs shall receive and 
maintain public comment and public hearing testimony received by the 
Commission. This public comment file will be available during normal 
business hours for public inspection pursuant to written or telephonic 
request and with reasonable notice.

Rule 5.2  Notice of Priorities

    The Commission shall publish annually in the Federal Register and 
make available to the public a notice of the tentative priorities for 
future Commission inquiry and possible action, including areas for 
possible amendments to guidelines, policy statements, and commentary. 
Any such notice shall include an invitation to, and deadline for, the 
submission of written public comment on the proposed priorities.

Rule 5.3  Data and Reports Relevant to the Amendment Process

    To fulfill Commission priorities and inform consideration of 
potential amendments, the Staff Director shall direct the preparation 
of relevant data and reports for consideration by the Commission. Upon 
authorization, the Office of Legislative and Public Affairs shall make 
the data and reports available to the public as soon as practicable.

Rule 5.4  Advisory Groups

    Upon authorization of the Commission, the Staff Director may 
facilitate the creation, membership, and periodic meeting at the 
Commission offices and elsewhere, of advisory groups of defense 
attorneys, academics, probation officers, judges, prosecutors, and 
others, to facilitate formal and informal input to the Commission.
    Two types of advisory groups are authorized: standing and ad hoc. 
The following groups are standing advisory groups: the Practitioners' 
Advisory Group and the Probation Officers' Advisory Group.
    Upon creating an advisory group, the Commission may prescribe such 
policies regarding the conduct of meetings and operation of the group 
as the Commission deems necessary or appropriate. The Commission also 
may delegate to an advisory group the responsibility for developing 
such policies.
    In addition, the Commission expects to solicit input, from time to 
time, from outside groups representing the federal judiciary, 
prosecutors, defense attorneys, crime victims, and other interested 
groups.

Part VI--Information About the Commission

Rule 6.1  Office(s)

    The offices of the Commission are located in the Thurgood Marshall 
Federal Judiciary Building, Suite 2-500, South Lobby, One Columbus 
Circle, NE., Washington, DC. 20002-8002.
    The office can be reached by telephone between 8:30 a.m. and 5:30 
p.m., Monday through Friday. The main telephone number is (202) 273-
4500. The fax number is (202) 273-4529.

Rule 6.2  Office of Legislative and Public Affairs

    The Office of Legislative and Public Affairs administers the 
Commission's policy on Public Access to Sentencing Commission Documents 
and Data. See 54 FR 51279 (1989). This office also maintains A Guide to 
Publications & Resources that lists all publications and datasets 
available from the Commission. This document is available on request.
    Generally, the Office of Legislative and Public Affairs will 
maintain for public inspection by appointment official Commission 
documents, meetings and hearing schedules and agendas, approved minutes 
of Commission meetings and transcripts of public hearings, public 
comment submissions, and other documents (or citations thereto) that 
inform Commission decisions or actions.

Rule 6.3  Internet Site

    The Commission maintains and updates information and documents on 
an Internet web site. The web site is found at: http://www.ussc.gov.
    This resource includes general information, such as background 
information about the Commission and Commissioners, notices for 
scheduled meetings and hearings, minutes of recent meetings, 
transcripts of public hearings, listings of Commission priorities and 
projects, outstanding public comment solicitations, recently 
promulgated amendments, the text of numerous reports and resources 
available from the Commission, and the text of the Guidelines Manual 
and Commission reports.

Rule 6.4  Information at Federal Depository Libraries

    Commission publications printed by the Government Printing Office, 
and other selected documents, are available in hard copy or microfiched 
form through the Government Printing Office's Depository Library 
system. The location of the nearest Federal Depository Library can be 
determined in several ways: (1) By requesting a free copy of the 
Directory of Depository Libraries from the U.S. Government Printing 
Office, Library Programs Services, Stop: SLLD, Washington, DC 20401; 
(2) by asking at any local library for the address of the nearest 
Federal Depository Library; or (3) by using the Internet at http://
www.access.gpo.gov/su__docs; ``Information Available for Free Public 
Use in Federal Depository Libraries'' should be selected. The listing 
may be searched by state or by area code.

Rule 6.5  Access to Commission Data Research Consortium

    The Commission provides its various databases, excluding individual 
identifiers, to the University of

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Michigan's Inter-University Consortium for Political and Social 
Research (ICPSR). Researchers interested in studying federal sentencing 
practices through quantitative methods can access Commission sentencing 
data through this means. Contact ICPSR, PO Box 1248, Ann Arbor, MI 
48106; or call 1-800-999-0960; or use the following Internet address: 
http://www.ICPSR.umich.edu/NACJD/home.html.

[FR Doc. 97-18959 Filed 7-17-97; 8:45 am]
BILLING CODE 2210-40-P